Lead Opinion
OPINION
This case presents the issue of whether a defendant who has waived his right to a jury trial must renew that waiver when the State subsequently amends the complaint to add a new charge. Appellant Antoine Rumel Little was found guilty of one count of first-degree criminal sexual conduct, in violation of Minn.Stat. § 609.342, subd. l(e)(i) (2012), one count of third-degree criminal sexual conduct, in violation of Minn.Stat. § 609.344, subd. 1(b) (2012), and one count of fourth-degree criminal sexual conduct, in violation of Minn.Stat. § 609.345, subd. 1(b) (2012). As relevant to this appeal, Little argues that the district court committed reversible error when it failed to obtain his personal jury-trial waiver on the first-degree criminal sexual conduct charge. The court of appeals affirmed Little’s first-degree criminal sexual conduct conviction. For the reasons discussed below, we reverse the court of appeals, vacate Little’s conviction for first-degree criminal sexual conduct, and remand to the district court for further proceedings consistent with this opinion.
In the winter of 2010 the victim, 14-year-old S.M.L., was introduced to Little. Sometime in early February, S.M.L., her sister, Little, and several others, were smoking marijuana and drinking alcohol in a Rochester apartment. Around 1 a.m., S.M.L. went to sleep in one of the apartment’s two bedrooms. In the middle of the night, Little got into bed with S.M.L. and began groping her. When Little proposed that the two have sex, S.M.L. refused. Little then inserted his penis in S.M.L.’s anus. S.M.L. told Little to stop several times. After 5 to 10 minutes he finally stopped. After the encounter, S.M.L. went to the bathroom to check to see if she was okay and found blood on the toilet paper. Several days later, S.M.L. told a friend of her sister and her cousin about the encounter. This information made its way to S.M.L.’s mother, who confronted S.M.L. S.M.L. told her mother what had happened, and her mother reported the assault to the police.
On July 8, 2010, the State filed a complaint against Little charging him with third- and fourth-degree criminal sexual conduct. At a pretrial hearing on January 20, 2011, Little waived his right to a jury trial during the following colloquy:
THE COURT: Mr. Little, your attorney has indicated that you want to waive your right to have a trial by jury, is that correct?
LITTLE: Yes, sir.
THE COURT: And you understand that if you have a trial by jury that— that under the law you’re presumed innocent and that the State has the burden of proving you guilty beyond a reasonable doubt?
LITTLE: Yes, sir.
THE COURT: And that they have to convince twelve jurors that you are guilty beyond a reasonable doubt and they have to convince them of that with*881 respect to each and every element of the offense?
LITTLE: Yes, sir.
THE COURT: And that if you waive that right to have a jury trial, the — the presumption of innocence and the burden of proof of beyond a reasonable doubt remain in place but then the — the State only has to convince one person, that is the judge who will hear the case, that you’re guilty, you understand that?
LITTLE: Yes, sir.
THE COURT: And it is your right to waive that and to have this tried to the Court, do you understand that?
LITTLE: Yes, sir.
THE COURT: And is that what you’ve decided to do?
LITTLE: Yes, sir.
THE COURT: And you’ve consulted with your attorney about the wisdom of that and the consequences of doing it?
LITTLE: Yeah.
THE COURT: And you’ve weighed your options in terms of having the jury trial versus having a court trial?
LITTLE: Yes, sir.
THE COURT: And — And it’s your own free and voluntary decision then to waive your right to a jury trial and ask that this be tried to the Court?
LITTLE: Yes, sir.
THE COURT: And no one’s threatened you or coerced you or forced you to do that, have they?
LITTLE: No, sir.
THE COURT: And you’re not doing this just because you’re in custody and you think it might make things go faster, are you?
LITTLE: Yeah, in a way.
THE COURT: You’re doing it because of that or you’re not?
LITTLE: No, no, no.
THE COURT: All right. You just decided it’s in your best interest to try this to the Court rather than to a jury, is that correct?
LITTLE: Yeah.
On February 1, 2011, the State filed an amended complaint adding the first-degree criminal sexual conduct charge. Little never personally received a copy of the amended complaint. At a hearing on February 2, 2011, the court asked counsel whether a record had been made of Little’s jury-trial waiver. Both defense counsel and the prosecutor indicated that a record had been made at an earlier pretrial hearing. Little did not personally, either in writing or on the record, waive his right to a jury trial on the amended charge of first-degree criminal sexual conduct at the hearing on February 2 or at any other time. Indeed, during his pre-sentence investigation, Little stated that he did not know the State had added the first-degree criminal sexual conduct charge until he was found guilty. The trial took place on February 3, 2011, with the court serving as fact-finder. The State called four witnesses: S.M.L., two law enforcement officials who had interviewed S.M.L., and a physician assistant who had examined her. Little was the defense’s only witness. At the conclusion of the trial on February 4, the district court found Little guilty of all three counts. Little filed a post-trial motion for a new trial. The district court denied the motion and sentenced Little to 153 months in prison.
On appeal to the court of appeals, Little argued that the district court erred when it failed to obtain a personal waiver of his right to a jury trial on the charge of first-degree criminal sexual conduct. State v. Little, A11-2319,
I.
Before our court, Little renews his argument that the district court erred when it failed to obtain a personal waiver of his right to a jury trial after the State amended the complaint to include the charge of first-degree criminal sexual conduct. We agree. Under both the United States and Minnesota Constitutions, a defendant is entitled to trial by jury. U.S. Const. art. Ill, § 2, cl. 3; U.S. Const. amend. VI; Minn. Const. art. 1, §§ 4, 6. In Minnesota, the right to a jury trial attaches whenever a defendant is charged with an offense that has an authorized penalty of incarceration. Minn. R.Crim. P. 26.01, subd. l(l)(a); see also State v. Weltzin,
Little acknowledges that the district court obtained a personal waiver of his right to a jury trial at the January 20, 2011, pretrial hearing. Nevertheless, he contends that the January 20 waiver does not extend to the charge of first-degree criminal sexual conduct because the State added the charge after that date. More specifically, Little argues that a waiver cannot be knowing and intelligent if the defendant does not know the relevant circumstances and consequences of the waiver. See Brady,
The State argues that all a defendant needs to understand when waiving the right to a jury trial are the basic components of a jury trial. See Ross,
For more than 100 years, we have held that a jury-trial waiver only applies to issues formed at the time of the waiver and not to issues added after the waiver. McGeagh v. Nordherg,
We recognize that the jury-trial-waiver issue in McGeagh arose in the context of a civil case. But the State has not articulated, nor can we discern, any reason why our reasoning in McGeagh should not apply with equal force to criminal defendants, who are generally given greater procedural protections than parties in civil proceedings. See Turner v. Rogers, — U.S. -,
II.
Having concluded that a renewed jury-trial waiver was required in this case, we next consider the State’s argument that Little validly waived his right to a jury trial on the first-degree criminal sexual conduct charge at the February 2 pretrial hearing. The State’s argument relies on defense counsel’s statement that a record had been made of Little’s waiver “last Thursday at the pre-trial.” Our rules, however, explicitly state that a “defendant ... may waive a jury trial on the issue of guilt provided the defendant does so personally, in writing or on the record in open court.” Minn. R.Crim. P. 26.01, subd. l(2)(a) (emphasis added). Because the statement relied on by the State came from Little’s attorney — not Little himself — the statement does not satisfy the requirements of Minn. R.Crim. P. 26.01. We therefore conclude that the district court erred when it failed to obtain a personal waiver of Little’s right to a jury trial on the first-degree criminal sexual conduct charge.
III.
Because the district court erred when it failed to obtain a personal waiver of Little’s right to a jury trial on the first-degree criminal sexual conduct charge, we must consider what, if any, relief is appropriate. Little contends that forfeiture and plain error analysis do not apply to the requirement that defendants affirmatively waive their jury-trial rights. The State argues that, because Little failed to object, the error is subject to plain error review. The State further contends that the error was not a plain error that affected Little’s substantial rights, and, therefore, Little is
Having already concluded that the district court erred, we next turn to whether the error was plain. An error is “plain” if it is clear and obvious at the time of appeal. Id. at 741. An error is clear or obvious if it “contravenes case law, a rule, or a standard of conduct.” State v. Ramey,
We now turn to the third prong of our plain-error analysis, whether the error affected Little’s substantial rights. Griller,
Under the facts of this case, we conclude that there is a reasonable likelihood that the district court’s failure to obtain Little’s personal jury-trial waiver on the charge of first-degree criminal sexual conduct had a significant effect on the proceedings. The day after the State amended the complaint, Little reached a plea deal with the
The concurrence and dissent contends that Little cannot establish that the error affected his substantial rights because “Little has not offered any evidence on whether he would have sought a jury trial had he been properly informed of his rights.” But this requirement would place Little in an impossible position for at least two reasons. First, the record on appeal is generally limited to the papers, transcripts, and exhibits entered in the district court. Minn. R.Crim. P. 28.02, subd. 8; Plowman v. Copeland, Buhl & Co.,
The concurrence and dissent ultimately concludes that Little likely would have waived his right to a jury trial on the added charge, reasoning that the first-degree criminal sexual conduct charge involved the same underlying conduct as the existing charges. It is true that the con
Having concluded that the error was plain and affected Little’s substantial rights, we must consider whether reversal is required “to ensure fairness and the integrity of the judicial proceedings.” Griller,
IV.
In summary, under our existing case law it is plain and obvious that when the State
Reversed and remanded.
Notes
. We also note that the pretrial hearing to which defense counsel referred occurred before Little was charged with first-degree criminal sexual conduct. Because Little had not yet been charged, with first-degree criminal sexual conduct, he could not have waived his right to a jury trial on that charge.
. Little contends that State v. Osborne,
The State cites Roby v. State,
. The concurrence and dissent suggests that Little could have shown that there is a reasonable likelihood that he would not have waived his right to a jury trial by "submitting] an affidavit stating that he would not have waived his jury-trial right had he known of the charge of first-degree criminal sexual conduct." While hindsight may be 20/20, such a self-serving affidavit would lack credibility. The fact is that, without knowing about the charge and without having been given the waiver advisory with respect to that charge by the district court, it is impossible for Little to establish what he would have done at the time. At most, Little can only speculate now about what he would have done then. We also note that because this case is on direct appeal, Little cannot at this point submit such an affidavit.
The concurrence and dissent also suggests that Little could have "pointed to evidence in the existing record that provided insight into his views regarding a jury trial." But given Little’s lack of knowledge and the fact that the waiver advisory was not given, no record was or could have been made with respect to what he might have done had he been properly informed.
. A third-degree criminal sexual conduct charge requires the State to prove sexual penetration, that the victim was between 13 and 16 years old at the time of the incident, and that the defendant is more than 24 months older than the victim. See Minn.Stat. § 609.344, subd. 1(b). First-degree criminal sexual conduct requires the State to prove sexual penetration, personal injury, and the use of force or coercion. See Minn.Stat. § 609.342, subd. l(e)(i). The only overlap between the two offenses is the element of sexual penetration. Thus, in this case, the original charge focused on whether Little engaged in sexual penetration and the relative age of S.M.L and Little, while the amended charge of first-degree criminal sexual conduct focused on whether Little engaged in sexual penetration and whether he caused personal injury and used force or coercion. Compare Minn.Stat. § 609.344, subd. 1(b), with Minn. Stat. § 609.342, subd. l(e)(i).
The presumptive sentence for a defendant, like Little, with a criminal history score of three convicted of third-degree criminal sexual conduct ranges between 60 and 84 months. Minn. Sent. Guidelines 4.B. The presumptive sentence for a defendant with a criminal history score of three convicted of first-degree criminal sexual conduct ranges between 153 and 216 months. Id.
Concurrence Opinion
(concurring in part, dissenting in part).
I join Part I of the court’s opinion. I agree that the district court erred in this case when it conducted a bench trial of appellant Antoine Rumel Little on the charge of first-degree criminal sexual conduct without having first obtained a jury-trial waiver from him on that charge. I cannot agree, however, that we should remand for a new trial. Little has failed to establish prejudice from the violation; he has never once argued that he would have insisted on a jury trial had the district court conducted a proper waiver colloquy with him. On the record before us, therefore, I can only conclude that Little does not seek, nor has he ever sought, a jury trial on the charge of first-degree criminal sexual conduct. Accordingly, rather than remand for further proceedings, I would affirm the decision of the court of appeals.
I.
The initial question presented by this ease is whether we should review for harmless error or plain error in light of Little’s failure to object when the district court failed to obtain a jury-trial waiver from him on the charge of first-degree criminal sexual conduct. The court sidesteps the question by concluding that, even under plain-error review — the less favorable standard for a criminal defendant on appeal — Little is entitled to relief. I would confront the question directly and conclude that we review unpreserved errors of this type for plain error rather than harmless error.
A.
If a criminal defendant objects to an error at trial, an appellate court generally applies the harmless-error standard and disregards any error that does not affect the defendant’s substantial rights. See State v. Matthews,
In the absence of an objection at trial, an appellate court generally applies the more deferential plain-error standard in reviewing a claim of error. See State v. Hill,
There are four major differences between the harmless-error and plain-error standards. First, as described above, the circumstances under which the tests apply are different. For harmless-error review to apply, the party claiming the error must have objected at trial or preserved the error in some other way. See, e.g., State v. Koppi,
Second, the standards are different. To obtain relief under the harmless-error standard, an appellant must show only that (1) there was error; and (2) the error was not harmless. See State v. Juarez,
The other two key differences between the harmless-error and plain-error standards relate to the third requirement of plain-error review: whether the error affected substantial rights. Whether performing harmless-error or plain-error review, an appellate court must examine the impact of the error on the defendant’s substantial rights. See State v. Matthews,
For an appellate court, deciding whether to conduct harmless-error review or plain-error review is generally a simple task: the court need only ask whether the defendant preserved the error by objecting to it at trial. Preserved errors are subject to harmless-error review; unpreserved errors are subject to plain-error review.
B.
In light of the general rule that an un-preserved error is subject to plain-error review, the next question is whether to treat the error in this case differently. In State v. Osborne,
In Osborne, we conducted harmless-error review of an erroneous failure to obtain a jury-trial waiver, despite the fact that the defendant had not preserved the error through an objection at trial.
Critical to our decision in Osborne was the unique posture of that case. In particular, we repeatedly emphasized that the defendant’s failure to preserve the error was attributable, in substantial part, to the fact that any objection to the error would have been futile under prevailing case law from this court. Id. at 442. Thus, applying the plain-error standard under those circumstances would place the risk of failing to anticipate a change in the law, “then unknown to the parties,” entirely on the defendant. Id. It would also encourage defendants to “continue, formalistically, to make motions or objections based on arguments that we have repeatedly rejected as being without legal merit.” Id. Under those circumstances, we concluded that it would be unfair, and inconsistent with the general principles underlying forfeiture, to apply the plain-error standard to the constitutional claim in Osborne.
Just 5 years later, in State v. Kuhl-mann, we reviewed the identical error — an erroneous failure to obtain a jury-trial waiver — under the plain-error standard.
Kuhlmann never objected to the trial court’s failure to obtain his personal waiver of his right to a jury trial on the previous-conviction elements of the charged offenses when it accepted his stipulation to those elements. Therefore, we conclude that the error should be reviewed for plain error.
Id. at 852.
The legal issue in Osborne and Kuhl-mann was identical and the defendants in each case had failed to preserve the error through an objection. The key to understanding the differing analyses in the two cases is that, in Osborne, an intervening change in the law excused the defendant from failing to assert what would have otherwise been a futile objection before the district court. See State v. Fleck,
Here, Little does not argue that any case, now overruled, or any statute, now amended, played any role in his failure to object to the defective jury-trial waiver at trial. Accordingly, I would conclude that Osborne, which involved an intervening change in the law, has no application here. Instead, this case is subject to the general rule from Kuhlmann, and Little’s failure to object to the defective jury-trial waiver means that we must review his claim for plain error.
II.
Little claims that the district court erred when it failed to obtain a new jury-trial waiver from him after the State amended the complaint to add a charge of first-degree criminal sexual conduct. This court properly evaluates Little’s claim under the plain-error standard. It also correctly concludes that the error in this case was plain. Where I depart from this court’s analysis is its conclusion that Little has somehow satisfied his “heavy burden”
My analysis begins with an examination of the jury-trial right itself. The right is personal to the defendant, but it is not absolute: it is subject to waiver when a defendant requests a bench trial or pleads guilty. See Spann v. State,
Accordingly, cases addressing defective guilty pleas provide guidance regarding how to evaluate an unpreserved claim of error in the context of a defective jury-trial waiver. In United States v. Dominguez Benitez, the trial court had failed to advise the defendant before he pleaded guilty that he could not withdraw his plea even if the court rejected the government’s sentencing recommendation.
The relevant inquiry under Dominguez Benitez is what the defendant would have done, not what we think the defendant should have done. We cannot consider, for example, whether we would have done something different if we had been in the defendant’s shoes. Courts must not “second-guess a defendant’s actual decision; if it is reasonably probable he would have gone to trial absent the error, it is no matter that the choice may have been foolish.”
The logic of Dominguez Benitez applies with equal force to the error in this case. In Williams, the United States Court of Appeals for the Seventh Circuit extended Dominguez Benitez’s approach to cases in which there has been a defective waiver, prior to a bench trial, of the defendant’s jury-trial right.
Dominguez Benitez and Williams further establish that, contrary to Little’s argument, a failure to obtain a jury-trial waiver is not structural error. A structural error has two essential characteristics: (1) the error affects the framework within which a trial proceeds, and (2) the error’s effect on the proceedings is difficult to assess. See United States v. Gonzalez-Lopez,
Admittedly, there is language in Sullivan v. Louisiana that suggests that any violation of a defendant’s jury-trial right is structural error.
For its part, despite sidestepping the question of structural error, the court seems to agree with me that, to obtain relief under the plain-error standard, Little must show a reasonable likelihood that, but for the error, he would not have waived his right to a jury trial. In addressing that subject, the court “conclude[s] that, had the district court personally questioned Little about his right to a jury trial on the first-degree criminal sexual conduct charge in accordance with the requirements of Minn. R.Crim. P. 26.01, there is a reasonable possibility that Little would not have waived that right.” But the court reaches this conclusion through a combination of improper burden-shifting and pure speculation.
The court asserts that “the record here is silent and provides no reliable evidence suggesting that, had Little known of the amended charge, he would have waived his right to a jury trial.” (Emphasis added.) While the court’s statement may be true, it reflects a decision to effectively shift the burden of proof to the State, rather than require Little to show that his substantial rights were affected by the error. Generally, on plain-error review, a tie goes to the State because the defendant bears the burden of showing that the error has' prejudiced him. Williams,
Moreover, even if Little did not know that he was charged with first-degree criminal sexual conduct until after the bench trial, as the court notes, it does not follow that applying Dominguez Benitez and Williams places Little in an “impossi
First, Little could have pointed to evidence in the existing record that provided insight into his views regarding a jury trial, such as, for example, whether he had expressed hesitancy, either to the court or to counsel, about waiving his jury-trial right before the bench trial began. Cf Dominguez Benitez,
Accordingly, the court is correct when it points out that “no record was ... made” by Little, but it is wrong when it says that “no record ... could have been made with respect to what [Little] might have done had he been properly informed.” (Emphasis added.) Little could have established such a record through at least four different routes, none of which he took.
Moreover, Little is not relieved of his burden to show prejudice just because his evidence might be “self-serving” and “lack credibility,” which will often be the case when a criminal defendant has to create a record in order to obtain relief. See, e.g., Sontoya v. State,
Modern rules of evidence have abolished the common law rule that defendants are disqualified from testifying on their own behalf because of incompetency or bias, i.e., self-interest. The objection that testimony is “self-serving” appears*895 to be a variation on the objection that a defendant is incompetent to testify because of an “interest” or “bias” in the case. Simply put, this is not really a valid objection under the Minnesota ... Rules of Evidence.
obviously has access to his own mental state and could have made a record in the district court as to what he did or did not understand about his right to a jury and whether he still would have waived a jury trial had he known all that he was entitled to know about that right.
Williams,
To supplement Little’s inadequate showing of prejudice, the court substitutes speculation for evidence. To support its speculation, the court points to two facts: (1) the fact that “the newly added charge in this case significantly increased the range of potential punishment” and (2) the fact that “the elements” of first-degree criminal sexual conduct “are dramatically different” from the elements of third-degree criminal sexual conduct. But those facts, standing alone, cannot establish a reasonable probability that Little would not have waived his jury-trial right if he had been fully informed of his rights.
But in the end nobody really knows, because Little has not offered any evidence on whether he would have sought a jury trial had he been properly informed
. As we explained in State v. Shoen, there appears to be some tension within our cases, and between our cases and federal cases, about whether the burden falls on the State or on the defendant to show that a properly preserved nonconstitutional error is harmless.
. In cases involving prosecutorial misconduct, we have applied a two-tiered approach to harmless-error review depending on the seriousness of the misconduct. See State v. Caron,
. It is less clear how to evaluate unpreserved structural errors. Structural errors are a limited class of errors that qualify as " 'defects in the constitution of the trial mechanism, which defy analysis by harmless-error standards.' " Kuhlmann,
. If anything, the potential prejudice from a defective guilty-plea colloquy is greater than the potential prejudice from the failure to obtain a personal waiver prior to the commencement of a bench trial. After all, as the Supreme Court has recognized, a guilty plea requires a defendant to waive three distinct constitutional rights: the right to a trial by jury, the privilege against self-incrimination, and the right to confront one's accusers. See Boykin v. Alabama,
. The court claims to decide this case narrowly by granting relief to Little under the plain-error standard without actually having to resolve whether the plain-error standard applies to the circumstances presented by this case. The court’s approach, however, results in an unstated, but important, conclusion. To grant relief to Little, the court must effectively treat the error as structural. After all, the court presumes — without any factual basis — that Little suffered prejudice because his potential punishment increased when a charge of first-degree criminal sexual conduct was added to charges of second- and third-degree criminal sexual conduct. The court does not (nor does it purport to) evaluate the actual prejudice suffered by Little as a result of the error — which is the relevant inquiry for determining whether an error has affected a defendant's substantial rights, at least in the absence of structural error. Compare Kuhlmann,
