# Petition for Writ of Certiorari — McClaren v. Wisconsin (No. 09-421)

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## Record

- **Collection:** Supreme Court brief
- **Document type:** Petition for Writ of Certiorari
- **Published:** January 1, 2009

## Text

Supreme Court, U.S.

FILED
09-42 1 CCT 5- 2009
Oi.
OFFICE OF THE CLERK

K. Suter, Clerk

In the
Supreme Court of the Hnited States

a o6—-————_————

JASON L. MCCLAREN,
Petitioner,

vs

STATE OF WISCONSIN,
Respondent.

——-—- =

On Petition For Writ Of Certiorari
To The Wisconsin Supreme Court

0)

PETITION FOR WRIT OF CERTIORARI

} ra

Michael C. Witt

Counsel of Record for Petitioner
Criminal Defense & Civil Litigation, LLC
231 South Main Street

P.O. Box 375

Jefferson, Wisconsin 53549

(920) 674-7824

QUESTION PRESENTED

Whether the Fifth and Sixth Amendments
permit a trial court to force a defendant to choose
between waiving his right to remain silent by
telling the State before trial what he knew or did
not know about his accuser’s violent past, or
foregoing the presentation of otherwise concededly
relevant evidence supporting his claim of self-
defense at trial

1

TABLE OF CONTENTS

Page
QUESTION PRESENTED ...0.....ccccccccseseseeeseseeeeeveeees
TABLE OF AUTHORITIES .........cccccccccccceceeeeeeeees iii
OPINION BELOW...........cc:c0000-. | ee
JURISDICTION En, 0.0.0... 1
CONSTITUTIONAL PROVISIONS
INVOLVED ....:.-.:0 ee, Bere...
STATEMENT OF FACTS ......ccccccccccccscseeecsescseseseseee. 2
REASONS FOR GRANTING THE PETITION.......6

CONCLUSION, 22e ae ga saseicsss....s. 1]

TABLE OF AUTHORITIES

Page
CASES
Chavez v. Martinez,
ee Fe, FO Fr CE vivvcsinccceskcsccesnceee 6
Doe v. United States,
487 U.S. 201, 214, n. 12 (1988)................... ae
Fisher v. United States,
$25 US. SRE, GRATIS) ovccsiscecsivevsesvaresecssecans 8
Kastigar v. Untied States,
BOG US, GEE. BO CITED ooooovcvcecessdodeevasiceee, 7
McMann v. Richardson,
397 U.S. 759, 771, n. 14 (1970)......... ewer he 10
McMorris v. State,
58 Wis. 2d 144, 149-50 (1973)... ee:
Miranda v. Arizona,
384 U.S. 436, 460 CYOGG) «ons ococcc ooo cccccccococecsas 7
State v. Albright.
96 Wis. 2d 122, 291 N.W.2d 487 (1980)....... 10
Wilhams v. Florida,
Pe OF Se Fe AR asses feassasevasacesecrnnee 6, 10, 11

United States v. Hubbell
OUTS. ee CD oie kc ae tka hE {

STATUTES
28 U.S.C. § 12457(a) l

Wisconsin Statutes, § 9OG.11. 0. cececececee eee 4

OPINIONS BELOW

The Wisconsin Supreme Court's opinion is
reported at 2009 WI 69, __ Wis. 2d __, 767
N.W.2d 550. The opinion of the Wisconsin Court of
Appeals is reported at 2008 WI App 118, 313 Wis.
2d 398, 756 N.W.2d 802. These opinions as well as
the trial court’s written order are reproduced in the
appendix, along with the constitutional provisions
involved.

JURISDICTION

On July 9, 2009 the Wisconsin Supreme
Court rendered a decision reversing the Wisconsin
Court of Appeals, re-writing and sustaining a trial
court order for pre-trial disclosure of the substance
of the defendant’s potential testimony at trial. This
decision creates a new court-made rule of criminal
procedure for this and all similarly situated
defendants in the State of Wisconsin that impacts
their substantive constitutional rights. The
statutory basis for this Court’s jurisdiction is found
in 28 U.S.C. § 1257(a).

CONSTITUTIONAL PROVISIONS INVOLVED

The defendant’s Fifth Amendment right to
remain silent, as well as his right to competent
assistance of counsel and the right to present a
defense as guaranteed by the Sixth and Fourteenth
Amendments are at issue.

2
STATEMENT OF FACTS

This case arises from an altercation that
occurred during the early morning hours of March
31, 2007 between defendant Jason McClaren and
ex-convict Conrad Goehl at the McClaren residence.
McClaren was originally charged with aggravated
battery, and charges of first degree reckless injury
and attempted first degree intentional homicide
were added after preliminary hearing. The State
has been aware of McClaren’s claim of self-defense
since the morning of the incident. Although not
required by statute or case law to do so, the defense
gave notice of intent to offer evidence of specific
instances of Goehl’s prior violent conduct at trial as
voing “to the reasonableness of the perceived threat
Mr. Goehl posed to the defendant and _ the
defendant's belief that force was necessary to
terminate the interference with his person.” The
defense motion sn /imine providing notice of intent
to offer this so-called McMorris ' evidence was filed
and served July 30, 2007.

The State’s response was not filed or served
until hours before the hearing held on October 2,
2007, and did not raise or address any requirement
or request for pre-trial disclosure. At that hearing,
the State stipulated that “a factual basis exists in
the discovery materials for the defense to make the
showing for perfect self-defense.” The State further
conceded the propriety of the defense request to

MecMorris v. State, 58 Wis. 2d 144, 149-50 (1973)

admit. testimony about Goehl’s prior violent acts
that McClaren was aware of at the time of the
incident, whether through McClaren himself, or
other witnesses.

The trial court initially ruled that the
defense could introduce evidence of Goehl’s prior
violent conduct either through the defendant or
other witnesses, as long as the defendant was
aware of it at the time of the incident giving rise to
the charges. Thereafter, when the tnal court
started to inquire specifically about what McClaren
did or did not know at the time of said incident,
defense counsel declined to get into trial strategy or
reveal specifically what the defendant knew or did
not know about Goehl’s violent past. Only then did
the State raise orally for the first time any claim to
a right to pre-trial discovery of that information.

Defense counsel pointed out the absence of
notice of this argument or authority for the State’s
contention, and objected to the pre-trial disclosure
of the content of her client’s mind:

THE COURT: And the cases cited by
the State. The State is saying
basically: Judge, you don’t have to do
it, that’s up to you, but if you want to
do it you have that power.

I’m asking you if I have that power or
not, not whether I should or whether
it’s wise or that’s what I would choose

to do. lm still at the first hurdle,
which is, can I do that if I want to
within the law.

MS. HAPP: Right.

I don’t have 906.11 in front of me. It’s
not an issue that was raised or briefed
or even referenced by the State.
Certainly, the Court can conduct its
courtroom and the witnesses as it sees

fit.

i think the defendant's constitutional
right to present a defense precludes
this Court from requiring him to
disclose anything in his mind or his
frame of mind other than what is
already in the discovery in the taped
interview. Period.

10/02/07 hearing transcript, p. 67.

At this point, the trial court engaged defense
counsel in a series of hypotheticals designed to
elicit a concession that it had the inherent
authority to grant the State’s discovery request.
Defense counse! declined to concede.

THE COURT: Well, that’s true. Here
is the question: Do I have the
authority to order you to reveal the
information pre-admissibility or not?

MS. HAPP: I don’t believe you do

THE COURT: Okay. Why not’?

MS. HAPP: Well, it all goes back to
the same argument we're having

I don’t think there’s any statutory or
case law that says that a defendant
has to reveal what he intends to
testify. Period. It’s always subject to
objection.

10/02/07 hearing transcript, p. 73, |
14, et seq.; see also, p. 74, 1. 13-19.

After failing to obtain the desired concession
from defense counsel, the trial court nonetheless
ordered the pre-trial disclosure requested by the
State. The trial court’s oral ruling paid lip service
to reciprocity, acknowledging that its order was
unlikely to impose any conceivable obligation upon
the State. The written order from which the
defendant took interlocutory appeal is not in any
way reciprocal.

After granting leave for defendant's

interlocutory appeal, the Wisconsin Court of
Appeals reversed the trial court. Noting the
complete absence of any statute or case law
providing authority for the trial court's order, the
Wisconsin Court of Appeals did not reach any of the

6

constitutional issues briefed by the parties. The
State filed a Petition for Review, which the
Wisconsin Supreme Court granted. In its brief
before the Wisconsin Supreme Court, the State all
but abandoned its argument that there was
authority for the trial court’s order, instead arguing
in the alternative that the Wisconsin Supreme
Court. should depart from its own prior precedent
and use this case to create such authority.

Analogizing the trial court’s pre-trial order to
the Notice of Alibi Statute at issue in Williams v.
Florida, 399 U.S. 78 (1970), the Wisconsin Supreme
Court reversed the Wisconsin Court of Appeals.
The majority did so by combing the record to
substantially re-write the trial court’s order in a
more sustainable form. As noted by the dissent, as
the order the majority sustained was not the order
from which defendant appealed, defendant’s
constitutional issues have not been fully addressed.
This Court is now requested to grant a Writ of
Certiorari to address these constitutional issues.

REASONS FOR GRANTING THE PETITION

The Fifth Amendment provides that no
person “shall be compelled in any criminal case to
be a witness against himself.” Case law and legal
tradition establish that the Self-Incrimination
Clause is a substantive constraint on the
government, not merely an_ evidentiary rule
governing the work of the courts. Chavez vy.
Martinez, 538 U.S. 760, 791 (2003).

“The Clause must provide more than
mere assurance that a compelled
statement will not be introduced
against its declarant in a criminal
trial. Otherwise there will be too little
protection against the compulsion the
Clause prohibits. The Clause protects
an individual from being forced to give
answers demanded by an official in
any context when the answers might
sive rise to criminal liability in the

future.
ld

As noted in Miranda v. Arizona, 384 \).S. 436, 460
(1966), the Fifth Amendment privilege is fulfilled
only “when the person is guaranteed the right to
remain silent unless he chooses to speak in the
unfettered exercise of his own will.”

The protection of the Fifth Amendment
encompasses compelled statements that lead to the
discovery of incriminating evidence even though
the statements themselves are not incriminating
and are not introduced into evidence. United States
v. Hubbell 530 U.S. 27, 37 (2000). The Fifth
Amendment privilege protects against any
disclosures that a witness reasonably believes could

be used in a criminal prosecution or could lead to
other evidence that might be so used. Aastigar v.
United States, 406 U.S. 441, 445 (1972). The

8

accused in a criminal case is exempt from giving
answers altogether, for they may _ disclose
incriminating information that the suspect harbors.
Doe _v. United States, 487 U.S. 201, 214, n. 12
(1988).

As noted in Doe, supra, the privilege
embodied in the Fifth Amendment is founded on
our sense of fair play which dictates “a fair state-
individual balance by requiring the government to
leave the individual alone until good cause is
shown for disturbing him and by requiring the
government in its contest with the individual to
shoulder the entire load.” 487 U.S. at 212. These
policies are served when the privilege is asserted to
spare a criminal defendant from having to reveal,
directly or indirectly, his knowledge of facts
relating him to the offense or from having to share
his thoughts and beliefs with the government. Jd.
at 213. The expression of the contents of an
individual's mind fall squarely within’ the
protection of the Fifth Amendment. JF sher v.
United States, 425 U.S. 391, 420 (1976).

The disclosure order in this case requires
McClaren to reveal evidence that will assist the
State in developing its case, and force the
defendant to “be a witness against himself.”
Specifically, the order will a fortior: require
McClaren to disclose not just what he did know
about Goehl’s concededly violent past, but also
what he was not aware of at the time of the
incident. It is ironic that having spent so much

2

time and so many resources over the years keeping
the public safe from Mr. Goehl, the State of
Wisconsin has succeeded in obtaining an order
forcing McClaren to reveal pre-trial the specific
basis for his legitimate fear of Goehl, so that it can
better prepare to downplay those fears at trial.

Under the terms of the trial court’s
disclosure order even as modified by the majority
opinion rendered by the Wisconsin Supreme Court,
McClaren will be forced to reveal his personal
knowledge, thoughts, and frame of mind at the
time of the alleged commission of the serious
crimes with which he is charged in advance of trial.
This would not be information freely given by the
defendant, but compelled by the trial court’s order,
disclosed pre-trial under penalty of the potential
exclusion of otherwise favorable and concededly
relevant evidence if he does not comply. In order to
preserve the possibility of using the McMorris
evidence at trial, McClaren will be forced to
disclose his thoughts even if, after exposure to the
State’s case, he chooses to exercise his right to
remain silent at trial. Therefore, the order forces a
disclosure of information that may otherwise never
come to light, requiring him to assist the State in
his own prosecution.

The majority opinion of the Wisconsin
Supreme Court justifies this compelled pre-trial
disclosure by analogizing the trial court’s inherent
authority to control the mode and order of the
presentation of witnesses to Florida’s Notice of

10

Alibi Statute held to be constitutional by this Court
in Willams v. Florida, 399 U.S. 78 (1970). In that
case, Justices Black and Douglas concurred in part
and dissented in part, specifically noting that the
majority reasoning in that case could be utilized to
allow trial courts to compel the pre-trial disclosure
of any information that a defendant might want to
use at trial. This Court should accept review of this
case to determine whether this extension of
Williams, predicted by Justices Douglas and Black,
is consistent with the Fifth Amendment.

Independently, the Sixth Amendment right
to counsel includes the right to competent
representation. See McMann_v. Richardson, 397
U.S. 759, 771, n. 14 (1970). Tactical decisions, such
as which witnesses or evidence to be offered when
and in support of what legal proposition, are the
province of counsel. Conversely, the decision on
whether to testify or remain silent is a decision
belonging solely to the defendant. See, generally,
State v. Albright, 96 Wis. 2d 122, 291 N.W.2d 487
(1980). The trial court’s order creates an
irreconcilable tension between these distinct rights
and responsibilities. It requires trial counsel to
breach privilege and make pre-trial disclosures of
the defendant’s personal knowledge, unless trial
counsel is prepared to make tactical sacrifices that
may result in the exclusion of evidence negatively
impacting the defendant’s right to the competent
assistance of counsel and the right to present a
defense.

1]

CONCLUSION

This Court should accept review of this case
to determine the degree to which the State of
Wisconsin can compromise these important Fifth
and Sixth Amendment rights by extension of this
Court’s holding in Williams, supra, in the name of
trial court efficiency.

Respectfully submitted,

Jason L. McClaren,
Petitioner

Michael C. Witt

Counsel of Record for Petitioner
Criminal Defense & Civil Litigation
A Limited Liability Company

231 South Main Street

P.O. Box 375

Jefferson, Wisconsin 53549

(920) 674-7824

la

2009 WI 69
NOTICE

This opinion is subject to further editing and
modification. ‘The final version will appear in
the bound volume of the official reports.

No. 2007AP2382-CR
(L.C. No. 2007CF 144)

STATE OF WISCONSIN IN SUPREME COURT

State of Wisconsin,
Plaintiff-Respondent-Petitioner
V. FILED
July 9, 2009
Jason L. McClaren,

Defendant-Appellant. David R. Schanker
Clerk of Supreme Court

REVIEW of a decision of the Court of Appeals.
Reversed and remanded.

4] N. PATRICK CROOKS, J. This case
concerns an interlocutory appeal before the court of
appeals of a circuit court’s pretrial order. The order
permitted the defendant-appellant, Jason L.
McClaren (McClaren), to introduce in connection
with his claim of self-defense what is commonly
referred to as “McMorris! evidence” — evidence of
violent acts the victim had committed which
McClaren knew about at the time of the alleged

' McMorris v. State, 58 Wis. 2d 144, 205 N.W.2d 559 (1973).

2a

crime, and which would bear on the reasonableness
of the claim of self-defense — but only on the
condition that he provide a summary of that
evidence prior to trial so that the court could make a
pretrial determination of its relevance and
admissibility. McClaren objected to that requirement
on the grounds that the court had no authority to
require disclosure of such evidence and that doing so
violated certain constitutional rights. He contended
that the proper time to resolve concerns about
admissibility would be after the testimony was
elicited at trial and drew an objection. He sought
and was granted review of the non-final order at the
court of appeals.

q2 The court of appeals, in a published
decision, held that the circuit court’s order exceeded
its authority because neither Wis. Stat. § 971.23
(2005-06),2, which sets forth limited pre-trial
disclosure obligations for a defendant, nor Wis. Stat.
§ 906.11, which authorizes a court to exercise control
over the presentation of evidence, extended to an
order to provide McMorris evidence in advance of
trial. State v. McClaren, 2008 WI App 118, 313 Wis.
2d 398, 756 N.W.2d 802. Because the court of
appeals resolved the issue in favor of McClaren on
statutory grounds, it did not reach McClaren’s
constitutional arguments.

2 All subsequent references to the Wisconsin Statutes are to the
2005-06 version unless otherwise indicated.

3a

q3 For the reasons stated below, we
reverse the decision of the court of appeals.
Wisconsin statutes provide the circuit court with the
necessary authority for the order we consider here.
Wis. Stat. §906.11 authorizes a judge to exercise
control over the presentation of evidence so that the
truth can be effectively ascertained and so that time
will not be needlessly wasted. To hold otherwise
could frustrate a circuit court’s efforts to try to be
certain that a jury is presented with admissible,
reliable evidence and to make pretrial rulings so that
the trial runs smoothly. The authority of a circuit
court under Wis. Stat. § 906.11 fits within the
broader context of a court’s inherent powers “which
must necessarily be used to enable the judiciary to
accomplish its constitutionally or legislatively
mandated functions.” City of Sun Prairie v. Davis,
226 Wis. 2d 738, 747, 595 N.W.2d 635 (1999) (citing
State ex rel. Friedrich v. Dane County Cir. Ct., 192
Wis. 2d 16, 531 N.W.2d 32 (1995)). Foreseeing
potential obstacles to a smoothly run trial and taking
the necessary steps to avoid them is manifestly
within the inherent power of a circuit court.

14 McClaren says that, in requiring him to
tell prior to trial which instances of the victim’s
violent conduct he was aware of at the time of the
incident, the order violates his Fifth Amendment
rights to remain silent and not incriminate himself.
He says the order also runs afoul of the Due Process
Clause because it imposes no reciprocal obligations
on the State. Finally, he argues that excluding
evidence — the sanction the court stated would result

4a

for his not complying with the order — would violate
his Sixth Amendment right to present a defense.

q5 There is no constitutional bar to the
exercise of the circuit court’s authority in this case.
Ascertainment of the truth is the primary objective
of a trial, and such an order serves that objective in a
constitutionally permissible manner. Efficiency is a
secondary objective of a trial, but where it can be
attained with constitutionally permitted measures, it
is highly desirable. The United States Supreme
Court has, on more than one occasion, upheld
measures that ensure fair play and efficient use of
trial court time. Where, as here, the evidence to be
disclosed is nothing more than what the defendant
chooses and has indicated he will put on at trial,
such an order does not invade _ constitutional
protections under the Fifth Amendment. As the
United States Supreme Court noted in an analogous
case, the Constitution does not guarantee a criminal
defendant the right to surprise the prosecutor.
Williams v. Florida, 399 U.S. 78, 86 (1970) (“We
decline to hold that the privilege against compulsory
self-incrimination guarantees the defendant the
right to surprise the State with an alibi defense.”).
Nor does the order violate McClaren’s constitutional
rights to due process; United States Supreme Court
case law holds that so long as_ disclosure
requirements are equally imposed on both parties,
there is no constitutional violation. Wardius_v.
Oregon, 412 U.S. 470 (1973).

Da

6 A corollary to the question of the
constitutionality of the order is the constitutionality
of any sanctions available for a violation of the order.
McClaren contends that exclusion of evidence is
simply not an option. However, in Taylor v. Illinois,
484 U.S. 400 (1988), the United States Supreme
Court set forth the appropriate analysis for such a
violation and established that sanctions up to and
including exclusion of evidence are permissible if
warranted. It appears from the record that the
circuit court intended to exclude from trial any
evidence that McClaren attempted to offer at trial in
violation of the order; we clarify here that while such
a sanction may be permitted, lesser sanctions must
be considered first, and that the extreme sanction of
exclusion is permissible only after the circuit court
has determined that the violation was “willful and
motivated by a desire to obtain a tactical advantage
that would minimize the effectiveness of cross-
examination and the ability to adduce rebuttal
evidence,” the test set forth in Taylor. Id. at 415.

47 We therefore reverse the decision of the
court of appeals and remand to the circuit court for
further proceedings.

I. BACKGROUND

q8 McClaren spent a= spring evening
drinking with his wife’s ex-boyfriend, Conrad Goehl
(Goehl), and the night ended with an altercation —
arising, ironically, from a discussion of anger
management counseling — in which McClaren hit

6a

Goehl with a pickaxe. When the police arrived at the
scene, Goehl said he had been attacked without
provocation; McClaren claimed _ self-defense.
McClaren was charged with several crimes,
including attempted first-degree intentional
homicide. Prior to trial, which was scheduled to
begin October 29, 2007, McClaren filed a motion in
limine seeking a ruling on the admissibility of
information about Goehl’s extensive criminal record
and time in prison, and evidence of his “dangerous
character and prior acts of violence.” A hearing was
held on McClaren’s motion on October 2, 2007, four
weeks before the day of trial.

q9 Following the hearing, the Jefferson
County Circuit Court, the Honorable Randy R.
Koschnick presiding, ruled that McClaren would be
ailowed to introduce evidence about Goehl’s violent
past but gave McClaren a pretrial deadline to
disclose to the State and to the court the nature of
the evidence he intended to introduce. The court
required “a summary of all specific instances of the
victim’s violent conduct of which the defendant was
aware and that the defendant intends to introduce at
trial, including witnesses to such conduct and the
date and place such conduct occurred.” ‘The record
showed that Goehl had 11 prior convictions,’ and the
circuit court expressed concern about the length of a
mid-trial hearing, outside the jury’s presence, on the
admissibility of evidence of this nature.

3 Of course, we note that the potential evidence of prior violent
conduct could include conduct other than that which led to the

convictions

910 In its oral ruling, the circuit court
imposed a reciprocal requirement that the State in
turn provide a summary of any evidence it intended
to use to rebut McClaren’s McMorris evidence
regarding Goehl.

{11 Since the order was not appealable as
of right, McClaren filed a petition for leave to appeal
the order, pursuant to Wis. Stat. § 809.50, and the
court of appeals granted the petition.

412 The court of appeals reversed. The
court of appeals viewed the order, “in essence, as a
discovery device,” and thus centered its analysis on
Wis. Stat. § 971.23, which addresses what evidence a
prosecutor must disclose and what evidence a
defendant must disclose. McClaren, 313 Wis. 2d
398, 425. Because that statute has nothing to say
about McMorris evidence, the court held that the
order exceeded the circuit court’s authority; 1t found
Wis. Stat. § 906.11 inapplicable and, because it found
no statute or case that required such disclosure, held
that the order was not permitted. Id. It cited this
court’s holding in State v. Miller, 35 Wis. 2d 454, 151
N.W.2d 157 (1967), that discovery in criminal cases
was not a matter to be determined by case law but
depended on statute or the rule-making process. Id.,
14.

{#13 The State filed a petition with this
court seeking review of the court of appeals’ decision,

and we granted review.

Sa

Il. STANDARD OF REVIEW

714 This case involves questions of judicial
authority, statutory interpretation, and
constitutional issues, all of which are reviewed de
novo. Custodian of Records for the LTSB v. State,
2004 WI 65, 96, 272 Wis. 2d 208, 680 N.W.2d 792;
State v. Floyd, 2000 WI 14, 411, 232 Wis. 2d 767, 606
N.W.2d 155; In the interest of E.C., 130 Wis. 2d 376,
381 N.W.2d 72 (1986).

III. DISCUSSION

915 We begin by focusing on two things: the
circumstances under which the order was made, and
what evidence the order concerned.

416 ‘This case was proceeding toward trial
The order McClaren challenges here arose at a
hearing on a motion in limine brought by McClaren.
He was seeking, among other things, for the circuit
court to rule that testimony concerning Gochl’s
violent history would be admissible on the grounds
that it was relevant to McClaren’s state of mind.4

1 McClaren’s motion 1n limjne requested:

3 That the court make a ruling out of the presence of the
jury regarding the admissibility of Conrad Goehl’s
criminal convictions, as well as specific finding as to the
number of Mr. Goeh]’s criminal convictions

4. That the Court make a ruling out of the presence of the
jury regarding the admissibility of the type and factual
basis for Mr. Goehl’s convictions, as well as Mr. Guehl’s

'
'
'
'
i
!
'

Ga

The discussion turned to what specific evidence
McClaren wanted to admit. The court engaged
counsel in extended discussion of the dilemma
presented: how the court could control the evidence
to ensure that the jury heard only that which was
relevant, not cumulative and not unfairly prejudicial.
Among Goehl’s prior convictions, for example, was a
conviction for sexual assault of a child, and the
potential for that evidence to be submitted at trial
raised multiple questions — its relevance to
McClaren’s state of mind (whether McClaren even
knew about it), its relevance as to Gochl’s violent
character, and its highly prejudicial nature. Besides
questions of admissibility there was also the
question of how the State would be able to
investigate and rebut evidence that was revealed for
the first time at trial. The circuit court concluded
that the impracticality of deciding these issues at
trial precluded that option. The part of the written
order relevant to this review was as follows:

The defendant shall make written
disclosure to the Court and _ the
prosecution by the close of business on
October 16, 2007, a summary of all
specific instances of the victim’s violent
conduct of which the defendant was
aware and that the defendant intends

dangerous character and prior acts of viol nce, as they

directly relate to the reasonableness of the perceived
threat Mr. Goehl posed to the defendant and the
defendant's belef that force was necessary to terininate
the interference with his person by Mr. Goehl

LOa

to introduce at trial, including
witnesses to such conduct and the date
and place such conduct occurred. Such
disclosure does not include acts of the
victim referenced in the defendant's
interrogation on March 31, 2007

917 In the oral ruling made at the hearing.
the circuit court further stated:

The ruling is, 1f any party intends to
introduce evidence concerning an act by
Mr. Goehl which is not covered in the
interview, police interview with the
defendant, the offering party needs to
provide written notice to the Court and
the opposing party by close of business
on October 12'' as to the particular
acts; and that includes the location, the
time, the witnesses and the behavior
the witnesses that the party intends to
call at trial concerning that particular
act. That applies to both parties. I can't
conceive of a situation right now where
the State would have evidence that
falls into this category, but they
mightl,] and the same ruling applies to
both parties

{18 The court referred repeatedly to th

fact that the ruling was based on its concern for

lla

using jurors’ time effectively and avoiding unfair
prejudice to either party.®

419 As noted above, McClaren appealed the
order on several grounds: first, that the circuit court
was without authority for such an order; second, that
it violated his Fifth Amendment right against self-
incrimination and right to remain silent because it
compelled him to provide to the circuit court and the
State an account of what he knew at the time of the
incident about Goehl’s prior violent acts; third, that
in conditioning the admissibility of testimony of
defense witnesses on prior disclosure, the order
violated his due process rights because it imposed no
reciprocal obligation on the State; and fourth, for the
same reason, the order violated his’ Sixth
Amendment right to present a defense.®

For example, the court stated, “|'m not concerned about
sanctions on [McClaren] so much as | am concerned about not,
you know, misleading the jury, allowing evidence to come in
that’s not properly admissible; it’s likely to be unfairly
prejudicial.” Later in the hearing, the court said, “I don’t want
to take time with the jury sitting here to be processing this
information during the trial, and it could be a pretty lengthy
hearing that’s required depending on what it is we're talking
about.... I don’t want to end up in a situation where the jury
is Waiting 1n the jury room for two hours while | hear from three
or four witnesses describing something allegedly done by Mr
Goehl
®* The Sixth Amendment provides as follows: “In all criminal
prosecutions, the accused shall enjoy the right to have
compulsory process for obtaining witnesses in his favor, and to

have the Assistance of Counsel for his defense.” U.S. Const
amend. VI

12a

q20 We examine each of his arguments in
turn but first briefly summarize the law on evidence
supporting a claim of self-defense.

§21 It is well established that a defendant
seeking to support a self-defense claim may attempt
to “provle] prior specific instances of violence within
[the defendant's] knowledge at the time of the
incident.” State v. Wenger, 225 Wis. 2d 495, 507,
593 N.W.2d 467 (Ct. App. 1999) (quoting McMorris v.
State, 58 Wis. 2d 144, 152, 205 N.W.2d 559 (1973));
see also Wis. Stat. §§ 904.04 and 904.05(2). It is also
well established that admissibility of evidence
proffered to show the reasonableness of the self-
defense claim is within the circuit court’s discretion.
State v. Head, 2002 WI 99, 255 Wis. 2d 194, 648
N.W.2d 413. As with any “other acts evidence,” the
evidence is subject to the application of the balancing
test involving the weighing of probative value
against the danger of unfair prejudice, and
considerations of undue delay, waste of time, or
needless presentation of cumulative evidence. See
Wis. Stat. § 904.03. Assuming its probative value
outweighs such considerations, we have in previous
cases established the defendant's right to put on
such evidence once a factual basis has been set forth
for a self-defense claim, and also established the
circuit court’s responsibility to vet the evidence prior
to admission to be sure it 1s valid McMorris evidence.
See, e.g.. McAllister v. State, 74 Wis. 2d 246, 246
N.W. 2d 511 (1976). The question before us in this
case 1s primarily a question of timing: whether a
circuit court has the authority to order a defendant

13a

to disclose any planned McMorris evidence prior to
trial, so that the factors involved in determining the
evidence’s admissibility can be weighed not only
prior to admission, but also prior to trial.

A. Authority for the order

q22 McClaren argues that this court in
Miller limited a court’s authority to order disclosure
of evidence in a criminal case to what is permitted by
statute. In Miller this court noted, “If we are to
adopt a pretrial discovery procedure in criminal
cases in this state we deem it would be best done by
a rule of court or by legislative action rather than on
a case to case basis by the court.” Miller, 35 Wis. at
478. Finding no authority for the disclosure of
McMorris evidence in Wis. Stat. § 971.23, which lists
what parties in a criminal case are required to
disclose, he argues that the inquiry is ended.

423 The State gleans statutory authority
for a circuit court to order disclosure of pretrial
McMorris evidence from reading together Wis. Stat.
§§ 906.11 and 901.04(3)(d). Those statutes authorize
a court to exercise reasonable control over the
presentation of evidence and provide for hearings to
be held outside the presence of the jury for “[alny
preliminary matter if the interests of justice so
requires.” § 901.04(3)(d).

924 We do not view this case as presenting
the kind of discovery question Muller was

l4a

addressing.’ One significant difference is that the
evidence covered by the order is nothing more than
evidence that the party chooses to submit. The order
is, In essence, compelling advance notice of whatever
McMorris evidence McClaren decides to offer solely
for the legitimate purpose of establishing its
admissibility in advance of trial.

925 Here, the evidence in question presents
the potential for multiple delays in the trial, if it is
not resolved in advance of trial. The rule McClaren
advocates, which would render disclosure of any
McMorris evidence impermissible until such time as
the defendant chose to disclose it, could force not just
one, but many mid-trial delays. Under his approach,
the court may not force him to disclose, even after
the trial is underway, all of the specific acts at once;
his argument is that any forced disclosure before the
point at which he seeks to admit the evidence runs
afoul of the Constitution. Multiple continuances
while the State investigates each incident and
multiple hearings outside of the presence of the jury
are a distinct possibility on the facts of this case: 11
prior convictions of the victim, Goehl, are known; the
number of incidents of prior violent conduct that did

7 We do note, however, that State v. Miller, 35 Wis. 2d 454, 151
N.W.2d 157 (1967), which was decided in 1967, predated both
Wis. Stat. § 906.11, which gives a court broad powers to control
the presentation of evidence, and Wis. Stat. § 971.23, which
imposes disclosure requirements on both the State and criminal
defendants. ‘Those statutes were adopted in 1973.

8 At the motion hearing, McClaren’s counsel said any evidence
he would attempt to admit is “subject to objection” and would be
dealt with at that moment in the trial.

l5a

not result in conviction is unknown. Such an
approach puts the control of the trial in the hands of
the defendant rather than the court and introduces
unnecessary uncertainty into an_ otherwise
predictable trial process. With no basis for an
estimate of how long the trial will run, a judge would
be unable to balance other calendar demands and
unable to tell potential jurors during jury selection
how long the trial is expected to least.

26 Given the limited nature of the
evidence covered in this order — that is, the
requirement that McClaren give notice of the specific
McMorris evidence he wants to introduce and which
he was aware of on the night of the incident — this
order fits comfortably into Wis. Stat. § 906.11’s
description of the court’s sphere of control. The court
is, in fact, required to “exercise reasonable control”
over the “presentlation of] evidence” so that it can be
done effectively and with minimal wasted time. See
State v. Wallerman, 203 Wis. 2d 158, 168, 552
N.W.2d 128 (Ct. App. 1996). Both concerns were
specifically mentioned by the circuit court with
regard to this order. This is precisely the type of
admissibility of evidence questions that circuit courts
should be attempting to resolve in advance of trial.9

427 The United States Supreme Court has
upheld a law requiring pre-trial notice of an alibi

9 For example, evidence the prosecution wishes to introduce
against the defendant under Wis. Stat. § 904.04(1)(b) and (2) is
handled in a similar fashion. See State v. Sullivan, 216 Wis. 2d
768, 576 N.W.2d 30 (1998).

l6a

defense along with the specific location where the
defendant claims to have been and names and
addresses of alibi witnesses.!9 Like such a law, this
order merely moves the notification of the intent to
introduce evidence from the heat of the trial to the
relative calm of a pre-trial motion hearing. It enables
more effective presentation of evidence, avoids
needless waste of time while a jury is waiting, and
gives a circuit judge the time to consider all the
arguments and research the case law prior to
making a ruling.!!

10 Williams v. Florida, 399 U.S. 78 (1970).

11 In State v. Wright, the court of appeals noted the common

use of pretrial rulings in Wisconsin and other jurisdictions and

noted that they are favored in a variety of circumstances:
While the following list is not exhaustive, we
view a motion in limine as proper where (1) the
trial court has directed that the evidentiary
issue be resolved before trial; (2) the evidentiary
material is highly prejudicial or inflammatory
and would risk a mistrial rf not previously
addressed by the trial court; (3) the evidentiary
issue is significant and unresolved under
existing law; (4) the evidentiary issue involves a
significant number of witnesses or a substantial
volume of material making it more economical
to have the issue resolved in advance of trial so
as to save the time and resources of all
concerned: or (5) a party does not wish to object
to the evidence in the presence of the jury and
thereby preserves the issue for appellate review
by obtaining an unfavorable ruling via a
pretrial motion in liminel.]

State v. Wright, 2003 WI App 252, 440, 268 Wis. 2d 694, 673

N.W.2d 386 (citations omitted).

17a

q28 Under the circumstances presented
here, where McClaren seeks to introduce McMorris
evidence in support of a self-defense claim, the
circuit court has the authority under Wis. Stat. §
906.11, in conjunction with Wis. Stat. § 901.04(3)(d),
to order the defendant to disclose prior to trial any
specific acts that he knew about at the time of the
incident and that he intends to offer as evidence so
that admissibility determinations can be made prior
to trial.

429 The United States Supreme Court’s
discussion of lmitations on the defendant in
presenting his or her evidence when the defendant
pleases closely tracks the logic of Wis. Stat. § 906.11.
The linchpins of a fair trial are the “orderly
presentation of facts” and “a fair opportunity” for
each party to prepare evidence and_ rebuttal
evidence. Taylor, 484 U.S. at 411.

730 In Taylor, a case concerning a violation
of a rule requiring advance notice of witnesses, the
United States Supreme Court said:

The principle that undergirds the
defendant’s right to present
exculpatory evidence is also the source
of essential limitations on the right.
The adversary process could _ not
function effectively without adherence
to rules of procedure that govern the
orderly presentation of facts and

arguments to provide each party with a

18a

fair opportunity to assemble _and
submit evidence to contradict or
explain the opponent's case. The trial
process would be a shambles if either
party had an absolute right to control
the time and content of his witnesses’
testimony.

Id. at 410-411. (emphasis added).

431 The Supreme Court noted as well: “In
the exercise of [the right to present witnesses], the
accused, as is required of the State, must comply
with established rules of procedure and evidence
designed to assure both fairness and rehability in
the ascertainment of guilt and innocence.” ‘Taylor,
484 U.S. at 411 n. 15 (quoting Chambers _v.
Mississippi, 410 U.S. 284, 302 (1973)).

432. The order in this case did nothing more
than what was found permissible in the Taylor case:
it was a procedure related to a rule of evidence
designed to assure fairness.

B. Constitutionality of the order.

433 McClaren further argues that the order
violates his’ rights against compelled _ self-
incrimination under the Fifth Amendment of the
United States Constitution. In essence, he argues,
he 1s being compelled to provide the State, prior to
trial, with what he knew about Gochl’s violent
character and when he knew it, even though he

19a

could ultimately choose at the close of the State’s
case not to testify.

934 The State argues that no
constitutionally protected right is violated because
the order concerns only what McClaren chooses to
disclose'2, and merely accelerates the disclosure of
information that would be presented at trial.

{35 In ruling that a defendant could be
required to give notice of an alibi defense prior to
trial, a defense analogous to self-defense, the United
States Supreme Court said:

Petitioner concedes that absent the
notice-of-alibi rule the Constitution
would raise no bar to the court’s
granting the State a continuance at
trial on the ground of surprise as soon
as the alibi witness is called. Nor
would there be © self-incrimination
problems if, during that continuance,
the State was permitted to do precisely
what it did here prior to trial: take the

12 Any concerns that a defendant has concerning the disclosure
potentially being used by the prosecutor in the case-in-chief
could be addressed by an in camera review by the circuit court.
Such a mechanism has been endorsed by the United States
Supreme Court as a fair way of resolving disclosure disputes.
See Pennsylvania v. Ritchie, 480 U.S. 39, 60 (1987) (finding that

both the defendant’s and the State’s interest “in ensuring a fair
trial can be protected fully by requiring that the [the evidence
being sought] be submitted only to the trial court for in camera
review’ prior to a ruling on disclosure).

20a

deposition of the witness and find
rebuttal evidence. But if so utilizing a
continuance 1s permissible under the
Fifth and Fourteenth Amendments,
then surely the same result may_be
accomplished through pretrial
discovery, as it was here, avoiding the
necessity of a disrupted trial. We
decline to hold that the privilege
against compulsory self-incrimination
guarantees the defendant the right to
surprise the State with an ahbi
defense.

Williams, 399 U.S. at 85 (emphasis added). The

same rationale supports our conclusion here.

736 McClaren also argues that the order is
constitutionally deficient because its lack of
reciprocity violates the requirement of the
Fourteenth Amendment's Due Process Clause. The
United States Supreme Court struck down a
criminal statute in Wardius that required a
defendant to disclose an alibi defense without
requiring reciprocal disclosure by the state of its
rebuttal evidence. Wardius, 412 U.S. 470. McClaren
argues that the order presented here is equally
deficient; the only way it could be made reciprocal is
for the prosecutor to be ordered to disclose “all
corroborating evidence of the alleged victim’s
concededly violent past implicated by the defendant’s
forced pre-trial disclosures, including the names of

2la

any additional witnesses to prior violent acts
engaged in by the alleged victim.”

937 A careful comparison of Wardius and
the oral ruling of the circuit court in this case shows
that the flaw present in Wardius was not present
here. The statute at issue in Wardius contained no
guarantee of disclosure of rebuttal evidence to the
defendant. The Court stated that “[allthough the
Due Process Clause has little to say regarding the
amount of discovery which the parties must be
afforded, it does speak to the balance of forces
between the accused and accuser.” Wardius, 412
U.S. at 474 (citation omitted). The Court went on to
say:

The State may not insist that trials be
run as a “search for truth” so far as
defense witnesses are concerned, while
maintaining “poker game” secrecy for
its own witnesses. It is fundamentally
unfair to require a defendant to divulge
the details of his own case while at the
same time subjecting him to the hazard
of surprise concerning refutation of the
very pieces of evidence which he
disclosed to the State.

Id. at 475-76.

9438 Here the circuit court’s oral ruling
made more clear than the written order that

22a

reciprocity was absolutely required. ‘The circuit
court said:

So what I have in mind is that the
deadline for filing the written materials
would be the 12" .... That would
apply to the State and to the detense.
If the State has evidence that would fall
into the category of acts not covered in
the police interview which are relevant
to self-defense or the lack thereof, those
acts would be covered as well for the
same reasons.

(Emphasis added.)

q39 It might have been more clear had the
court explicitly called the evidence showing a lack of
self-defense rebuttal evidence, but in any case, the
court was explicit that its order applied to both
parties.

C. Constitutionality of the potential sanction.

440 A conclusion that the circuit court has
authority to issue such an order necessarily brings
us to the question of the authority to enforce such an
order.

4] McClaren says that excluding evidence
as a sanction for violating the court’s order is
impermissible because it would violate his
constitutional right to present witnesses, and thus to

present a defense, under the Sixth Amendment’s

compulsory process clause. !%

142 The State contends that such a
sanction may be permitted depending on the facts
and that Taylor controls the sanction for any
violations. Taylor upheld an [llinois court’s refusal
to allow testimony from a defense witness whose
name was not disclosed prior to trial. The Court
rejected the defendant’s assertion that excluding
evidence was never a permissible sanction and
established a framework for analyzing violations
Taylor, 484 U.S. at 412-13.

{43 We agree with the State. The United
States Supreme Court has established a test for
excluding evidence and has said that under certain
circumstances, exclusion of evidence does not violate
a defendant's constitutional rights. There are
sanctions short of excluding evidence, of course. The
Court cited a case, for example, that “[gave]
consideration to the effectiveness of less severe
sanctions, the impact of preclusion on the evidence at
trial and the outcome of the case, the extent of
prosecutorial surprise or prejudice, and whether the
violation was willful.” Taylor, 484 U.S. at 415 n.19
(citing Fendler v. Goldsmith, 728 F.2d 1181 (9% Cir.

iS The Sixth Amendment provides, in relevant part, “In all
criminal prosecutions, the accused shall enjoy the nght to
have compulsory process for obtaining witnesses in his favor
U.S. Const. amend. VI In Washington v. Texas, 388 U.S. 14
(1967), the United States Supreme Court held that this mght

applies in state prosecutions

24a

1983)) However, as ‘l'aylor makes clear, even the
sanction of excluding evidence against a defendant is
constitutionally permissible in certain cases, such as
where there have been willful violations “motivated
by a desire to obtain a tactical advantage.” ‘Taylor,
184 U.S. at 415.

144 As we noted above, Taylor states well
the balancing of interests that goes into a court's
oversight of a trial:

[t is elementary, of course, that a trial
court may not ignore the fundamental
character of the defendant’s right to
offer the testimony of witnesses in his
favor. But the mere invocation of that
right cannot automatically and
invariably outweigh countervailing
public interests. The integrity of the
adversary process, which depends both
on the presentation of reliable evidence
and the rejection of unreliable evidence,
the interest in the fair and efficient
administration of justice, and the
potential prejudice to the truth-

determining function of the tnial
process must also weigh in the balance.

Id. at 414-415 (emphasis added)

945 Whether a violation merits the extreme
sanction of exclusion must be determined by a circuit

court after a violation has occurred. and under the

VAST: |

parameters set forth by the United States Supreme
Court in Taylor.

{46 Here the circuit court noted in its oral
ruling that, “As always, if new evidence is discovered
at the last minute that may be the basis for an
exception to the notice requirement.” The circuit
court should have been more clear that the Taylor
analysis would be applied and that exclusion was
one of the sanctions available to the circuit court for
a violation of its order; it was premature for the
circuit court, in its oral ruling, to predict that the
sanction for failure to abide by the order would
necessarily be the exclusion of evidence.

IV. CONCLUSION

47 For the reasons stated, we reverse the
decision of the court of appeals. Wisconsin statutes
provide the circuit court with the necessary
authority for the order we consider here. Wis. Stat. §
906.11 authorizes a judge to exercise control over the
presentation of evidence so that the truth can be
effectively ascertained and so that time will not be
needlessly wasted. To hold otherwise could frustrate
a circuit court's efforts to try to be certain that a jury
is presented with admissible, reliable evidence and
to make pretrial rulings so that the trial runs
smoothly. The authority of a circuit court under Wis.
Stat. § 906.11 fits within the broader context of a
court’s inherent powers “which must necessarily be
uscd to enable the judiciary to accomplish its

constitutionally or legislatively mandated functions.”

26a

Davis, 226 Wis. 2d at 747. Foreseeing potential
obstacles to a smoothly run trial and taking the
necessary steps to avoid them is manifestly within
the inherent power of a circuit court.

¢48 McClaren says that, in requiring him to
tell prior to trial which instances of Goehl’s violent
conduct he was aware of at the time of the incident,
the order violates his Fifth Amendment rights to
remain silent and not incriminate himself. He says
the order also runs afoul of the Due Process Clause
because it imposes no reciprocal obligations on the
State. Finally, he argues that excluding evidence —
the sanction the court stated would result for his not
complying with the order — would violate his Sixth
Amendment right to present a defense.

149 There is no constitutionai bar to the
exercise of the circuit court’s authority in this case.
Ascertainment of the truth is the primary objective
of a trial, and such an order serves that objective in a
constitutionally permissible manner. Efficiency is a
secondary objective of a trial, but where it can be
attained with constitutionally permitted measures, it
is highly desirable. The United States Supreme
Court has, on more than one occasion, upheld
measures that ensure fair play and efficient use of
trial court time. Where, as here, the evidence to be
disclosed is nothing more than what the defendant
chooses and has indicated he will put on at trial,
such an order does not invade constitutional
protections under the Fifth Amendment. As the
United States Supreme Court noted in an analogous

21a

case, the Constitution does not guarantee a criminal
defendant the right to surprise the prosecutor. Nor
does the order violate McClaren’s constitutional
rights to due process; United States Supreme Court
case law holds that so long as_ disclosure
requirements are equally imposed on both parties,
there is no constitutional violation.

450 A corollary to the question of the
constitutionality of the order is the constitutionality
of any sanctions available for a violation of the order.
McClaren contends that exclusion of evidence is
simply not an option. However, in Taylor, the United
States Supreme Court sets forth the appropriate
analysis for such a violation and establishes that
sanctions up to and including exclusion of evidence
are permissible if warranted. It appears from the
record that the circuit court intended to exclude from
trial any evidence that McClaren attempted to offer
at trial in violation of the order; we clarify here that
while such a sanction may be permitted, lesser
sanctions must be considered first, and that the
extreme sanction of exclusion is permissible only
after the circuit court has determined that the
violation was “wilful and motivated by a desire to
obtain a tactical advantage that would minimize the
effectiveness of cross-examination and the ability to
adduce rebuttal evidence,” the test set forth in
Taylor.

451 We therefore reverse the decision of the
court of appeals and remand to the circwt court for
further proceedings.

By the Court— The decision of the court of

appeals is reversed, and the cause is remanded to
the circuit court.

{52 SHIRLEY J. ABRAHAMSON, C.J., did

not participate.

29a

{53 ANN WALSH BRADLEY, J.
(dissenting). There is a name for mandatory pretrial
disclosure of information that might be offered as
evidence in a criminal proceeding: discovery.
Although the majority attempts to label what is at
issue in this case as merely the pretrial disclosure of
information, I agree with a unanimous court of
appeals that the order here “in essence, [is] a
discovery device.” State v. McClaren, 2008 WI App
118, (25, 313 Wis. 2d 398, 756 N.W.2d 802.

454 Our precedent is clear that discovery is
governed by the criminal discovery statute, Wis.
Stat. § 971.23. Lynch v. County Court, 82 Wis. 2d
454, 466, 262 N.W.2d 773 (1578) (citing State _v.
Miller, 35 Wis. 2d 454, 478, 151 N.W.2d 157 (1967)).
If a certain type of evidence is not enumerated in the
statute, then mandatory disclosure is not authorized.

{55 The majority departs from this
precedent. Realizing that the discovery statute does
not require pretrial disclosure of McMorris! evidence,
the majority ultimately turns to the inherent powers
of the court. See majority op., 43.

56 By relying on inherent authority, the
majority opens wide the gates of pretrial discovery in
criminal cases. Its rationale and holding stretch far
beyond the disclosure of McMorris_ evidence.
Instead, the majority rests on an_ unlimited
pronouncement that covers the pretrial disclosure of

1 McMorris v. State, 58 Wis. 2d 144, 205 N.W.2d 559 (1973)

30a

any information that might aid in ensuring a
smoothly run trial: “Foreseeing potential obstacles to
a smoothly run trial and taking the necessary steps
to avoid them is manifestly within the inherent
power of a circuit court.” Majority op., 43.

157 I agree instead with the court of
appeals that “the court’s general authority under
Wis. Stat. §901.11 to exercise control over the mode
and order of presenting evidence cannot. be read to
permit it to require pretrial discovery that it would
otherwise not be permitted to require under [the
criminal discovery statute].” McClaren, 313 Wis. 2d
398, 41. Although I share the majority’s concern for
the efficient and fair administration of a trial, I
believe that any revision in the law should be
brought about by legislative change and not by a
resort to inherent authority of the court.”
Accordingly, I respectfully dissent.

|

158 In this case, the circuit court ordered
the defendant to provide “a summary of all specific
instances of the victim’s violent conduct of which the
defendant was aware and that the defendant intends
to introduce at trial, including witnesses to such
conduct and the date and place such conduct

2 Because I conclude that the circuit court did not have the
authonty to enter the order, I need not address McClaren’s
constitutional arguments

31a

occurred.”3 The court of appeals determined that the
order for disclosure was governed by the discovery
statute. Finding no authority in the statute for the
order, it reversed the circuit court.

"59 The majority, however, asserts that
this is not a discovery case. Majority op., §24.
Although it attempts to tie its analysis to evidentiary
statutes, its conclusion is based on _ inherent

3 See majority op., 16. Throughout the opinion, the majority
focuses on the court’s oral ruling rather than focusing on the
unilateral nature of the written order. See majority op., [§ 10,
17, 37, 38. This focus is misguided. Appeal is taken from a
written order or judgment. State ex rel. Hildebrand v. Kegu, 59
Wis. 2d 215, 216, 207 N.W.2d 658 (1973); Estate of Jackson v.
Gray, 212 Wis. 2d 436, 442, 569 N.W.2d 467 (Ct. App. 1997).

As a result, the majority does not squarely address
McClaren’s constitutional arguments. The majority correctly
sets forth the due _ process principle that disclosure
requirements must be reciprocal: “It is fundamentally unfair to
require a defendant to divulge the details of his own case while
at the same time subjecting him to the hazard of surprise
concerning refutation of the very pieces of evidence which he
disclosed to the State.” Majority op., 937 (quoting Wardius v.
Oregon, 412 U.S. 470, 476 (1973).

Nevertheless, the circuit court’s written ruling required
only the defendant to disclose information. See majority op., 416
(“The defendant shall make written disclosure to the Court and
the prosecution ....”) The court’s written order imposed no
reciprocal disclosure requirement upon the State. See Id. In
fact, it posed no requirement on the State at all.

Given that the circuit court’s order lacked reciprocity, it
is unclear to me how the majority can affirm this
constitutionally deficient written order.

32a

authority: “Foreseeing potential obstacles to a
smoothly run trial, and taking the necessary steps to
avoid them, is manifestly within the inherent power
of a circuit court.” Id., 43.

{60 Our cases have established that
compelled pretrial disclosure of evidence by any
other name is still governed by the discovery rules.
State v. Schaefer, 2008 WI 25, 308 Wis. 3d 279, 746
N.W.2d 457. In Schaefer, the defendant filed a
subpoena to obtain police reports before’ the
preliminary examination. Id., 41.

{61 We stated, “This is a discovery case,
notwithstanding the defendant’s protestations to the
contrary.” Id., §18. We determined that the
subpoena should be quashed because “the scope of
discoverable materials 1s set out in statute and
compliance with the statute will be enforced by the
court.” Id., {77 n.17. The lesson from Schaefer is
clear. If something looks like discovery, it is
governed by the discovery statute.

{62 The policy reasons advanced by the
majority for allowing the court to compel the
production of McMorris evidence are based on the
rationale underlying discovery. The majority
explains, “Besides questions of admissibility’ there

4 The majority acknowledges that a court can satisfy its
responsibility to vet McMorris evidence prior to its admission,
even if the evidence is not produced prior to trial. See majority
op., §21: “The question before us in this case is primarily a
question of timing: whether a circuit court has the authority to
order a defendant to disclose any planned McMorris evidence

33a

was also the question of how the State would be able
to investigate and rebut evidence that was revealed
for the first time at trial.” Majority op., 916.

63 This 1s a general discovery rationale.
The purpose of discovery is to promote “the
ascertainment of the truth and ultimate disposition
of the lawsuit in accordance therewith[.]” Monier v.
Chamberlain, 221 N.W.2d 410, 417 (Ill. 1966).
Through discovery, mutual knowledge of all the
relevant facts will be achieved. See Hickman v.
Taylor, 329 U.S. 495, 507 (1947).

464 In addition to relying upon a discovery
rationale, the majority cites to criminal discovery
cases. It relies primarily upon three United States
Supreme Court opinions: Williams v. Florida, 399
U.S. 78 (1970); Wardius v. Oregon, 412 U.S. 470
(1973); and Taylor v. Illinois, 484 U.S. 400 (1988). In
all three cases, the issue before the Court was the
constitutionality of a discovery rule.

965 The majority asserts that Williams is
“analogous” to this case. Majority op., 95. In
Williams, the Florida Rules of Criminal Procedure
required a criminal defendant to provide notice of an
alibi defense or risk discovery sanctions.® The Court

prior to trial so that the factors involved in determining the
evidence’s admissibility can be weighed not only prior to
admission, but also prior to trial.”

5 See Fla. Rule Crim., Proc. 1.200, reprinted in Williams v.
Florida, 399 U.S. 78, 104 (1970) (appendix to opinion of the
Court) (“[A] defendant in a criminal case who intends to offer
evidence of an alibi in his defense shall, not less than ten days

34a

said, “Florida’s notice-of-alibi rule is in essence a
requirement that a defendant submit to a limited
form of pretrial discovery by the State whenever he
intends to rely at trial on the defense of alibi.” 399
U.S. at 80.

{66 The second case relied upon by the
majority, Wardius, addressed a similar state rule.®
At the outset of the opinion, the Court framed the
issue as follows: “This case involves important
questions concerning the right of a defendant forced
to comply with a ‘notice-of-alibr rule to reciprocal
discovery.” 412 U.S. at 471. The Court commented:
“nothing in the Due Process Clause precludes States
from experimenting with systems of broad discovery
designed to achieve the [ ] goals” of reducing surprise

before trial or such other time as the court may direct, file and
serve upon such prosecuting attorney a notice in writing of his
intention to claim such alibi, which notice shall contain specific
information as to the place at which the defendant claims to
have been at the time of the alleged offense and, as particularly
as is known to defendant or his attorney, the names and
addresses of the witnesses by whom he proposes to establish
such alibi.”)

Wisconsin has a similar rule, which is enumerated in
the criminal discovery statute, Wis. Stat. § 971.23(8).
6 See Or. Rev. Stat. § 135.875 (1973) (“If the defendant in a
criminal action proposes to rely in any way on alibi evidence, he
shall, .. . file and serve upon the district attorney a written
notice of his purpose to offer such evidence, which notice shall
state specifically the place or places where the defendant claims
to have been at the time or times of the alleged offense together
with the name and residence or business address of each
witness upon whom the defendant intends to rely for alibi

evidence.”)

and enhancing the fairness of a criminal trial. Id, at
474.

"67 The third case, Taylor, is also a
discovery case. There, the trial court excluded a
witness's testimony hecause the defendant “fail[ed]
to identify [the] defense witness in response to a
pretrial discovery request.”? 484 U.S. at 401. The
question before the Court was whether “the Sixth
Amendment bars a court from ever ordering the
preclusion of defense evidence as a sanction for
violating a discovery rule.” Id. at 406. The Court
concluded that the Constitution did not create an
absolute bar to discovery sanctions.

968 The majonty relies on the analysis of
these cases, yet it denies that the issue presented
here is a discovery issue, governed by the discovery
statute: “We do not view this case as presenting the
kind of discovery question [other cases were]
addressing.” Majority op., (24.

469 To the contrary, I conclude that the
issue presented to this court is squarely a discovery
issue, and it is governed by the discovery statute.

II

/ The Illinois Supreme Court Rules require a defendant to
disclose a list of witnesses that he intends to call at trial. This
rule is one of several cnumerated under the heading
“Discovery.” [thnois Supreme Court Rules, Article TV: Rules on
Criminal Proceedings in the Trial Court, Part B. Discovery,
Rule 413: Disclosure to Prosecution

36a

470 We have long held that there is no
general right to discovery in criminal cases and that
the court should not order discovery on a case-by-
case basis:

Wisconsin does not recognize a right lof
a] defendant to a pretrial discovery of
the prosecution’s evidence. If we are to
adopt a pretrial discovery procedure in
criminal cases in this state we deem it
would be best done by a rule of court or
by legislative action rather than on a
case to case basis by the court.

Miller, 35 Wis. 2d at 478.

471 Subsequent to Miller, the legislature
adopted a comprehensive system of rules governing
criminal discovery. See Wis. Stat. § 971.23. After its
enactment, Wisconsin courts affirmed the principle
that pretrial discovery is prescribed by the statute.
See, e.g., Lynch, 82 Wis. 2d at 466 (vacating a court’s
order permitting a defendant to examine the State’s
files because it “would operate, in essence, as a
discovery device, and would therefore be inconsistent
with [thel principle” that “discovery procedures
should be determined by statute or by rule of court”).

q72 The criminal discovery statute provides
limited and reciprocal discovery requirements. Upon
demand, a defendant “must disclose” the following:
(1) a list of the names and addresses of witnesses the
defendant intends to call at trial; (2) relevant written
or recorded statements of the named witnesses

37a

including expert reports that the defendant intends
to produce at trial; (3) the criminal records of the
named witnesses; and (4) physical evidence the
defendant intends to produce at trial. Wis. Stat.
§971.23(2m). McMorris evidence is not on the list.

9473 Aside from the mandatory disclosures
enumerated above, “[lo]ur discovery statute does not
require a defendant to divulge the details of his or
her own case.” State v. Konkol, 2002 WI App 174,
417, 256 Wis. 2d 725, 649 N.W.2d 300. The statute
provides just one exception to this rule. If the
defendant wishes to present an alibi defense, “the
defendant shall give notice to the district attorney . .
. stating particularly the place where the defendant
claims to have been when the crime is alleged to
have been committed together with the names and
addresses of witnesses to the alibi, if known.” Wis.
Stat. § 971.23(8)(a).

174 On the issue of notice of self-defense
and disclosure of McMorris evidence, however, the
statute is silent. Therefore, under the principle
stated in Miller and reaffirmed in Lynch, notice and
disclosure of this evidence is simply not required.

475 Finding no authority in the statute for
the compelled pretrial disclosure of McMorris
evidence, I determine that the court was without
authority to enter the order. The court of appeals got
it right when it determined that a circuit court’s
authority to exercise control over the mode and order
of presenting evidence does not provide the authority

to require pretrial discovery that it would otherwise

38a

not be permitted to require under the Wisconsin
criminal discovery statute. See McClaren, 313 Wis
2d 398, 41.

a

176 ‘Today, the majority permits a circuit
court to compel pretrial disclosure of any manner of
evidence, citing the court’s inherent authority to take
the necessary steps to avoid potential obstacles to a
smoothly run trial. See majority op., 93. The
majority's attempt to fit a discovery issue into an
inherent authority box has broad implications.

77 A court may exercise its inherent
authority to ensure “that the court functions
efficiently and effectively to provide the fair
administration of justice.” City of Sun Prairie _ v.
Davis, 226 Wis. 2d 738, 749-50, 595 N.W.2d 635
(1999). However, invoking inherent powers in order
to trump legislatively enacted public policy should be
a last resort. See Id. at 755.

178 Here, the legislature has made policy
choices regarding the evidence that 1s subject to
compulsory. pretrial disclosure. It permits
compulsory pretrial disclosure of certain types of
evidence, including alibi evidence, but it is silent
about McMorris evidence Nevertheless, the
majority permits a circuit court to circumvent these
legislative policy choices by invoking the court’s
inherent authority to ensure that it functions
effectively and efficiently to provide for the fair
administration of justice.

39a

"79 I| acknowledge that McMorris evidence
may pose special difficulties for the court. Perhaps
the rationale underlying the statutory notice-of-alibi
requirement applies to McMorris evidence as well.
There may be good policy reasons for a rule requiring
pretrial discovery of this type of evidence. If so,
however, it would be preferable for the legislature to
promulgate a new rule. The advantage of a rule,
rather than an opinion justified on the basis of the
court’s inherent authority, is that it could be strictly
limited to this type of evidence.

"80 The majority attempts to lmit its
holding to cases involving similar facts: “Under the
circumstances presented here, where McClaren
seeks to introduce McMorris evidence in support of a
self-defense claim, the circuit court has the
authority” to order pretrial disclosure of the
evidence. See majority op., 428. However, the
majority's attempt to narrow the scope of its holding
is undermined by its invocation of the court’s broad
inherent powers. Consequently, neither its rationale
nor its holding is limited to McMorris evidence.

{81 For the above stated reasons, |]

respectfully dissent.

COURT OF APPEALS

DECISION NOTICE
DATED AND FILED This opimon is subject to further
editing. If published, the official
June 19, 2008 version will appear in the bound

volume of the Official Reports

David R. Schanker A party may file with the
Clerk of Court of Appeals Supreme Court a petition to
review an adverse decision by the
Court of Appeals. See WIS. STAT.
§ 808.10 and RULE 809.62

Appeal No. 2007AP2382-CR Cir. Ct. No. 2007CF144

STATE OF WISCONSIN IN COURT OF
APPEALS
DISTRICT IV

STATE OF WISCONSIN,
PLAINTIFF-RESPONDENT,

¥.

JASON L. McCLAREN,
DEFENDANT-APPELLANT.

APPEAL from an order of the circuit court for
Jefferson County: RANDY R. KOSCHNICK, Judge.

Reversed.

Before Dykman, Vergeront and Bridge, Jd.

41 BRIDGE, J. Jason McClaren is
charged with aggravated battery, attempted first-
degree intentional homicide and first-degree reckless
injury. The State has conceded that a factual basis
exists for him to raise a claim of perfect self-defense.
He appeals the circuit court’s pretrial order requiring
him to disclose, prior to tral, a summary of the
evidence he intends to offer in furtherance of his
defense regarding what he believed to be the violent
character of the victim. In particular, the order
requires disclosure of a summary of all specific
instances of the victim’s violent conduct of which
McClaren is aware and intends to introduce at trial,
including witnesses to the conduct and the relevant
dates and locations of the conduct. We conclude that
under the rule articulated in State v. Miller, 35 Wis.
2d 454, 478, 151 N.W.2d 157 (1967), the circuit
court’s order exceeds its authority under WIS. STAT.
§971.23(2m) (2005-06)! governing pretrial discovery
in criminal matters. We also conclude that the
court’s general authority under WIS. STAT. § 906.11
to exercise control over the mode and order of
presenting evidence cannot be read to permit it to
require pretrial discovery that it would otherwise not
be permitted to require under §971.23(2m) and the
rule in Miller. Accordingly, we reverse the circuit
court's order.

BACKGROUND

All references to the Wisconsin Statutes are to the ZU05-U6

version unless otherwise noted.

q2 Jason McClaren is charged with
aggravated battery by use of a dangerous weapon in
violation of WIS. STAT. §§ 940.19(5) and
939.63(1)(b); attempted first-degree intentional
homicide in violation of WIS. STAT. §§ 940.01(1)(a)
and 939.32; and first-degree reckless injury in
violation of WIS. STAT. § 940.23(1)(a). The charges
stem from allegations that while inside the garage of
McClaren’s residence, McClaren struck Conrad
Goehl in the neck with a pack axe. In a videotaped
statement, McClaren told police that he knew that
Goehl had a violent character and had been “in and
out of prison.”

q3 By pretrial motion in limine, McClaren
sought a ruling regarding the admissibihty of
evidence of Goehl’s dangerous character and prior
acts of violence as they related to McClaren’s claim of
self-defense. At the hearing on the motion, the State
conceded that there was a factual basis to raise a
claim of perfect self-defense? and did not oppose the
motion as long as the evidence was not unfairly
duplicative. Goehl’s criminal record includes eleven
prior convictions. McClaren’s witness list contains
the names and addresses of six witnesses, in
addition to the witnesses named in the prosecutor's
witness list.

2 Pertect self-defense gives the jury a basis to find a defendant
not guilty. See State v. Head, 2002 WI 99, 92, 255 Wis. 2d 194,
648 N.W.2d 413.

A3a

14 During ‘he motion hearing, the circuit
court rules that evidence of any specific alleged prior
acts of Goehl’s violence that McClaren mentioned to
police in the videotaped interview would be
admissible at trial without McClaren providing any
further description of those alleged acts. The court
went on, however, to express concern about
additional evidence of McClaren’s knowledge of
Goehl’s violent behavior that would come in through
witness testimony, and whether McClaren would
attempt to present evidence that may not be
admissible and would unduly influence the jury. For
example, the court referenced the fact that Goehl
had one felony conviction for the sexual assault of a
child, and observed tiat this particular offense may
or may not be relevant to McClaren’s self-defense
claim. The court noted that such evidence may have
an unfairly prejudicial effect on the State’s case once
the jury heard of it, and that it would be “a bell that
would be difficult to unring.” Defense counsel
indicated that she did not intend to introduce
evidence about this particular offense, but the court
observed that. there may be similar issues regarding
Goehl’s other offenses. The court continued to voice
concern about the danger of unfair prejudice if the
details emerged for the first time at trial before the
court could rule on admissibility.

15 The couit also indicated that it did not
wish to take the timeto hear offers of proof outside of
the jury’s presence wien and if McClaren attempted
to introduce such evilence and drew objections from
the State. The court concluded:

44a

So, I'm not requiring the defense
to submit anything if it doesn’t want to,
but I am prohibiting the defense from
referring to any alleged conduct by Mr.
Goehl that falls under this category
without a pretrial ruling.

1 don’t want to take time with
the jury sitting here to be processing
this information during the trial, and it
could be a pretty lengthy hearing that’s
required depending on what it is we’re
talking about.

[ don’t know what we're talking
about, because it hasn’t been revealed.
I don’t want to end up in a situation
where the jury is waiting in the jury
room for two hours while I hear from
three or four witnesses describing
something allegedly done by Mr. Goehl
that’s not covered in the _ police
[videotaped] interview lof McClaren].

So, in order to ensure that the
trial proceeds in an orderly manner and
that | am allowed to take reasonable
steps to avoid unfair prejudice to both
parties, I will require that any party
who wishes to offer such evidence
present the details in writing to the

45a

Court and to the opposing party before
trial.

q|6 In its written pretrial order, the court
ruled that McClaren must provide the State, before
trial, with “a [written] summary of all specific
instances of the victim’s violent conduct of which the
defendant was aware and that the defendant intends
to introduce at trial, including witnesses to such
conduct and the date and place such conduct
occurred.” The order provided further that this
requirement did not apply to the instances of violent
conduct which were referenced in McClaren’s
statement to police.

{7 McClaren sought leave to appeal the
court’s pretrial order. We granted interlocutory
review and stayed further proceedings in the circuit
court pending resolution of this appeal.

STANDARD OF REVIEW
18 The question of judicial authority is an
issue of law which we review de novo. Breter v. E.C.

130 Wis. 2d 376, 381, 387 N.W.2d 72 (1986).

DISCUSSION

9 In McMorris v. State, 58 Wis. 2d 144,
152, 205 N.W.2d 559 (1973), the supreme court held
that:

46a

When the issue of self-defense 1s
raised in a prosecution for assault or
homicide and there is a factual basis to
support such defense, the defendant
may, in support of the defense,
establish what the defendant believed
to be the turbulent and _ violent
character of the victim by proving prior
specific instances of violence within his
knowledge at the time of the incident.

{10 A defendant’s proof of alleged prior
violent acts of the victim is not limited to the
defendant’s own testimony; within the trial court’s
discretion, the defendant may produce supporting
evidence to prove that the acts of which the
defendant claims knowledge actually occurred. State
v. Wenger, 225 Wis. 2d 495, 508, 593 N.W.2d 467
(Ct. App. 1999). The court may exclude the evidence
‘Nf its ‘probative value is substantially outweighed by
the danger of unfair prejudice, confusion of the
issues, or misleading the jury, or by considerations of
undue delay, waste of time, or needless presentation
of cumulative evidence.” State v. Head, 2002 WI 99,
4129, 255 Wis. 2d 194, 648 N.W.2d 413.

411 The issue before us is_ whether
McClaren may be compelled to provide a summary of
his proffered McMorris evidence prior to trial.

912 McClaren argues that to require
pretrial disclosure of this evidence would violate his
state and federal constitutional right to freedom

Ava

from compelled — self-incrimination. The self-
incrimination clause of the Fifth Amendment to the
United States Constitution and article I, section 8 of
the Wisconsin Constitution provide that no person
may be compelled in any criminal case to be a
witness against himself. The privilege against self-
incrimination protects a defendant from “being
compelled to testify against himself, or otherwise
provide the State with evidence of a testimonial] or
communicative nature.” Schmerber v. California, 384
U.S. 757, 761 (1966).

413 McClaren also argues that the court’s
threatened sanction of excluding evidence of any of
Goehl’s past violent acts and the witnesses thereto if
McClaren does not provide the required summary
would violate his constitutional rights to present a
defense and to due process. The night to present a
defense is grounded in the confrontation and
compulsory process clauses of the Sixth Amendment
to the United States Constitution and article I,
section 7 of the Wisconsin Constitution and includes
the right to present the testimony of favorable
witnesses.

q14 Although the majority of the parties’
arguments concern whether the required disclosure
violates these constitutional rights, our analysis
begins instead with a consideration of Wisconsin’s
criminal discovery statute. In Miller, 35 Wis. 2d at
478, which was decided before Wisconsin’s criminal
discovery statute was enacted, the supreme court
determined that there is no general right to

48a

discovery in criminal cases except as provided by
statute. See also Wold v. State, 57 Wis. 2d 344, 348,
204 N.W.2d 482 (1973). The supreme court stated
further that “li]f we are to adopt a pretrial discovery
procedure in criminal cases in this state we deem it
would be best done by a rule of court or by legislative
action rather than on a case to case basis by the
court.” Miller, 35 Wis. 2d at 478.

415 Following the enactment of the
criminal discovery statute, the supreme court has
continued to adhere to the principle that the right to
discovery in criminal casés is limited to that which is
provided by statute. See, e.g, State v. O’Brien, 223
Wis. 2d 303, 319, 588 N.W.2d 8 (1999); State ex rel.
Lynch v. County Ct., 82 Wis. 2d 454, 466, 262
N.W.2d 773 (1978); State v. O'Connor, 77 Wis. 2d
261, 280 n. 7, 252 N.W.2d 671 (1977); Irby v. State,
49 Wis. 2d 612, 620, 182 N.W.2d 251 (1971).4

3 In Wold v. State, the supreme court observed that prior to the
new criminal code, there was no “clear legal right” to discovery,
and stated that “the question of whether a discovery motion
would be granted was a matter of discretion with the trial
court.” Wold v. State, 57 Wis. 2d 344, 348, 204 N.W.2d 482
(1973). However, the cases cited for that proposition state only
that there is no right to pretrial discovery so that mandamus
does not le to compel it; they do not support the proposition
that the court may, in the proper exercise of its discretion, grant
discovery. See Woodhull v. State, 43 Wis. 2d 202, 215, 168
N.W.2d 281 (1969); State ex rel. Johnson v. County Ct., 41 Wis
2d 188, 193, 163 N.W.2d 6 (1968); and State v. Miller, 35 Wis.
2d 454, 478, 151 N.W.2d 157 (1967).

4 Although the cited cases involve a defendant's request for
pretrial discovery, we see no reason why the logic of Miler and

49a

{16 WISCONSIN STAT. § 971.23, which
was enacted in 1969,° now grants limited discovery.
See Wold, 57 Wis. 2d at 348-49. Pursuant to §
971.23 (1), entitled “WHAT A_ DISTRICT
ATTORNEY MUST DISCLOSE TO A
DEFENDANT,” the district attorney must disclose
any written or recorded statement made by a
defendant concerning the alleged crime; a written
summary of the defendant’s statements that the
prosecutor plans to use at trial and any witnesses to
such statements; evidence obtained’ through
interception of wire, electronic or _ oral
communications; a copy of the defendant’s criminal
record; a list of all witnesses the prosecutor intends
to call, along with their addresses; any written or
recorded statements of these witnesses; any criminal]
record of a prosecution witness which is known to
the prosecution; any physical evidence’ the
prosecutor intends to use at trial; and any
exculpatory evidence. WIS. STAT. § 971.23(1)(a)-(h).

417 Pursuant to WIS. STAT. § 971.23(2m),
entitled “WHAT A DEFENDANT MUST DISCLOSE
TO THE DISTRICT ATTORNEY,’ the defendant
must disclose all witnesses who the defendant
intends to call at trial, along with their addresses;
any written or recorded statements of these
witnesses; reports or statements of experts, or a
written summary if no report or statement has been

subsequent cases would differ in cases involving pretrial
discovery requested by the State
5 1969 Wis. Laws, ch. 255, § 63.

50a

prepared; the results of any examination, test,
experiment or comparison that the defendant
intends to offer in evidence at trial; the criminal
record of any defense witness other than the
defendant known to the defense attorney; and any
physical evidence the defendant intends to offer at
trial. WIS. STAT. § 971.23(2m)(a)-(c).

418 WISCONSIN STAT. § 971.23 does not
require a criminal defendant to give pretrial notice of
any specific theory of defense that the defendant
intends to present at trial, other than a notice of
“alibi.” See WIS. STAT. § 971.23(8). In addition, the
discovery statute does not require a defendant to
divulge the details of his or her own case. See State
v. Konkol, 2002 WI App 174, 917, 256 Wis. 2d 7285,
649 N.W.2d 300. Thus, the discovery statute does
not require McClaren to give pretrial notice of a
claim of self-defense or of intended McMorris
evidence to support such a claim.

419 The State concedes that the court's
order requires McClaren to disclose more
information before trial than a defendant. is required
to do under WIS. STAT. § 971.23(2m). However, it
argues that the court's authority to do so stems from
Wisconsin case law that permits courts to order
pretrial disclosure of certain types of evidence that, if
delayed until trial, would potentially warrant a
continuance of trial to enable the opposing party to
investigate the proffer. In particular, the State
refers to proffered “other acts” evidence. The State
points out that in State v. Wallerman, 203 Wis. 2d

5la

158, 167-68, 552 N.W.2d 128 (Ct. App. 1996), we
encouraged the circuit court to address the
admissibility of “other acts” evidence pretrial if
possible. We conclude _ that Wallerman 1s
distinguishable on its facts and does not support the
State’s position

q20 In /allerman, we addressed the
circumstances under which a criminal defendant's
concession of one or more elements of the crime
charged can effectively bar the State from
introducing evidence on those elements. At issue in
Wallerman was the defendant’s concession that
whoever committed the sexual assault at issue in
that case did so to obtain sexual gratification, which
was an element of the crime charged. J/d. at 165. In
spite of the concession, the State sought to prove that
element through the introduction of “other acts’
evidence of motive and intent with respect to a prior
sexual assault allegation against Wallerman. Jd. at
162. The State argued that it was necessary for it to
do so because Wallerman never explicitly offered to
enter into a _ stipulation or make a_ concession
regarding the motive and intent elements of the
charges. J/d. at 166.

2] We concluded that when a defendant is
faced with “other acts” evidence but wishes to
concede an element of the crime for which the
evidence is being offered, it is necessary for the court
to ensure that the record contains conclusive
evidence upon which the jury may rely to find guilt

before it reheves the State of the duty to prove that

element. /d. at 167. We then set out four guidelines
designed to make sure that a defendant who wishes
to make such a concession expresses his or her intent
clearly and unequivocally. /d. at 167-68. Under these
guidelines, courts are encouraged to: explore the
breadth of the defendant's offer in order to determine
exactly what the defendant is conceding to; access
the State’s evidence and determine whether the
“other acts” evidence would still be necessary even
with the defendant’s concession; and personally voir
dire the lawyers and the defendant to ensure that
they each understand the effects of the concession.
Id. In addition, we stated that “just like questions
involving the admissibility of ‘other acts’ evidence,
these concessions or stipulations should’ be
addressed pretrial if possible.” Jd. at 168.

{2: Assuminy for the sake of argument
that McMorris evidence is comparable to “other acts”
evidence, nothing in Wal/erman authorizes a circuit
court to require, rather than encourage, pretrial
disclosure. Wallerman involved the need for the
circuit court to determine whether the defendant
intended to, and did, make a concession. We
concluded that the existence of a concession should
be ascertained as early as possible in the

proceedings. However, we did not hold that a
defendant could be required to make this concession
pretrial. Instead, we held that, to the extent a
defendant makes a concession or stipulation, it is
preferable to address the matter pretrial, if possible.
Thus, our holding in Wad/erman is not inconsistent
with Miller and should not be read to authorize a

53a

circuit court to require pretrial discovery beyond the

dictates of WIS. STAT. § 971.23.

423 The State next argues that the circuit
courts order requiring pretrial disclosure of
McMorris evidence falls within the court’s authority
under WIS. STAT. § 906.11 to “exercise reasonable
control over the mode and order of interrogating
witnesses and presenting evidence.” However, the
general authority to superintend a trial cannot be
read to permit a court to require pretrial discovery
that it would otherwise not be authorized to do
under WIS. STAT. § 971.23 and the rule in Miller.

924 Citing State v. Revels, 221 Wis. 2d 315,
319-21, 585 N.W.2d 602 (Ct. App 1998), the State
also contends that discovery rules are rules of court
procedure rather than’ substantive or _ penal
provisions. ‘Thus, it argues, discovery rules are not
left exclusively to the legislature, and Wisconsin’s
appellate courts are equally free to develop them.
The Wisconsin Court of Appeals does not possess
supervisory authority which would permit it to
promulgate rules of criminal practice and procedure.
See State v. Perez, 170 Wis. 2d 130, 137, 487 N.W.2d
630 (Ct. App. 1992). Wisconsin's constitution and
statutes reserve law-developing and law-declaring
functions to the Wisconsin Supreme Court. /d. See
also State v. Schumacher, 144 Wis. 2d 388, 405-07,
424 N.W.2d 672 (1988). To date, the Wisconsin
Supreme Court has declined to adopt a_ pretrial
discovery procedure in criminal cases beyond that
provided by statute.

925 We conclude that the order of the
circuit court would operate, 1n essence, as a discovery
device, and would therefore be inconsistent with
WIS. STAT. § 971.23(2m) and contrary to the
holding in A@l/er. For the foregoing reasons, we
reverse the circuit court’s order requiring the pretrial
disclosure of McMorris evidence.

By the Court.—Order reversed.

Recommended for publication in the official
reports.

55a

State of Wisconsin Circuit Court Jefferson County

State of Wisconsin
Plaintiff,
vs: Case No. 2007CF000144

Jason L. McClaren,
Defendant.

ORDER

Based on the record made at the October 2,
2007 hearing and the written submissions herein,
the Court hereby Orders:

The defendant shall make written disclosure
to the Court and the prosecution by the close of
business on October 16, 2007, a summary of all
specific instances of the victim’s violent conduct of
which the defendant was aware and that the
defendant intends to introduce at trial, including
witnesses to such conduct and the date and place
such conduct occurred. Such disclosure does not
include acts of the victim referenced in_ the
defendant’s interrogation on March 31, 2007.

56a

Dated this 10 day of October, 2007.

BY THE COURT:

/s/ Randy R. Koschnick

Randy R. Koschnick
Circuit Court Judge

re: Attorney Happ
DA

CLERK OF THE CIRCUIT COURT
Jefferson County, Wisconsin

FILED
OCT 10 2007
o'clock == OM

57a

CONSTITUTIONAL PROVISIONS
AMENDMENT V

No person shall be held to answer for a capital, or
otherwise infamous crime, unless on a presentment
or indictment of a grand jury, except in cases arising
in the land or naval forces, or in the militia, when in
actual service in time of war or public danger; nor
shall any person be subject for the same offense to be
twice put in jeopardy of hfe or limb; nor shall be
compelled in any criminal case to be a witness
against himself, nor be deprived of hfe, liberty, or
property, without due process of law; nor shall
private property be taken for public use, without just
compensation.

AMENDMENT VI

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 he
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
defense.

AMENDMENT XIV

Section 1. All persons born or naturalized in the
United States, and subject to the jurisdiction thereof,
are citizens of the United States and of the state
wherein they reside. No state shall make or enforce
any law which shall abridge the privileges or
immunities of citizens of the United States: nor shall
any state deprive any person of hfe, liberty, or
property, without due process of law; nor deny to any
person within its jurisdiction the equal protection of
the laws.

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Source: Frix Law Library, https://www.frixlaw.com/law-library/documents/brief%3Amicro_IA40386017_1090%3A1. Public record. Not legal advice.
