Appellate Practice and Procedure for SPD-Appointed Counsel

209 Pages·2013·0.87 MB·English

APPELLATE PRACTICE AND PROCEDURE
for SPD-Appointed Counsel
May 2013
WisconsinState Public Defender–
AppellateDivision
MadisonOffice
P.O. Box 7862
Madison,WI 53707-7862
[phone]
MilwaukeeOffice
735 N. Water St., Ste. 912
Milwaukee,WI 53202-4116
[phone]
Wisconsin State Public Defender
Kelli S. Thompson
315 N. Henry St. - 2nd Floor State Public Defender
PO Box 7923 Madison, WI 53707-7923
Protecting
Michael Tobin
Justice forall Office Number: 608-266-0087/ Fax Number: 608-267-0584
Deputy State
Since 1977 www.wisspd.org
PublicDefender
To the Appellate Practitioner:
Thank you for signing on to take case appointments from the State Public Defender’s
Appellate Division.
Wisconsin’s rules of appellate procedure for criminal cases and other cases where there is
a statutory or constitutional right to counsel provide unique litigation opportunities. In
other jurisdictions, criminal appellate attorneys are limited to reviewing a static record
and writing appellate briefs which raise preserved issues and/or errors so clear that they
fall within “plain error” or “structural error” doctrines.
In contrast, under Wisconsin rules, the right to a direct appeal includes a right, and in
some cases an obligation, to first move for postconviction or postdisposition relief in the
circuit court. Postconviction litigation may involve a contested hearing or even an
evidentiary hearing. Common postconviction motion issues include, for example,
whether a guilty plea was involuntarily entered, whether trial counsel was ineffective, or
whether a sentence should be reduced based on information rebutting the judge’s
understanding of the defendant’s prior history or circumstances of the crime. Appellate
attorneys in Wisconsin thus have the opportunity, and the duty, to enhance or develop the
record, and to resolve all of a client’s claims in a single appeal.
This system makes Wisconsin appellate practice dynamic and interesting. Attorneys have
more creative control over a case and get to employ a broader range of skills. But it also
makes appellate practice in Wisconsin more challenging. In addition to reviewing the
trial record, Wisconsin appellate attorneys must consider and evaluate issues that were
not raised and evaluate or reevaluate witnesses who may or may not have been part of the
underlying case. Consequently, in addition to traditional appellate skills, attorneys taking
Wisconsin public defender appeal cases must also develop skills more typically
associated with trial practice.
This handbook is intended as a general guide to this process. Of course, no guide is 100
percent comprehensive; this handbook is not intended to provide specific legal direction
or advice. It is a starting point, a guide. In using this handbook, you should always verify
citations, use your legal training and good judgment, and seek the advice of more
experienced attorneys when needed. And no guide can substitute for intellectual curiosity
and empathy, which we hope will inform every aspect of your practice.
Again, thank you! We hope you find this work – as we do – interestingandrewarding.
Very truly yours,
The Appellate Division Management Team
PLEASE NOTE
This handbook is distributed or posted as a
general information guide for appellate practice in
Wisconsin public defender cases. It is not 100%
comprehensive and is not intended to constitute
specific authoritative legal direction or advice.
Attorneys should know, reference and follow all
relevant statutes, court rules and case law when
analyzing a matter or taking action in any given case.
This publication was finalized on May 1, 2013.
Subsequent changes to the law may not be included.
If you find any errors or omissions, please let a
manager in the SPD Appellate Division know.
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TABLE OF CONTENTS
Page
Note on Use of This Handbook ..........................................................................................i
Table of Contents................................................................................................................ii
CHAPTER ONE: Introduction to Appellate Practice...................................................1
I. Overview of the appellate process..........................................................1
a. A snapshot of our cases....................................................................1
b. Focus on RULE809.30 and TPR Appeals.........................................2
c. The scope of an SPD appellate appointment....................................3
i. The proceedings that are part of the appeal..........................3
ii. The issues that may be appealed...........................................4
iii. Post-judgment matters left to trial counsel...........................5
II. Managing your appellate cases...............................................................5
III. Calculatingdeadlines..............................................................................6
IV. Extending deadlines................................................................................8
V. Maintaining a record of your work.........................................................9
VI. Ethical note...........................................................................................10
VII. Appendix to Chapter One.....................................................................11
a. RULE 809.30 Appellate Time Table...............................................12
b. TPR Appellate Time Table.............................................................14
c. Civil Appeal Time Table................................................................16
d. Sample – Case Management Spreadsheet......................................18
e. Form– Motion for Extension of Time (to file the postconviction
motion or notice of appeal in a criminal case)...............................19
f. SPD Appellate Performance Standards..........................................21
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CHAPTER TWO: Reviewing the case...........................................................................23
I. Introduction..........................................................................................23
II. Actions from appointment to receipt of the case materials..................23
a. Applicable deadlines.......................................................................23
b. Getting the appointment .................................................................24
c. First steps........................................................................................24
d. Further steps...................................................................................26
III. Actions from service ofthe casematerials to your filing date.............28
a. Applicable deadlines.......................................................................28
b. Finding appellate issues..................................................................28
i. Cultivating competence generally......................................29
1. Internetresources...................................................29
2. Treatises and other secondary sources...................29
3. Training and networking events.............................30
ii. Finding issues in each individual case................................31
1. Reviewing case materials.......................................31
2. Meeting with your client........................................31
3. Speaking with the trial attorney.............................32
c. Developingpotential issues............................................................33
i. Investigating factual questions...........................................33
1. Generally................................................................33
2. Hiring an investigator or expert.............................34
ii. Researching legal questions................................................34
1. Legal research 101.................................................34
2. Specializedresearch...............................................35
a. State legislative history..............................35
b. Appellate briefs..........................................36
c. Municipal codes.........................................36
3. Talking with other legal professionals...................37
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IV. Understanding your client’s appellate issues........................................37
a. Determining whether an issue is arguable......................................37
b. Considering the potential risks and benefits of each issue.............39
i. Risks and benefits related to the remedy............................39
1. Vacation of the judgmentfor a new trial...............40
2. New sentencing or dispositional hearing...............40
3. Modification of sentenceor dispositional order....41
4. Commutation and credit.........................................41
ii. Additional risk/benefit considerations................................42
1. Overview................................................................42
2. Sentence credit.......................................................42
a. Errors in credit ...........................................42
b. Credit after vacationof a conviction..........43
3. DOC programming................................................43
4. Pending cases.........................................................44
V. Appendix to Chapter Two ....................................................................45
a. Basic Plea Checklist .......................................................................46
b. Annotated Plea Checklist................................................................47
c. Basic Sentencing Checklist ............................................................49
d. Annotated Sentencing Checklist.....................................................50
e. Pre-Trial/Trial Issues Guide...........................................................52
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CHAPTER THREE: Communicating with your Client..............................................56
I. Introduction..........................................................................................56
II. Arranging a meeting.............................................................................56
a. Finding your client..........................................................................56
b. Settingupameeting.......................................................................58
i. Meeting in the prison system..............................................58
ii. Meeting in a county jailor in the community....................58
iii. Timing the meeting.............................................................59
III. The initial meeting................................................................................59
a. Establishingrapport andbuildingtrust...........................................59
b. Discussing the case.........................................................................60
i. Facts related to potentialappellateissues...........................61
1. Client’s understanding of personal decisions........61
2. Facts relevant to sentencing/disposition................62
3. Things that seemed wrong.....................................63
ii. Appellate procedure............................................................63
iii. Expectations for the future.................................................64
iv. Final determinations...........................................................65
IV. Follow-up conversations.......................................................................66
V. Communication barriers.......................................................................66
a. Non-native-English speakers..........................................................66
i. Determining whether an interpreter is needed....................66
ii. Hiring an interpreter...........................................................67
iii. Working with the client......................................................68
b. Deaf and hard-of hearing clients..................................................69
c. Clients with other communication problems................................69
d. The incompetent client.................................................................70
e. Dealing with a breakdown in communication..............................70
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VI. Ethical note...........................................................................................71
VII. Appendix to Chapter Three..................................................................73
a. Directory of Correctional Institutions, Mental Health Facilities &
County Jails....................................................................................74
b. DOCRelease Form–Non-Health Information (DOC-1163)........85
c. DOC Release Form– Protected Health Information
(DOC-1163A).................................................................................87
d. General Release Form(for use with individuals or organizations
that do not provide a more specific form)......................................89
e. Form– Motion for Competency Evaluation (for use in criminal
cases)..............................................................................................90
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CHAPTER FOUR: Litigating a Meritorious Appeal...................................................92
I. Where to start the appeal ......................................................................92
a. RULE 809.30 appeals ......................................................................92
b. TPR appeals....................................................................................93
II. Client consultation regarding meritorious appellate options................94
a. The nature of the discussion...........................................................94
b. Who decides how to proceed?........................................................94
c. Your client’s options ......................................................................95
d. Resolving disputes on how to proceed...........................................95
III. Litigating a post-judgment motion in the circuit court.........................96
a. Applicable deadlines.......................................................................96
b. The post-judgment motion..............................................................97
i. Motion practice, generally..................................................97
1. Persuasivemotion writing......................................97
2. Filing Requirements...............................................97
3. Making factual allegations.....................................98
ii. Common post-judgment motions.......................................99
1. The Bangert motion...............................................99
2. Motion based on ineffective assistance
of counsel.............................................................101
3. Motion for sentence modification........................102
4. Other commonmotions........................................105
c. The post-judgment motion hearing...............................................106
i. Getting a hearing..............................................................106
ii. Preparing for the hearing..................................................107
1. Preparation common to all hearings ....................107
a. Arranging for your client’s appearance...107
b. Staying ahead of the circuit court’s deadline
for deciding the motion............................108
c. Preparing for oral argument.....................108
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d. Considering negotiating with opposing
counsel.....................................................109
e. Getting your paperwork in order..............109
f. Preparing orders for the court..................110
2. Additional preparation specific toevidentiary
hearings................................................................110
a. Subpoenaing witness................................110
b. Preparing witnesses for testifying............110
c. Reviewing the rules of evidence..............111
iii. Conducting the hearing.....................................................111
d. Final circuit court-level steps.......................................................111
i. Obtaining an appealable order..........................................111
ii. Final steps after a loss.......................................................112
iii. Final steps after a win.......................................................112
IV. Pursuing an appeal in the court of appeals.........................................114
a. Initiating the appeal and moving toward briefing........................114
i. Applicabledeadlines–notice of appeal, docketing
statement, and statement on transcript..............................114
ii. Initiating the appeal..........................................................114
1. Overview..............................................................114
2. The notice of appeal.............................................115
3. The docketing statement......................................116
4. Transcript-related obligations..............................117
a. Overview..................................................117
b. Arranging for service of transcripts.........117
c. If necessary, obtaining a court reporter
certification..............................................118
d. Preparing the statement on transcript.......119
iii. Assessing the court record on appeal...............................120
iv. Motion practice in thecourt of appeals............................121
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