Opinion ID: 1678216
Heading Depth: 3
Heading Rank: 1

Heading: Group Plea Hearing

Text: The trial court in the present case conducted a group plea hearing during which the court questioned Howell and her co-defendants both individually and as a group. Howell contends that the procedure employed by the trial court was coercive and, when combined with her mental deficiencies, prevented her from understanding the trial court's questions. Before accepting a guilty plea, the trial court must question the defendant on the record to ensure that the defendant is knowingly and voluntarily entering the plea. See Boykin, 395 U.S. at 243-44, 89 S.Ct. 1709; Neal, 810 S.W.2d at 135-36; see also Tenn. R.Crim. P. 11(d). In Boykin v. Alabama , the United States Supreme Court held that the trial court must question the defendant to ensure the defendant understands that by entering the plea he is waiving the privilege against self-incrimination, the right to a jury trial, and the right to confront his accusers. 395 U.S. at 243-44, 89 S.Ct. 1709. In addition to Boykin's requirements, trial courts in Tennessee must question the defendant on the record to ensure that the defendant understands: 1) the nature of the charge to which the plea is offered and the mandatory minimum and maximum penalty provide by law; 2) the right of the defendant to be represented by counsel at every stage of the proceedings; 3) the right of the defendant to plead not guilty and to persist in that plea, the right to a jury trial, the right to assistance of counsel at trial, the right to confront and cross-examine witnesses against him, and the right against compelled self-incrimination; 4) that by pleading guilty or nolo contendere, the defendant waives the right to a trial; and 5) that if the defendant enters a guilty or nolo contendere plea, the trial court may question the defendant regarding the offenses and that any of the defendant's answers made under oath, on the record, and in counsel's presence may later be used against the defendant in a subsequent prosecution for perjury or false statement. Tenn. R.Crim. P. 11(c)(1)-(5); Neal, 810 S.W.2d at 135-36. The defendant also must be advised that additional punishment may result from his guilty plea by reason of his prior convictions or other factors and that the resulting conviction may be used against him to enhance his punishment for subsequent convictions. Neal, 810 S.W.2d at 136. Howell does not contend that she did not receive the specific advice required by Boykin , Neal , and Rule 11 of the Tennessee Rules of Criminal Procedure. Rather, Howell challenges the manner in which the advice was given. Absolute literal compliance with the advice to be given by the trial court is not required. Neal, 810 S.W.2d at 137. Rather, the trial court must substantially comply with these mandates. Id.; State v. Newsome, 778 S.W.2d 34, 38 (Tenn.1989). A trial court substantially complies with these mandates when it expresses the sense of the substance of the required advice to a defendant who is seeking to plead guilty. Neal, 810 S.W.2d at 137. Substantial compliance does not constitute error. Id. at 138. Where there is substantial compliance the root purpose of the prescribed litany has been served and the guilty plea passes due process scrutiny because it was made voluntarily and understandingly. Id. This Court has indicated that en masse guilty plea hearings do not comply with our state's mandates. See State v. McClintock, 732 S.W.2d 268, 273 (Tenn. 1987). We since have recognized, however, that a trial court substantially complies with the mandates of Boykin , Neal , and Rule 11 of the Tennessee Rules of Criminal Procedure when the trial court communicates the entire litany of rights and other required information to multiple defendants in the presence of their respective attorneys, so long as the number involved is not so great as to make individual understanding unlikely; and provided that each defendant is addressed individually to establish on the record the understanding and agreement of each defendant. Neal, 810 S.W.2d at 137-38. Therefore, while we caution trial courts against conducting group plea hearings, such hearings do not constitute per se violations of Boykin , Neal , and Rule 11 of the Tennessee Rules of Criminal Procedure. During the plea hearing, the trial court questioned Howell and her co-defendants both individually and as a group. The transcript of the plea hearing demonstrates that [a]ll defendants answered affirmatively or [a]ll defendants answered negatively when the trial court asked each question of the group. When the answers of any of the defendants differed, each of the defendants was named in the transcript, and his or her answer followed. These portions of the transcript establish that Howell answered in an understanding manner to each question asked. For example, the trial court asked Howell and her co-defendants jointly whether they had consumed alcohol or drugs within the past twenty-four hours. The transcript reflects that Defendants Risner, Cornett, Mullins, Bryant and Howell answered negatively. Sturgall gave an affirmative answer and an explanation. Howell and her co-defendants were aware that their answers need not match those of the group and that the trial court would allow a defendant to explain an answer that differed from those of the group. Accordingly, Howell has failed to establish that the nature of the plea proceeding was so coercive as to render her plea involuntary. At the post-conviction hearing, Dr. Miller and Dr. Auble both testified that the circumstances of the plea hearing when combined with Howell's mental deficiencies prevented Howell from knowingly and understandingly entering a guilty plea. Dr. Miller stated that the plea hearing would have been stressful for Howell due to her diminished psychological state. Both Dr. Miller and Dr. Auble opined that Howell was unable to comprehend the events of the plea hearing, that she experienced difficulties concentrating on the information presented to her, and that she was unable to understand the questions asked by the trial court. The post-conviction court, however, refused to accredit the testimony of Dr. Miller and Dr. Auble. Rather, the evidence establishes that Howell was capable of understanding the proceedings. The post-conviction court found that during each occasion in which Howell testified, she demonstrated the ability to understand statements made to her and questions asked of her and was able to effectively communicate with those questioning her. Dr. Miller stated that Howell's I.Q. of seventy-eight did not affect her ability to enter a knowing and voluntary guilty plea and that he did not believe that Howell was suffering from mental retardation. Dr. Miller acknowledged that Howell was aware of the nature of the proceedings and was able to assist defense counsel in preparing her defense. Defense counsel likewise testified that Howell was able to assist him in her case. Furthermore, Dr. Miller's opinions were based in part upon Howell's contentions regarding defense counsel's lack of preparation and his conversations with her prior to the plea hearing. The post-conviction court accredited defense counsel's testimony regarding his actions in preparing Howell for the plea hearing. Defense counsel testified that he met with Howell on many occasions during which they engaged in extensive conversations regarding every aspect and consequence of the plea agreement. They discussed all of the charges, the lesser-included offenses, possible sentences including consecutive and concurrent sentencing, and mitigation evidence. Defense counsel stated he had obtained a list of the questions that the trial court generally asked during guilty plea hearings. He reviewed the questions with Howell and informed her of all of the rights that she would be waiving by pleading guilty. We conclude that the record supports the post-conviction court's findings with regard to the testimony of Dr. Miller, Dr. Auble, and defense counsel. See Nichols, 90 S.W.3d at 586 (providing that when examining factual issues, this Court will not re-weigh or re-evaluate the evidence, but will defer to the post-conviction court's findings with regard to the credibility of witnesses or the weight of their testimony). We, therefore, hold that Howell has failed to establish that the manner in which the group plea was held violated Boykin , Neal , and Rule 11 of the Tennessee Rules of Criminal Procedure and that as a result of the violation, she was coerced into entering the plea without an understanding of the proceedings and the consequences of pleading guilty.