STOWERS, Justice.
A man was arrested and charged with three counts of weapons misconduct. After the first two counts were tried to a jury, he waived his right to a jury trial and the third count was tried to the court. He was convicted and appealed, arguing that he had not effectively waived his constitutional right to a jury trial. The court of appeals affirmed his conviction, holding that substantial evidence supported his waiver. We granted his petition for hearing to decide the appropriate standard of review for the waiver of the right to a jury trial. We now conclude that an
At oral argument to this court, the State conceded the defendant was not advised of an essential element of the third count and that he was misadvised of the elements of his offense. Because the defendant was given incomplete and misleading information about the charge for which he was being asked to waive his right to a jury trial, we conclude that his waiver was constitutionally defective. The court of appeals' decision is reversed, and the case is remanded to the superior court for a new trial.
On March 30, 2008, Tracy G. Hutton and Amanda Topkok were parked near Tikishla Park. A truck pulled up beside them, and a shot was fired into their vehicle, hitting Topkok in the shoulder. Hutton decided to follow the truck instead of taking her directly to the emergency room. He followed the truck until it stopped at a red light and fired three to four times at the truck with a handgun. Afterwards, Hutton took Topkok to Alaska Regional Hospital and drove away.
The State charged Hutton with weapons misconduct in the first and second degrees.
The three charges were tried in a bifurcated proceeding, with the first two counts decided by a jury. A special interrogatory asked the jury if Hutton knowingly possessed a concealable firearm. The jury returned a verdict of guilty on the charge of weapons misconduct in the first degree but not guilty on the charge of weapons misconduct in the second degree, and found that Hutton had knowingly possessed a concealable firearm. After the jury returned the verdict, the parties and court discussed whether Hutton would proceed to a jury trial on Count III—felon in possession—or whether he would admit that count.
The superior court stated that "[w]ith regard to Count III, the [S]tate has proved, beyond a reasonable doubt, according to the jury, the firearm portion of it. The second portion of it of course is the fact that Mr. Hutton must have been found to be a convicted felon. It's my understanding that Mr. Hutton is willing to admit that; is that correct?" Hutton's attorney answered, "Yes," but Hutton's answer was indiscernible. The court again explained the situation to Hutton, and this time he answered, "Yeah," when asked if he was willing to admit that he had previously committed a felony. The court asked Hutton if anyone had threatened or coerced him in regards to the admission, to which Hutton responded, "No." The court stated, "And there's been no promises made for you to do this, correct? I have to make a finding that you know what you're doing and that you're doing this voluntarily. Do you know what you're doing? Have you had enough time to talk with your lawyer about it?" Hutton responded, "Yeah." Then the court rephrased the issue, explaining that "basically what you're doing is you're admitting one element of the charge against you." At this point Hutton interrupted the judge
After an off-the-record discussion with his attorney, Hutton told the judge to "[g]o ahead" and find that he was voluntarily giving up his right to a jury trial, but then moments later said, "You know, it's not making much sense to me." The court again tried to explain the situation to Hutton. This time Hutton seemed to understand and answered, "Yes," to the court's routine questions concerning voluntariness.
Hutton was sentenced to three years' imprisonment for Count III and appealed, arguing that he had not knowingly waived his right to a jury trial.
Hutton petitioned for hearing, and we granted review in order to decide the standard of review for waiver of the right to a jury trial.
Determining the appropriate standard of review is a question of law that we review de novo.
The State argues that an earlier case, Walunga v. State,
In 1973, Allen Walunga was charged with first-degree murder and assault with intent to kill.
We affirmed, holding that Walunga was competent to make a valid waiver and that the superior court did not need to independently inquire of Walunga regarding his competency.
In Walunga we did not frame the issue as waiver of the right to a jury trial; we framed the issue as one of competency: Walunga "claim[ed] that he was incapable of effectively waiving his constitutional right to trial by jury because of mental illness, and that the superior court erred in failing to inquire into [his] capacity."
Hutton argues that a majority of jurisdictions use the mixed question of law and fact standard of review and that this standard best reflects the legal nature of the ultimate decision: whether a defendant made a constitutionally valid waiver of his right to a jury trial. The State argues that unlike waivers of Miranda rights
While courts do not all agree, a majority of jurisdictions treat the ultimate issue as one of law. Eight of the ten federal circuits that have made a clear pronouncement on the topic have applied the mixed question of law and fact standard.
The mixed question of law and fact standard of review correctly reflects the reality
The State argues that because the jury-trial waiver happens in the presence of the trial court, we should review it deferentially. The State contends that we review Miranda waivers and confessions de novo because these happen outside of the courtroom. But in Miranda and confession cases our application of de novo review is not premised on the fact that the crucial exchanges happened outside the presence of the court.
In its briefing, the State argues that even were we to review the superior court's waiver conclusion de novo, we should affirm because (1) Hutton had just participated in a jury trial on Counts I and II and knew what a jury trial would entail; (2) the judge had explained the process to him; (3) he had enough time to discuss the matter with his attorney; and (4) he twice said that he was voluntarily waiving his right.
But there is a fundamental flaw in the State's argument. In order to convict Hutton of weapons misconduct in the third degree, the State was required to prove beyond a reasonable doubt all of the elements of the applicable felon in possession of a weapon charge. Alaska Statute 11.61.200(a)(1) sets out four of these elements: "[1] knowingly [2] possess[ing] a firearm [3] capable of being concealed on one's person [4] after having been convicted of a felony." But there is an additional, necessary element that the State was required to prove: Hutton's culpable mental state with respect to the circumstances of his offense. As the court of appeals explained in Afcan v. State, "AS 11.81.610(b)(2) makes recklessness the applicable, culpable mental state," and "[a]s an aspect of the mens rea requirement in this case, it was necessary for the [S]tate to establish that [the defendant] was aware of or recklessly disregarded the fact that he had been convicted of a felony."
At oral argument to this court, the State candidly conceded that "the omission of an element of the offense and the proof that would be required is a significant problem." When asked if the case would need to "go back on that element," the State's attorney acknowledged that "in all honesty, [he] would have to say yes .... It's an essential element of the offense [and] he wasn't advised of it."
We hold that when an appellate court reviews whether a defendant's waiver of the right to a jury trial was constitutionally effective, the applicable standard of review is the mixed question of law and fact standard. Because Hutton was not advised of an essential element of the charged offense in the trial court's colloquy regarding Hutton's purported waiver of his right to jury trial, we conclude Hutton's waiver was invalid and constitutionally ineffective. We therefore REVERSE the court of appeals' decision as to Count III and REMAND the case to the superior court for further proceedings consistent with this opinion.
WINFREE and BOLGER, Justices, not participating.