Hutton v. State , 350 P.3d 793 ( 2015 )


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    THE SUPREME COURT OF THE STATE OF ALASKA
    TRACY G. HUTTON,                )
    )                        Supreme Court No. S-15266
    Petitioner,          )                        Court of Appeals No. A-10836
    )
    v.                         )                        Superior Court No. 3AN-08-11797 CR
    )
    STATE OF ALASKA,                )                        OPINION
    )
    Respondent.          )                        No. 7014 – June 5, 2015
    _______________________________ )
    Petition for Hearing from the Court of Appeals of the State of
    Alaska, on appeal from the Superior Court of the State of
    Alaska, Third Judicial District, Anchorage, Patrick J. McKay
    and Jack W. Smith, Judges.
    Appearances: Renee McFarland, Assistant Public Defender,
    and Quinlan Steiner, Public Defender, Anchorage, for
    Petitioner. Kenneth M. Rosenstein, Assistant Attorney
    General, Office of Special Prosecutions and Appeals,
    Anchorage, and Michael C. Geraghty, Attorney General,
    Juneau, for Respondent.
    Before: Fabe, Chief Justice, Stowers, and Maassen, Justices.
    [Winfree and Bolger, Justices, not participating.]
    STOWERS, Justice.
    I.     INTRODUCTION
    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 appellate court should review
    the superior court’s factual findings for clear error and its ultimate conclusion regarding
    the waiver’s constitutional validity de novo because whether a defendant made a
    constitutionally valid waiver is a mixed question of law and fact.
    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.
    II.    FACTS AND PROCEEDINGS
    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.1 Because he had a prior felony conviction, the State also charged him with
    1
    Under AS 11.61.190(a) a person commits first-degree weapons misconduct
    if “the person . . . discharges a firearm from a propelled vehicle while the vehicle is being
    (continued...)
    -2-                                        7014
    weapons misconduct in the third degree: “knowingly possess[ing] a firearm capable of
    being concealed on one’s person after having been convicted of a felony . . . by a court
    of this state, a court of the United States, or a court of another state or territory.”2
    Recklessness is the applicable mental state for the circumstances of this offense.3
    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,”
    1
    (...continued)
    operated and under circumstances manifesting substantial and unjustifiable risk of
    physical injury to a person or damage to property.” As relevant, a person commits
    second-degree weapons misconduct under AS 11.61.195(a)(3) if “the person
    knowingly . . . discharges a firearm at or in the direction of (A) a building with reckless
    disregard for a risk of physical injury to a person; or (B) a dwelling.”
    2
    AS 11.61.200.
    3
    See Afcan v. State, 
    711 P.2d 1198
    , 1199 (Alaska App. 1986).
    -3-                                        7014
    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 and said, “Oh, no, no, no, no. I don’t want to admit that.”
    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.4
    4
    Here is the court’s and Hutton’s colloquy:
    The Court: And understanding that that basically means that,
    with what the jury found, the – there will be a conviction of
    record. Do you understand that?
    Mr. Hutton: Uh-huh (affirmative).
    The Court: And your answer – you’re nodding your head
    yes? Okay.
    Mr. Hutton: Yeah.
    The Court: And you’re doing this knowingly, and you’re
    giving up . . . .
    Mr. Hutton: Yeah.
    The Court: . . . your right to a jury trial . . . .
    (continued...)
    -4-	                                   7014
    Ultimately, the court asked: “You’re waiving your right to a jury trial on the fact — on
    the issue of whether or not you’re a convicted felon. Do you understand that?” Hutton
    answered, “Yes.” The court accepted this waiver and admission.
    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.5 The court
    of appeals affirmed, holding that there was substantial evidence that Hutton had waived
    his right to a jury trial on Count III.6
    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.
    III.   STANDARD OF REVIEW
    Determining the appropriate standard of review is a question of law that we
    review de novo.7 When we review an issue de novo, we “adopt the rule that is most
    persuasive in light of precedent, reason, and policy.”8
    4
    (...continued)
    Mr. Hutton: Yeah.
    5
    Hutton v. State, 
    305 P.3d 364
    , 370 (Alaska App. 2013).
    6
    
    Id. at 371.
           7
    In re Life Ins. Co. of Alaska, 
    76 P.3d 366
    , 368 (Alaska 2003) (“The
    question whether the superior court applied the proper standard of review in denying
    [the] claim is a question of law to which we apply our independent judgment.”); see also
    VECO Alaska, Inc. v. State, Dep’t of Labor, Div. of Workers’ Comp., Second Injury
    Fund, 
    189 P.3d 983
    , 987 (Alaska 2008) (deciding the standard of review as a matter of
    law).
    8
    State v. Gonzales, 
    156 P.3d 407
    , 411 (Alaska 2007) (quoting Guin v. Ha,
    
    591 P.2d 1281
    , 1284 n.6 (Alaska 1979)) (internal quotation marks omitted).
    -5-                                     7014
    IV.	   DISCUSSION
    The State argues that an earlier case, Walunga v. State,9 already decided the
    standard of review for a jury-trial waiver and that, even if it did not decide the issue,
    substantial evidence is the correct standard. Hutton argues that the mixed question of
    law and fact standard is correct because the ultimate issue is a question of law.
    A.	    Walunga v. State Did Not Decide The Standard Of Review For
    Jury-Trial Waivers.
    In 1973, Allen Walunga was charged with first-degree murder and assault
    with intent to kill.10 Walunga filed a written waiver of his right to a jury trial, and his
    counsel later submitted an affidavit stating that Walunga was competent to make a valid
    waiver.11 The superior court did not independently inquire of Walunga whether he was
    competent to make a valid waiver but engaged in its standard colloquy on
    voluntariness.12 Walunga was tried without a jury, convicted, and sentenced to life in
    prison.13 He moved for post-conviction relief, arguing that his jury-trial waiver was
    deficient.14 The superior court concluded that the waiver passed constitutional muster
    because the evidence showed that Walunga was competent.15 Walunga appealed,
    9
    
    630 P.2d 527
    (Alaska 1980) (per curiam).
    10
    See 
    id. at 527.
           11
    
    Id. at 527-28.
           12
    
    Id. at 528
    & n.6.
    13
    
    Id. at 527-28.
           14
    
    Id. at 527.
           15
    State v. Walunga, No. 72-00206 CR, at 4-5 (Alaska Super. 4th Dist,
    Fairbanks, Jan. 26, 1979).
    -6-	                                      7014
    arguing that he was incapable of effectively waiving his right to a jury trial and that the
    superior court erred by not independently inquiring of him whether he was competent.16
    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.17 In the section of our opinion discussing competency, we noted that
    “[n]either party explicitly discusses the standard of review for trial court findings
    regarding waiver of this constitutional right,” and held that the proper standard was
    “substantial evidence.”18 We concluded that there was substantial evidence in the record
    demonstrating that Walunga was competent to waive his rights, and that “sufficient
    evidence of Walunga’s capacity . . . obviate[d] the need to inquire of Walunga himself.”19
    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.”20 And we held
    that the “superior court’s holding [regarding competency] is supported by substantial
    evidence.”21 We explained that “Walunga contend[ed] that [the] inquiry was insufficient,
    16
    
    Walunga, 630 P.2d at 527
    .
    17
    
    Id. at 528
    -29.
    18
    
    Id. at 528
    n.4.
    19
    
    Id. at 529.
           20
    
    Id. at 527
    (footnote omitted).
    21
    
    Id. at 528
    .
    -7-                                       7014
    because it did not delve into his mental state,”22 but “[g]iven the psychiatric
    testimony before the superior court . . . and Walunga’s attorney’s belief in his client’s
    competency . . . [,] there was sufficient evidence of Walunga’s capacity to obviate the
    need to inquire of Walunga himself.”23 Moreover, the cases we cited for the substantial
    evidence standard — Hampton v. State24	 and Naples v. United States25 — only discuss
    competency, not waiver generally.26 And two years after we decided Walunga, we
    explained, “As we noted in Walunga v. State, . . . ‘the proper standard of review is
    whether the superior court’s finding of [competence to make the] waiver is supported by
    substantial evidence.’ ”27 Thus, Walunga did not decide the standard of review for a
    waiver of jury trial.
    B.	    Whether A Defendant Made A Constitutionally Valid Waiver Is A
    Mixed Question Of Law And Fact.
    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 rights28 and voluntariness
    22
    Id.
    23
    
    Id. at 528
    -29.
    24
    
    569 P.2d 138
    (Alaska 1977).
    25
    
    307 F.2d 618
    (D.C. Cir. 1962).
    26
    See 
    Naples, 307 F.2d at 626
    ; 
    Hampton, 569 P.2d at 143
    .
    27
    Dolchok v. State, 
    639 P.2d 277
    , 294 (Alaska 1982) (second alteration in
    original) (quoting 
    Walunga, 630 P.2d at 528
    n.4).
    28
    Miranda v. Arizona, 
    384 U.S. 436
    , 444 (1966) (“Prior to any questioning,
    (continued...)
    -8-	                                      7014
    of confessions,29 because a jury-trial waiver is made in the presence of the trial court, the
    trial court is in the best position to determine the validity of the waiver, and the trial
    court’s decision should be reviewed under the substantial evidence standard.
    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.30 And a definitive
    majority of states that have clearly addressed the topic have also applied the mixed
    28
    (...continued)
    the person must be warned that he has a right to remain silent, that any statement he does
    make may be used as evidence against him, and that he has a right to the presence of an
    attorney, either retained or appointed. The defendant may waive effectuation of these
    rights, provided the waiver is made voluntarily, knowingly[,] and intelligently.”).
    29
    Beavers v. State, 
    998 P.2d 1040
    , 1044 (Alaska 2000) (“A confession is not
    admissible into evidence unless it is voluntary.” (quoting Sovalik v. State, 
    612 P.2d 1003
    , 1006 (Alaska 1980)) (internal quotation mark omitted)).
    30
    United States v. Reynolds, 
    646 F.3d 63
    , 75 (1st Cir. 2011) (“For preserved
    claims, ‘[w]e review factual findings by the district court for clear error and the
    determination of whether a waiver of rights was voluntary de novo.’ ” (quoting
    United States v. Frechette, 
    456 F.3d 1
    , 11 (1st Cir. 2004))); United States v. Griffin,
    394 F. App’x 349, 351 (8th Cir. 2010) (per curiam) (reviewing the jury waiver new
    novo); United States v. Carmenate, 
    544 F.3d 105
    , 107 (2d Cir. 2008) (holding that
    “whether a defendant has effectively waived his federal constitutional rights in a
    proceeding is ultimately [a] legal question” (quoting Oyague v. Artuz, 
    393 F.3d 99
    , 104
    (2d Cir. 2004)) (alteration and internal quotation marks omitted)); United States v. Diaz,
    
    540 F.3d 1316
    , 1321 (11th Cir. 2008) (applying de novo review); United States v. Khan,
    
    461 F.3d 477
    , 491 (4th Cir. 2006) (reviewing whether jury-trial waiver was effective
    de novo); United States v. Watts, 45 F. App’x 323, 2 (5th Cir. 2002) (per curiam)
    (applying de novo review); Lott v. Coyle, 
    261 F.3d 594
    , 610 (6th Cir. 2001) (applying
    de novo review); United States v. Duarte-Higareda, 
    113 F.3d 1000
    , 1002 (9th Cir. 1997)
    (applying de novo review).
    -9-                                        7014
    standard,31 but for differing reasons. A handful of these states have applied de novo
    review because the issue was constitutional,32 but the majority have reviewed the
    31
    See, e.g., State v. Vann, 
    2010 WL 2602000
    , at *2 (Ariz. App.
    June 29, 2010) (“Consequently, we review de novo whether the superior court obtained
    a valid waiver of Vann’s right to a jury trial, but we defer to the court’s factual findings.”
    (citing State v. Winegar, 
    711 P.2d 579
    , 584 (Ariz. 1985))); Brown v. State, 
    721 A.2d 1263
    , 1266 (Del. 1998) (applying de novo review); State v. Gomez-Lobato, 
    312 P.3d 897
    , 900-01 (Haw. 2013) (applying de novo review); State v. Stallings, 
    658 N.W.2d 106
    , 108 (Iowa 2003) (“The adequacy of a jury-trial waiver is a mixed question of fact
    and law, which an appellate court decides de novo.”) overruled on other grounds by
    State v. Feregrino, 
    756 N.W.2d 700
    , 708 (Iowa 2008); State v. Duncan, 
    243 P.3d 338
    , 340-41 (Kan. 2010) (“When the facts are undisputed, whether a defendant
    knowingly and voluntarily waived his right to a jury trial is a question of law subject to
    unlimited review.”); State v. Poole, 
    46 A.3d 1129
    , 1131 (Me. 2012) (“When reviewing
    whether a defendant has effectively waived the jury trial right, we review the court’s
    factual findings for clear error and its legal conclusions de novo.”); State v. Kuhlmann,
    
    806 N.W.2d 844
    , 848-49 (Minn. 2011) (applying de novo review); State v. Thompson,
    
    83 A.3d 388
    , 393 (N.H. 2013) (“Whether the facts support a valid waiver is a question
    of law which we review de novo.” (quoting State v. Foote, 
    821 A.2d 1072
    , 1074
    (N.H. 2003)) (internal quotation marks omitted)); Gallimort v. State, 
    997 P.2d 796
    , 798
    (Nev. 2000) (applying de novo review); State v. Redden, 
    487 S.E.2d 318
    , 323-24
    (W.Va. 1997) (applying de novo review); State v. Anderson, 
    638 N.W.2d 301
    , 306
    (Wis. 2002) (applying de novo review).
    32
    See State v. Gomez-Lobato, 
    312 P.3d 897
    , 900-01 (Haw. 2013) (“The
    validity of a criminal defendant’s waiver of his or her right to a jury trial presents
    a question of state and federal constitutional law. . . . We answer questions of
    constitutional law by exercising our own independent constitutional judgment based on
    the facts of the case.” (alteration in original)); State v. Kuhlmann, 
    806 N.W.2d 844
    ,
    848-49 (Minn. 2011) (“Whether a criminal defendant has been denied the right to a jury
    trial is a constitutional question that we review de novo.”); State v. Vasquez, 
    34 P.3d 1255
    , 1260 (Wash. App. 2001) (“Because it implicates the waiver of an important
    constitutional right, our review is de novo.”); State v. Anderson, 
    638 N.W.2d 301
    , 306
    (Wis. 2002) (“Whether an individual is denied a constitutional right is a question of
    constitutional fact that this court reviews independently as a question of law.” (quoting
    State v. Klessig, 
    564 N.W.2d 716
    , 721 (Wis. 1997)) (internal quotation marks omitted)).
    -10-                                        7014
    ultimate conclusion de novo because the issue is a mixed question of law and fact. There
    are only a few states that after fully considering the issue have applied a deferential
    standard of review.33
    The mixed question of law and fact standard of review correctly reflects the
    reality that whether a defendant made a constitutionally valid waiver of his right to a jury
    trial is a legal question. As both parties agree, the superior court’s underlying factual
    findings should be reviewed for clear error. But the ultimate conclusion drawn from
    those facts — whether a defendant’s waiver is constitutionally sufficient — is a question
    of law the appellate court reviews de novo.
    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.34 In State v. Ridgely, we held that “[w]hen an appellate court reviews a trial
    33
    See State v. Hall, 
    582 A.2d 507
    , 509 (Md. 1990) (“Considering the totality
    of the circumstances in the present case, we think that the trial judge could fairly find that
    Hall intentionally relinquished his known right to a jury trial by his voluntary act in
    waiving that right.” (citation omitted)); Commonwealth v. Schofield, 
    463 N.E.2d 1181
    ,
    1184 (Mass. 1984) (“In the instant case there is adequate support for the judge’s
    decision.”); Defrancisco v. State, 
    656 S.E.2d 238
    , 241 (Ga. App. 2008) (“A trial court’s
    ruling as to whether a defendant knowingly, intelligently, and voluntarily waived his
    right to a jury trial is also reviewed under a clearly erroneous standard.”).
    34
    State v. Ridgely, 
    732 P.2d 550
    , 554 (Alaska 1987) (explaining that
    voluntariness is a mixed question without making any reference to the inquiry happening
    out of the presence of the court); Giacomazzi v. State, 
    633 P.2d 218
    , 222 (Alaska 1981)
    (explaining that waiver is a mixed question without making any reference to the inquiry
    happening out of the presence of the court); Troyer v. State, 
    614 P.2d 313
    , 318
    (continued...)
    -11-                                        7014
    judge’s determination of voluntariness, its standard of review reflects the mixed factual
    and legal nature of the voluntariness inquiry.”35 It is the voluntariness inquiry itself —
    not when or where that inquiry happened — that mandates the mixed standard. The
    issue is whether a certain set of facts legally amounts to a valid constitutional waiver, and
    the trial court is in no better position to answer that legal question than is an appellate
    court. A question of law does not require credibility determinations that merit deferential
    review of the trial court’s decision. We conclude that when an appellate court reviews
    whether a defendant made a constitutionally valid waiver of his right to a jury trial, the
    court should apply the standard for mixed questions of law and fact.
    C.     Hutton’s Waiver Was Invalid.
    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
    34
    (...continued)
    (Alaska 1980) (explaining the standard at length, including giving deference to the
    superior court for the historical facts recited in its presence, but not making any reference
    to the importance of the confession happening out of the view of the court).
    
    35 732 P.2d at 554
    ; see 
    id. (“The voluntariness
    inquiry involves three steps.
    First, the trial judge must find the external, phenomenological facts surrounding the
    confession. Second, from these external facts, the judge must infer an internal,
    psychological fact: the mental state of the accused. Finally, the judge must assess the
    legal significance of this inferred mental state.”).
    -12-                                       7014
    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.”36 In the trial judge’s colloquy with Hutton, Hutton was
    advised that the State only needed to prove the four elements set out in
    AS 11.61.200(a)(1) to prove its case. Hutton was not advised that the State would also
    have to prove beyond a reasonable doubt that at the time Hutton possessed the handgun
    he was aware of or recklessly disregarded the fact that he was a felon.
    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.”37 The State’s
    36
    
    711 P.2d 1198
    , 1199 (Alaska App. 1986) (emphasis added).
    37
    Here is the full exchange between the court and the State’s attorney at oral
    argument:
    Justice Stowers: This is essentially the very beginning of the
    process and this is where the trial judge at this point is trying
    to get the defendant to admit the prior felonies. And so the
    court says, basically there are two elements to that crime:
    one is you’re carrying a concealed firearm knowingly, which
    (continued...)
    -13-                                       7014
    37
    (...continued)
    the jury has already found, and the second one is that you
    have been convicted of a felony either as an adult or as a
    juvenile; are you willing to admit that? And then a little bit
    later . . . the trial judge talks a little about we can bring the
    jury back in and let the jury decide whether you’re a prior
    felon.
    But as has been pointed out here . . . to actually . . . have been
    convicted of the third-degree weapons misconduct the jury
    must find the defendant knowingly possesses a firearm
    capable of being concealed on the person after having been
    convicted of a felony, and that the defendant was reckless
    with respect to the fact that he had been previously been
    convicted of the felony. And the trial judge at no point
    discussed the recklessness element, and there is an argument
    that’s being made that this recklessness element is
    quintessentially a factual question that Mr. Hutton was
    entitled to have a jury decide — not just did he possess
    knowingly a firearm that could be concealed, and not just did
    he have a prior felony conviction, but also that he recklessly
    disregarded the knowledge of this prior felony conviction.
    My question is, in all of this colloquy, looking at this from a
    totality of the circumstances standard, how can I conclude
    reasonably that Mr. Hutton waived his right to a jury trial on
    this recklessly disregard element when it was never discussed
    with him; how could that be an intelligent waiver, how could
    it be a knowing waiver, and ultimately how could it be a
    constitutionally effective waiver? Or, to put it another way,
    and I’m not trying to prolong this, where is the substantial
    evidence, even if we were to accept your view, that his was
    knowing, and intelligent, and voluntary.
    Mr. Rosenstein: That’s a problem. I mean, the omission of an
    element of the offense and the proof that would be required
    is a significant problem.
    (continued...)
    -14-                                  7014
    forthright concession is commendable and well-taken. Hutton could not have made a
    knowing, intelligent, and voluntary waiver of his right to a jury trial when he was not
    advised of a necessary element of the charged offense and the State’s burden to prove
    that element beyond a reasonable doubt. Hutton’s conviction on Count III must be
    reversed and the case remanded for a new trial on that count.
    V.     CONCLUSION
    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.
    37
    (...continued)
    Justice Stowers: Does it have to go back on that element —
    that issue alone? Isn’t that enough under either standard —
    the substantial evidence or the mixed question?
    Mr. Rosenstein: I . . . you know, in all honesty, I would have
    to say yes. I can’t make a silk purse out of that. It’s an
    essential element of the offense . . . he wasn’t advised of it.
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