Opinion ID: 2186347
Heading Depth: 1
Heading Rank: 2

Heading: Articulation of the Three Rights

Text: Wilkins relies upon Boykin v. Alabama, supra . He contends that since he was not personally advised by the trial judge on entry of his plea that by pleading guilty he was waiving (1) his privilege against self-incrimination, (2) his right to trial by jury, and (3) his right to confront his accusers; that he was unaware of the consequences, and that his plea, therefore, was not voluntarily and intelligently made. Wilkins further argues that the failure of the trial judge to articulate these three rights on the record resulted in a `silent' record which cannot be supplemented by a post-conviction evidentiary hearing. Accordingly, he wants the opportunity to replead. Wilkins relies on the following language from Boykin: `We cannot presume a waiver of these three important federal rights from a silent record. `What is at stake for an accused facing death or imprisonment demands the utmost solicitude of which courts are capable in canvassing the matter with the accused to make sure he has a full understanding of what a plea connotes and of its consequence. When the judge discharges that function, he leaves a record adequate for any review that may be later sought.' 395 U.S. at 243-244, 89 S.Ct. at 1712. [Footnote reference omitted] The district court's decision, however, is supported by Supreme Court decisions subsequent to Boykin and several circuits. The rigid interpretation of Boykin urged by Wilkins has not been adopted by the Supreme Court in subsequent decisions on voluntariness of guilty pleas. In Brady v. United States, 397 U.S. 742, 90 S.Ct. 1463, 25 L.Ed.2d 747 (1970), the Court citing Boykin, upheld a guilty plea as voluntary and intelligent even though defendant had not been specifically advised of the three rights discussed in Boykin. The Brady Court clarified Boykin by stating, `[t]he new element added in Boykin was the requirement that the record must affirmatively disclose that a defendant who pleaded guilty entered his plea understandingly and voluntarily.' 397 U.S. at 747-748 fn. 4, 90 S.Ct. at 1468. In North Carolina v. Alford, 400 U.S. 25, 31, 91 S.Ct. 160, 164, 27 L.Ed.2d 162 (1970), the Court stated that in determining the validity of guilty pleas the `standard was and remains whether the plea represents a voluntary and intelligent choice among the alternative courses of action open to the defendant.' Specific articulation of the Boykin rights is not the sine qua non of a valid guilty plea. Other circuits have considered the application of Boykin to state prisoner petitions and have held in accordance with Brady v. United States, supra . McChesney v. Henderson, 482 F.2d 1101, 1106 (5 Cir. 1973) (The court alternately held that a subsequent state evidentiary hearing could be considered); Wade v. Coiner, 468 F.2d 1059, 1060 (4 Cir. 1972). Cf. Todd v. Lockhart, 490 F.2d 626, 627 (8 Cir. 1974) (A subsequent state evidentiary hearing failed to decide the question of voluntariness. On appeal from denial of a writ of habeas corpus by the district court, its judgment was reversed). The Ninth Circuit has apparently not passed on the question. Accordingly, we hold that Boykin does not require specific articulation of the above mentioned three rights in a state proceeding. Brady v. United States , 397 U.S. [742] at 747-748, 90 S.Ct. 1463 [at 1468-1469] and cases supra. Likewise, in Wood v. Morris, 87 Wash.2d 501, 554 P.2d 1032 (1976), the court discussed Boykin v. Alabama, 395 U.S. 238, 89 S.Ct. 1709, 23 L.Ed.2d 274 (1969), at great length, and concluded by stating at 507-08, 554 P.2d at 1036-37: [W]hile it has been held that a defendant's constitutional rights to a jury trial, confrontation and protection against self-incrimination must be specifically and expressly enumerated by the trial judge and expressly waived by the accused prior to acceptance of a guilty plea, see In re Tahl, supra at 131-33 [1 Cal.3d 122, 460 P.2d 449, 81 Cal.Rptr. 577 (1969)]; Higby v. Sheriff of Clark County, supra at 781 [86 Nev. 774, 476 P.2d 959 (1970)], we adopt an interpretation of Boykin which does not impose this requirement as a matter of constitutional due process. This is the view of the majority of courts which have considered the question. See, e. g., McChesney v. Henderson, supra at 1106-10; United States v. Sherman, supra [9 Cir. 1973, 474 F.2d 303] at 305; Stinson v. Turner, 473 F.2d 913, 915-16 (10th Cir. 1973); Wade v. Coiner, supra at 1061; State v. Turner, 186 Neb. 424, 425, 183 N.W.2d 763 (1971); People v. Kuchulan, 390 Mich. 701, 704, 213 N.W.2d 95 (1973); Commonwealth v. Morrow, 363 Mass. 601, 296 N.E.2d 468, 472-73 (1973); Merrill v. State, 87 S.D. 285, 290, 206 N.W.2d 828 (1973). Supreme Court decisions subsequent to Boykin make this clear. In Brady v. United States, 397 U.S. 742, 90 S.Ct. 1463, 25 L.Ed.2d 747 (1970), and North Carolina v. Alford, 400 U.S. 25, 91 S.Ct. 160, 27 L.Ed.2d 162 (1970), the court, citing Boykin upheld guilty pleas without any indication that specification of the three constitutional rights enumerated in Boykin was required to be made at the time of the acceptance of the pleas. We also note that in both cases the court relied upon evidence received at post-conviction hearings. We hold, therefore, that there is no constitutional requirement that there be express articulation and waiver of the three rights referred to in Boykin by the defendant at the time of acceptance of his guilty plea if it appears from the record, and the clear and convincing weight of extrinsic evidence if the record is unclear on the matter, that the accused's plea was intelligently and voluntarily made, with knowledge of its consequences. It should be noted that the court includes among the cases in support of its finding that the requirement of Boykin is not a matter of constitutional due process the Nebraska case of State v. Turner, supra . Nebraska has followed the rule set down in Turner in at least a dozen cases since Turner was decided, including the following cases: State v. Lewis, 192 Neb. 518, 222 N.W.2d 815 (1974); State v. Fowler, 201 Neb. 647, 271 N.W.2d 341 (1978); State v. Curnyn, 202 Neb. 135, 274 N.W.2d 157 (1979); State v. Hill, 204 Neb. 743, 285 N.W.2d 229 (1979); State v. Rouse, 206 Neb. 371, 293 N.W.2d 83 (1980). I believe it is clear in the instant case that defendant's guilty plea to the charge against him was voluntarily and intelligently entered, notwithstanding the apparent failure of the court to inquire with reference to the three matters set out in Boykin. In addition to the verbatim record as set forth in the record, there were other records, facts, and circumstances before the court at that time, including (1) the affidavit for arrest warrant by the arresting officer describing the defendant's erratic driving and the results of his breath test which showed the alcohol content in his blood at the time to be twenty-hundreths of one percent; (2) the journal entry of the arraignment stating that the defendant was advised of the nature of the charge, which was for driving while intoxicated (DWI), third offense; and (3) the journal entry of his conviction on September 27, 1979, which recited in part: [T]he Defendant advised the Court that he understood his rights, waived his right to jury.... Also, It was determined that the plea was entered voluntarily, knowingly, and intelligently and with the understanding of the consequences of the plea; (4) the defendant was represented by retained counsel; and (5) the defendant was familiar with the nature of the proceedings, having twice previously been convicted of DWI. After the plea bargained guilty plea, the sentence was not imposed until almost 8 months had lapsed, during which time the defendant was attempting alcohol rehabilitation. I believe that the facts in this case clearly indicate that the defendant's guilty plea fully complied with the standards set out in State v. Turner, 186 Neb. 424, 427, 183 N.W.2d 763, 766 (1971), that: `The standard was and remains whether the plea represents a voluntary and intelligent choice among the alternative courses of action open to the defendant'; and, as further stated in Turner at 425, 183 N.W.2d at 765: This requirement of an item-by-item review of constitutional rights on a guilty plea is a strained and a too extreme construction of those cases. The majority opinion states the rule that the defendant is entitled to be informed of certain enumerated rights, including those that are a basis for his appeal, is to apply only if imprisonment is imposed. Such a rule would automatically narrow the holding of Turner and our subsequent cases to require an item-by-item dialogue, which is contrary to our established law. Further, I disagree with the holding of the majority that the Boykin-Turner waiver rule applies to all misdemeanors and requires that a voluntary and intelligent waiver of those rights must affirmatively appear from the record. The courts are divided as to whether the Boykin rule applies to misdemeanors. In support of its conclusion that it does, the majority opinion cites as its principal authority the case of Mills v. Municipal Court, 10 Cal.3d 288, 515 P.2d 273, 110 Cal.Rptr. 329 (1973), where the court held that Boykin was applicable to all misdemeanors. However, in that same opinion the court pointed out at 303, 515 P.2d at 284, 110 Cal.Rptr. at 340: [I]n evaluating the procedures utilized in inferior courts for advising defendants of their rights and obtaining `on the record' waivers, the realities of the typical municipal and justice court environment cannot be ignored, and that, so long as the spirit of the constitutional principles are respected, `the convenience of the parties and the court should be given considerable weight.' (Emphasis supplied.) On the contrary, the court in People v. Tomlinson, 50 Mich.App. 655, 213 N.W.2d 803 (1973), held that the Boykin rule did not apply to simple misdemeanors where the penalty is less than 6 months' imprisonment. The problem of applying the strict requirements set out in Boykin to minor criminal matters was early recognized by the advisory committee of the American Bar Association in preparing their tentative draft of Standards Relating to Pleas of Guilty in 1967. In their introduction to those standards, it is stated as follows: The Advisory Committee proposes these standards for application to all serious criminal cases. More simplified procedures, not dealt with in this report, could properly be used for minor traffic offenses and other lesser offenses, such as those typically proceeded against in court without counsel for the prosecution. The category of cases not covered by these standards may well vary from state to state, and will depend upon such matters as the allocation of jurisdiction between courts, the availability of facilities, and the understanding of the general public of the penalties for certain crimes. It should be remembered that in Nebraska county and municipal courts have jurisdiction of misdemeanor offenses and traffic offenses, and daily handle a very large volume of such cases, generally under adverse circumstances and with limited supportive personnel. It is not unusual for some of those courts to handle in excess of 50 criminal cases during the course of a single court day. During the calendar year 1980, the county courts in Nebraska processed approximately 190,000 traffic cases and 50,000 misdemeanor and ordinance cases; and during the same period, the municipal courts processed 118,000 traffic, ordinance, and misdemeanor cases. These courts are courts of record and generally utilize tape recording equipment to record the proceedings in such courts. As a general rule, the tapes are destroyed in approximately 60 days. The verbatim records of cases similar to that involved in this appeal are usually brief and are often supplemented by the judges' handwritten notes, findings, and orders, necessitated by the large volume of cases handled and the urgency to make a record of the case and then to proceed with the next case. The majority, in its opinion, recognizes these problems and the necessity of coordinating them with the public's interest in prompt, efficient administration of the judicial system. To require the same degree of care and exactitude in the processing of such cases as is required for the arraignments of defendants charged with felonies and more serious offenses can only result in impeding the efficiency of the judicial system. All that should be required in such cases is that the rule as announced in State v. Turner , that the plea of the defendant be voluntary and understandingly made, should suffice. To require a reversal of a conviction based upon a guilty plea made by the defendant because an item-by-item interrogation is not conducted by the trial judge would, in my opinion, be unnecessarily burdensome and would have a crippling effect upon those engaged in enforcing the laws of this state, and upon the judicial system itself. This, I believe, is totally unnecessary and should not be done. In the few and rare instances where injustice is done under the existing system, there is ample opportunity for relief by a defendant through post conviction procedures, as is done in other states, or by further dialogue between the court and the defendant to establish the existence of other required elements for a guilty plea which were previously not inquired into at the original arraignment. Guilty pleas should not be routinely set aside where it is clear that such pleas were voluntarily, understandingly, and intelligently made, as I believe was clearly true in this case. For all the reasons stated above, I must respectively dissent from the opinion of the majority of the court in this case. I am authorized to state that BRODKEY, J., joins in this dissent. BOSLAUGH, J., joins in this dissent.