MARING, Justice.
[¶ 1] Veronica Trevino appeals from a criminal judgment entered after she conditionally pled guilty to reckless driving. Because we conclude the trial court erred in holding that reckless driving is a strict liability offense with no culpability requirement, we reverse the judgment and remand for further proceedings to allow Trevino to withdraw her guilty plea.
[¶ 2] In July 2009, the State charged Trevino with reckless driving under N.D.C.C. § 39-08-03(1) alleging she drove a vehicle "recklessly in disregard of the rights or safety of others." The State alleged that in June 2009, Trevino drove to the Emerado police chief residence, where she confronted the police chief, and she left the residence at a high rate of speed, crashing into a residence across the road.
[¶ 3] A trial was scheduled for October 2010. The State filed a motion in limine, seeking to prevent Trevino from introducing into evidence certain expert testimony regarding her mental health at the time of the alleged criminal violation. On October 18, 2010, Trevino filed a notice of expert witness, and the State objected to the late disclosure. On October 19, 2010, the State moved to amend the information, charging Trevino with reckless driving under either N.D.C.C. § 39-08-03(1) or (2). The State also argued reckless driving is a strict liability offense without a culpability requirement. Trevino filed a memorandum regarding the culpability for reckless driving, arguing that more than ordinary negligence was required to prove reckless driving. Trevino subsequently filed a request to withdraw her notice of expert witness, a response to the State's motion in limine, and a reply to the State's brief addressing the culpability for reckless driving. Trevino also submitted proposed jury instructions, including instructions defining "recklessly" and addressing the defense of lack of criminal responsibility.
[¶ 4] In November 2010, the trial court held that reckless driving is a strict liability offense and that Trevino would therefore be precluded from raising the defense of lack of criminal responsibility under N.D.C.C. § 12.1-04.1-01. Trevino entered a conditional guilty plea to the charge of reckless driving.
[¶ 5] Trevino argues the trial court erred in concluding that reckless driving is a strict liability offense and that no culpability requirement was necessary to convict
[¶ 6] To be valid, a guilty plea must be entered knowingly, intelligently, and voluntarily. State v. Clark, 2010 ND 106, ¶ 8, 783 N.W.2d 274; State v. Blurton, 2009 ND 144, ¶ 10, 770 N.W.2d 231. Rule 11, N.D.R.Crim.P., governs pleas and provides a procedural framework for entering pleas. Generally, a defendant who voluntarily pleads guilty "waives the right to challenge non-jurisdictional defects and may only attack the voluntary and intelligent character of the plea." Blurton, 2009 ND 144, ¶ 18, 770 N.W.2d 231; see also McMorrow v. State, 2003 ND 134, ¶ 5, 667 N.W.2d 577.
[¶ 7] Rule 11(a)(2), N.D.R.Crim. P., however, permits a defendant to enter a conditional guilty plea, reserving in writing the right to appeal an adverse determination of specified pretrial motions, including motions in limine. See State v. Bjerklie, 2006 ND 173, ¶ 4, 719 N.W.2d 359; State v. Winkler, 552 N.W.2d 347, 356 (N.D.1996). Rule 11(a)(2), N.D.R.Crim.P., provides:
(Emphasis added.)
[¶ 8] Here, there is no separate writing reserving the defendant's right to appeal an adverse determination, but there is a transcript of the change of plea hearing. We have said that N.D.R.Crim.P. 11 does not require "ritualistic compliance"; however, a court must "substantially comply with the rule's procedural requirements" to ensure a defendant is entering a voluntary and intelligent guilty plea. Blurton, 2009 ND 144, ¶ 10, 770 N.W.2d 231; Abdi v. State, 2000 ND 64, ¶ 12, 608 N.W.2d 292; State v. Hoffarth, 456 N.W.2d 111, 113-14 (N.D.1990); State v. Storbakken, 246 N.W.2d 78, 83 n. 5 (N.D.1976); see also N.D.R.Crim.P. 52(a) ("Any error, defect, irregularity or variance that does not affect substantial rights must be disregarded.").
[¶ 9] When our rule is derived from a federal rule, we may look to the federal courts' interpretation or construction of identical or similar language as persuasive authority for interpreting our rule. State v. Runck, 534 N.W.2d 829, 831 (N.D.1995); State v. Jenkins, 326 N.W.2d 67, 69-70 n. 4 (N.D.1982); State v. Rueb, 249 N.W.2d 506, 510 (N.D.1976); see also N.D.R.Crim.P. 2, explanatory note. If persuasive, the advisory committee's notes also may provide guidance. Jenkins, at 70 n. 4; see also Weigel v. Weigel, 1999 ND 55, ¶ 7, 591 N.W.2d 123. We consider whether the transcript of Trevino's plea hearing is sufficient to preserve her issue for review.
Arraignment and Pleas, 9 Fed. Proc., L.Ed., § 22:919 (2005) (citing United States v. Yasak, 884 F.2d 996 (7th Cir. 1989)).
[¶ 11] In United States v. Garcia, 339 F.3d 116, 118 (2d Cir.2003), the court of appeals acknowledged that circuit courts have split regarding whether the formal writing requirements of F.R.Crim.P. 11(a)(2) may be excused. See Garcia, at 118 (comparing United States v. Herrera, 265 F.3d 349, 352 (6th Cir.2001) ("The rule states plainly that a conditional guilty plea must be in a writing . . . . There is no such writing in this case. Therefore, [the defendant] has waived his right to appeal the district court's order denying the pre-plea suppression motion."), with United States v. Bell, 966 F.2d 914, 916-17 (5th Cir.1992) (excusing Rule 11(a)(2)'s writing requirement under Rule 11(h), on grounds that failure to comply did not affect substantial rights), and Yasak, 884 F.2d at 1000 (excusing lack of writing on grounds the plea transcript text, showing consent of the government and trial court, functioned as a sufficient writing)). In Pierre, 120 F.3d at 1155-56, the court of appeals also observed that the rule did not define government consent and that the circuits had further divided on the interpretation of this provision of the rule:
Pierre, 120 F.3d at 1155 n. 2.
[¶ 12] We need not, however, address further any circuit split here. Federal
Elizalde-Adame, 262 F.3d at 639 (citing Markling, 7 F.3d at 1313; Yasak, 884 F.2d at 999-1000); see also United States v. Vasquez-Martinez, 616 F.3d 600, 604 (6th Cir.2010) (writing requirement excused only because a defendant "`made it clear that he wished to preserve his right to appeal, the government acknowledged that he could appeal, and the court accepted that [reservation of appellate rights]'"); United States v. Ormsby, 252 F.3d 844, 848 n. 3 (6th Cir.2001) (failure of conditional plea to reserve right to appeal in writing may be excused when harmless; lack of writing excused when transcript was clear that defendant's plea was conditional, the government consented to the conditional plea, and the trial court approved the conditional plea); Faubion v. State, 233 P.3d 926, 929 (Wyo.2010) (record showed both parties and judge in nolo contendere proceeding fully aware of issue to be preserved for appeal); see also 9 Fed. Proc., L.Ed., § 22:919.
[¶ 13] Here, the plea hearing transcript plainly provides that Trevino was entering a conditional guilty plea, reserving the right to appeal the trial court's prior "strict liability ruling":
(Emphasis added.)
[¶ 14] When the trial court queried whether the State understood that Trevino was entering a conditional guilty plea, the assistant state's attorney agreed, and the court accepted Trevino's conditional plea. Based on this transcript, both the State and the court consented to entry of the defendant's conditional guilty plea. Furthermore, the State on appeal has neither argued that Trevino's guilty plea was not conditional nor that the State did not consent to the conditional plea. Although we hold the transcript in this case is sufficient to comply with N.D.R.Crim.P. 11(a)(2), we again reiterate that the best practice is to comply with the rule's specific writing requirements. See Proell, 2007 ND 17, ¶ 15, 726 N.W.2d 591.
[¶ 15] We next consider whether the trial court's "strict liability ruling" was an "adverse determination" under N.D.R.Crim.P. 11(a)(2). Here, the State filed a motion in limine to exclude Trevino from admitting certain expert testimony regarding her mental health. The State also filed a brief in opposition to any culpability requirement as an essential element of the offense. Trevino opposed the State's motion and argued in favor of a culpability requirement.
[¶ 16] In denying the State's motion, the trial court concluded that reckless driving under N.D.C.C. § 39-08-03 was a strict liability offense with no culpability requirement. Although the court held that a law enforcement officer would be permitted to testify at trial regarding Trevino's state of mind at the time of the arrest, the court further held that Trevino would be barred from raising the defense of lack of criminal responsibility under N.D.C.C. § 12.1-04.1-01. The court reasoned that because N.D.C.C. § 12.1-04.1-01 requires an essential element of the offense to be that the individual acted "willfully," and because the court held N.D.C.C. § 39-08-03 has no culpability requirement, Trevino could not assert the defense of lack of criminal responsibility.
[¶ 17] Similar to the present case, in United States v. Ray, 411 F.3d 900, 902-03 (8th Cir.2005), the court of appeals addressed
[¶ 18] On appeal, the government argued, in essence, that the trial court's ruling was not an "adverse determination" under F.R.Crim.P. 11(a)(2), and it was impossible to meaningfully assess the impact of a potential jury instruction when there was no trial and no evidence considered by the jury. Ray, 411 F.3d at 903. The court of appeals, however, concluded that the judge's refusal to instruct a jury on a defense is equivalent to holding that a defense is untenable. Id. at 903. The court further explained that F.R.Crim.P. 11(a)(2) establishes that "issues decided in motions in limine are not inherently too speculative for appeal" and "many appellate courts have, pursuant to this rule, reviewed district courts' pretrial decisions on the availability of defenses." 411 F.3d at 903 (citing United States v. Benning, 248 F.3d 772, 775 (8th Cir.2001); United States v. Santiago-Godinez, 12 F.3d 722, 725 (7th Cir.1993)).
[¶ 19] Here, the trial court's order denying the State's motion in limine also held that Trevino would be precluded from raising the defense of lack of criminal responsibility under N.D.C.C. § 12.1-04.1-01. Although the court denied the motion, the effect of the court's decision was to completely bar Trevino's claimed defense at trial. The State has not argued on appeal that Trevino has either failed to raise or properly preserve a defense based on lack of criminal responsibility. Cf. State v. Byzewski, 2010 ND 30, ¶ 5, 778 N.W.2d 551 (addressing merits of defendant's constitutional challenge when the State had not raised a timeliness issue concerning the defendant's ability to challenge protection order). We therefore conclude that the trial court's order constitutes an "adverse determination" under N.D.R.Crim.P. 11(a)(2), and we address the merits of Trevino's argument.
[¶ 20] Trevino argues the trial court erred in concluding that reckless driving under N.D.C.C. § 39-08-03 is a strict liability offense with no culpability requirement. Trevino's argument presents a legal issue regarding the proper interpretation of N.D.C.C. § 39-08-03.
[¶ 21] Our standard of review for interpreting a criminal statute is well-established:
State v. Buchholz, 2005 ND 30, ¶ 6, 692 N.W.2d 105 (quoting State v. Laib, 2002 ND 95, ¶ 13, 644 N.W.2d 878 (citations omitted)). Under N.D.C.C. § 1-01-09, "[w]henever the meaning of a word or phrase is defined in any statute, such definition is applicable to the same word or phrase wherever it occurs in the same or subsequent statutes, except when a contrary intention plainly appears." Additionally, "[t]echnical words and phrases and such others as have acquired a peculiar and appropriate meaning in law, or as are defined by statute, must be construed according to such peculiar and appropriate meaning or definition." N.D.C.C. § 1-02-03.
[¶ 22] In the amended pleadings, the State charged Trevino with reckless driving under either N.D.C.C. § 39-08-03(1) or (2), which provides:
(Emphasis added.)
[¶ 23] North Dakota's reckless driving statute was initially adopted in 1927 as part of the Uniform Motor Vehicle Act Regulating the Operation of Vehicles. See 1927 N.D. Sess. Laws ch. 162, §§ 3, 63. This statute stated in relevant part: "Any person who drives any vehicle upon a highway carelessly and heedlessly in wilful or wanton disregard of the rights or safety of others, or without due caution and circumspection and at a speed or in a manner so as to endanger or be likely to endanger any person or property, shall be guilty of reckless driving . . . ." Id. at § 3. A historical note to the uniform provision indicates this section was "intended to proscribe any wilful or wanton driving that endangered life, limb or property, even though its wording appears to allow an alternative interpretation encompassing a second offense based on lesser degrees of driving misconduct." U.V.C.A. § 11-901(a) (1967) (citing "Notes to Uniform Act Regulating the Operation of Vehicles on Highways," UVC Act IV, at page 104 (1926)).
[¶ 24] The reckless driving statute was subsequently codified into three elements at N.D.R.C. § 39-0803 (1943), providing in part:
However, as we explained in State v. Tjaden, 69 N.W.2d 272, 281 (N.D.1955), "[u]nder the original law a driver commits reckless driving either by driving `carelessly and heedlessly in wilful or wanton disregard of the rights or safety of others,' or by driving `without due caution and circumspection and at a speed or in a manner so as to endanger or be likely to endanger any person or property.'" "Driving only `without due caution and circumspection' was not intended to set out a separate way of committing reckless driving." Id.
[¶ 25] After this Court's decision in Tjaden, the legislature revised N.D.R.C. § 39-0803, to provide in part:
1959 N.D. Sess. Laws ch. 289, § 10. We said in State v. Kreiger, 138 N.W.2d 597, 600 (N.D.1965), that to sustain a conviction for reckless driving, the State must prove the elements under either of the subsections, i.e., that the defendant's conduct constituted reckless driving under either subsection (1) or (2).
[¶ 26] In 1975, the legislature again revised the reckless driving section into its present form. See 1975 N.D. Sess. Laws ch. 349, § 5. Notably, the legislature replaced the phrase "[c]arelessly and heedlessly in willful or wanton disregard of the rights or safety of others," with "[r]ecklessly in disregard of the rights or safety of others." Id. at § 5. The 1975 revision did not define the word "recklessly."
[¶ 27] Section 12.1-02-02(1)(c), N.D.C.C., provides a definition of "recklessly" for purposes of Title 12.1:
(Emphasis added.) The legislature enacted this statutory definition in 1973 as a part of the comprehensive revision of the criminal code. See 1973 N.D. Sess. Laws ch. 116, § 2. As previously discussed, just two years later in 1975, the legislature amended N.D.C.C. § 39-08-03(1), to replace the phrase "[c]arelessly and heedlessly in willful or wanton disregard" with simply "[r]ecklessly in disregard."
[¶ 28] Generally, statutes have defined reckless driving "as the operation of an automobile under such circumstances as to show a reckless disregard of the consequences, or conscious and intentional driving which the driver knows or should know creates an unreasonable risk of harm to others." 16 Blashfield Automobile Law and Practice § 490.67, at 151-53 (4th ed. 2003) (footnotes omitted). "Other statutes include the elements of willfulness and wantonness." Id. at 153-54; see also Edward
Fisher, supra at 325-26 (footnote omitted). In State v. Sullivan, 227 N.W. 230, 231-32, 58 N.D. 732, 736-37 (1929), this Court said that the words "reckless" and "heedless" have been held to be "practically synonymous" and that "[t]his includes the element of disregard of the rights of others, for when one proceeds heedlessly he is not thinking of or considering the rights of other drivers." (Emphasis added.)
[¶ 29] Although our legislature did not define the term "recklessly" in N.D.C.C. § 39-08-03, we presume the legislature was aware of the significant criminal code revision undertaken two years earlier, which provided specific definitions for several terms. While N.D.C.C. § 12.1-02-02 may be directly applicable to the offenses in N.D.C.C. tit. 12.1, when appropriate, this Court has also looked to Title 12.1 to affirmatively define words found in statutory sections outside of Title 12.1. See, e.g., State v. Skarsgard, 2007 ND 159, ¶ 7, 740 N.W.2d 64 (applying definition of "offense" in N.D.C.C. § 12.1-01-04(20) to N.D.C.C. §§ 39-08-01 and 39-06-42); State v. Benson, 376 N.W.2d 36, 41 (N.D. 1985) (stating N.D.C.C. § 12.1-02-02 was an "appropriate source" to define "intent" outside of Title 12.1); Snortland v. Crawford, 306 N.W.2d 614, 622 (N.D.1981) (applying Title 12.1 to other code sections when the sections are penal in nature); see also N.D.C.C. §§ 1-01-09, 1-02-03.
[¶ 30] Here, in its order denying the State's motion in limine, the trial court concluded that N.D.C.C. § 39-08-03, does not include a culpability requirement. The court stated that "the statute merely describes the manner of driving which constitutes the offense—recklessly or without due caution and circumspection." The court concluded the statute provided "a strict liability offense punishable without regard to intent, knowledge, willfulness, or negligence." The court also declined to apply N.D.C.C. § 12.1-02-02(2), stating this section only applies to offenses or crimes in Title 12.1 and any reliance on the statute would be misplaced based on our decision in State v. Olson, 356 N.W.2d 110 (N.D.1984).
[¶ 31] In Olson, 356 N.W.2d at 112, this Court held that N.D.C.C. § 39-08-07, which governs a driver's duty to stop upon colliding with an unattended vehicle, is a strict-liability offense because the section contains no culpability requirement. This Court also declined to apply N.D.C.C. § 12.1-02-02(2), providing for a culpability of "willfully" when "a statute defining a crime does not specify any culpability and does not provide explicitly that a person may be guilty without culpability," because this culpability requirement applies only to offenses or crimes described in Title 12.1, and did not apply to N.D.C.C. § 39-08-07. Olson, at 112. In this case, however, we are applying a definition from N.D.C.C. § 12.1-02-02(1) to affirmatively define a culpability term which is present in N.D.C.C. § 39-08-03, rather than implying a culpability where none is provided. We therefore conclude the trial court's reliance on Olson is misplaced.
[¶ 32] The State argues that reckless driving is a strict liability offense, because "reckless" in the statute refers to driving
[¶ 33] For purposes of N.D.C.C. § 39-08-03, the relevant "conduct" would be "driving." Section 39-08-03(1), N.D.C.C., provides that a person is guilty of "reckless driving" if the person "drives" a vehicle "[r]ecklessly in disregard of the rights or safety of others." Section 12.1-02-02(1), N.D.C.C., defines various levels of culpability and is introduced by the phrase, "a person engages in conduct." While "driving" is the conduct and driving a vehicle "in disregard of the rights or safety of others" may be the wrongful conduct under N.D.C.C. § 39-08-03(1), the wrongful conduct must still be done by the person "recklessly." We conclude that N.D.C.C. § 39-08-03(1) requires the State prove the defendant drove "recklessly" and incorporates the definition of "recklessly" from N.D.C.C. § 12.1-02-02(1)(c) as an element of the offense.
[¶ 34] Likewise, under N.D.C.C § 39-08-03(2), the relevant conduct is again "driving" a vehicle and the wrongful conduct is driving "at a speed or in a manner so as to endanger or be likely to endanger any person or the property of another." However, the wrongful conduct must still be done by the person "without due caution and circumspection" to be reckless driving under the statute. We also recognize that the phrase "without due caution and circumspection" has not been further defined by our legislature.
[¶ 35] In Tjaden, 69 N.W.2d at 280, this Court generally explained that "[t]he use of that phrase [without due caution and circumspection] in the criminal statute has been construed in a number of cases and it has been generally held that in order to constitute a crime something more than what is expressed in that phrase as ordinarily understood must be stated." The Court continued:
Id. (citations omitted). We decline, however, to further define the phrase here because it is not apparent the issue would be dispositive on remand and because the issue has not been thoroughly briefed and presented on appeal.
[¶ 36] For the forgoing reasons, we hold the trial court erred in concluding that reckless driving under N.D.C.C. § 39-08-03 is a strict liability offense and in precluding Trevino's defense of lack of criminal responsibility. Our decision should not be construed, however, as holding that Trevino's defense may not be precluded on other grounds.
[¶ 37] We reverse the judgment, and we remand to allow Trevino to withdraw her guilty plea and for further proceedings consistent with this opinion.
[¶ 38] DANIEL J. CROTHERS and CAROL RONNING KAPSNER, JJ., concur.
VANDE WALLE, Chief Justice, concurring specially.
[¶ 39] Although I have serious misgivings about the result of the majority opinion, I nevertheless concur in that result.
[¶ 40] The crime of reckless driving is found in N.D.C.C. tit. 39. The lack of criminal responsibility statutes are found in N.D.C.C. tit. 12.1. In City of Dickinson v. Mueller, 261 N.W.2d 787, 789 (N.D. 1977), this Court held that N.D.C.C. § 12.1-02-02(2), providing that if there is no culpability prescribed in a statute, the culpability that is required is willfully, "applies only to the offenses or crimes described in Title 12.1, N.D.C.C., and therefore does not apply to Section 5-02-06, N.D.C.C." In State v. North Dakota Education Association, 262 N.W.2d 731, 733-34 (N.D.1978), this Court held that N.D.C.C. § 12.1-02-02 did not apply to a crime under ch. 16-20, the Corrupt Practices Act. See N.D.C.C. § 12.1-02-02 ("For the purposes of this title . . . ."). Nevertheless, in Snortland v. Crawford, 306 N.W.2d 614, 622 (N.D.1981), the Court concluded that the term "knowingly" as defined in N.D.C.C. § 12.1-02-02(1)(b) should apply to that term as it was used in N.D.C.C. § 16-20-17.3. Under our precedent, I cannot disagree with the majority's use of the definition of the term "recklessly" as used in N.D.C.C. § 12.1-02-02(1) to define that term as it is used in N.D.C.C. § 39-08-03. I also agree that State v. Olson, 356 N.W.2d 110 (N.D.1984), is distinguishable in that, like State v. North Dakota Education Association, the statute at issue in Olson contained no term of culpability.
[¶ 41] While I believe our statutes and our prior decisions lead to the result reached by the majority opinion, I am not entirely convinced that is what our Legislature intended. It is as rational to construe the term "recklessly" as used in N.D.C.C. § 39-08-03 to define the nature of the driving as it is to construe the term to refer to the culpability of the driver. Nevertheless, I agree with the majority that if a criminal statute is ambiguous, we construe it in favor of the defendant.
[¶ 42] Finally, I note this issue arose in the trial court with regard to whether or not the defendant would be permitted to introduce evidence of her mental health to show a lack of criminal responsibility. The lack of criminal responsibility is not an affirmative defense; rather, once evidence of lack of criminal responsibility is introduced into a trial, it becomes the burden of the State to affirmatively prove the defendant had the requisite intent to commit the crime. State v. Johnson, 2001 ND 184, 636 N.W.2d 391. Thus, under N.D.C.C. § 12.1-04.1-01(1), whenever evidence of any mental disease or defect is introduced in a case charging reckless driving, it will be the burden of the State to prove there was no mental disease or defect.
[¶ 43] In light of the number of drivers on the streets and highways, the charge of reckless driving is a somewhat ubiquitous offense carrying a penalty of a class B misdemeanor. In order to convict for that offense the State may now be required to engage expert witnesses to prove the defendant had the requisite intent to drive recklessly. But, notwithstanding the mental state of the defendant, a person who drives in a foolhardy manner is a menace to the many other people using the streets
[¶ 44] GERALD W. VANDE WALLE, C.J.
SANDSTROM, Justice, concurring specially.
[¶ 45] The majority opens the offense of reckless driving to the N.D.C.C. § 12.1-04.1-01 defense of lack of criminal responsibility because of a "mental disease or defect."
[¶ 46] A person avoiding a reckless driving conviction on this basis may be subject to summary suspension of driving privileges without prior notice, and to subsequent revocation, under N.D.C.C. § 39-06-34:
(Emphasis added.)
[¶ 47] The person's license might also be subject to suspension under N.D.C.C. § 39-06-32(2):
[¶ 48] In addition, under N.D.C.C. § 39-06-03, a person with such a mental disability or disease may be ineligible to have a driver's license:
[¶ 49] DALE V. SANDSTROM