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FELDMAN, Justice.
Garold D. Roach (claimant) was injured in an industrial accident on November 30, 1978. An Industrial Commission award was affirmed by the court of appeals in a memorandum decision. (No. 1 CA-IC 2673, filed October 6, 1982.) The claimant now petitions this court for review, challenging the sufficiency of the award. We have jurisdiction pursuant to Ariz. Const, art. 6, § 5, and Ariz.R.Civ.App.P. 23,17A A.R.S. The issue presented for review is whether the findings of the Commission with respect to reduction of earning capacity are supported by substantial evidence. We hold that they are not.
Claimant was employed as a driller/driller’s helper by ASARCO near Casa Grande, Arizona when he suffered an injury on November 30, 1978. At that time his average earnings were $1,250 per month. Claimant sustained injuries to his neck, left shoulder and right arm. He underwent surgery and was treated by several physicians before being discharged from treatment with a 10% general disability on April 7, 1980. He was left with physical disabilities which include global arm pains, muscle spasms and an occasional “locking” of the arm. The claimant unsuccessfully sought other employment with ASARCO but did not look for jobs with other employers in the area.
On May 7,1980, claimant moved to Texas and began work as a dispatcher-clerk in his brother’s paving business. He earned the minimum wage. On November 14, 1980, the Industrial Commission awarded the claimant $434.89 per month based on his unscheduled permanent partial disability resulting in a reduced earning capacity of 62.26%.
Roach’s employment in Texas and unsuccessful subsequent attempts to find other work in Texas (Finding 10) were “reasonable efforts to secure suitable employment in the area of his residence.” Dean v. Industrial Commission, 113 Ariz. 285, 287, 551 P.2d 554, 556 (1976). Thus, as both parties and the court of appeals have recognized, the burden shifts to the employer or carrier to show the availability of suitable employment. Id.
On February 3,1981, the insurance carrier protested the award and requested a hearing. The tardiness of this request was never raised as an issue in the case. The hearing was held on June 25, 1981.
The findings of the administrative law judge which are at issue in this case were largely drawn from the testimony of a vocational consultant retained by the employer. The consultant personally conducted a “labor market survey” in the area around Casa Grande. She obtained no response from two Texas agencies that she contacted. The predicate for the survey was based upon information obtained from the claimant and two of his treating physicians. The consultant testified concerning several “occupational availabilities” and supplied estimates of the number of openings or rates of turnover for at least four jobs. One such job was that of correctional service officer (CSO) at the Arizona State Prison at Florence. There had been 471 openings for this position between March, 1980 and March, 1981.
The administrative law judge concluded that the survey indicated “job availabilities [for the CSO position] to at least $962.58 per month” (Finding 15) and reduced claimant’s lost earning capacity accordingly. Based upon the presumed earnings for the CSO position, the award recognized only a 22.99% reduction of earning capacity. Claimant sought review.
The court of appeals affirmed the Industrial Commission’s award. The court clearly ennunciated the correct legal test for such cases. That test has two parts: “that [1] there is employment reasonably available [2] which the claimant could reasonably be expected to perform, considering his physical capabilities, education and training....” Germany v. Industrial Commission, 20 Ariz.App. 576, 580, 514 P.2d 747, 751 (1973). The court determined that the record contained “substantial evidence” to meet this test. After reviewing the record, we cannot agree.
Over 20 years ago this court stated that it would, and on at least eight occasions had, set aside an Industrial Commission award not supported by “competent evidence.” Allen v. Industrial Commission, 87 Ariz. 56, 66, 347 P.2d 710, 717 (1959). The problem of formulating or applying the legal test to determine what constitutes “substantial” or “competent” evidence on the record in reviewing Industrial Commission awards has continued as a major issue in disputes over determination of lost earning capacity. See, e.g., Dean, supra; Sproul v. Industrial Commission, 91 Ariz. 128, 370 P.2d 279 (1962); Le Duc v. Industrial Commission, 116 Ariz. 95, 567 P.2d 1224 (App.1977); La Rue v. Industrial Commission, 20 Ariz.App. 498, 514 P.2d 251 (1973). Because of recurrent problems concerning the nature of the “substantial evidence” needed to support an award regarding lost earning capacity, we granted review to clarify the issue.
In meeting the two-pronged test of Germany, supra, findings of the Industrial Commission are deemed to be based on substantial evidence when (1) the job requirements (of the suggested job upon which the award is calculated) are related to the claimant’s disability, education and training with specificity, Dye v. Industrial Commission, 23 Ariz.App. 68, 530 P.2d 914 (1975) (Jacobson, J. concurring), and (2) the reasonable availability of the job upon which the award is calculated is demonstrated with at least express reference to the impaired worker’s ability to compete for that job and the likelihood that the potential employer will hire someone with a previous disability. Dean, 113 Ariz. at 287, 551 P.2d at 556. “Abstractions are not sufficient.” Dye, supra, 23 Ariz.App. at 72, 530 P.2d at 918, quoted in Zimmerman, 137 Ariz. at 582, 672 P.2d at 926.
In Zimmerman, we examined and approved the legal principles which had been postulated in Germany, Dean and Dye, holding that the ultimate issue is to determine whether there is a probability that despite his residual physical impairments the injured worker can sell his services with regularity in a competitive labor market. Applying that test to the Zimmerman facts, we held that evidence which established only that the claimant would be one out of eleven qualified applicants for a single position was insufficient to meet the test. The case at bench presents a corollary of the Zimmerman problem — what degree of specificity is required with regard to evidence on each of the parts of the Germany test?
SUITABILITY
In the case at bench, all testimony on the subject came from the carrier’s vocational consultant, who offered only the following concerning the suitability of the CSO job for a person with claimant’s residual injuries: (1) the personnel director at the prison characterized the physical demands of the job as “light duty” and (2) the personnel assistant considered a person such as the claimant to be “a qualified applicant.” The term “light duty” was not defined. The specific tasks expected of a CSO were not described. What made claimant “a qualified applicant” was not explained. The conclusions were not those of the labor consultant who testified, but of the prison personnel director to whom she had talked. All that can be determined from this record is that the prison personnel director who was given claimant’s physical limitations thought that there was a “light duty” job which claimant would be “qualified” to perform. The personnel director did not testify and the labor consultant who did testify neither knew anything about the job nor anything about the facts upon which the personnel director had based his conclusions.
More than this is required to show that the CSO job is one that the claimant can “reasonably be expected to perform.” In Le Duc, supra, a graduate student interviewed waitresses at five Tucson businesses and filled out forms based on these interviews. The court of appeals stated that, “[w]hile these forms purport to show the amount of time spent in standing, sitting, walking, carrying, etc., they are non-specific as to the actual duties of the job.” Id. at 98, 567 P.2d at 1227. For this reason and because there was no showing of job availability, the court of appeals found the hearing officer’s decision concerning the dollar amount of loss of earnings “unsupported by reasonable evidence,” id. at 99, 567 P.2d at 1228, and set aside the award.
The generalizations in the case at bench (“light duty,” “qualified applicant”) are even more abstract than the inadequate evidentiary showing of job suitability in Le Duc. These generalizations are of the kind deemed “to be an insufficient foundation to meet the test of materiality.” Dye, 23 Ariz. App. at 72, 530 P.2d at 918; Zimmerman, supra. Thus, there is no substantial evidence in the record to support a finding that the CSO job is one that the claimant may “reasonably be expected to perform” in light of his residual disabilities.
REASONABLE AVAILABILITY
The only evidence pertaining to the availability of the CSO position was that there had been 471 openings during a one-year period. This fact, taken alone, indicates an ample number of openings. The administrative law judge found it not only persuasive, but conclusive, of the “reasonable availability” of CSO positions. The flaw in basing job availability on the bald statement that any specific number of openings has occurred is perceptively exposed by Judge Jacobson’s concurrence in Dye:
[Testimony that “ ‘X’ number of jobs as a dishwasher are available in the Phoenix area a month” is meaningless unless there is some indication as to the number of individuals seeking that employment. If there are 50 openings for a dishwasher which are drawing 5,000 applicants, it cannot be said that one chance in a hundred makes the job “reasonably available.”
Dye, 23 Ariz.App. at 72, 530 P.2d at 918.
In determining the “reasonable availability” of employment in loss of earning capacity cases, Arizona has long adhered to a “competitive labor market” model. Davis v. Industrial Commission, 82 Ariz. 173, 175, 309 P.2d 793, 795 (1957). Such a model requires that both supply and demand be considered. The mere fact that “X” number of openings exist satisfies but one of the elements in the supply and demand equation. The need for evidence regarding competition for the available positions was explicitly settled in Dean, 113 Ariz. at 287, 551 P.2d at 556.
There must also be evidence with respect to how the worker’s disabilities will affect his ability to compete for the positions. In Wells v. Industrial Commission, 129 Ariz. 471, 632 P.2d 558 (App.1981), a Commission award was challenged. The petitioner’s contention in that ease was that “respondents must prove that the prospective employers ... would ‘just as readily hire the disabled man as a fully able bodied man.’ ” Id. at 473, 632 P.2d at 560. The court of appeals refused to adopt such a stringent standard, stressing the language in Dean which focuses on the probability that an employer will hire a fully qualified worker despite a previous disability. Id. The Wells court quoted extensively from the respondent’s employment expert concerning the willingness of the prospective employers interviewed in that case to hire “people with physical impairments” and cited the expert’s opinion on the positive effect the Vocational Rehabilitation Act has had on the employment decisions of the prospective employers. Id. at 473-74, 632 P.2d at 560-61. The court concluded that “such evidence fully satisfied the requirements of Dean . ... ” Id. at 474, 632 P.2d at 561. The case at bench is easily distinguished from Wells. In the instant case there was no testimony on the willingness of the Arizona State Prison to hire someone with a previous disability. While we assume that agencies of this state do not practice employment discrimination, we find nothing affirmative in the record regarding the likelihood of the Arizona State Prison to hire persons with previous work-related injuries which affect the use of both arms for jobs which presumably require some degree of strength or mobility. “Reasonable inferences from the evidence will be supported, but speculation based on nothing in the record cannot be indulged.” Nelson v. Industrial Commission, 134 Ariz. 369, 376, 656 P.2d 1230, 1237 (1982).
We stress the paucity of evidence on job availability in the hearing record. When the carrier’s expert was asked why there had been so many openings for the CSO job during the prior year, she could only speculate. She was not able to obtain the employment statistics for the prison. She relayed no information regarding the number of applicants. She could not answer a question concerning the possible hazards which the job involved. She did not explain the duties of a CSO. She did not explain whether all CSO positions involve the same duties. She did not express any final opinion with regard to availability (see Ariz.R.Evid. 704, 705, 17A A.R.S.) and, from this record, probably did not have the factual knowledge to serve as a foundation for such an opinion. She did no more than relate the meagre information she had obtained.
In the case at bench, the evidence concerning either part of the Germany test was abstract and non-specific. As a result, it did not rise to the level of “substantial” or “competent” evidence. Accordingly, the opinion of the court of appeals is vacated, the award of the Commission is set aside, and the cause is remanded.
HOLOHAN, C.J., GORDON, V.C.J., and HAYS and CAMERON, JJ., concur.
. Claimant having moved from the place at which the injury occurred, the carrier could show other, suitable and available employment at either the previous residence or the new residence. Zimmerman v. Industrial Commission, 137 Ariz. 578, 672 P.2d 922 (1983).
. Arizona courts have rejected the opinion testimony of physicians regarding the abilities of an injured worker to function in a specific job because physicians generally lack expertise in regard to the job requirements. Adkins v. Industrial Commission, 95 Ariz. 239, 243, 389 P.2d 118, 120 (1964); Davis v. Industrial Commission, 16 Ariz.App. 535, 494 P.2d 735 (1972).
The rule is otherwise where the physician has some knowledge of job requirements. Powell v. Industrial Commission, 102 Ariz. 11, 14, 423 P.2d 348, 351 (1967) (a doctor’s opinion is admissible “because of special knowledge by a doctor of the physical and mental requirements of a claimant’s vocation.”). This treatment of physicians’ opinion testimony highlights the court’s concern for specific matching of job requirements, skills and physical impairment criteria in determining whether a particular job is one the claimant can “reasonably be expected to perform.”
. Arizona courts have recognized that previously disabled workers often suffer employment discrimination. This recognition is best illustrated by Edwards v. Industrial Commission, 14 Ariz.App. 427, 484 P.2d 196 (1971). In that case, a worker covered under the Arizona Workmen’s Compensation Act was fired from a job he obtained in California when his prior industrial-related injury in Arizona was discovered. Id. at 428, 484 P.2d at 197. This court explicitly refrained from mentioning the name of the state where Edwards was subsequently employed because of his fear that he would again be fired. Id.
. While Wells was correctly decided, we are not convinced that the holding in Dean was correctly characterized by the Wells court. In determining the reasonable availability of suitable work, Dean does mean that there usually must be a showing that the impaired worker would have an equal opportunity to be hired in competition with others. Preference for injured workers is not required, but less than equal opportunity generally puts the impaired worker at a competitive disadvantage. It was recognized by this court in Dean that such a disadvantage affected the “reasonable availability” of jobs for impaired workers.
We recognize, of course, that there may be instances where even though the impaired worker does not have equal opportunity to compete, a job may nevertheless be available because there are more jobs than workers. We recognize, also, that there may be instances where an impaired worker will be at a competitive advantage with regard to a particular job. What the law requires is that the finder of fact not make assumptions and that he or she consider specific evidence on the affect of the impairment on the worker’s ability to compete.
. We use “presumably” because the record does not indicate just what services a CSO must perform.
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HOLOHAN, Chief Justice.
A jury found appellant, Dennis Earl Rou-thier, guilty of first degree murder and attempted first degree murder. He was sentenced to death on the first degree murder charge and to 21 years on the charge of attempted first degree murder. Appellant appeals these convictions and sentences. We have jurisdiction of this case pursuant to Arizona Const, art. 6 § 5 and A.R.S. § 13-4031.
The appellant raises seven issues on appeal but we believe the answers to the following questions will be dispositive of the appeal:
1. Whether the scope of the prosecutor’s cross-examination of the appellant violated his fifth and fourteenth amendment rights.
2. Whether photographs of the deceased and a bloody shirt were erroneously admitted into evidence.
3. Whether the trial court erred in not granting appellant’s motion for acquittal on the count of attempted murder.
The following facts are necessary for a resolution of the issues presented.
On the morning of September 20, 1980, Lawrence Barrick and his son, Robert, stopped the vehicle in which they were travelling to aid a man who had flagged them down. Dennis Earl Routhier, appellant, told the Barricks he was having trouble with his truck. The Barricks drove the appellant to his truck, which was parked some distance off the main road. When the three men arrived at the truck, a ’56 Chevy, the appellant stated he would make one more attempt to start it. The truck started unaided. The three men then sat on the tailgate of the Barricks’ truck and drank some beer.
After finishing their beer, the Barricks drove to a friend’s house. The appellant was invited to follow them in his own truck, and he did. The Barricks’ friend was not at home so they decided to drive out to Roosevelt irrigation canal and take a swim. The appellant followed the Barricks to the canal.
Robert Barrick jumped into the canal and swam for five to ten minutes. As Robert began to climb out of the canal, the appellant approached him and hit him in the head with a hammer. Robert was cut and knocked unconscious for a few seconds. He testified that appellant asked him if he had any money, to which Robert replied “No.” Appellant then instructed Robert to get out of the canal or his father would be harmed. At this point Robert noticed that his father was slumped over on the ground by his truck. Robert climbed the opposite bank of the canal and ran to the nearby freeway to summon help.
Meanwhile, the appellant sped away in his truck. When the police arrived at the scene, they found Lawrence Barrick beaten and bleeding profusely from the head and neck. He died soon afterwards. Medical testimony revealed that he died of multiple wounds inflicted by a blunt instrument.
Later that afternoon, police apprehended the appellant after a high speed chase on the freeway. The chase terminated when the appellant’s truck swerved into a semi-truck and rolled off the freeway. The appellant was taken into custody and admitted to Good Samaritan Hospital for treatment of head and leg injuries.
Appellant’s testimony at trial was that he killed Lawrence Barrick in self-defense. He claimed that Barrick attacked him without reason and appellant only used his hammer when Barrick tried to gouge his eye out. Additional facts pertinent to questions raised by the appellant will be discussed as necessary.
HOSPITAL STATEMENTS
On the morning of September 21, 1980, Detective Barber of the Phoenix Police Department visited the appellant at Good Samaritan Hospital. The appellant was informed of his rights to silence and to the services of an attorney. He stated that he understood his rights and was willing to submit to questioning. Appellant signed a waiver of rights card, and the interrogation began. During the interrogation the appellant indicated that he remembered meeting an old man and his son, having a disagreement with the old man and hitting both individuals with his fists. When asked by Detective Barber whether he had used a hammer, the appellant stated that he may have been mad enough to use one, but he did not believe that he had. Detective Barber then asked the appellant to elaborate on specific details, but the appellant stated that he wanted to speak with an attorney. At that point, the questioning ceased.
Three days after the first interview at Good Samaritan Hospital, before counsel had been provided him, the appellant was interrogated a second time by a Detective Locksa. The interrogation was conducted at the detention ward of Maricopa County Hospital, where the appellant had been transferred from Good Samaritan Hospital. Detective Locksa had been advised by Detective Barber of the appellant’s previous request for counsel. The appellant was again informed of his rights to silence and legal representation. Detective Locksa further told the appellant that he did not want to discuss the Barrick homicide but that he wanted to discuss two unrelated homicide cases. The appellant stated that he was willing to talk to the detective. In response to Detective Locksa’s questions regarding these unrelated homicides, the appellant implicated himself in the Barrick homicide. His precise words were, “I have never done anything like this before. The only reason I did what I did is that I was totally shitfaced, I probably would not have even hit the old man if it hadn’t been for his big mouth.”
The appellant was charged by indictment with having committed first degree murder and attempted first degree murder. Subsequently, pursuant to a plea agreement, the appellant appeared before the superior court to enter a no contest plea. At the hearing on the no contest plea a set of police reports and the medical examiner’s report were admitted into evidence to establish a factual basis for the plea.
Before the plea was accepted by the superior court, the appellant asked to withdraw the plea. The request was granted, and the case was transferred to another superior court judge.
Prior to trial, the appellant moved to suppress all of his hospital statements on the grounds that they were involuntary due to appellant’s physical condition at the time of interview. No mention was made of the appellant’s request for counsel in his motion to suppress or at the voluntariness hearing. Both Detectives Barber and Locksa testified at the voluntariness hearing and neither one mentioned the appellant’s request for counsel. The appellant’s motion to suppress his statements was denied. The trial court found that the statements were voluntarily made after the appellant had waived his constitutional rights.
At trial, when the appellant was being cross-examined, the fact of his request for counsel was brought out by the prosecution. At that point defense counsel made a motion to preclude any questioning of the appellant regarding statements made by him during the second interview on the grounds of inadequate showing of Miranda compliance. The trial judge denied the motion stating that he had already ruled that the statements were voluntary and admissible. Defense counsel, however, did not make any motion concerning the cross-examination of appellant on matters to which he had invoked his right to silence and counsel.
The prosecutor then questioned the appellant on the substance of his incriminating statement to Detective Locksa. Specifically, the prosecutor read the statement in court and asked the appellant if he remembered making it. The appellant stated he did not remember making such a statement.
Detective Barber was recalled by the state in rebuttal, and he testified that the appellant had invoked his right to counsel during the first interview at Good Samaritan Hospital and that he told Detective Locksa before Locksa interviewed the appellant a second time, that the appellant had previously invoked his right to counsel. Detective Locksa testified that Detective Barber had, in fact, informed him that the appellant requested an attorney when Barber was interviewing the appellant.
Appellant challenges the admission of his hospital statements.
THE DOYLE ISSUE
The appellant argues that he was denied due process by the prosecutor’s reference to his post-arrest silence. During cross examination of appellant the following testimony was elicited.
Q. [by the prosecutor] But you don’t remember that you had told them that it was possible that you used a hammer?
A. Oh, yes, I think I might have told them it was possible I might have.
Q. But you didn’t tell them that the man had been gouging your eye out, did you?
A. I don’t recall. I don’t think so. I don’t think I’d want to tell them that.
Q. Why not?
A. Well, after I found out where I was and what I was — you know, the situation I was in, I wanted to speak to a lawyer. I do recall asking him that or telling him that — not him, but the other officer I talked to. I do recall saying I’d just as soon speak to an attorney, yes. I did hit the man, that’s all I recall saying. However I put it, that’s exactly what I meant out of it was, yes, I did hit the man, and, yes, I’d like to see an attorney. They proceeded asking questions after I told them I wanted to see an attorney and kept on and on. What they got off that, I don’t know. I’m sure it was just, you know, to show them that I was not gonna talk anymore.
Q. But at that time you at no point mentioned any kind of self-defense?
A. I don’t think so. No, I didn’t discuss any of the details with them.
The State also brought out in its case in chief on redirect examination of Detective Barber the following:
Q. BY MR. HOTHAM [the prosecutor]: Mr. Bohm [defense counsel] asked you whether it wasn’t a fact that the defendant admitted to you that he had struck an older man and a younger man, is that correct?
A. That’s correct.
Q. The — did the defendant tell you anything about the victim coming at him?
A. The defendant made no mention at all of the victim attacking him or approaching him in any manner to me.
Q. Did he tell you anything about the victim threatening him?
A. No, he did not.
Q. Did he tell you anything about the victim having a gun?
A. No, he did not.
Q. All he stated to you was that he remembers striking both the older man and the younger man, but thought it was with his fists, and then he might have been mad enough to pick up a hammer, but he did not recall doing that; is that correct?
A. That’s correct.
Initially, we note that defense counsel made no objection to any of the questioning now being challenged. Although objection is usually required to preserve a question for appeal, an objection is not necessary in the case of fundamental error. State v. Navarre, 132 Ariz. 480, 647 P.2d 178 (1982). Because appellant asserts that fundamental error was committed in this case and we are obligated to review the record for such error, State v. Post, 121 Ariz. 579, 592 P.2d 775 (1979), we address appellant’s contention that his post arrest right to silence was violated.
The United States Supreme Court has ruled that a defendant cannot be impeached by his post-arrest silence after being read his Miranda warnings. Doyle v. Ohio, 426 U.S. 610, 96 S.Ct. 2240, 49 L.Ed.2d 91 (1976); see Fletcher v. Weir, 455 U.S. 603, 102 S.Ct. 1309, 71 L.Ed.2d 490 (1982). This ruling is consistent with Arizona case law which has established that a defendant’s silence at the time of arrest cannot be used against him as inconsistent with testimony given at trial. State v. Anderson, 110 Ariz. 238, 517 P.2d 508 (1973); State v. Shing, 109 Ariz. 361, 509 P.2d 698 (1973); see State v. Ward, 112 Ariz. 391, 542 P.2d 816 (1975). These decisions are grounded on the principle that the Miranda warnings implicitly assure a person that the exercise of his rights carries no penalty and cannot be used against him. See Doyle v. Ohio, supra.
The State argues that the above rationale does not apply in this case because appellant waived his constitutional rights. While it might be true that appellant signed a waiver of rights card at the beginning of the interview with Detective Barber, appellant was not inextricably bound by that waiver. As stated in Miranda:
Once warnings have been given, the subsequent procedure is clear. If the individual indicates in any manner, at any time prior to or during questioning, that he wishes to remain silent, the interrogation must cease.
******
Moreover, where in-custody interrogation is involved, there is no room for the contention that the privilege is waived if the individual answers some questions or gives some information on his own prior to invoking his right to remain silent when interrogated. Miranda v. Arizona, 384 U.S. at 473-74, 475-76, 86 S.Ct. at 1627-1628.
In this case it is clear that, although appellant initially waived his rights, he subsequently reinvoked those rights by requesting an attorney. Detective Barber in fact testified that he understood appellant was invoking his rights and ceased questioning. Appellant’s express invocation of his rights, as well as his failure to make a complete statement or to answer particular questions, distinguishes this case from, e.g., State v. Reinhold, 123 Ariz. 50, 597 P.2d 532 (1979); State v. Tuzon, 118 Ariz. 205, 575 P.2d 1231 (1978) and State v. Raffaele, 113 Ariz. 259, 550 P.2d 1060 (1976). While it was permissible for the prosecutor to question the appellant and Detective Barber on matters which the appellant had volunteered prior to reinvoking his rights, it was impermissible to ask questions on matters about which the appellant had not made any comment or given any information. In doing so, the State violated appellant’s fifth amendment right to silence.
FUNDAMENTAL ERROR
Since the violation of appellant’s constitutional rights constituted fundamental error, the remaining issue is whether the error was harmless. State v. Anderson, supra. From a review of the record we cannot say that the error was harmless beyond a reasonable doubt.
Since the case must be retried it is necessary to address several issues.
THE SECOND STATEMENT
The incriminating remarks to Detective Locksa were not offered in the state’s case in chief. The statement was brought out by the state in its cross-examination of the defendant. Since no cautionary instructions were given by the trial judge, the jury was free to consider the statement of appellant to Locksa as evidence of guilt.
Appellant argues that the testimony of Detective Locksa should not have been admitted because it was obtained after the appellant had requested the assistance of counsel. The appellant relies on Edwards v. Arizona, 451 U.S. 477, 101 S.Ct. 1880, 68 L.Ed.2d 378 (1981).
The State contends, however, that Edwards v. Arizona, supra, is inapplicable to the case at bar. It argues that Edwards only spoke to waiver of counsel pursuant to reinterrogation on the same offense, whereas the appellant in the instant case was reinterrogated on other matters.
The precise issue that this court must decide is whether appellant’s fifth and fourteenth amendment rights were violated when he was questioned about two unrelated homicides after having asserted a right to counsel incident to the Barrick homicide. We decide today the issue left open in State v. Hensley, No. 5556, 669 P.2d 58 (Ariz. filed June 30, 1983).
The State argues that Michigan v. Mosley, 423 U.S. 96, 96 S.Ct. 321, 46 L.Ed.2d 313 (1975), controls this issue. In Mosley, the U.S. Supreme Court considered the propriety of questioning a suspect about one crime after the suspect had invoked his right to remain silent when he was questioned earlier about an unrelated crime. The Court held that a reinterrogation is not a violation of a suspect’s fifth amendment right to silence where the invocation of that right is “scrupulously honored.” Id., at 104, 96 S.Ct. at 326. The Court found that the resumption of interrogation about an unrelated offense was not inconsistent with Mosley’s earlier refusal to answer any questions. Id. at 105, 96 S.Ct. at 327.
Michigan v. Mosley, supra, however, did not address the procedures to be followed after a defendant invokes his right to counsel. The majority opinion in Mosley meticulously distinguished the right to silence from the right to counsel: “The present case does not involve the procedures to be followed if the person in custody asks to consult with a lawyer, since Mosley made no such request at any time.” Id., at 101, n. 7, 96 S.Ct. at 325. And again: “[T]he Court in Miranda ... distinguished between the procedural safeguards triggered by a request to remain silent and a request for an attorney and directed that ‘the interrogation must cease until an attorney is present’ only ‘[i]f the individual states that he wants an attorney. 384 U.S. at 474, 86 S.Ct. 1628.’ ” Id. at 104, n. 10, 96 S.Ct. at 326.
The procedures governing the reinterro-gation of a suspect after he invokes his right to counsel were detailed by the Supreme Court in Edwards v. Arizona, supra. In Edwards, the defendant was reinterro-gated after previously invoking his right to counsel in an earlier interview. The Supreme Court determined that Edwards’ confession, given during the second custodial interrogation, was inadmissible. The court stated:
we now hold that when an accused has invoked his right to have counsel present during custodial interrogation, a valid waiver of that right cannot be established by showing only that he responded to further police-initiated custodial interrogation even if he has been advised of his rights. We further hold that an accused, such as Edwards, having expressed his desire to deal with the police only through counsel, is not subject to further interrogation by the authorities until counsel has been made available to him, unless the accused himself initiates further communication, exchanges or conversations with the police. 451 U.S. at 484-85, 101 S.Ct. at 1884-1885 (footnote omitted).
The only difference between Edwards and the appellant is that Edwards was questioned about the same offense after a request for counsel while the appellant was reinterrogated about an unrelated offense. We do not believe that this factual distinction holds any legal significance for fifth amendment purposes.
The language of Edwards is unequivocal; an accused who has asserted his right to counsel “is not subject to further interrogation by the authorities until counsel has been made available to him.” 451 U.S. at 485, 101 S.Ct. at 1885. The rule prohibits “further interrogation.” Nowhere in Edwards does the majority indicate that reinterrogation of the accused is permissible if the authorities merely shift the line of questioning to other matters or unrelated offenses. Such a rule would render the Edwards opinion meaningless and invite the ingenious officer to invent new schemes to produce colorable waivers of the fifth amendment rights.
The assertion of the right to counsel is an expression by the accused that he is not competent to deal with the authorities without legal advice. See Edwards v. Arizona, supra. The resumption of ques tioning in the absence of an attorney after an accused has invoked his right to have counsel present during police interrogation strongly suggests to an accused that he has no choice but to answer. Thus, “a later decision at the authorities’ insistence to make a statement without counsel’s presence may properly be viewed with skepticism.” Michigan v. Mosley, 423 U.S. at 111, n. 2, 96 S.Ct. at 329 (White, J., concurring).
We therefore hold that, after requesting counsel during the initial interrogation, the appellant should not have been subjected three days later to interrogation which he did not initiate, without counsel having been made available to him.
Regarding the statement to Locksa, we note that it was admitted as impeachment evidence on cross examination of the appellant rather than in the State’s case in chief. In Harris v. New York, 401 U.S. 222, 91 S.Ct. 643, 28 L.Ed.2d 1 (1971), the U.S. Supreme Court held that a Miranda viola-tive statement that is inadmissible against a defendant in the prosecution’s case in chief, may, if its trustworthiness satisfies legal standards, be used for impeachment purposes to attack the credibility of the defendant. The State contends that the remarks to Locksa were properly admitted to attack the appellant’s credibility by cross-examining him on the inconsistencies between his hospital statement to Detective Locksa and his statements at trial.
In State v. Swinburne, 116 Ariz. 403, 569 P.2d 833 (1977), we stated:
In Oregon v. Hass, 420 U.S. 714, 95 S.Ct. 1215, 43 L.Ed.2d 570 (1975), the Supreme Court held admissible for impeachment purposes inculpating post-arrest statements of the defendant made after he had been given his Miranda rights and exercised his right to request a lawyer, but before he had been furnished with counsel. The court said that evidence which is otherwise inadmissible against the defendant in the prosecution’s case in chief is not barred for all purposes, provided that “the trustworthiness of the evidence satisfies legal standards.” 420 U.S. at 721, 95 S.Ct. at 1221, 43 L.Ed.2d at 577. State v. Swinburne, supra, 116 Ariz. at 412, 569 P.2d at 842.
It is clear, therefore, that statements obtained in violation of an accused’s fifth amendment right to counsel may be used for impeachment purposes to attack the credibility of the accused. See State v. Swinburne, supra, and Oregon v. Hass, supra. In the instant case, however, the jury was not instructed as to the restricted and limited purpose for which the statements could be considered, namely, impeaching the appellant’s credibility. In both Harris and Hass the federal supreme court carefully noted that specific instructions were given to the jury concerning the limited purpose for the use of such testimony.
In the event of retrial the statement to Locksa may be used by the state for impeachment, but proper instructions to the jury must be given to limit the use of such testimony to the issue of credibility of appellant and not as evidence of guilt.
EVIDENTIARY ISSUE
Appellant contends that the trial court erred in admitting into evidence photographs of the victim and a bloody shirt found at the scene. He argues that these items had no probative value, were highly prejudicial, and their admission only served to inflame the jury.
Evidence which may tend to incite the jury’s emotions is admissible if it is relevant and if its probative value outweighs the danger of unfair prejudice created by its admission. State v. Chapple, 135 Ariz. 281, 660 P.2d 1208 (Ariz., 1983); State v. Gerlaugh, 134 Ariz. 164, 654 P.2d 800 (1982); Rule 403, Ariz.R. of Evid., 17A A.R.S. In making this determination, the court will look to the purpose of the offer. State v. Chapple, supra. Photographs are admissible to identify the victim, to illustrate how the crime was committed, to aid the jury in understanding testimony, and to show the location of the wounds. State v. Navarre, 132 Ariz. 480, 647 P.2d 178 (1982); State v. Vickers, 129 Ariz. 506, 633 P.2d 315 (1981). The purpose for which the photo graphs are admitted must, however, be a contested issue. State v. Chapple, supra.
In the instant case, the photographs showed the location and extent of the victim’s wounds. Because the appellant asserted self defense at trial, the location of the wounds was evidence to contradict appellant’s story and to support the state’s theory of how the homicide was committed. See State v. Gretzler, 126 Ariz. 60, 612 P.2d 1023 (1980). The wounds found on the victim’s hands and in the back of his head are probative evidence that the defendant was not acting in self defense and that the victim may not have been lying down during the attack, as appellant testified. The extent of the wounds also tends to show that the appellant was not acting in self defense. Furthermore, the photographs aided the jury in understanding the pathologist’s testimony as to the wounds on the victim. See State v. Navarre, supra.
Trial courts have great discretion in the admission of photographs. State v. Schad, 129 Ariz. 557, 633 P.2d 366 (1981); State v. Clark, 126 Ariz. 428, 616 P.2d 888, cert. denied, 449 U.S. 1067, 101 S.Ct. 796, 66 L.Ed.2d 612 (1980). This discretion will not be disturbed unless it has been clearly abused. State v. Gerlaugh, supra. Although the photographs are of the type that may arouse the emotions of some jurors, we cannot conclude that the trial court abused its discretion in finding that the probative value of the photographs outweighed the danger of unfair prejudice attendant to their admission. We find no error.
As to the shirt, however, we agree with the appellant that its admission was error. The State argues that the shirt also corroborated its theory of the murder and, therefore, is admissible. The shirt by itself, however, proves nothing. It is only its location and condition after the murder that is relevant to the State’s case. The admission of gruesome objects when they add nothing to the evidence to be considered by the jury and serve no other purpose than to inflame the jury is error, State v. Steele, 120 Ariz. 462, 586 P.2d 1274 (1978), and we so find in this case.
ATTEMPTED MURDER CHARGE
The appellant finally contends that the trial court erred in failing to grant his motion for judgment of acquittal on the count of attempted murder.
The standard of review to test the sufficiency of evidence on appeal is whether there exists substantial evidence from the entire record from which a rational trier of fact could have found guilt beyond a reasonable doubt. State v. Tison, 129 Ariz. 546, 633 P.2d 355 (1981); State v. Schad, 129 Ariz. 557, 633 P.2d 366 (1981), cert. denied, 455 U.S. 983, 102 S.Ct. 1492, 71 L.Ed.2d 693 (1982). The evidence will be reviewed in the light most favorable to sustaining the verdict and all reasonable inferences will be resolved against a defendant. State v. Tison, supra; State v. Hall, 129 Ariz. 588, 589, 633 P.2d 397 (1981).
To sustain a conviction for attempted murder, the evidence must show some overt act or steps taken toward the commission of the crime and an intent to commit the crime. State v. Savchick, 116 Ariz. 278, 569 P.2d 220 (1977); State v. Mandel, 78 Ariz. 226, 278 P.2d 413 (1954); A.R.S. § 13-1001(A)(2). Criminal intent, being a state of mind, is shown by circumstantial evidence. Defendant’s conduct and comments are evidence of his state of mind. State v. Vann, 11 Ariz.App. 180, 463 P.2d 75 (1970).
The record reveals that as Robert Barrick was getting out of the canal, he was hit in the head with a hammer by the defendant. According to Barrick’s testimony, he was “knocked out” for a few seconds and floated down the canal, during which time appellant followed alongside the canal. Routhier asked Barrick if he had any money and ordered him out of the canal with the threat that if he did not do so, Routhier would hurt his father. Barrick got out on the opposite side of the canal and climbed up to the freeway to summon help. As he did so, appellant continued to yell at Bar-rick to “get over there.”
There is substantial evidence that appellant performed an overt act toward the commission of the crime. The appellant struck Barrick in the head, a vital area of the body, with a dangerous instrument. There is also evidence from which a rational trier of fact could have found that the appellant had the requisite intent to be guilty of attempted murder. Appellant had just severely beaten Lawrence Barrick. He followed Robert Barrick along the canal and ordered him to get out after once hitting him with the same instrument that killed his father. While the evidence is not overwhelming, it is substantial. See State v. Tison, supra; State v. Bearden, 99 Ariz. 1, 405 P.2d 885 (1965). We find no error.
The conviction for first degree murder and for attempted first degree murder are reversed and the case remanded to the superior court for a new trial.
GORDON, V,C.J., and HAYS, CAMERON and FELDMAN, JJ., concur.
. Those made during the first interview at Good Samaritan Hospital to Detective Barber and those made during the second interview at the County Hospital to Detective Locksa.
. Miranda v. Arizona, 384 U.S. 436, 86 S.Ct. 1602, 16 L.Ed.2d 694 (1966).
. Because we are remanding for a new trial, we do not feel it is necessary to analyze the refer-enees made to appellant’s silence in the prosecutor’s closing argument.
. In contrast, the U.S. Supreme court has stated that the assertion of the right to silence is merely an expression of the accused’s desire to cut off questioning with respect to a specific subject. The lines of communication between the accused and the authorities remain open, as the accused has chosen to make his own decisions in regards to future police interrogation. See Michigan v. Mosley, supra.
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OPINION
HATHAWAY, Judge.
Petitioners are the defendants in a pending declaratory judgment action filed by the real parties in interest seeking a judicial declaration that a covenant as to certain real property, executed by Tucson Memorial Park as covenantor, was not enforceable as to the subject real property. The purpose of the lawsuit was to permit residential development of a portion of the property since plaintiff Cienega Corporation had entered into an agreement to purchase the property from plaintiff Tucson Memorial Park for the purpose of constructing a residential development. Petitioners filed a motion to dismiss pursuant to Rule 12(b)(6), Rules of Civil Procedure, 16 A.R.S., and appended a series of exhibits to their motion. Plaintiffs responded and also moved to certify the action as a class action. The latter motion was granted and the motion to dismiss was denied. Since petitioners have no plain, speedy and adequate remedy by appeal, and because our granting of relief will terminate this litigation, we assume jurisdiction. Lim v. Superior Court in and for Pima County, 126 Ariz. 481, 616 P.2d 941 (App.1980).
The complaint alleged that the action was brought for the purpose of having the court declare that a restrictive covenant did not preclude residential development of a portion of the property consistent with its zoning, or in the alternative, to declare that the restrictive covenant had been abandoned or extinguished with respect to a portion of the property. It further alleged that prior to January 20,1971, the property was zoned R-l and in late 1970 and early 1971, Tucson Memorial Park applied to the City of Tucson for rezoning to R-2 to permit the property to be used as a memorial park. Rezoning was granted by the city on condition that Tucson Memorial Park execute a covenant restricting its use of the property solely to a memorial park and related services. (A copy of the covenant was attached as an exhibit to the complaint.) Subsequent to rezoning and execution of the covenant, Tucson Memorial Park determined that it did not need and could not use a portion of the property in connection with its memorial park business and therefore entered into the agreement with Cienega.
On June 28, 1982, the City of Tucson released the subject property from the covenant by resolution which recited that the mayor was directed to execute a partial release of covenant. Pursuant to the resolution, the mayor executed a partial release. Count One of the complaint alleged that this release operated to release the subject property from the covenant and permitted its use consistent with its R-2 zoning classification. Count Two alleged that the purpose of the covenant was to protect against adverse impact from the use of property as a memorial park and was not intended to preclude residential development of the property consistent with its zoning. Count Three alleged that Tucson Memorial Park’s decision not to use the property as memorial park had rendered the protection of the covenant unnecessary. Also, conditions respecting the property had changed so drastically that the object of the covenant had been rendered unnecessary, therefore justifying a declaration that it be declared abandoned or extinguished.
The covenant provides:
“3. That the premises shall be restricted solely to memorial park and services related thereto.”
It recites as its reason:
“That these covenants are imposed upon the premises in relation to a request for a rezoning of the premises from R-l to R-2 in Case C9-69-35, Tucson Memorial Park-Grant Road rezoning, which will allow all of said premises to be devoted to cemetery and related uses, and that the walls and foliage are needed to buffer the maintenance and related areas from adja cent residential properties, to avoid excessive number of structures, and to avoid the use of said premises in a manner that would be offensive to the surrounding areas.”
It further recited that the benefits of the covenants were to run in favor of the City of Tucson, both as a municipal corporation and as trustee, and to the owners and occupants of real property within a radius of 200 feet from the exterior lines of the premises. The covenant was to run for 20 years from the date of execution.
We agree with petitioners that the respondent court erred in denying its motion to dismiss for failure to state a claim for relief. The complaint itself admitted that rezoning was approved on condition that Tucson Memorial Park execute a covenant restricting its use of the property to a memorial park and the services related thereto. The executed covenant, which was presented to the respondent court, complies with this requirement. The language of the covenant is clear — it excluded the use of the property for anything other than memorial park and services related thereto. Contrary to the plaintiffs’ contention, nothing more had to be said about its use for residential development. The language of the covenant is clear and unambiguous and therefore it must be given effect as it is written. Hadley v. Southwest Properties, Inc., 116 Ariz. 503, 570 P.2d 190 (1977).
The “partial release” of the covenant by the City of Tucson did not purport to, and in fact, could not, extinguish the interest of the property owners in maintaining the covenant intended for their benefit.
Count Three of the plaintiffs’ complaint alleged as an alternative ground for relief that the circumstances respecting the use of the property had changed so substantially as to render the operation of the covenant oppressive and inequitable. We are committed to the rule that equity will enforce the terms of restrictive covenants unless the changes in the surrounding areas are so fundamental or radical as to defeat or frustrate the original purposes of the restrictions. Decker v. Hendricks, 97 Ariz. 36, 396 P.2d 609 (1964); Riley v. Stoves, 22 Ariz.App. 223, 526 P.2d 747 (1974). The only evidence was that the City of Tucson had approved a zoning change to R-2 residential. A zoning change is merely some evidence as to the most economical use to which the property could be put. Decker, supra. The only change of condition is that Tucson Memorial Park is confined to using the property for a memorial park instead of for residential development. A mere change in value does not justify removal of a restrictive covenant. Mur-phey v. Gray, 84 Ariz. 299, 327 P.2d 751 (1958). The “change of condition” theory was not available to the plaintiffs.
Petitioners established that the declaratory relief sought by the plaintiffs was not available and that plaintiffs’ property was restricted to use as a memorial park and services related thereto. The respondent court is therefore directed to enter an appropriate order of dismissal.
HOWARD, C.J., and BIRDSALL, J., concur.
. Since matters outside the pleadings were presented to and not excluded by the court, the motion should have been treated as one for summary judgment and disposed of as provided in Rule 56. Rule 12(b), Rules of Civil Procedure, 16 A.R.S.
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OPINION
HATHAWAY, Judge.
Appellant was tried to a jury and convicted of one count of fraudulent scheme and artifice and one count of attempted fraudulent scheme and artifice in violation of A.R.S. §§ 13-1001 and 13-2310. The alleged fraudulent scheme involved the sale of purportedly illicit drugs to a DEA agent in June of 1981. Imposition of sentence was suspended and appellant was placed on probation for seven years.
The questions for our consideration on appeal are whether the trial court abused its discretion (1) in precluding appellant from inquiring into prior bad acts allegedly committed by the state’s informant, and (2) in admitting statements under the co-conspirator exception to the hearsay rule. We affirm.
A brief factual background discloses that on June 11,1981, Thomas Childers, a special agent for the Department of Justice received from a confidential informant, Blay-lock, a drug sample that had been obtained from Martinez. Analysis showed the sample to be methamphetamine, a controlled drug.
On June 15, 1981, agent Childers met with Martinez at Blaylock’s apartment to purchase methamphetamine. Childers field tested the one-half ounce of substance produced by Martinez and determined that it contained methamphetamine. He paid Martinez $600 for the drug. Martinez stated that he had obtained the drug from a chemist, appellant, who had manufactured the previous drug sample and had used the same chemical process for both. Martinez advised Childers that he could buy larger quantities of “meth” if he was satisfied with the quality, but that the chemist needed to procure laboratory equipment from Texas to make larger quantities.
Appellant met with agent Childers, Blay-lock and Martinez at a Tucson restaurant on June 19,1981. Appellant confirmed that he had made the previous samples of “meth” by the same crude process, by extraction from Vicks inhalers, and that he could produce a much better quality “meth” if he got into full-scale operation. Appellant explained how he intended to produce a pound of “meth” using a “modified Leuk-hardt reaction.” Agent Childers expressed an interest in financing appellant’s operation, but required that he first discuss the process telephonically with Childers’ chemist, Zajac, who, unknown to appellant, was a special agent with the Drug Enforcement Administration and a chemist. After his discussion with appellant, Zajac advised agent Childers that certain chemicals appellant intended, to use were highly explosive and would create a public danger. It was therefore decided to ask appellant to manufacture a pound of “meth” by his crude process. The request was relayed to appellant through Blaylock.
Blaylock, agent Childers and agent Victor Cortez, posing as one who had a buyer for the “meth,” dropped in on appellant on June 29, 1981, to see how the drug manufacturing was progressing. Appellant showed them two plastic bags and stated that they contained what he had made so far. The agents ran field tests on samples from each bag. The first tested poorly, but the reaction to the second was better. Appellant said he would have the full pound made by the next day. The following afternoon, Blaylock and agents Childers and Cortez went to appellant’s apartment. Martinez and appellant were there. Appellant gave Childers a manila envelope and said “here is your pound of methamphetamine.” Childers inspected the contents and confirmed that the envelope contained a package of white powder wrapped in clear plastic. Appellant said the price was $24,-000. Martinez and agent Cortez left with the package, purportedly to deliver it to the phantom buyer. Blaylock and agent Child-ers remained with appellant and discussed how the $24,000 would be divided. In approximately a half hour, agent Cortez returned with several other agents and arrested appellant.
Chemical analysis revealed that the substances purchased from Martinez on June 15, 1981, and the one pound package appellant delivered on June 30, 1981, were not methamphetamine, but were propylhexed-rine and theophylline, respectively, both non-controlled substances.
Appellant first contends that the trial court’s refusal to allow him to impeach the credibility of the informant, Blaylock, violated the Sixth Amendment to the United States Constitution and Rule 404 of the Arizona Rules of Evidence. He points out that to establish the elements of fraudulent scheme and artifice against him, the prosecution introduced into evidence a note written by Blaylock, purportedly copied verbatim by him from a note furnished to Martinez by appellant. Martinez had given the note to Blaylock at the time of the first drug transaction, but would not let Blay-lock keep it. The state’s position is that appellant’s participation in the scheme began in the note with his false promise to produce “meth.” Appellant contends the note deviated from his note given to Blay-lock which he recalled as saying the substance given to Blaylock was propylhexed-rine and not as powerful as “meth.” The note read:
“This is not meth made by complete synthesis of base chemicals. It is produced from a fully saturated analog of meth (going in reverse.) It is less potent and has a slight burn as it is a hydroclorie salt. It is too much trouble to produce small amounts of meth. by complete synthesis so I did it this way. Needless to say, it is far easier to get pure no-burn meth by complete synthesis. If you would like about an ounce or so. I’ll see what I can do. [Emphasis added to depict alleged discrepancies]
Appellant contends the underlined portions were additions made by Blaylock. The parties on appeal do not address the substance of the purported additions, rather the focus is on the limitation of cross-examination of Blaylock. Defense counsel attempted to impeach Blaylock’s credibility by cross-examining him concerning his stealing a birth certificate, possession of a false birth certificate, having a false passport, and use of heroin before June of 1981. The trial court denied the request as “too cumbersome.” Appellant contends that the court’s ruling violated his right to confrontation and in particular Rule 608(b), Arizona Rules of Evidence:
“Specific instances of the conduct of a witness, for the purpose of attacking or supporting his credibility, other than conviction of a crime as provided in Rule 609, may not be proved by extrinsic evidence. They may, however, in the discretion of the court, if probative of truthfulness or untruthfulness, be inquired into on cross-examination of the witness (1) concerning his character for truthfulness or untruthfulness ...”
As stated in the rule, whether to allow impeachment of a witness with specific misconduct not resulting in a felony conviction is within the discretion of the trial court. The court’s conclusion that forays into collateral matters, although perhaps relevant to test a witness’ credibility, was “too cumbersome” expresses a sound reason for vesting such discretion in courts. The trial court’s responsibility to keep cross-examination on track and to not permit the trial to become bogged down in collateral matters was commented upon by the Arizona Supreme Court in State v. Evans, 120 Ariz. 158, 584 P.2d 1149 (1978). Moreover, the amorphous predicate for the defense proposal to further cross-examine is unpersuasive in that it appeared to be based on defense counsel’s surmise. M. Udall and J. Livermore, Arizona Practice Law of Evidence, § 48, at 95 (2nd ed. 1982).
Appellant next contends that the “organizer, negotiator and dealer” in the “scheme” was Philip Martinez, an individual he had met approximately one week prior to the first negotiations. Martinez was absent from the trial and did not testify. Statements of Martinez were used by the state to show that the quality of the second drug sample was represented to be the same as the first, which was “meth,” and that both came from the same source. Martinez’ statements linked appellant to representations of the quality of the drug and identified him as the source. Appellant denied making the “meth” in the first sample and argues that he could not have since he lacked the necessary ingredients and that the state chemists confirmed this. Since he was unable to cross-examine Martinez about his statements, appellant contends that admission of the statements constituted reversible error.
The trial court admitted Martinez’ out-of-court statements on the basis that appellant and Martinez were co-conspirators rendering the statements admissible pursuant to Rule 801(d)(2)(E) of the Arizona Rules of Evidence; State v. Politte and Zucker, 136 Ariz. 117, 664 P.2d 661 (Ariz.App.1982), finding that there was a prima facie showing of a conspiracy and that appellant’s right to confrontation was not violated because the statements were reliable. Appellant contends that the trial court erred as to the quantum of evidence necessary to find a conspiracy and in its application of that standard to the conspiracy in question. It is argued that a preponderance of the evidence standard should have been used, rather than a prima facie evidence standard. It has been noted that “[w]ith little exception, the courts in criminal cases which have considered the question have held or recognized that the independent evidence must establish a prima facie case of conspiracy.” Annot., 46 A.L.R.3d 1148 at 1161. Arizona subscribes to this view. State v. Ferrari, 112 Ariz. 324, 541 P.2d 921 (1975). Although proof of the existence of the conspiracy need not precede proof of the declarations of co-conspirators, State v. Speerschneider, 25 Ariz.App. 340, 543 P.2d 461 (1975), independent evidence of the conspiracy was given by agent Childers. We find that the statements of the co-conspirator were properly admitted, State v. Politte and Zucker, supra.
Affirmed.
LAWRENCE HOWARD, C.J., and BEN C. BIRDSALL, J., concur.
|
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OPINION
HOWARD, Chief Judge.
This is an appeal from an order revoking appellant’s probation and sentencing him to a prison term of not less than five nor more than seven years on the original 1977 conviction of unlawful possession of marijuana.
The amended petition to revoke alleged ten violations of the conditions of probation. An extensive hearing was held and the trial court dismissed six and found that appellant had committed four violations of the following condition: “You shall not associate with undesirable persons (convicted criminals or others who you know might lead you to violation of the law), without permission of your Probation Officer .... ”
Appellant attacks the admissibility of certain evidence, the sufficiency of the evidence, the constitutionality of the above-quoted condition, and the length of the sentence imposed. We affirm.
Our review of the record discloses that the evidence pertaining to two of the allegations was not sufficient to show that appellant had “associated” with the named individuals. As to Warren Dittrich, the only evidence was a letter to appellant from Dittrich written from a Los Angeles jail, and a response letter from appellant. As to Laddie Dittrich, the only evidence presented was that a vehicle belonging to Dittrich’s girlfriend, whom he subsequently married, was observed outside of appellant’s residence on one occasion.
The term “associate” means more than incidental contacts. See Arciniega v. Freeman, 404 U.S. 4, 92 S.Ct. 22, 30 L.Ed.2d 126 (1971). It means “ ‘to join often, in a loose relationship as a partner, fellow worker, colleague, friend, companion or ally.’ ” DiMarco v. Greene, 385 F.2d 556 (6th Cir.1967); Sponick v. City of Detroit Police Department, 49 Mich.App. 162, 211 N.W.2d 674 (1973). We find the evidence as to both Dittrichs, and any logical inferences therefrom, shows no more than incidental contact and falls short of “association.”
It was proven, however, that in July 1982 appellant associated with Gene Cotter since Cotter was living at appellant’s home and was arrested there. Appellant’s association with Larry Tinker Toddy was also proven by evidence that he had traveled to Nebraska to be Toddy’s best man at his wedding and had visited him at his Tucson residence in April 1980.
We agree with the trial court that allegations three and seven were proven. Since revocation of probation was properly supported by proof of these two charges, the insufficiency of the evidence as to allegations four and five does not invalidate the revocation. State v. Jameson, 112 Ariz. 315, 541 P.2d 912 (1975).
We do not agree with appellant that the condition which prohibits his association with undesirable persons whom he knew might lead him to violate the law did not give him fair warning of the conduct it proscribed. Sponick v. City of Detroit Police Department, supra.
We find no basis for disturbing the sentence imposed by the trial court. The original 1977 presentence report shows that appellant’s association with convicted persons was the root of his problem. His continued association, despite the condition prohibiting it, would support the conclusion that appellant was not striving to reform. Appellant contends that under the new criminal code, unlawful possession of marijuana is a class 6 felony, A.R.S. § 13-3405, for which the presumptive sentence is 1.5 years. This shows a change in the legislature’s opinion, he argues, as to the seriousness of the offense. We do not find that this demonstrates that the sentence imposed is excessive. The trial court was required to apply the penalty provisions in effect at the time of the offense. A.R.S. § 1-246. The sentence imposed fell in the middle range and was not arbitrary. We find no abuse of discretion,
Affirmed.
HATHAWAY and BIRDSALL, JJ., concur.
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OPINION
BROOKS, Presiding Judge.
This appeal from an order of the juvenile court terminating appellant’s parental rights presents four issues for review:
1. Whether there was sufficient evidence to support a finding of abandonment as defined by A.R.S. § 8-201(1) and implemented by A.R.S. § 8-533(B)(l).
2. Whether the mother (appellant) was denied the opportunity to personally appear at the proceedings and was therefore denied her due process right to confrontation.
3. Whether the juvenile court committed reversible error in denying a motion for continuance for the purpose of presenting impeachment evidence.
4. Whether the juvenile court committed error in admitting exhibits into evidence.
After a factual overview, we will discuss each issue in turn. Initially, we observe several principles generally applicable to this review. On appeal, this court will accept the juvenile court’s findings in support of termination of the parent-child relationship unless such findings are clearly erroneous. In the Matter of Juvenile No. J-2255, 126 Ariz. 144, 613 P.2d 304 (App.1980); In the Matter of Maricopa County Juvenile Action No. JS-378, 21 Ariz.App. 202, 517 P.2d 1095 (1974). The standard of proof in a termination proceeding is by clear and convincing evidence. Stantosky v. Kramer, 455 U.S. 745, 102 S.Ct. 1388, 71 L.Ed.2d 599 (1982); In the Matter of Maricopa County Juvenile Action No. A-26961, 135 Ariz. 228, 660 P.2d 479 (App.1982).
The child who is the subject of this action was born on September 13,1972. When the child was approximately four months old, appellant made arrangements to place him for adoption through a welfare agency. This was adamantly opposed by the grandparents (appellees). Appellant ultimately acquiesced and left the child with appellees for approximately eight or nine months. Subsequently, appellant married and left her parents’ home with the child. In 1974, she left her first husband because he abused her and she travelled to Texas with a male companion and her child. While in Texas, she divorced her first husband. Appellant, a companion and the child then travelled to South Carolina where appellant and the companion were married. A second child was born to appellant, the son of her second husband, in South Carolina. Appellant’s second husband was also prone to wife abuse and appellant left him after two years and returned to her parents’ home where she remained with both children for approximately thirteen months. In the interim, she divorced her second husband.
In 1977, appellant returned to Texas with the two children and subsequently remarried for the third time. Appellant and her third husband thereafter moved to Arizona where they began a mechanic’s business and rented a home.
At the hearings in this matter, appellant’s brother and his wife testified regarding what they had observed in appellant’s home during a two-week visit. They testified that the child involved in this case, together with his half-brother, slept in a room with no beds on a bare floor, although appellant and her husband had the use of a bed. Additionally, the son of appellant’s third husband, an eighteen year-old boy living with the family at that time, also had his own room and a bed. Appellant’s brother testified that the child involved in these proceedings and his half-brother were not allowed to eat with the adults nor were they fed the same foods that the adults consumed.
Appellant’s third husband’s business thereafter failed and the family returned to Texas.
After the return to Texas, appellant separated from her third husband, again because he was a wife beater. In December 1979, appellant requested that appellees take the child involved in this case into their home on an indefinite basis. After placing the child with appellees, appellant had no significant contact with the child. The extent of appellant’s contact with the child involved approximately four phone calls, a birthday card, and a poster over a two-year period. She provided no money for food or clothing. Rather, she continued to request support from her parents for her own expenses.
After appellant’s separation from her third husband in Texas, she began another relationship with an individual who is the father of a third child. In 1980, appellant’s second child, the result of the union between appellant and her second husband, died. A certified report from the office of the medical examiner of Travis County, Texas was received in evidence. The report detailed the postmortem examination of the child’s half-brother who died at the age of four years. The examiner concluded that the child came to his death as a result of blunt trauma to the abdomen and head and that the death was a homicide. The report indicated that several days had elapsed between the injuries sustained by the child and the time when appellant brought him to the hospital for medical care.
Appellees, together with the child in this case, attended the funeral of the child’s half-brother in Texas and this is the only time that the child has seen the appellant since she left him with appellees in 1979.
Appellant was indicted for the murder of her second child and released on bond. On August 17, 1981, appellees brought this petition to terminate the parent-child relationship in order to clear the way for the adoption of their grandson.
Appellant contested the termination and, after extensive continuances, hearings were held before the juvenile court on August 3, August 26, October 28, and November 9, 1982. Appellant was represented by counsel throughout these proceedings. Although requested to do so, appellant made no attempt to seek permission of the Texas court for relief from her bond restricting her to the State of Texas so that she might attend these severance proceedings nor did she provide any deposition testimony.
Following the hearings in this matter, the juvenile court entered an order on November 16, 1982, which found that appellant had abandoned the child and had made no effort to maintain a parental relationship. The order found that appellant had left the child without provision for support and had made only token efforts to communicate with the child for a period in excess of six months. On that basis, and applying a standard of clear and convincing evidence, the juvenile court ordered that the parent-child relationship between appellant and the child be terminated. This appeal followed.
We first consider the issue of whether sufficient evidence was presented to the juvenile court from which a finding of abandonment could be made. A.R.S. § 8-533(B)(1) provides:
B. Evidence sufficient to justify the termination of the parent-child relationship shall include any one of the following, and in considering any of the following grounds, the court may also consider the needs of the child:
1. That the parent has abandoned the child or that the parent has made no effort to maintain a parental relationship with the child. It shall be presumed that the parent intends to abandon the child if the child has been left without any provision for support and without any communication from such parent for a period of six months or longer. If in the opinion of the court the evidence indicates that such parent has made only token efforts to support or communicate with the child, the court may declare the child abandoned by such parent.
Abandonment is also defined in A.R.S. § 8-201 which states:
In this chapter, unless the context otherwise requires:
1. “Abandoned” means the failure of the parent to provide reasonable support and to maintain regular contact with the child, including the providing of normal supervision. Failure to maintain a normal parental relationship with the child without just cause for a period of six months shall constitute prima facie evidence of abandonment.
A recent opinion of this court has also considered the definition of abandonment in the context of a termination of parent-child relationship. In Matter of Maricopa Juvenile Action Nos. JS-4118/JD-529, 134 Ariz. 407, 656 P.2d 1268 (1982) this court stated:
The appropriate test of abandonment is whether there has been conduct on the part of the parent which implies a conscious disregard of the obligations owed by a parent to the child, leading to the destruction of the parent-child relationship. [Citations omitted.]
At 1270.
In the case of In the Matter of Pima County Juvenile Action No. S-624, 126 Ariz. 488, 616 P.2d 948 (App.1980), this court recognized that the definition of abandonment must be elastic and that questions of whether an abandonment exists or was in tended are questions of fact for resolution by the trial court. This court held that the best interests of the child are a valid factor in deciding abandonment allegations but noted that the primary predicate for such a finding is, again, whether there has been conduct on the part of the parent which shows a conscious disregard of the obligations which are owed by a parent to a child and which lead to the destruction of the parent-child relationship. See also, Anonymous v. Anonymous, 25 Ariz.App. 10, 540 P.2d 741 (1975).
The evidence presented in this case provided ample evidence from which the trial court could determine that the conduct of appellant had constituted abandonment. Even if her conduct prior to 1979 is disregarded, it is clear that after 1979 appellant left the child essentially in the care of her parents and, with the exception of one birthday card — which we note was sent to the child after the instant litigation was begun — and a movie poster, appellant’s conduct evidences no conscious effort on her part to maintain a parent-child relationship.
The facts in this case show that the child has spent as many years of his life in the home of appellees as he has in his mother’s care. The record shows that he now has a stable home life and is at present doing exceedingly well in school and is among friends. Taking into consideration both the conduct of the mother and the welfare of the child, we find ample evidence in the record to support the trial judge’s determination that abandonment had been shown.
We next consider the question of whether appellant was denied the opportunity to personally appear at the proceedings and was therefore not accorded her due process right to confrontation.
Initially, we note that the hearings in this case were delayed, at the request of appellant, for nearly a year while she attempted to resolve her criminal charges in Texas. Finally, the juvenile court ordered that the matter proceed. It was appellant’s position that she had been released on bond on the criminal homicide indictment and that the provisions of the bond release restricted her from leaving the State of Texas. Early in the proceedings, it was pointed out both by counsel and appellees and by the juvenile court that appellant had not alleged that she sought permission for release from that restriction for the purpose of appearing at these termination proceedings.
We note that a parent in a termination proceeding does have the right to confront witnesses where the witnesses’ testimony goes to the heart of the termination proof. In the Matter of Maricopa County Juvenile Action No. JD-561, 131 Ariz. 25, 638 P.2d 692 (1981). The task in this appeal is to determine whether appellant was afforded that right.
In the case of In Re Clark, 26 Wash.App. 832, 611 P.2d 1343 (1980), the Washington Court of Appeals considered the question of an incarcerated parent who alleged that error was committed because the trial court refused to continue proceedings until he could attend and have an opportunity to be heard. The Washington court stated:
We find that the trial court has done everything it could in this matter. Clark had the opportunity to appear both by a pro se brief and through his counsel. The court was apparently of the opinion that Clark could not be brought into the state because of his incarceration in Minnesota and because of the detainer placed on him by federal probation authorities. There is no evidence in the record that Clark made any attempts to be present at the hearing. [Emphasis supplied]
611 P.2d at 1346.
Similar circumstances are presented here. Appellant alleged that her bond restrictions pertaining to the homicide indictment forbade her from leaving Texas to attend the termination proceedings in this case. However, even after it was brought to counsel’s attention early in the case, the record contains no evidence of any attempt by appellant to request permission from Texas authorities to be allowed to come to Arizona to attend the termination proceedings. In the absence of such a showing, it cannot be said that appellant has shown that she was restricted from participating in these proceedings and did not have an opportunity to appear. Like the Washington court, quoted above, we find that the juvenile court in this case did all that it could in this matter, including granting extensive continuances and continuing the hearings in this matter from August of 1981 through September of 1982.
Finally, we find no merit in the assertion made in memorandum accompanying the notice of appeal that the juvenile court judge had agreed to allow thirty-five to forty days after the final hearing for the mother to appear. Our review of the record shows that this statement of the juvenile court judge was made earlier in the proceedings and we do not find any implication therein that the court agreed to continue the proceedings yet another month beyond the final hearing. In fact, following this particular statement of the judge, proceedings were continued from August to October, a period encompassing the time complained of.
We turn to appellant’s contention that reversible error occurred when the trial judge refused, on the final day of testimony, to grant a continuance so that appellant’s brother could be brought from California to provide impeachment evidence. First, this brother had already testified at the hearing and the record read as a whole shows that the additional testimony with which counsel was concerned was known to him prior to the brother’s testifying. It involved accusations made by appellant in a letter to counsel which was not admitted into evidence but which; counsel used extensively in cross-examining appellees. There has been no showing why questions involving information supplied by appellant could not have been used during the examination of the brother while he was on the stand. Additionally, counsel for appellant failed to subpoena appellant’s brother and allowed him to return to California from Arizona, then requested the court to grant a continuance so that counsel could attempt to bring the brother back from California to testify again. In our opinion, the juvenile court would have been justified in viewing this as merely a vehicle for delay. Appellant had consistently attempted to delay these proceedings by seeking continuances and by failing to request permission to attend the proceedings in person. The denial of counsel’s motion to recall appellant’s brother after all the testimony had been taken was not an abuse of discretion.
The final argument made in this appeal is that the juvenile court erred in admitting into evidence a certified copy of the report of the medical examiner of Travis County, Texas, concerning the death of appellant’s second child. We have examined the order in this case and find that the trial court’s determination of abandonment was not based solely, or even in any material respect, on this report. Cf. In Re Appeal in Maricopa County Juvenile Action No. J-75482, 111 Ariz. 588, 536 P.2d 197 (1975). Further, the report was relevant to the issue of the welfare of the child involved in this case inasmuch as it shows, by certified record, that appellant’s second child died of injuries sustained while in the mother’s care, a fact which has not been contested. We have examined the memorandum in support of the notice of appeal and find that the exhibit was one of only two exhibits objected to in the memorandum supporting the notice of appeal. The other exhibit, a social worker’s report, containing information about the placement of appellant’s third child was not admitted into evidence.
For the foregoing reasons, the judgment of the juvenile court terminating appellant’s parental rights is affirmed.
JACOBSON and CORCORAN, JJ., concur.
|
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HATHAWAY, Judge.
OPINION
The juvenile has appealed from an adjudication of delinquency made after an evi-dentiary hearing was held on January 20, 1983. Two points are raised: (1) whether the court erred in warning the juvenile, in the middle of his testimony, to be cognizant of the law regarding perjury, and (2) whether there was sufficient evidence of burglary to support the adjudication. We affirm.
The minor was named in a delinquency petition which alleged one count of criminal damage in an amount less than $100 and one count of third-degree burglary, both counts involving a student locker at a Tucson-area high school. A school district employee, along with the student assigned the locker, testified for the state, and appellant was the only witness for the defense. The transcript shows the following occurred during appellant’s testimony:
“Q. Were you anywhere near the locker that we have been talking about, 2955?
A. No, I was not.
Q. When you were in the hall that day, did you see another young man in the hall named Charles Lewis?
A. I met him outside.
Q. Did you see Barbara Blackman when you were inside the building? A. Huh-uh.
THE COURT: Do me a favor, Ms. Ayers, and instruct your client about perjury, because I am getting an uncomfortable feeling abouty [sic] it.
MS. AYERS: We have gone over this thoroughly, and it is one person’s word against another’s.
MR. BANALES: It will be his word against Charles Lewis’s, because I will charge him with perjury.
THE COURT: I want him to know when he takes an oath he is sworn to tell the truth. If you think he does, and you have discussed it with him, then go ahead.
MS. AYRES: [sic] May I have a minute outside the courtroom?
(Whereupon a recess was taken, after which the proceedings resumed as follows.)
MS. AYERS: At this point the defense would rest. But I would like to make it clear to the Court, and for the record, that simply because of the time limits and the hostility from the bench, that at this point I don’t see any further purpose in going ahead, and we would like to recess.
THE COURT: Let me make a record on that point. There is no hostility from the bench, but it is my job, in running the courtroom and in trial, to ensure that if I feel a witness is a little bit out of order that that witness i§ properly advised before he continues to testify; and I had a definite feeling that your client was about to perjure himself, and that is a conclusion that I draw as a trier of the facts, and I gave you an opportunity to discuss that with him before he put himself in so deep. If he wants to testify, he can, and he can say whatever he wants to. I want him to know what perjury is, what it means, and if he committed it I will find him guilty. MS. AYERS: The defense would rest at this time, anyhow, and make closing arguments.”
Appellant claims the interruption denied him his opportunity to testify to the events as he perceived them and he was “chilled” into foregoing his right to testify in his own defense. The record does not support the claim. Counsel for appellant asked for a recess, after which she informed the court she would not proceed. The court then informed appellant he could testify and say whatever he wanted but he should be aware of the meaning of perjury. Counsel decided to terminate appellant’s testimony. The record demonstrates no pressure exerted by the court but rather an effort to insure that appellant was informed regarding perjury. It does not make sense to argue that appellant was “chilled” into foregoing his testimony. Why would a witness who is testifying truthfully cease his testimony after being asked if he were aware of the law of perjury? And if a witness were about to testify falsely, the warning could not be viewed as having a chilling effect since there is no protected right to commit perjury. United States v. Grayson, 438 U.S. 41, 98 S.Ct. 2610, 57 L.Ed.2d 582 (1978). There was no error.
Appellant’s second argument is that the court erred in failing to direct a verdict on the burglary count since there was insufficient evidence presented to support it. Both sides agree as to what the evidence showed but appellant argues that the requisite intent was not proven. The law in Arizona is that while the requisite intent may not be inferred from mere entry or theft alone, any additional relevant factors may be sufficient to warrant such an inference. State v. Rodriguez, 114 Ariz. 331, 560 P.2d 1238 (1977). Here several sufficient additional factors are present: appellant’s unexplained presence at the locker with his hand extended into it, see State v. Talley, 112 Ariz. 268, 540 P.2d 1249 (1975); his attempt to flee upon discovery, see State v. Talley, supra; his unsatisfactory explanation for the entry, see State v. Hunter, 102 Ariz. 472, 433 P.2d 22 (1967); the entry by forcing a lock, see State v. Rodriguez, supra, and State v. Hunter, supra. The court could properly have inferred the requisite intent for burglary from these factors.
Affirmed.
HOWARD, C.J., and BIRDSALL, J., concur.
. Appellant’s motion for a directed verdict on the criminal damage count was granted.
|
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OPINION
BIRDSALL, Judge.
An order denying a motion to dismiss is the subject of this special action. Since petitioners have no adequate remedy by appeal, we assume jurisdiction.
Petitioners are the defendants in a pending superior court action and real party in interest, CFS-Continental-Phoenix, Inc (CFS) is the plaintiff. On February 7,1983, CFS filed its complaint against the Griggs in Maricopa County Superior Court. The Griggs, residents of Pima County, answered the complaint and filed motions for change of venue to Pima County pursuant to A.R.S. § 12-404. On February 28, 1983, the Mari-copa County Superior Court granted the change of venue by minute entry ordering transfer to Pima County and directing the Clerk of the Maricopa County Superior Court to transfer the court file to the Clerk of the Pima County Superior Court upon payment of the fee required by statute. The controlling statute is A.R.S. § 12— 407(E) which provides:
“In a case in which a change of venue has been ordered pursuant to Sec. 12-404, the plaintiff shall pay the transmittal fee of ten dollars within five days after the order directing the change. Also in such case the plaintiff shall pay, within thirty days from the date of the order for the change of venue, to the clerk of the court to which the action is transferred the fee required upon filing of a complaint as provided in subsection B of this section. If the plaintiff fails to timely pay either the transmittal fee or the filing fee in the county to which the action is transferred, the court shall dismiss the ease with prejudice.” [emphasis added]
After expiration of the five-day period required for payment of the transmittal fee, the Griggs filed a motion to dismiss in Maricopa County Superior Court. CFS paid the transmittal fee on March 16 and before the Maricopa County Superior Court could rule on the pending motion to dismiss, the court file was transferred to Pima County. The motion to dismiss was therefore ruled on by the respondent judge. He denied the motion on the ground that an order for change of venue is appealable, and since no appeal would lie from the February 28, 1983, minute entry order changing venue, the time had not started running for payment of the transmittal fee under A.R.S. § 12-407(E). We do not agree with the respondent judge.
An order granting or denying a change of venue is not appealable. Goff v. Superior Courts, 2 Ariz.App. 344, 409 P.2d 60 (1965); Galaz v. Vinyard, 128 Ariz. 606, 627 P.2d 1104 (App.1981). Therefore the requirement of Rule 58(a), Arizona Rules of Civil Procedure, 16 A.R.S., that an order be in writing and signed by a judge does not apply to venue rulings and the February 28 order became effective immediately. See State v. Birmingham, 96 Ariz. 109, 392 P.2d 775 (1964); Herzog v. Reinhardt, 2 Ariz.App. 103, 406 P.2d 738 (1965).
Subsection E of A.R.S. § 12-407 is of fairly recent vintage, having been added to the statute by Chapter 152, Sec. 3 of the laws of 1981. Prior to the 1981 change in the statute, the party applying for the change of venue, in all situations, was required to pay the transmittal fee, and the only consequence of failure to pay such fee within the prescribed period was that the change of venue was deemed abandoned. See Brazelton v. Tapia, 19 Ariz.App. 232, 506 P.2d 272 (1973). The legislature, by adding subsection E in 1981, clearly intended to place the onus of payment of the transmittal fee on the plaintiff within five days after the order directing the change of venue or run the risk of dismissal with prejudice. In the absence of certain exceptions, a defendant has a right to be sued in the county of his residence. A.R.S. § 12-401. It is only fair to require a plaintiff who has selected an improper county to which the defendant timely objects pursuant to A.R.S. § 12-404, to expeditiously pay the costs of transfer to the proper county.
It is undisputed that CFS did not timely pay the transmittal fee. The record also demonstrates that its attorney had notice that the change of venue was granted. Although their prescribed time period for payment of fees is longer, the California courts have construed their dismissal provision when a plaintiff has failed to pay the transfer fees as mandatory. See e.g., Legaux v. Superior Courts of San Francisco and Alameda Counties, 46 Cal.App.3d 422, 120 Cal.Rptr. 306 (1975); Grime v. Superior Court for County of Los Angeles, 39 Cal.App.3d 46, 113 Cal.Rptr. 850 (1974). The language of our statute is also mandatory, and when it was established that CFS had not timely paid the transfer fee, the respondent judge had no alternative but to dismiss the action with prejudice.
The order denying the motion to dismiss is vacated, and the respondent court is directed to enter an appropriate order of dismissal.
HOWARD, C.J., and HATHAWAY, J., concur.
|
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OPINION
GRANT, Judge.
This is an action to foreclose certain mortgages securing a promissory note executed by Ray Development Company. We hold that the suit is barred by the statute of limitations and therefore reverse the trial court.
On December 21,1961, appellant Ray Development Co., Inc. (Ray Development) executed to the original creditor herein, Capitol Coal and Coke Company, a promissory note in the amount of $450,000. This note was secured by a mortgage upon real and personal property and other collateral security. The note and security were subsequently assigned to California Growth Capital, Inc. in 1964 and then to appellee, De Anza Land and Leisure Corp. (De Anza) in 1972.
De Anza filed a complaint on May 11, 1972 against Ray Development and numerous guarantors and lienholders, claiming that Ray Development was in default under the note and that an amount of $291,534.32 was then owed. De Anza prayed that the liens given to secure the note be foreclosed and the properties subject to the liens be sold by the sheriff of Yavapai County to provide the funds to finance the sale and the lawsuit, and to pay the amount due on the note.
By amended answer filed July 8, 1974, Ray Development pled the statute of limitations as an affirmative defense, stating that no payments were ever made under the terms of the promissory note and that the statute of limitations began running in December, 1962, De Anza opposed this defense by way of a motion for an order under rule 56(d), Arizona Rules of Civil Procedure, that the statute of limitations is not a defense to its right to foreclose on all the liens. In its supplemental response to the motion Ray Development cited Atlee Credit Corp. v. Quetulio, 22 Ariz.App. 116, 524 P.2d 511 (1974), in which this court held that a mortgage foreclosure action is barred when the statute of limitations has run on the underlying obligation. De Anza responded arguing that Atlee was incorrect and should not be followed.
On August 4,1975, the trial court entered the following minute entry:
The Court having duly considered Plaintiff’s Supplemental Memorandum and Atlee v. Quetulio, 22 A.Ap. 116, 524 P.2d 511, and being duly advised, finds that Plaintiff’s Motion for an Order under Rule 56(d) should be granted.
The court also entered an order on October 31, 1977, granting De Anza summary judgment in the amount of $277,256.99, plus interest in the amount of $166,693.15, “less any set-offs to which defendant may be entitled under said alleged agreements” to be determined at the trial. The matter was tried on November 15, 1977. In its opinion and order dated January 5, 1979, the court determined that no set-offs were allowable, and entered judgment according to the summary judgment as stated above.
The only issue we need to address in this appeal is whether De Anza’s cause of action to foreclose on the mortgage is barred by the statute of limitations. A.R.S. § 12-548 provides as follows:
An action for debt where indebtedness is evidenced by or founded upon a contract in writing ... shall be commenced and prosecuted within six years after the cause of action accrues ....
This action was brought almost ten years after the date of the first installment payment, December 21, 1962, the date appel lants assert the statute began to run. Thus, we must determine whether the above statute of limitations applies to bar the foreclosure remedy when the underlying action for debt is barred.
Appellants argue that A.R.S. § 12-548 applies to an action to foreclose a mortgage given as security for a note, and thereby bars the foreclosure remedy when the action for debt is barred. Appellants cite Atlee Credit Corp. v. Quetulio, supra, in which this court expressly held just that, i.e., that a mortgage foreclosure action is barred when a statute of limitations has run on the underlying obligation.
De Anza asserts that Atlee is incorrect for several reasons: (1) that the court in Atlee ignored the plain wording of the statute which bars only “an action for debt” which is a separate and distinct remedy from a foreclosure action; (2) that the At-lee court violated the rule of statutory construction — expressio unius est exclusio a1-terius — which means the expression of one thing means the exclusion of another. By expressly barring the action on the debt, argues De Anza, the legislature intended to exclude a similar bar on the foreclosure action; (3) that the Atlee court ignored the rule of statutory construction that Arizona courts must adopt a statutory interpretation that is consistent with the common law unless the legislature clearly manifests its intention to repudiate the common law. At common law, argues De Anza, there was a presumption of payment after 20 years which afforded the mortgagor a valid defense; (4) that none of the authorities cited by this court in Atlee supports its holding; and (5) that the Atlee court, finding that no statute of limitations expressly relating to mortgages exists in this jurisdiction, illogically strained to bring mortgages under the limited umbrella of A.R.S. § 12-548.
There are two views on the question of whether a statute of limitations barring an action on the debt also bars the foreclosure of the mortgage securing the debt. See Annot. 161 A.L.R. 886 (1946). The majority rule is that a mortgagee may foreclose his mortgage although the debt has been barred by the running of the statute of limitations. Id. at 887. This is the so-called “two-remedy rule.” The reasoning behind this rule is that the bar affects only the remedy, not the right. Since the debt is not extinguished, the remedy under the mortgage still exists. Id. at 888. The minority view is that since the mortgage is merely incidental to the debt, the remedy of foreclosure falls with the bar of the debt. Id. at 892. This is referred to as the “incident rule.”
Although both sides cite numerous cases in support of their positions, there is no Arizona case, other than the Atlee case, which directly addresses this issue. De Anza cites Provident Mut. Building-Loan Ass’n v. Schwertner, 15 Ariz. 517, 140 P. 495 (1914), wherein the Arizona Supreme Court stated: “Outlawry, [i.e., the bar] under the statute of limitation, affects the remedy and not the right. It does not extinguish or satisfy the debt.” 15 Ariz. at 518, 140 P. at 496. De Anza argues that this language supports the existence of the two-remedy rule in Arizona. We do not agree.
The court in Provident Mutual was not presented with the issue raised here; rather, it simply held that where a property owner brings suit to remove a cloud on his property caused by an unsatisfied mortgage securing a debt barred by the statute of limitations, he is required to pay off the debt first. By the language quoted above, the court was making its point that although the creditor’s remedy was barred, the landowner should be required to pay the debt if he wants equitable relief from the court. The other cases cited by De Anza from other jurisdictions merely show the existence of the majority view in those states.
The appellants cite various Arizona cases which assertedly support their conclusion that the security is incidental to the debt and consequently the debt statute of limitations applies. See Merryweather v. Pendleton, 90 Ariz. 219, 367 P.2d 251 (1961) (“The very essence of a mortgage is a subsisting obligation to pay.”); Hill v. Favour, 52 Ariz. 561, 84 P.2d 575 (1938) (“The law seems to be well settled that the mortgage is a mere incident to the debt ... ”); Charter Gas Engine Co. v. Entrekin, 30 Ariz. 341, 246 P. 1038 (1926) (“If there is no debt, there is no mortgage.”); Arizona Title Insurance and Trust Co. v. Kelly, 11 Ariz.App. 254, 463 P.2d 838 (1970) (“There is but one judgment docketed in a foreclosure action, being the judgment for the full amount of the debt and that the foreclosure is ancillary.”) In Best Fertilizer of Arizona, Inc. v. Burns, 116 Ariz. 492, 493, 570 P.2d 179, 180 (1977), the Arizona Supreme Court stated:
This Court is committed to the modern doctrine that the debt or obligation secured is the principal thing and the mortgage is only an incident or accessory to it. It follows that whatever extinguishes, discharges or satisfies the debt or obligation will also discharge the mortgage, (citation omitted) Where there has been payment of a debt, the mortgage is released.
These cases are distinguishable, however, because they stand for the proposition that where a debt has been extinguished (or, as in Merryweather, where there is no clear and convincing evidence that a debt exists), the mortgage, being merely ancillary to it, also falls. In the case at bar, however, the debt is not extinguished; rather, the remedy for an action on the debt is merely barred.
We recognize that A.R.S. § 12-548 specifically refers to “an action for debt” and does not mention an action to foreclose a mortgage, as do statutes in some of the other states which impose the same period of limitations for both remedies. Nevertheless, we cannot accept appellee’s argument that the 20-year presumption of payment rule applies as a limitation on foreclosure actions. The legislature apparently intended to provide a statute of limitations on all causes of action. A reading of the entire limitation of actions statutes contained in Title 12, Chapter 5, shows that the legislature has comprehensively dealt with the matter. Various time periods ranging from one to ten years are imposed as limits on specific actions. A general limitation is provided in A.R.S. § 12-550 which applies to all actions for which no specific limitation is otherwise provided:
Actions other than for recovery of real property for which no limitation is otherwise prescribed shall be brought within four years after the cause of action accrues, and not afterward.
Thus, pursuant to the comprehensive legislative scheme, if A.R.S. § 12-548 were not the appropriate statute of limitation provision in a foreclosure action, A.R.S. § 12-550 would apply to impose a four-year statute of limitation in such actions. However, appellants did not urge the application of § 12-550 because, they argue and we agree, it would be absurd to apply a lesser limitation of action period to a security foreclosure than to the debt it secures.
For the foregoing reasons we decline to overrule our decision in Atlee and continue to hold that A.R.S. § 12-548 applies to foreclosure actions as well as to actions on the underlying debt.
The next question we must address is whether there has been a written, signed, acknowledgment by appellants of the justness of De Anza’s claim subsequent to the time it became due so as to remove the applicable 6-year statute of limitations. A.R.S. § 12-508; John W. Masury & Son v. Bisbee Lumber Co., 49 Ariz. 443, 68 P.2d 679 (1937).
Exhibit 11 in evidence is a sales agreement with an accompanying purchase trust agreement dated January 26,1970, between California Growth Capital, Inc. (California Growth), De Anza’s predecessor in interest, and Shelwyn-Edwards & Associates (Shelwyn-Edwards). The agreement provided for the sale of California Growth’s interest in real property located in Chino Valley, Arizona, which included the property mortgaged by Ray Development to secure the note given to De Anza. Exhibit 12 in evidence is an agreement dated January 26, 1970, between California Growth and Yarbro, president of Ray Development. This agreement stated that California Growth was about to enter into an agreement to sell its interests in the Chino Valley properties to Selwyn-Edwards (exhibit number 11). The agreement goes on to state:
Yarbro agrees that he has read said agreement of sale and that he will be benefited if such agreement of sale, or such agreement of sale as the same may be modified between the parties thereto, is entered into. Therefore, in order to induce California Growth to enter into said agreement of sale or a modification thereof, realizing that California Growth will enter into said agreement of sale or a modification thereof in reliance on Yarb-ro’s agreement as reflected herein, it is agreed by and between the parties as follows:
******
2. Yarbro agrees that in any foreclosure proceedings in which California Growth or its successors in interest seek to obtain title to all or any of the property listed or referred to in the agreement of sale which is attached as Exhibit A hereto, neither Yarbro nor any of the corporations in which he has or had an interest, nor any other person or entities controlled by or acting for or at the request or suggestion of Yarbro will oppose California Growth in any of said foreclosure proceedings.
Appellee argues that exhibits 11 and 12 establish that Yarbro’s purpose in entering into the agreement with California Growth was to arrange for payments to be made on the note and thereby he has acknowledged the indebtedness under the note. Further, appellee argues that on October 24, 1977, Mr. Yarbro stated at his deposition that he had entered into an agreement with California Growth which provided that the obli-gee under the note would credit certain funds received against the balance due on the note. Appellee argues that this deposition, when coupled with the agreement discussed above, was enough to satisfy A.R.S. § 12-508 and bar the defense of the statute of limitations. We disagree.
It is well established that in order to remove the applicable statute of limitations, “there must be both (a) an acknowledgment of the debt, and (b) willingness to pay it.” John W. Masury & Son v. Bisbee Lumber Co., 49 Ariz. at 466, 68 P.2d at 689. Accord, Western Coal & Mining Company, 60 Ariz. 537, 142 P.2d 411 (1943). It is necessary to have a new promise made by the debtor after the statute of limitations has run to pay that particular debt. John W. Masury & Son, 49 Ariz. at 464, 68 P.2d at 688; Cheatham v. Sahuaro Collection Service, Inc., 118 Ariz. 452, 577 P.2d 738 (App.1978). This new promise must be sufficient in itself to support an action for the debt, independent of the original promise. John W. Masury & Son, 49 Ariz. at 465, 68 P.2d at 689. The moral obligation to pay the debt after the statute of limitations has run is sufficient consideration for the new promise to pay the debt. Hyder v. Shamy, 45 Ariz. 130, 40 P.2d 974 (1935). We also note that the promise to pay may be implied. John W. Masury & Son, 49 Ariz. at 474, 68 P.2d at 692.
The acknowledgment of the justness of the claim, to be within the statute, must contain, directly or impliedly, an expression of the debtor that a moral obligation rests upon him to pay the original debt. Id. at 476, 68 P.2d at 693.
With these legal provisions to guide us, we are unable to find anything in the agreement between Yarbro and California Growth which either (1) acknowledges the justness of the debt, i.e., expresses a moral obligation to pay the debt, or (2) expresses a willingness to pay the debt. The agreement only provides that Yarbro will not oppose foreclosure proceedings in which California Growth seeks to obtain title to certain property. Granted, by foreclosing the mortgage, California Growth could bid in at the sheriff’s sale and obtain a title thereto, and then turn around and sell the property, thereby recovering its losses from nonpayment of the note obtained from Ray Development. Yarbro’s cooperation in this scheme was not a promise to pay the debt; rather, he merely condoned a device by which California Growth could recoup its loss through its own efforts and those of a third party.
In his subsequent affidavit, Yarbro testified that the reason he agreed not to oppose the foreclosures was because he expected that California Growth would credit certain funds received in the resale of the property to the note. The agreement together with the subsequent affidavit is at best a conditional promise to see that the obligation under the note will be satisfied. Such a promise restrains the rights of the creditor to the terms proposed, and if he cannot recover by those terms, he cannot recover at all. John W. Masury & Son, 49 Ariz. at 469, 68 P.2d at 690. “[T]he new remedy is on the terms proposed." Id. at 469, 68 P.2d at 690-91. Thus, DeAnza’s only remedy under the new promise allegedly made by Yarbro was to foreclose on the security involved herein under circumstances where neither Yarbro nor Ray Development would interfere.
For the foregoing reasons, the judgment is reversed and this matter is dismissed.
HAIRE, P.J., and EUBANK, J., concur.
. De Anza does not dispute this point.
. The presumption of payment originated in equity and was subsequently engrafted into the common law. Berkshire Land Co. v. Federal Security Co., 199 F.2d 438 (3rd Cir.1952). It presumes the debt has been paid after the lapse of twenty years, although there is some controversy as to whether the presumption is rebut-table. 3 Powell on Real Property, ¶ 460, p. 696.36 (1975). “The presumption of payment is founded upon the experience of mankind that claims which are valid are usually not allowed to remain neglected.” Kirsner v. Hammond, 256 Md. 570, 573, 261 A.2d 159, 160 (App.1970).
. Appellants argued below that they were to receive an off-set in the amount of the reasonable value or resale price of the Patterson and Chino Valley property that California Growth purchased at sheriffs sales in 1967 and 1968. The lower court rejected this theory and appellants do not appeal from this finding.
. Apparently the foreclosure and resale of the security never came about as De Anza can-celled the accompanying trust agreement in 1974.
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OPINION
HOWARD, Chief Judge.
This is an appeal from the granting of a motion to dismiss appellant’s petition to impose a constructive trust on the assets of an estate. Appellant contends the trial court erred in finding that the petition failed to state a claim for relief. We do not agree and affirm.
The petition to impose the constructive trust states that appellant, Frances Ado-meit, was the daughter of the deceased. Paragraph I of the petition alleges that in 1970 appellant, an unmarried woman, and her mother, a widow, purchased real estate for the sum of $45,000, of which appellant paid $15,000 and the mother paid $30,000. The crucial language in the petition is as follows:
“II
That on or about February 18, 1975, a quit-claim deed was executed by FRANCES C. ADOMEIT, an unmarried woman, as Grantor, to MAY BEESON COFFIN, a widow, as Grantee; said deed was recorded February 21,1975, in Docket 4959, Page 272; a copy of said deed is attached hereto and incorporated herein by reference.
III
That upon execution of the quit-claim deed, Decedent became the sole owner of the property.
IV
That Decedent paid Petitioner the sum of $15,000.00 in exchange for the execution of the quit-claim deed; said sum was far below the market value of Plaintiff’s interest in the property at the time of the transfer and so the transfer was made without adequate consideration; Decedent was the mother of Petitioner and Petitioner possessed the greatest trust and confidence in her mother; that prior to executing the quit-claim deed, Petitioner saw her mother’s Will which provided that Petitioner would receive one-third (V3) of her mother’s estate and in reliance upon this representation, Petitioner agreed to execute a quit-claim deed to the property in exchange for a sum far below the market value of her interest in the property; that Petitioner executed the quit-claim deed in compliance with her mother’s wishes, and solely because Petitioner placed the utmost trust and confidence in her mother and believed and relied upon the representations of her mother.”
The remaining paragraphs of the petition allege that in April 1979 the mother executed a new will giving the property to her son and that a codicil executed by the moth er in 1980 omitted petitioner entirely from the will. Her mother died in 1982 and thus appellant was left completely cut out of the will.
We start with the proposition that a motion to dismiss should not be granted unless it appears certain that the plaintiff would not be entitled to relief under any state of facts susceptible to proof under the claims stated. Parks v. Macro-Dynamics, Inc., 121 Ariz. 517, 591 P.2d 1005 (App.1979). It is appellant’s claim that she stated a claim for relief based upon a confidential relationship and overreaching on the part of the mother and that her mother’s will of and by itself constituted an implied promise to make her an heir if she transferred the property to her mother. We do not agree.
We preliminarily note that there is no allegation that the mother promised to reconvey the property to appellant, or that the property was conveyed to her mother in exchange for a promise to leave the property to appellant in her will or make appellant an heir. In fact, there is no allegation whatsoever that the mother induced appellant in any manner whatsoever to deed the property to her. But the crucial omissions in this case are allegations of facts which would show a confidential relationship. It has long been the law in this state that the existence of a family relationship without more is not sufficient to create a constructive trust. Almada v. Ruelas, 96 Ariz. 155, 393 P.2d 254 (1964); Murillo v. Hernandez, 79 Ariz. 1, 281 P.2d 786 (1955). In order to impose a constructive trust, in addition to the family relationship, there must be shown age and infirmity on one hand, actual dominance on the part of the grantee, an established course of management of the grantor’s affairs by the grantee, or other similar facts making it inequitable to allow the grantee to prevail. Murillo v. Hernandez, supra. Appellant’s reliance solely on the relationship of mother and child is insufficient to show a confidential relationship and therefore insufficient to establish a constructive trust.
Affirmed.
HATHAWAY and BIRDSALL, JJ., concur.
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OPINION
BIRDSALL, Judge.
This appeal arises out of a personal injury complaint. The jury awarded the plaintiffs/appellants $10 damages from the defendant Ruiz and $40 from the defendant Faker for injuries to plaintiff Isabel Hernandez. Her injuries were claimed to result from rear-end collisions involving both defendants on March 26,1980. The trial court denied the appellants’ motion for additur and new trial. We affirm.
The only question presented on appeal is the admission in evidence through the direct examination of an expert doctor witness of hearsay contained in the report of another doctor who did not testify. The records of the other doctor were relied on by the witness in arriving at the expert opinions which he expressed. The appellee contends this was material which the witness was entitled to consider under Rule 703, Rules of Evidence, 17A A.R.S. This rule provides:
“The facts or data in the particular case upon which an expert bases an opinion or inference may be those perceived by or made known to him at our before the hearing. If of a type reasonably relied upon by experts in the particular field in forming opinions or inferences upon the subject, the facts or data need not be admissible in evidence.”
The medical expert witness, Dr. Frankel, who examined Isabel on November 13,1981, for the defendant/appellee Ruiz, testified generally that he found nothing wrong with her. After expressing his opinion that she could do her normal work as a restaurant cook, he was asked if he had found in the records furnished him a report signed by a Dr. Lapp who had previously treated Isabel containing a statement that five days before the accident she was totally disabled. The appellants’ counsel objected that the question was leading and hearsay. The trial court inquired “How do you answer the hearsay objection” and an unreported bench conference followed. The court then overruled the objection and the witness was permitted to testify to some of the contents of Dr. Lapp’s records. A later mistrial motion was denied. The records were also admitted in evidence, but later withdrawn by the appellees with the court’s permission. In Zier v. Shamrock Dairy of Phoenix, Inc., 4 Ariz.App. 382, 420 P.2d 954 (1967), Division One said:
“Reports of expert findings which are sought to be introduced in evidence as bases of opinion of a testifying medical expert are hearsay and are inadmissible. Security Benefit Assn. v. Small, 34 Ariz. 458, 272 P. 647 (1928); Middleton v. Green, 35 Ariz. 205, 276 P. 322 (1929); Bogard GMC Co. v. Henley, 2 Ariz.App. 223, 407 P.2d 412 (1965). Dr. Eisenbeiss and Dr. Kelley were not available for cross-examination during the trial. Their reports are hearsay.” 4 Ariz.App. at 383, 420 P.2d 954.
The opinion, however, goes on to hold that since the use of the reports arose on cross-examination, their admission was proper. Zier was decided before our adoption of the Federal Rules of Evidence and therefore the court did not consider Rule 703. No reported Arizona case has considered this exact question since then, although some have considered the rule. See State v. Rupp, 120 Ariz. 490, 586 P.2d 1302 (App.1978), citing State v. Clark, 112 Ariz. 493, 543 P.2d 1122 (1975), a pre-rule case.
Assuming arguendo the evidence introduced qualified as “facts or data” then it was admissible for the limited purpose of showing some of the basis for the opinion of thé expert witness. We hold, contrary to Zier, that the testimony may be elicited on the direct examination of the witness.
The comment to Rule 703 contains the statement, “If the facts or data meet this standard and form the basis of admissible opinion evidence they become admissible under this rule for the limited purpose of disclosing the basis for the opinion unless they should be excluded pursuant to an applicable constitutional provision, statute, rule or decision. It also states, “Evidence which is inadmissible except as it may qualify as being ‘reasonably relied upon by experts in the particular field’ has traditionally included some things as certain medical reports and comparable sales in condemnation actions.” Despite this comment there is no Arizona opinion directly holding facts or data properly relied on by a medical expert witness to be admissible in the direct examination of that witness. City of Scottsdale v. Eller Outdoor Advertising, 119 Ariz. 86, 579 P.2d 590 (App.1978), is, however, directly in point if a comparison with condemnation case damage law is valid. In City of Scottsdale, Division One of this court found the exclusion of evidence showing comparable sales of billboard companies was reversible error. The opinion holds that evidence of comparable sales offered as a factor in allowing an expert to determine a capitalization rate for the property was admissible. Division One also quoted with approval from City of Renton v. Scott Pacific Terminal, Inc., 9 Wash.App. 364, 512 P.2d 1137 (1973), which quoted from an earlier Washington case holding in part:
“We now hold that, when a expert is allowed to testify to a valuation opinion which is in part based on facts which would normally be hearsay and inadmissible as independent evidence, the trial court may in its discretion allow the expert to state such facts for the purpose of showing the basis of the opinion. The exclusion of such evidence, however, must be based on a sound exercise of discretion and not on an erroneous application of the hearsay and best evidence rules.” 119 Ariz. at 96, 579 P.2d 590.
Judge Jacobson, writing for Division One, went on to note that the evidence “.. . may well fall within the category of ‘a type reasonably relied upon’ as set forth in Rule 703 ...” We see no valid reason for admitting evidence of comparable sales in condemnation and not admitting facts upon which other experts rely in forming their opinion provided they are shown to be of the type reasonably relied upon by experts in that particular subject.
The introductory note to Article VII, Opinions and Expert Testimony, Rules of Evidence, 17A A.R.S., contains this comment:
“The rules in this article are designed to avoid unnecessary restrictions concerning the admissibility of opinion evidence; however, as this note makes clear, an adverse attorney may by timely objection, invoke the court’s power to require that before admission of an opinion there be a showing of the traditional evidentia-ry prerequisites. Generally, it is not intended that evidence which would have been inadmissible under pre-existing law should now become admissible.
A major objective of these rules is to eliminate or sharply reduce the use of hypothetical questions. With these rules, hypothetical questions should seldom be needed and the court will be expected to exercise its discretion to curtail the use of hypothetical questions as inappropriate and premature jury summations. Ordinarily, a qualified expert witness can be asked whether he has an opinion on a particular subject and then what that opinion is. If an objection is made and the court determines that the witness should disclose the underlying facts or data before giving the opinion, the witness should identify the facts or data necessary to the opinion. In jury trials, if there is an objection and if facts or data upon which opinions are to be based have not been admitted in evidence at the time the opinion is offered, the court may admit the opinion subject to later admission of the underlying facts or data; however, the court will be expected to exercise its discretion so as to prevent the admission of such opinions if there is any serious question concerning the admissibility, under Rule 703 or otherwise, of the underlying facts or data.”
Despite the clarity of the holding in Scottsdale, the opinions concerning other expert testimony which is based in part on matters not otherwise in evidence are not as succinct. See State v. Rupp, 120 Ariz. 490, 586 P.2d 1302 (App.1978); Ehman v. Rathbun, 116 Ariz. 460, 569 P.2d 1358 (App.1977). These cases, Rupp and Ehman, lend only partial support to our holding since neither directly decided a similar issue. Rupp involved the admission of a series of slides showing tissue taken from various organs of a homicide victim. The slides were prepared by laboratory personnel at the direction of the expert witness and in that preparation the tissue might have been altered. Also, since only the doctor testified, there was a foundational question whether the slides were from the victim’s body. The opinion disposes of these two questions with the following paragraph:
“If there was error in admitting the slides into evidence the error was harmless. The essential function of the slides was to provide a portion of the factual basis for Dr. Jarvis’s expert testimony. Arizona now follows the rule that if supportive factual material is of a type reasonably relied upon by experts in the formation of opinions, the material itself need not be admitted into evidence. State v. Clark, 112 Ariz. 493, 543 P.2d 1122 (1975). See also Rule 703, Rules of Evidence, 17A A.R.S. From the record adduced, the slides in issue here consist of such material. The slides were prepared for the use of the expert. They are obviously not discernible by a layman and there is no suggestion that they could have been intelligently used or perceived by the jury prejudicially to appellant. There was accordingly no reversible error.” 120 Ariz. at 498, 586 P.2d 1302.
In Ehman in the supplement to our opinion on motion for rehearing, we recognized that Rule 703 had been promulgated in Arizona but was not yet in effect. We discussed State v. Clark, supra, and quoted the comment by the State Bar Committee on the Rules of Evidence:
“This rule, along with others in this article, is designed to expedite the reception of expert testimony. Caution is urged in its use... ■. The question of whether the facts or data are of a type reasonably relied upon by experts is in all instances a question of law to be resolved by the court prior to the admission of the evidence. If the facts or data meet this standard and form the basis of admissible opinion evidence they become admissible under this rule for the limited purpose of disclosing the basis for the opinion unless they should be excluded pursuant to an applicable constitutional provision, statute, rule or decision.
Evidence which is inadmissible except as it may qualify as being ‘reasonably relied upon by experts in the particular field’ has traditionally included such things as certain medical reports and comparable sales in condemnation actions.”
However, in Ehman the information upon which the economist expert relied was never shown to be of the type reasonably relied upon by experts in his field. For that reason it was held error to admit the opinion and the court does not reach the question of the admissibility of the facts or data upon which the economist relied.
A third Arizona opinion which may, at first, appear to be even more in point is Continental Bank v. Wa-Ho Truck Brokerage, 122 Ariz. 414, 595 P.2d 206 (App.1979). That case involved the bank’s handling of checks with unauthorized signatures. The depositors were awarded summary judgment in the trial court. This judgment was reversed on appeal, one of the reasons being that material issues of fact were in dispute. One fact was whether the bank’s conduct was in accordance with reasonable commercial standards. The bank had filed affidavits of banking experts whose conclusions support the bank’s position. The affidavits were attacked by the depositors as insufficient under Rule 56(e), Rules of Civil Procedure, 16 A.R.S., which requires that such affidavits contain “specific facts” which would be admissible at trial. The opinion notes that the affidavits are from experts and, citing Rules 703, 704 and 705, would be admissible even if the facts or data was not. There is likewise a dearth of reported decisions outside of Arizona or in the federal courts which are directly in point. See Weinstein’s Evidence, Yol. 3, § 703(03)-(05).
An opinion which supports our holding is Roberts v. Tardif, 417 A.2d 444 (Me.1980). There the doctor witness was permitted to testify what was meant by certain notations on a report of an examination of an x-ray. The opinion finds no error but the only authority cited in support are Rules 703 and 705 (both identical with Arizona) and the “Adviser’s Note” to Rule 705 stating that Rule 705 “permits the expert to disclose the underlying facts or data on direct examination even though facts not admissible in evidence may be included.” 417 A.2d at 450. That express language does not appear in Rule 705 although it does logically follow. There is also contrary authority. See Commonwealth v. Kendall, 9 Mass.App. 152, 399 N.E.2d 1115 (1980). In that criminal case the court reversed the conviction because the prosecution expert witness was permitted to testify to inadmissible, prejudicial hearsay. The opinion contains the following reasoning:
“... It is well settled that while an expert witness may consider as the basis for his opinion, this does not make the hearsay itself admissible. Put another way, an expert ‘may not, under the guise of stating the reasons for his opinion, testify to matters in the course of his direct examination unless such matters are admissible under some statutory or other recognized exception to the hearsay rule.’ ” 399 N.E.2d at 1118.
We do not find Kendall persuasive here. The hearsay involved there included statements of the defendant’s wife to the effect that the defendant’s psychiatrist had a bizarre and unprofessional relationship with the defendant; that the psychiatrist had perverted sexual attitudes; that the defendant had been arrested for serious offenses at least 50 times but each time Dr. Smith, the psychiatrist, had concocted false insanity defenses. Obviously this hearsay, related by another psychiatrist from what the wife told him, was “inadmissible under any recognized exception to the hearsay rule.”
We hold that an expert witness may testify on direct examination as to the basis for his opinion if the facts and data are of a type reasonably relied upon by experts in that field.
We must next determine if the statement in Dr. Lapp’s report to the effect that the plaintiff was totally disabled on March 21 was within the “facts or data” contemplated by the rule. We believe it was. There was no additional testimony explaining the statement. In the absence of any explanation to the contrary, the statement that one was “totally disabled” can be a fact. To hold otherwise would render inadmissible other “facts” upon which we know medical experts rely (for example, the radiologist’s report in Roberts, supra, a laboratory test, or the psychological test results upon which the psychiatrist often relies.) These are facts even though they are also conclusions. If we were to hold otherwise, we would thwart the very purpose for the adoption of Rule 703 in its present form. In the advisory committee’s comment to the federal rule we find:
“Facts or data upon which expert opinions are based, may, under the rule, be derived from three possible sources. The first is the firsthand observation of the witness, with opinions based thereon traditionally allowed. A treating physician affords an example. Rheingold, The Basis of Medical Testimony, 15 Vand.L.Rev. 473, 489 (1962). Whether he must first relate his observations is treated in Rule 705. The second source, presentation at the trial, also reflects existing practice. The technique may be the familiar hypothetical question or having the expert attend the trial and hear the testimony establishing the facts.. Problems of determining what testimony the expert relied upon, when the latter technique is employed and the testimony is in conflict, may be resolved by resort to Rule 705. The third source contemplated by the rule consists of presentation of data to the expert outside of court and other than by his own perception. In this respect the rule is designed to broaden the basis for expert opinions beyond that current in many jurisdictions and to bring the judicial practice into line with the practice of the experts themselves when not in court. Thus a physician in his own practice bases his diagnosis on information from numerous sources and of considerable variety, including statements by patients and relatives, reports and opinions from nurses, technicians and other doctors, hospital records, and X rays. Most of them are admissible in evidence, but only with the expenditure of substantial time in producing and examining various authenticating witnesses. The physician makes life-and-death decisions in reliance upon them. His validation, expertly performed and subject to cross-examination, ought to suffice for judicial purposes.”
Thus it can readily be seen that “reports and opinions from ... other doctors” are facts or data within the contemplation of the rule.
We find it unnecessary to discuss other issues presented by the parties since no other reasons for reversal are asserted.
Affirmed.
HOWARD, C.J., and HATHAWAY, J., concur.
. This disability, if any, apparently resulted from an earlier rear-end collision not involving either appellee.
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OPINION
HOWARD, Chief Judge.
The determinative issue in this case is whether an order determining heirs, which contained an express determination that there was no just reason for delay (Rule 54(b), Arizona Rules of Civil Procedure, 16 A.R.S.) was an appealable order under A.R.S. § 12-2101. We hold that it was and that the failure of appellant to file a timely appeal precludes this appeal from the final order of distribution of the estate.
Winnifred Horton’s mother was Lizzie Woods, also known as Lydia Woods. Lizzie married Frank Shea and the issue of that marriage was James F. Shea. James F. Shea died leaving two sons, appellees, James and Richard Shea.
Winnifred Horton moved to Arizona and married N.E. Horton who had children by a previous marriage whom Winnifred did not adopt. Appellants are the descendants of Mr. N.E. Horton, the deceased husband of Winnifred Horton, and are of no legal relation to her whatsoever.
The residuary clause of the will of Win-nifred Horton which was admitted into probate states: “All the rest, residue and remainder of my estate, real and personal, shall be and is hereby devised and bequeathed to my surviving legal heirs, share and share alike.” (Emphasis added.)
A proceeding to determine heirs was filed pursuant to A.R.S. § 14-3931. Appellants contested the petition, alleging that the term “legal heirs” in the residuary clause should be construed to include them. The Sheas filed a motion in limine asking the trial court to exclude any extrinsic evidence relative to the term “legal heirs.” Appellants contended that there was a patent ambiguity and this evidence was admissible to show, inter alia, that Winnifred Horton referred to appellants as her grandchildren and treated them as if they were blood relatives. The probate court granted the motion in limine and eventually entered an order with the appropriate Rule 54(b) certification declaring the Sheas were the legal heirs under the will of Winnifred K. Horton. Appellants attempted to appeal from the order but since the appeal was untimely, we dismissed it with prejudice.
Appellants have filed this appeal from the decree of final distribution contending that the order determining heirs was not appealable and that they therefore have a right to an appeal from the final decree of distribution. We do not agree.
Appeals in a probate matter are governed by A.R.S. § 12-2101(J) which permits an appeal “[fjrom a judgment, decree or order entered in any formal proceedings under title 14.” Prior to 1974 when the Uniform Probate Code was adopted, A.R.S. § 12-2101(J) specified seven different categories of “judgment or order” entered in a probate proceeding which could be appealed. One of these was an order determining heirship.
Instructive on this issue is 1 Arizona Appellate Handbook § 3.2.1.1 at 1981-3-3 (1981 Supp.) which states:
“. . . Construing the present subsection, the supreme court has held in Ivancovich v. Meier, 122 Ariz. 346, 595 P.2d 24 (1979), that the word ‘order’ as used in A.R.S. § 12 — 2101(J) means ‘an order similar to a final judgment or decree’ entered in any formal probate proceedings. The precise scope of this phrase is uncertain. Nevertheless, it would seem that to be appeala-ble an order should at least be of the same general importance as those orders specified in the previous statute. Ivanco-vich also indicates that to be appealable an order should finally adjudicate some particular aspect of the probate proceeding or affect some substantial right of a party of the same nature as those involved in the other appealable orders specified in A.R.S. § 12-2101. .. . ” (Emphasis added.)
There can be no doubt that the order determining heirs which was entered here and which was subject to appeal prior to 1974, is the type of order which is appealable under A.R.S. § 12-2101(J).
Appellants’ claim that the court erred in granting the motion in limine is barred by the principles of res judicata.
Affirmed.
HATHAWAY and BIRDSALL, JJ., concur.
|
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OPINION
HOWARD, Chief Judge.
The state has brought this special action to challenge two orders of the respondent court in a murder case. Because the state does not have an adequate remedy by appeal and because we believe the court exceeded its jurisdiction, we assume jurisdiction and grant relief.
The real party in interest is facing prosecution for the December 10, 1982, stabbing death of Francisco Orozco. The state charged the real party in interest with first-degree murder and on January 13 and 14, a preliminary hearing on the charge was held before Pima County Justice of the Peace Thomas Rallis, who bound the real party in interest over to superior court on a charge of second-degree murder. This case is Pima County Cause No. CR-09877.
The state then proceeded to the grand jury and on February 22, 1983, the real party in interest was indicted on the original first-degree murder charge, designated as Cause No. CR-10164. Approximately one week later the state moved to dismiss the second-degree murder prosecution and on April 8, the real party in interest moved to dismiss the first-degree murder case. The respondent court denied the state’s motion to dismiss and granted the defendant’s. These two orders are the subject of this special action.
We first note that the denial of the motion to dismiss is nonappealable. A.R.S. § 13-4032. The state could appeal the dismissal of the first-degree murder prosecution, A.R.S. § 13-4032(1) but the remedy is not adequate since if the real party in interest goes to trial or pleads guilty to the second-degree murder charge, double jeopardy principles would eradicate the state’s appellate remedy in the other prosecution.
The respondent court erred in denying the state’s motion to dismiss the second-degree murder case since the reviewing magistrate at a preliminary hearing only has two options: either find probable cause to hold the accused or find that probable cause is lacking. Rule 5.3(a), Arizona Rules of Criminal Procedure, 17 A.R.S. Rule 5.4(b) additionally provides:
“Amendment of Complaint. The complaint may be amended at any time to conform to the evidence, but the magis trate shall not hold the defendant to answer for a crime different from that charged in the original complaint.”
The comment to Rule 5.4(b) states:
“The magistrate — whether a justice, judge, justice of the peace, or city magistrate — is authorized to amend the complaint to correct only minor mistakes in allegations of fact. He has no power to amend the charge; he must either bind the defendant over or dismiss the complaint. Thereafter the prosecutor may file another complaint. This is the Arizona rule. See the 1956 Arizona Rules of Criminal Procedure, as amended, Rule 32(A); State v. Colvin, 81 Ariz. 388, 307 P.2d 98 (1957); Application of Williams, 85 Ariz. 109, 333 P.2d 280 (1958); Bowman v. State, 103 Ariz. 482, 445 P.2d 841 (1968).”
Under Rule 16.5, Rules of Criminal Procedure, a prosecutor, upon a showing of good cause, may move to dismiss a prosecution at any time. There was no showing of bad faith by the prosecutor or prejudice to the defendant, and the state had good cause to dismiss because of the erroneous ruling by the justice of the peace. A motion to dismiss was the proper vehicle to accomplish this. State v. Johnson, 113 Ariz. 506, 557 P.2d 1063 (1976), citing State v. Gonzales, 111 Ariz. 38, 523 P.2d 66 (1974).
The court also erred in dismissing the first-degree murder prosecution since the subsequent indictment superseded the prior information. A superseding indictment may be returned any time before trial. United States v. Wilks, 629 F.2d 669 (10th Cir.1980); United States v. Herbst, 565 F.2d 638 (10th Cir.1977). An indictment may supersede a prior complaint in superior court. State v. Bojorquez, 111 Ariz. 549, 535 P.2d 6 (1975). The respondent court, in its minute entry order, ruled that two prosecutions may not proceed simultaneously for the same offense and that the prosecution commenced first takes precedence. While we agree there is a potential double jeopardy claim, Willhauck v. Flanagan, 448 U.S. 1323, 101 S.Ct. 10, 65 L.Ed.2d 1147 (1980), the possibility vanishes here since the second-degree murder prosecution should have been replaced by the indictment in the first-degree murder case.
The order of the court denying the state’s motion to dismiss in Cause No. CR-09877 is vacated and the court is ordered to grant said motion. The order granting the real party in interest’s motion to dismiss the prosecution in Cause No. CR-10164 is vacated and the prosecution is ordered reinstated.
HATHAWAY and BIRDSALL, JJ., concur.
|
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FELDMAN, Justice.
Appellant (plaintiff) petitioned for review of a decision of the court of appeals which affirmed the judgment of the trial court. All issues on appeal pertain to the propriety of an instruction on the sudden emergency doctrine. We granted review in order to examine and settle the law of this state with regard to that doctrine. We have jurisdiction pursuant to Ariz. Const, art. 6, § 5(3), and Ariz.R.Civ.App.P. 23.
A detailed version of the facts is set forth in the decision of the court of appeals. Pe-tefish v. Dawe, 137 Ariz. 593, 672 P.2d 937 (App.1983). A brief summary follows.
Defendant Grady Dawe was driving his parents’ truck on a dirt road near Cave Creek, Arizona on the night of September 16,1978. Plaintiff was a passenger. Dawe was following a car driven by a friend, Chuck O’Connor. A tire on O’Connor’s car had been losing air; since O’Connor did not have a spare, he had asked Dawe to follow him into town.
As O'Connor’s car rounded a curve in the road, the deflating tire blew but and the vehicle spun completely around in the road. At the end of the spin, O’Connor’s car began to travel back in the direction from which it had come. About this same time, Dawe’s truck rounded the curve. Dawe and the other passengers in his truck testified that they were blinded by the headlights of O’Connor’s approaching car, that it seemed to be close and coming right at them on the wrong side of the road. It was uncontested that O’Connor’s vehicle had its headlights on high beam. Dawe testified that in order to avoid a head-on collision, he applied his brakes and turned his steering wheel sharply to the right. As a result, he ran off the road and his truck rolled over. Plaintiff was very seriously injured.
Plaintiff brought a negligence action against Dawe and his parents. Dawe denied that he was negligent and claimed that he had run off the road in an attempt to avoid the sudden emergency he faced. He argued that his actions were reasonable under the circumstances of that emergency. Over plaintiff’s objections, the trial court instructed on the sudden emergency doctrine. The jury returned a verdict in favor of defendants, and plaintiff appealed. All issues raised on appeal pertain to the application of the sudden emergency doctrine under the facts of this case and to the wording of the instruction given the jury on that subject.
ANTECEDENT NEGLIGENCE
Plaintiff’s first argument is based on Dawe’s alleged antecedent negligence in driving. Plaintiff contends the emergency doctrine is inapplicable because Dawe’s negligence was a cause of the emergency. We acknowledge the rule that an actor is not entitled to the benefit of the emergency doctrine when his own negligence has been a cause of the emergency. Gilbert v. Quinet, 91 Ariz. 29, 33-34, 369 P.2d 267, 270 (1962); Restatement (Second) of Torts § 296, comments a and d (1965). However, where there is an issue of fact on the question. of antecedent negligence, the jury must be instructed conditionally and “allowed to determine whether the ... driver was responsible for the suddenness of the crisis which he faced.” Gilbert v. Quinet, 91 Ariz. at 33-34, 369 P.2d at 270. Dawe and three of his passengers all testified that Dawe was driving properly, at a reasonable speed, on his side of the road and in control of his vehicle until seeing the lights of O’Connor’s car heading right at them. The court of appeals held that this evidence did present an issue of fact with respect to whether the “emergency” had been caused by Dawe’s antecedent negligence. We agree with the analysis made by the court of appeals.
ALTERNATIVE COURSES OF CONDUCT
Plaintiff contends the emergency doctrine is only applicable where the actor has chosen among alternative courses of conduct. Since plaintiff does not claim that Dawe improperly chose between alternatives, he argues that the emergency doctrine was irrelevant in this case and the court therefore erred by instructing on the doctrine. The court of appeals agreed with the plaintiff’s characterization of this aspect of the emergency doctrine but held that the jury could have found that Dawe had a choice between alternatives so that the instruction was warranted.
While we agree with the result, we think the emphasis on alternative courses of action is misplaced. The emergency doctrine is not so much a matter of deliberate choice between alternatives available to meet a sudden emergency as it is a matter of impulse and reaction.
An emergency has been defined as a sudden or unexpected event or combination of circumstances which calls for immediate action; and although there are courts which have laid stress upon the “instinctive action” which usually accompanies such a situation, it seems clear that the basis of the special rule is merely that the actor is left no time for thought, or is reasonably so disturbed or excited, that he cannot weigh alternative courses of action, and must make a speedy decision, based very largely upon impulse or guess. Under such conditions, the actor cannot reasonably be held to the same conduct as one who has had full opportunity to reflect, even though it later appears that he made the wrong decision, which no reasonable man could possibly have made after due deliberation. His choice “may be mistaken and yet prudent.”
W. Prosser, Handbook of the Law of Torts § 33, at 169 (4th ed. 1971) (footnotes omitted).
The court of appeals stated that “[o]ur courts have held that the doctrine is inapplicable where the person charged with negligence had no opportunity to choose between two or more alternative courses of action.” While it is true that the statement has often been made, we think it legally incorrect. The doctrine is applicable when there is reaction, or time to react, even though a deliberate choice is not made. If the other elements are fulfilled, the doctrine applies wherever the actor has reacted to the emergency, even though that reactive conduct might be quite impulsive and negligent absent such an emergency. Vanderkarr v. Bergsma, 43 Wis.2d 556, 566-67, 168 N.W.2d 880, 885 (1969).
Logically, of course, in every reactive situation there are at least two alternatives. One is to do nothing, and the other is to react. The greater the emergency, the more likely that reaction is the result of impulse rather than conscious deliberation. The logical focus of the sudden emergency doctrine as an excuse for otherwise unreasonable action is on the impulse of reaction. It must be remembered that there may not have been an opportunity “for ... thoughtful balancing of proper expedients. When unraveled in the illuminating glare of hindsight, [the] problem may become ... deceptively easy of solution; but ... an ‘emergency’ [is] ‘an unforeseen combination of circumstances which calls for immediate action’.” Leek v. Dillard, 304 S.W.2d 60, 69 (Mo.App.1957). There are cases, such as the one at bench, in which it probably would have been better if the actor had not reacted at all. There are other cases where even in the presence of emergency the actor had a chance to determine that there were alternatives and to react by picking one of them. The doctrine may be applicable in both situations; however, the focus should not be on the existence of a deliberate choice between alternative courses of conduct to meet the emergency, but, rather, upon the reasonableness of the actor’s reaction to the emergency. Under either analysis, however, the predicate for giving the sudden emergency instruction was present in this case. We therefore agree with the court of appeals’ resolution of this issue.
REASONABLE/UNREASONABLE APPREHENSION OF DANGER
Finally, defendant attacks the application of the emergency doctrine to this case on the theory that the apprehension of peril does not entitle an actor to invoke the sudden emergency rule unless that apprehension is reasonable. Arguing from this premise, plaintiff claims that Dawe’s apprehension was unreasonable as a matter of law so that the instruction should not have been given at all. Even if properly given, plaintiff claims the wording of the instruction was erroneous because it failed to inform the jury that Dawe was not entitled to the benefit of the emergency doctrine unless they found the peril with which he thought himself confronted was either actual or reasonably apprehended to be actual. The essence of both arguments is that the unreasonable or negligent apprehension of danger where none exists is a circumstance which precludes the application of the emergency doctrine to the actor’s subsequent attempt to evade the danger.
Without citation of authority, the court of appeals agreed with this theory. Though many cases contain language which indicates the apprehension must be reasonable (e.g.: Woods v. Harker, supra note 1), cases with a specific holding on that point are more difficult to find. However, where the point has been considered, the cases have uniformly held that the doctrine is inapplicable where the sudden peril was neither real nor reasonably apprehended. Beaumaster v. Crandall, 576 P.2d 988, 992 (Alaska 1978); Allen v. Pearce Dental Supply Company, 149 Kan. 549, 551, 88 P.2d 1057, 1059 (1939); Beck v. Browning, 129 Tex. 7, 10, 101 S.W.2d 545, 546 (1937); Slate v. Hogback Mountain Ski Lift, Inc., 122 Vt. 8, 12, 163 A.2d 851, 854-55 (1960). For this reason and those discussed below, we conclude that the requirement of reasonable apprehension is a proper limitation on the emergency doctrine. We hold, therefore, that to warrant an instruction on sudden emergency the actor must have faced an actual situation of imminent peril or a situation which a reasonable person would perceive as involving imminent peril.
Thus, defendant was not entitled to the benefit of the emergency doctrine unless the emergency was either real or reasonably apprehended. The court of appeals properly found that the evidence here created a jury question on both the issue of whether the emergency was actual and, if not, the issue of whether Dawe reasonably perceived it to be real. Therefore, the court of appeals was correct in holding that the trial court did not err in instructing on the subject of sudden emergency.
With this in mind, we now consider the actual instruction given by the court:
A person who, without negligence on his part, is suddenly and unexpectedly confronted with peril arising from either the actual presence, or the appearance of imminent danger to himself or to others is not expected nor required to use the same judgment and prudence that is required of him in the exercise of ordinary care in calmer and more deliberate moments. His duty is to exercise only the care that an ordinarily prudent person would exercise in the same situation. If at the moment he does what appears to him to be the best thing to do and if his choice and manner of action are the same as might have been followed by an ordinarily prudent person, under the same conditions, he does all the law requires of him, although in the light of after events it should appear that a different course would have been better and safer.
(Emphasis supplied.) The italicized portion of the instruction does not expressly limit application of the doctrine to situations of actual or reasonably apprehended peril. Likewise, it does not expressly allow application of the doctrine to situations of unreasonably apprehended peril. On its face it is neutral.
Plaintiff made an appropriate, specific objection to the italicized portion of the instruction. He now claims giving it was reversible error. Plaintiff argues that this instruction is defective because it does not specifically state that the actor’s apprehension of peril must be reasonable for the emergency doctrine to apply. Consequently, the argument continues, the jury may have relieved Dawe of liability even though it found that a reasonable person in the defendant’s position would not have believed there was any danger, and, therefore, would not have reacted as the defendant did. He would be correct if the problem were not adequately covered in some other portion of the instructions. Before con sidering that question, we must characterize the problem of “unreasonable apprehension” of danger. Is it some special concept applicable to the sudden emergency situation and therefore an idea which must be covered by special explanation? We think not.
The emergency doctrine is not a rule of law separate and distinct from the general standard of reasonable care. It is, rather, judicial recognition that a perceived emergency is one of the factors which should be considered in determining what is reasonable care under the circumstances. Restatement, supra, § 296 comment b. The law recognizes “the impulses of humanity when placed in dangerous positions, and does not expect thoughtful care from the persons whose lives are thus endangered.” Kern v. Des Moines City R. Co., 141 Iowa 620, 631, 118 N.W. 451, 455 (1908).
The doctrine of sudden emergency does not invoke a different standard of care than that applied in any other negligence case. The conduct required is still that of a reasonable person under the circumstances. The emergency is merely a circumstance to be considered in assessing the actor’s conduct.
Martin v. City of New Orleans, 678 F.2d 1321, 1325 (5th Cir.1982) (emphasis supplied). In Martin, over a well-argued dissent, a majority of the court held that the trial judge had not erred in refusing an emergency instruction warranted by the facts, because the entire concept of the doctrine was subsumed in the general instructions on negligence in which the jury was told that the defendant was under a duty to use ordinary care “viewed in the light of all the surrounding circumstances” shown by the evidence. The court held that the general instruction had effectively covered the principles of law embodied in the sudden emergency theory. Id. at 1326.
Thus, in characterizing the precise problem presented by this case — a possibly unreasonable perception of emergency — we believe that plaintiff’s true complaint here is not the omission of some special rule of law, but merely another facet of the concept that the doctrine is no excuse where the actor’s negligence is a causal factor in creating the perilous situation. To say that the defendant took dangerous, .evasive action because he erroneously and unreasonably perceived impending danger where none existed means only that he was negligent in either perceiving or reacting. The converse of plaintiff’s argument is provided by a case where the actor negligently fails to perceive actual danger before it becomes an emergency, and then perceives the danger only when it can be avoided by an extreme and dangerous reaction. We could deal with such a problem in terms of “emergency”, but it is better characterized as negligent misperception or negligent reaction. We have held that such a question is one of antecedent negligence, so that the emergency doctrine is inapplicable as a matter of law because it is a form of antecedent negligence which helped create the “emergency.” Tansy v. Morgan, supra note l.
Such a result is logical. Negligent misperception of danger, like negligent failure to perceive danger, is a type of antecedent negligence which, if a causative factor, renders the emergency doctrine inapplicable. Put another way, reaction to an unreasonably apprehended emergency is a form of negligence. Under the facts of this case and the law as it now exists, plaintiff was entitled to have these concepts conveyed to the jury; failure to give a proper instruction on the emergency doctrine would be reversible error. Gilbert v. Quinet, 91 Ariz. at 34, 369 P.2d at 270. However, in determining whether such error exists, we must bear in mind that the plaintiff is not entitled to the use of any specific words, but merely to have the jury “fairly and adequately apprised of the applicable law.” Martin v. City of New Orleans, 678 F.2d at 1325. It is only if we are left with the “substantial and ineradicable doubt as to whether the jury has been properly guided in its deliberations” that the verdict cannot stand. Id., quoting Dwoskin v. Rollins, Inc., 634 F.2d 285, 293 (5th Cir.1981).
The final issue for resolution, therefore, is whether the concepts of negligent misperception of an emergency or negligent reaction where no real peril existed, were substantially covered in the charge to the jury, even though not in those words. We believe that when the entire emergency instruction is considered with the other instructions and the alternative theories of the case as presented by the parties, there is no significant possibility that the jury was misled.
The third sentence of the instruction quoted above plainly states that the law requires that the actor not only do “what appears to him to be the best thing to do,” but that “his choice and manner of action [be] the same as might have been followed by an ordinarily prudent person, under the same conditions.” In its second sentence, the instruction states that the actor must exercise “the care that an ordinarily prudent person would exercise” in the same situation. In order for the jurors to conclude that the instruction at issue allowed them to relieve the defendant of liability for negligently reacting based on his subjective, unreasonable apprehension of peril, it would have had to read a subjective standard into the neutral first sentence of the instruction, at the same time ignoring the clearly stated objective standard expressed in other sentences of the same instruction. Furthermore, the other instructions given in the case made it clear that Dawe’s conduct was to be judged by an objective reasonable person standard. We believe, therefore, that this facet of the problem was adequately covered.
We note, also, that the trial court ended the instruction on the emergency doctrine with the following paragraph:
If a motor vehicle driver himself created the sudden emergency or brought about the perilous situation through his own negligence, he cannot avoid liability for an injury merely on the ground that his acts were done in the stress of a sudden emergency. He cannot shield himself behind an emergency created by his own negligence. (Emphasis supplied.)
We believe that this statement also conveys the essence of the idea that if Dawe had negligently perceived danger and therefore took unwarranted evasive action when no emergency existed, he could not avoid liability merely because his evasive action was taken upon an erroneous and unreasonable apprehension of “sudden emergency.” Certainly the instruction left the plaintiff ample room to make such an argument. Plaintiff did not do so because the issue was peripheral to his theory of the case, not because he was foreclosed by the instruction. Plaintiff’s theory, supported by evidence and well argued to the jury, was that the emergency had nothing to do with the accident. Plaintiff argued that Dawe had lost control of his car at a point where he could not have seen the O’Connor vehicle and that the loss of control was the result of Dawe’s improper speed on a curve, resulting improper position on the road and consequent attempts at over-correction. Dawe’s theory of the case was just to the contrary. His evidence was that he had been in control of his vehicle until he saw the O’Connor car coming toward him, in his lane, with bright lights shining at him, and that he deliberately took evasive action to avoid a head-on collision. That theory of the case was argued by defendant’s counsel. Plaintiff’s answer to defendant’s contentions was simply that Dawe and his passengers had either knowingly or unknowingly created the idea of a sudden emergency as a cover-up to avoid facing the fact that Dawe’s negligent loss of control was the real cause of the serious injuries sustained by the plaintiff.
The trial was hard fought and the issues strongly contested. The record indicates that the plaintiff had the stronger argument regarding the position of the Dawe car at the time control was lost. Consequently the inference is strong that Dawe lost control because of antecedent negligence (high speed on curve and over-correction) rather than response to an emergency, reasonably perceived or not. This was the trial judge’s view of the evidence. Nevertheless, Dawe and his passengers all testified that Dawe was in complete control until he rounded the curve and saw O’Con-nor’s car coming toward him. The jury evidently believed this version of the accident. The trial judge did not find the verdict against the weight of the evidence and we cannot substitute our view of the record for that of either the trial judge or the jury. Grant v. Arizona Public Service, 133 Ariz. 434, 454, 652 P.2d 507, 527, reh. denied (1982). At most, the instruction contained only technical error and, when taken as a whole, conveyed the correct legal concepts to the jury. Therefore, we do not believe the substantive rights of the parties were affected. Under these circumstances, we agree with the court of appeals’ conclusion that the instruction, though far from perfect, was not so incomplete or mislead ing as to constitute error. Therefore, the opinion of the court of appeals is approved as modified by this opinion, and the judgment of the trial court is affirmed.
HOLOHAN, C.J., GORDON, V.C.J., and HAYS, J., concur.
. Dobbertin v. Johnson, 95 Ariz. 356, 361, 390 P.2d 849, 852 (1964), cited by the court of appeals in support of the above-quoted statement, does contain such language. In Dobber-tin, a young child had suddently “appeared” in front of defendant’s vehicle at a distance of two to three feet from that vehicle. Under those facts, it was apparent that the defendant had had no time to make any response, reasoned or reactive. Thus, the sudden emergency doctrine was irrelevant in terms of excusing the driver’s conduct and was, therefore, inapplicable. In Woods v. Harker, 22 Ariz.App. 83, 523 P.2d 1320 (1974), also cited by the court of appeals, the defendant had not been aware of any emergency, and the court of appeals correctly affirmed the trial court’s ruling that a sudden emergency instruction should not have been given. See also Tansy v. Morgan, 124 Ariz. 362, 604 P.2d 626 (1979).
. The analysis followed in Martin, supra, may well be theoretically correct (see Young v. Miller, 79 Ill.App.2d 465, 223 N.E.2d 854 (1967); Molloy, Jury Instructions in Negligence Cases, 6 Ariz.L.Rev. 27, 35-36 (1964-65)). However, the question of whether our trial courts should refuse sudden emergency instructions because they are subsumed within the concept of the general negligence instruction has not been raised by the parties and is, therefore, not reached by this opinion. Further, even if it is not reversible error to refuse the instruction, once it is given, it must certainly be given in words which correctly inform the jury of all of the operative principles of law, including that which limits the applicability of the instruction to situations where the imminent danger is real or is reasonably apprehended to be real by the actor.
. In Tansy, the defendant, traveling 45 miles per hour, noticed plaintiffs car in the traffic lane ahead of him when he was 300 feet away from it, but did not realize until he was 100 feet away that the car was stopped. Defendant attempted to brake, but was unable to do so in time. He did not swerve to the left because of oncoming traffic and decided not to swerve to the right because of the danger of going into an abutting irrigation ditch. We held that the trial court erred in giving defendant’s requested instruction on sudden emergency because the plaintiffs car had been “in plain view, in broad daylight ... for a period of time that was more than ample to give defendant the opportunity to stop.” 124 Ariz. at 364, 604 P.2d at 628. See also Vanderkarr v. Bergsma, supra, in which the court described the possible negligent failure to perceive danger before it became an emergency as a question of antecedent negligence. 43 Wis.2d at 566-67, 168 N.W.2d at 885; Beaumaster v. Crandall, supra, where the driver, cresting a hill, saw two cars before her on a two-lane highway. As she perceived the situation, one car was stopped in her lane and the other car, facing her, was stopped in the oncoming lane abreast of the car in her lane. Thus, defendant perceived the roadway to be totally blocked and took emergency action which led to the accident. In fact, however, the cars were not abreast of each other, but were separated by a distance of almost 900 feet. Given the extent of appellee’s misperception, the court concluded that the facts disclosed no emergency as a matter of law. 576 P.2d at 990-92.
. According to the Restatement, the emergency doctrine is inapplicable if the actor’s “own negligence or other tortious conduct” was a cause of the emergency. Restatement, supra, § 296 comment d.
. It has been persuasively argued that the emergency doctrine is not so much a distinct rule of law as a species of argument on the meaning of “reasonable care under the circumstances.” Restatement, supra, § 296 comment b; Molloy, supra; Young v. Miller, supra.
. The court of appeals indicates (137 Ariz. at 599, 672 P.2d at 943) that the complete instruction “has been quoted and approved by our appellate courts.” We think it more accurate to say that the concepts embodied in the instruction have been quoted and approved. Unfortunately, some place in the dim and distant past the wording of the instruction seems to have been taken from a discussion of legal principles pertaining to the sudden emergency doctrine. See Western Truck Lines v. Berry, 52 Ariz. 38, 78 P.2d 997 (1938), and Gilbert v. Quinet, supra. Words used in an opinion discussing legal principles are not necessarily the best words to be used in instructing the jury. Jury instructions are better when framed in clear, comprehensible, everyday English. See, for example, the wording of Recommended Arizona Jury Instructions. We suggest the following is a more suitable jury instruction on the sudden emergency doctrine:
In determining whether [plaintiff/defendant] acted with reasonable care under the circumstances, you may consider whether such conduct was affected by an emergency. An “emergency” is defined as a sudden and unexpected confrontation with a danger which is either real or reasonably seems to be real. If, in such an emergency, [plaintiff/defendant] acted reasonably to avoid harm to himself or others you may find him not negligent even though, in hindsight, you feel that under normal conditions some other or better course of conduct could and should have been followed.
If the [plaintiffs/defendant’s] own negligence helped cause the need for the alleged emergency action, the emergency is not an excuse.
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OPINION
CONTRERAS, Judge.
The issue presented in this appeal from an order granting a claim against an estate in probate is whether the trial court erred by finding that the testator and testatrix had agreed that their mutual and reciprocal wills were irrevocable. We conclude that the trial court did err and therefore reverse.
Before setting forth the facts, we note that our review of the evidence begins and ends with the inquiry as to whether the court had before it evidence, viewed in a light most favorable to supporting the findings, which reasonably sustains the findings. K & K Mfg., Inc. v. Union Bank, 129 Ariz. 7, 628 P.2d 44 (Ct.App.1981). However, an appellate court has the power to set aside findings of fact which are clearly erroneous. City of Tucson v. Morgan, 13 Ariz.App. 193, 475 P.2d 285 (1970). Further, where the issue is one of interpretation of a writing, the appellate court is not bound by the trial court’s findings, but may draw its own legal conclusions. Eg., Daily Mines Co. v. Control Mines, Inc., 59 Ariz. 138, 124 P.2d 324 (1942).
The key facts are as follows. William C. Moore (husband) and Irma L. Moore (wife) were married on April 29, 1972. At that time, each had children by a prior marriage. During the marriage, one of the husband’s sons, Robert D. Moore (son), encouraged them to have a lawyer draft their wills. However, they insisted that the son draft the wills and mailed letters to him indicating their desired testamentary plan. Only one of these letters, dated April 26, 1975, is in the record. The son used his and his wife’s wills, which had been prepared by an attorney, as models and sent the first wills to the couple in 1975. However, these wills were not executed. The son continued to encourage the couple to execute wills. Again in 1979 he sent proposed wills to the couple. These wills, separate but identical, except for reciprocal terms, were executed on February 22, 1979. Each will was individually and separately executed and does not refer to the other will. The key provision of those wills for our purposes is paragraph four which provides:
FOURTH: In the event that my wife, IRMA L. MOORE [husband, William C. Moore], shall predecease me or die within sixty days after my death, or upon my own death if I shall survive her, or should we die at the same time or as a result of the same accident or disaster or during a joint last illness or under circumstances that are such that the order of our deaths cannot be ascertained with reasonable certainty then, in any of such events, I give, devise and bequeath all the rest, residue and remainder of my estate, whether real, personal, or mixed, wheresoever situate and of whatsoever the same may consist, whereof I may die seized or possessed, unless otherwise provided by me in writing, to my son, [stepson] ROBERT D. MOORE, residing at 604 Claymont Estates Drive, Ballwin, Missouri to be divided one-half the total value equally between my surviving children and one-half the total value equally between the surviving children of my wife, IRMA L. MOORE, [husband, WILLIAM C. MOORE]
(emphasis supplied).
The wife died on June 3, 1980. The husband then executed a will on June 11, 1980, which revoked all prior wills and left all his property to his children by his first marriage. The husband died on June 27, 1980.
The husband’s will was offered for informal probate on July 3, 1980. The son who had drafted the will was appointed as personal representative of his estate. Appel-lees (the two surviving children of the deceased wife’s first marriage) filed a claim against the estate. The personal representative disallowed the claim and appellees, pursuant to A.R.S. § 14-3806, filed a petition for allowance of claim.
The court issued the following findings of fact and conclusions of law relevant to the issue on appeal:
That the letter dated April 28 [sic], 1975 and signed by both parties indicated their agreement as to their testamentary scheme;
That the letter and memorandum of agreement and the reciprocal and mutual Wills, when construed together, constitute a binding contract on both parties;
That by the agreement and Wills, both parties in effect gave up their right to make new Wills;
That Irma L. Moore, in accordance with the intent of their agreement, did not change her Will prior to her death....
That while the Wills standing alone do not say they are irrevocable, they were made pursuant to the agreement letter and thus irrevocable;
That the scrivener of the reciprocal and mutual Wills was not a lawyer and did not clearly include the elements of the agreement set forth in the agreement letter;
That the totality of the surrounding circumstances of the April 26, 1975 letter and the reciprocal terms of the Will and the intent expressed therein amounted to a clear and binding testamentary scheme and agreement between the parties;
That in effect the Wills and the letter both serve to substantiate an agreement between Irma and William;
NOW, THEREFORE, IT IS ORDERED allowing the claim against the estate made by Audrey Schwartz and Stanley Bentall;
FURTHER ORDERED that while the June 11,1981 [sic] Will was the deceased’s last Will, distribution under it is to be in accordance with the prior agreement made April 26, 1975 and the Wills executed February 22, 1979 in accordance with the agreement;
FURTHER ORDERED that one-half of the entire estate is to be distributed to the children of Irma and one-half of the estate to the children of William in accordance with Paragraph 4 of the mutual and reciprocal Wills.
(emphasis supplied). Appellant timely appealed from the order.
It is clear that the 1980 will was effective to revoke the 1979 will of the deceased husband. A.R.S. § 14-2507. As stated in 1 Page, Wills § 11.9, at 567 (1967):
Revocability, as has already been said, is an essential element of a will. An instrument which cannot be revoked is not a will, whatever else it may be. Accordingly, a joint, mutual or reciprocal will may be revoked as any other will may be.
See generally 97 C.J.S. Wills § 1366 (1957); 79 Am.Jur.2d Wills § 803 (1975); Annot., 17 A.L.R.4th 167 (1982). Therefore, the trial court’s finding that the 1980 will was the last will and testament of the deceased husband is correct.
The difficult issue is whether the trial court erred in finding an enforceable agreement not to revoke the 1979 wills. The general rule is that where the joint or mutual will(s) contains or is accompanied by an enforceable contractual obligation, equity will not allow one of the contracting parties to avoid his obligation, but will impose a constructive trust upon his property in favor of the beneficiaries who would have received property from the joint or mutual will. E.g., Estate of Maloney v. Carsten, 178 Ind.App. 191, 381 N.E.2d 1263 (1978); Cook v. Walsh, 39 Or.App. 357, 591 P.2d 1201 (1979); Dahlgren v. Blomeen, 49 Wash.2d 47, 298 P.2d 479 (Wash.1956). Under Arizona law, a contract to devise property may be enforceable. A.R.S. § 14-2701; Estate of Beauchamp, 115 Ariz. 219, 564 P.2d 908 (Ct.App.1977). Under the common-law rule, an agreement not to revoke a will had to be proved by clear and convincing evidence. E.g., Estate of Somogyi v. Marosites, 389 So.2d 244 (Fla.App.1980); Moore v. Harvey, 406 N.E.2d 354 (Ind.App.1980); Neff v. Poboisk, 281 Minn. 475, 161 N.W.2d 823 (1968). By statute, Arizona has adopted a provision which further limits the proof of an agreement not to revoke.
A.R.S. § 14-2701. Contracts concerning succession
A contract to make a will or devise, or not to revoke a will or devise, or to die intestate, if executed after the effective date of this title, can be established only by one or more of the following:
1. Provisions of a will stating material provisions of the contract.
2. An express reference in a will to a contract and extrinsic evidence proving the terms of the contract.
3. A writing signed by the decedent evidencing the contract. The execution of a joint will or mutual wills does not create a presumption of a contract not to revoke the will or wills.
(emphasis supplied).
In the case at bar, because it is clear that the mutual wills neither state material provisions of the contract, nor do they contain an express reference to a contract not to revoke, the only issue is whether there was “a writing signed by the decedent evidencing the contract.” Arizona courts have not analyzed this provision of the statute and our research discloses no opinion on the provision by any jurisdiction which has adopted the Uniform Probate Code. Our decision, therefore, must be based on our interpretation of the statute aided by prior common law as to what evidence is sufficient to constitute a contract not to revoke.
A.R.S. § 14-2701 appears to create a “mini-statute of frauds.” This supplements the common-law rule that a contract to make a will must be clearly proved and certain and unambiguous in all of its terms. See generally 1 Page, Wills § 10.5 (1967). Further, the wording of A.R.S. § 14 — 2701 is similar to Arizona’s general contract statute of frauds, A.R.S. § 44-101. A memorandum, in order to satisfy A.R.S. § 44-101, must state the terms and conditions of all the promises constituting the contract and any deficiency in this regard cannot be supplied by parol evidence. Gray v. Kohlhase, 18 Ariz.App. 368, 502 P.2d 169 (1972). Lastly, the comment to Uniform Probate Code § 2-701, from which A.R.S. § 14r-2701 was taken without change, states that the purpose of the section is to tighten the methods by which contracts concerning succession are to be proved.
The trial court found that the April 26,1975, letter from the testators to the son “indicated their agreement as to their testamentary scheme.” The letter is signed by both parties and states in its entirety:
You no doubt have received Bill’s letter, signed by each of us indicating his personal items and how they are to be disposed of in the event of his death. You will notice that I also signed his letter indicating that I am in agreement with the disposition of his personal items.
I also have some personal items which I wish to have disposed of as follows: My father’s gold pocket watch I wish to be given to my son Stanley.
The following items I wish to go to my children with them deciding on the final distribution:
One black, three drawer Drexel chest
One gold frame antique mirror
One antique mahogany rocking chair
Five hand made heirloom quilts
My Wallace sterling silver consisting of eight place settings plus a few attitional [sic] serving pieces
My Meito china ware consisting of eight place settings
All autographed books I may have I wish to be kept in the family.
Since Bill neglected to mention our mobile home and how it is to be handled at his death, should he predecease me, or how it is to be handled should I predecease him. Should I predecease Bill the entire contents, except for those items mentioned above, my share is to pass to him 100%. Should he predecease me then his share reverts to me 100%, except for the items mentioned in his letter to you which I signed. Should we both die in a common disaster then the home is to be sold and the proceeds are to be divided equally, 50% of such proceeds in each of our estates. This is to be the case even though one of us survives the other for 90 days. Should one of us survive the other more than 90 days then the entire mobile home and the contents thereof will go to the survivor.
Please incorporate in our wills our views in this matter as indicated in his letter recently sent to you and my views as stated in this letter.
We conclude that the letter fails to satisfy the requirement of A.R.S. § 14-2701. The letter is deficient as an agreement not to revoke because it says absolutely nothing about irrevocability of the wills. Thus, while it may show an agreement to execute mutual wills, it certainly does not show an agreement to execute irrevocable mutual wills.
Our analysis is supported by similar cases from other jurisdictions decided prior to the adoption of the Uniform Probate Code. The case most closely on point, we believe, is Oursler v. Armstrong, 10 N.Y.2d 385, 223 N.Y.S.2d 477, 179 N.E.2d 489 (1961), in which the husband and his second wife executed mutual and reciprocal wills in 1951, which provided that benefits, on the death of the survivor, would be distributed to the children from both of the husband’s marriages. After the husband died in 1952, the second wife executed a will in 1955 leaving everything to the children of her marriage with the deceased. The trial court imposed a constructive trust upon the wife’s estate in favor of the children of the husband’s first marriage. The appellate court disagreed:
Grace may have had a moral obligation to give the property which she inherited from Fulton to all four of the children, but a moral obligation alone is not enough to set the court in motion in a case of this kind [citation omitted]. The only basis on which a court can intervene is that a promise was made by Mrs. Grace Oursler not to alter or revoke her 1951 will and that by reason of her promise to that effect her husband gave and bequeathed to her what he did. The power to dispose of one’s property by will is not lightly to be denied even if Judges think that the testatrix should have disposed of her estate differently. No express promise or representation was proved in writing or orally to have been made by Grace Oursler that she would not change her testamentary intent as expressed in the will which she executed contemporaneously with the will of her husband. Nor does the evidence from which such a promise is sought to be implied establish anything more than a 1951 intention on Mrs. Oursler’s part to dispose of her property as she provided by her 1951 will.
(emphasis supplied). 223 N.Y.S.2d at 478-479, 179 N.E.2d at 490.
Further, the Oursler court rejected the wife’s memorandum to the attorney drawing the mutual wills as to her testamentary wishes as sufficient evidence of an intent not to revoke:
Nothing in the memorandum which Grace Oursler submitted to their attorney, Mr. Ernst, amounts to a promise that she would refrain from later exercising her prerogative of revoking or altering her 1951 will to which it relates. This memorandum has no more probative force than the will itself, the substance of portions of which it incorporates. The mere inclusion of statements that her 1951 will is “as he would wish it”, or that “Should he not survive me then I would wish my estate handled as he would wish matters to be handled, except that anything of my own would go directly to my own children and grandchildren, knowing that my husband’s loved ones have been, are and will be well remembered”, do not alter the situation. She was stating her present wish with regard to the contents of her 1951 will. The mere circumstance that she executed this will contemporaneously with the will of her husband, and that both contained similar provisions with respect to the gift over to Fulton Oursler’s children in 1951, does not constitute an agreement....
Id. 223 N.Y.S.2d at 482, 179 N.E.2d at 493. See also National Bank of Austin v. Emerson, 335 Ill.App. 494, 82 N.E.2d 382 (1948); Wilson v. Gordon, 73 S.C. 155, 53 S.E. 79 (1905).
The primary case relied upon by appellee, Brewer v. Simpson, 53 Cal.2d 567, 2 Cal.Rptr. 609, 349 P.2d 289 (1960), is inapplicable for two reasons. First, the agreement there was oral, whereas oral agreements not to revoke are expressly made ineffective by A.R.S. § 14-2701. Secondly, in Brewer there was clear testimony that the parties considered their wills irrevocable. See also Estate of Somogyi. In this case, there is absolutely no evidence that the husband ever considered the agreement irrevocable. The only evidence that the wife considered the wills irrevocable is the appellant’s deposition testimony that he assumed that she thought the property would pass as provided by the mutual wills and that she would not have revoked had the husband predeceased her. This evidence is certainly not sufficient to comply with A.R.S. § 14— 2701. Accordingly, we conclude that appellees failed to present sufficient evidence of an agreement not to revoke the mutual wills and reverse the order of the superior court with instructions to enter an order denying appellees’ claim against the estate of William C. Moore.
CORCORAN and KLEIN SCHMIDT, JJ., concur.
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OPINION
FERNANDEZ, Chief Judge.
In their appeal from the granting of summary judgment against them, appellants Gene and Erma Rohde contend that material fact issues exist in their suit for breach of an implied easement of view. They also protest the trial court’s award of attorney’s fees to appellees Beztak of Arizona, Inc. and Summer Set Homeowners Association. We affirm.
In late 1986 the Rohdes purchased lot 109 in the Summer Set subdivision in Tucson from Sun County Homes. The subdivision is located in the foothills and covers only one street. The street level rises as one travels from southwest to northeast. The Rohdes’ lot is near the beginning of the street. Sometime prior to July 1987, Security Savings foreclosed on 35 lots owned by Sun County in the subdivision. In July 1987, those lots were sold to Beztak which then began developing them.
Beztak began building a home on lot 110, the lot immediately southwest of the Rohdes’ lot, shortly after construction began on the Rohdes’ home. When the Rohdes' contractor, Yale Epstein, saw Bez-tak’s foreman laying out the two-level house on lot 110, he asked him about its proposed location and height. They also discussed what the view on lot 109 would be. Epstein did not ask to see the house plans nor did he ask about the type of roof it would have. Beztak’s foreman testified at his deposition that lot 109 is on a steep hill above lot 110. He testified that he told Epstein he had not seen the blueprints for the lot 110 house and that he knew very little about it because Beztak had not previously built that model. He testified that his job was only to lay out the site and dig the footings. Epstein testified at the hearing on the Rohdes’ request for a temporary restraining order that after he talked to the foreman, his “understanding” was “that there would be no obstruction of the view. I had no knowledge of what type of roof was going to be on that house.”
The Rohdes’ house was completed just before Thanksgiving in 1987. On December 31, . 1987, they filed a complaint seeking a preliminary injunction to prohibit Beztak from constructing a pitched roof on the lot 110 house. After a one-day hearing on their request for a preliminary injunction, they withdrew their claim for injunctive relief. Their second amended complaint includes counts for promissory estoppel, breach of contract, breach of an implied easement of view, breach of fiduciary duty, and nuisance. The promissory estoppel claim alleges that Beztak’s predecessor in interest made representations to the Rohdes about the views from their lot and that Beztak purchased lot 110 with knowledge of those representations. The Rohdes also alleged that Beztak’s foreman represented to their contractor that the lot 110 house would have a flat roof. The breach of contract and breach of fiduciary duty claims allege that Beztak violated the Declaration of Covenants, Conditions and Restrictions (CC & Rs) for the subdivision by failing to submit the house plans for lot 110 to the Architectural Committee for approval and by failing, as majority interest holder in the Summer Set Homeowners Association, to appoint an Architectural Committee. The breach of fiduciary duty count is also against the Summer Set Homeowners Association for failing to appoint an Architectural Committee.
Beztak and the association moved for summary judgment, and the Rohdes responded with a summary judgment motion of their own. They also opposed Beztak’s motion on the ground that factual issues exist. They contend on appeal that the trial court erred in granting summary judgment in favor of Beztak, arguing that fact issues exist on the representations made to them on their protected views, on Beztak’s failure to inquire about the Rohdes’ property rights in the views, and on their claim that the lot 110 house violates the general plan for the development. They also contend the trial court abused its discretion in awarding attorney’s fees.
PROMISSORY ESTOPPEL
It is undisputed that the house on lot 110 has a pitched roof that interferes with the Rohdes’ view of downtown Tucson. It is also undisputed that the house complies with applicable zoning requirements. Gene Rohde testified at the preliminary injunction hearing that when they purchased the lot, Sun County’s agent told them they had bought one of the best views, which is why they had paid 50% more for the lot. The Rohdes also contend that representations about the views were made to them in Sun County’s brochures that stated:
Live on the ridge high above the valley with city lights glimmering below or view majestic mountain ridges looming high above — offering their soothing tranquility with ever changing hues.
Or — choose a cozy hillside lot overlooking our secluded canyon.
In either case — you can now enjoy the casual carefree lifestyle with a true sense of security in beautiful Summer-set.
The Sun County brochure showing the map of the subdivision also states: “Our most prestigious foothill subdivision, now under development, offering outstanding views, value and quality.”
In addition, the Rohdes list the concluso-ry statement in the affidavit of a real estate salesperson who worked for Sun County in January and February 1985 that “[t]he general plan for the development of Amended Summer Set Subdivision included the maximum utilization and preservation of all views which were considered a valuable feature of the lots within that subdivision,” the statement in a Beztak newspaper advertisement for its own homes that “[e]ach home will be positioned on its lot to allow for optimum views,” and statements in the CC & Rs and the Summerset Architectural Guidelines that Sun County distributed to purchasers of its lots. The CC & Rs provision upon which the Rohdes rely reads as follows:
ARTICLE V
ARCHITECTURAL CONTROL
Section 1. No building, fence, wall or other structure shall be commenced, erected, or maintained upon the properties, nor shall any exterior addition to or change or alteration therein, including the exterior color scheme thereof, be made until the plans and specifications showing the nature, kind, shape, height, materials, color, and location of the same shall have been submitted to and approved in writing as to harmony of external design and location in relation to surrounding structures and topography by an architectural committee composed of three (3) or more representatives appointed by the Association.
The provisions of Sun County’s Architectural Guidelines upon which the Rohdes rely read as follows:
The design and site placement of each house shall take into account the topography, existing vegetation, orientation, and views unique to each lot.
******
The Architectural Committee will review each submittal carefully for conformance with the various specific requirements contained in the guidelines and standards that follow. The Committee with [sic] vigorously encourage design solutions that feature quality, conformance with natural terrain, suitability in terms of climate and natural elements, and respect for the awesome views and unique grandeur of Summerset!
The elements of an action for equitable estoppel are “1) conduct by which one induces another to believe in certain material facts; and 2) the inducement results in acts in justifiable reliance thereon; and 3) the resulting acts cause injury.” Heltzel v. Mecham Pontiac, 152 Ariz. 58, 61, 730 P.2d 235, 238 (1986). See also Trollope v. Koerner, 106 Ariz. 10, 470 P.2d 91 (1970) and Johnson v. Gilbert, 127 Ariz. 410, 621 P.2d 916 (App.1980). In order to determine whether the Rohdes have raised a factual issue on their promissory estoppel count, we must analyze the representations upon which they rely. First, we note that, contrary to their complaint allegation, Beztak is not Sun County’s successor in interest. Although Beztak purchased the 35 lots that had been owned by Sun County, it purchased those lots from Security Savings after the latter foreclosed on the lots. Beztak did not take over Sun County’s development; it built its own models on the lots. We do not see how Beztak can be held liable for representations made by Sun County under those circumstances.
We also note that the representations in Sun County’s brochures speak in terms of alternative views. The brochure refers to views of the city lights or views of mountain ridges or views of a secluded canyon. The brochure does not guarantee all three views from all lots. The treasurer of the homeowners association testified at the preliminary injunction hearing that she had worked for Sun County and that the lots were designated as ridge view homes, mountain view homes or canyon view homes. She testified that the Rohdes’ home is a canyon view home. The Rohdes have not disputed that testimony.
Although the CC & Rs refer to “harmony of external design and location in relation to surrounding structures and topography,” they nowhere refer to views nor make any specific promises about views. The conclusory statement of the real estate agent who worked for Sun County nearly two years before the Rohdes purchased their lot does not constitute a representation by Beztak. A statement in an undated newspaper advertisement by Beztak sometime after it purchased the lots and long after the Rohdes purchased their lot is also of no use to them. Finally, statements made in Sun County’s Architectural Guidelines are also not binding upon Beztak.
The record does not support the Rohdes’ claim that promises were made to them by Beztak upon which they justifiably relied to their detriment. Summary judgment on their promissory estoppel claim was thus correct.
IMPLIED EASEMENT OF VIEW
The Rohdes also contend that factual issues precluded entry of summary judgment on their cause of action for breach of an implied easement of view. Their complaint alleges that they had a prior continuous easement of view on their lot that is absolutely necessary for enjoyment of that lot. In support of that cause of action, the Rohdes cite Shalimar Association v. D.O.C. Enterprises, Ltd., 142 Ariz. 36, 688 P.2d 682 (App.1984). They argue that both the language of the CC & Rs and 'the evidence of their property rights that would be apparent to a subsequent purchaser upon inspection of the property require Beztak to acknowledge their implied easement.
The leading case in Arizona on the establishment of implied easements is Porter v. Griffith, 25 Ariz.App. 300, 543 P.2d 138 (1975). Its language is instructive.
The essential elements of an easement by implication are set out in Wetmore v. Ladies of Loretto, Wheaton, 73 111. App.2d 454, [461,] 220 N.E.2d 491[, 494] (1966), as follows:
‘(1) The existence of a single tract of land so arranged that one portion of it derives a benefit from the other, the division thereof by a single owner into two or more parcels, and the separation of title; (2) before the separation occurs, the use must have been long, continued, obvious or manifest, to a degree which shows permanency; and (3) the use of the claimed easement must be essential to the beneficial enjoyment of the parcel to be benefited.’
In addition to these three requirements, an implied easement can only be made in connection with a conveyance; that is, an implied easement is based on the theory that whenever one conveys property he includes or intends to include in the conveyance whatever is necessary for its beneficial use and enjoyment.
25 Ariz.App. at 302, 543 P.2d at 140. What the Rohdes have failed to establish or to raise a factual issue about are the latter two elements. They have made no showing that maintenance of the views on their property is a long, continued, obvious or manifest use. Their second amended complaint, filed April 1, 1988, alleges that they were then in the process of moving from California to Arizona. At the time of the preliminary injunction hearing in January 1988, Rohde testified that his wife had moved into the home but that he had not. At that time, the house on lot 110 was substantially finished. There is no question that the roof was substantially in place at that time because its construction had prompted the filing of the lawsuit. Prior to August 1987 when their contractor began construction of their home, the Rohdes’ property had not been used for anything. Thus, they cannot establish the existence of an implied easement of view.
Nor does the case of Shalimar Association v. D.O.C. Enterprises, supra, assist the Rohdes. In that case, homeowners adjoining the golf course in a subdivision sued to enforce an implied restrictive covenant. The golf course had been designed and intended as an integral part of the general plan for the subdivision as established by maps showing the golf course, specific wording in the recorded restrictions that referred to the golf course and its location in connection with other structures, and specific promises in the brochures that residents would have access to the golf course by membership. The golf course was constructed in 1960 and 1961. The land on which the course sat was sold in 1979. Because of those facts, the court concluded that an implied covenant required that the property continue to be used as a golf course until the recorded covenants expire in 2025 A.D. No showing of obvious, continued use has been made here.
We conclude that the trial court properly granted summary judgment on the Rohdes’ cause of action for breach of an implied easement.
BREACH OF CONTRACT AND OF FIDUCIARY DUTY
The Rohdes also contend that factual issues exist in their causes of action for breach of contract and breach of fiduciary duty. We find no merit to the latter cause of action. The Rohdes have failed to cite any authority for the proposition that either the homeowners association or Beztak, as majority interest holder in the association, owes a fiduciary duty to a member of the association.
The breach of contract claim alleges that Beztak failed to .obtain the approval of the Architectural Committee for the plans for the lot 110 house before it commenced construction. The complaint alleges that if the plans had been submitted, the committee would have rejected the plans because the house violates the common scheme for de-
velopment of the subdivision. The evidence showed that neither a homeowners association nor an architectural committee existed at the time the lot 110 house was built. The association was incorporated in February 1985 and its articles of incorporation were revoked in January 1987 for failure to file an annual report. It was reincorporated in January 1989. The CC & Rs provide for two classes of members, those who occupy a home on a lot and those who own vacant lots. The first class, class A, has one vote per parcel, and the second, class B, has three votes per parcel. There are 112 lots in the subdivision. Thus, Beztak, as owner of 35 vacant lots in July 1987, had a majority of the votes in the association. The architectural committee is appointed by the association but only after the class A memberships equal the class B memberships.
Beztak produced evidence that it showed plans of its model homes to a number of the homeowners shortly before it purchased the 35 lots in the subdivision. It also produced evidence that it had the homeowners association reincorporated and that a new architectural committee was appointed in October 1988 that then approved the plans for lot 110. It is clear from the record that Beztak did indeed breach the CC & Rs by not having the plans for lot 110 approved by the architectural committee prior to the start of construction. In light of the fact that the committee did not then exist, that Beztak was the majority interest holder in the association in any event, and that the Rohdes have failed to establish the existence of an implied easement of view, we find no error in the court’s granting of summary judgment on the breach of contract claim.
ATTORNEY’S FEE AWARD
Finally, the Rohdes contest the trial court’s award of attorney’s fees to appellees. Appellees sought fees of $16,626.60, and the court awarded them $12,000. Citing Associated Indemnity Corp. v. Warner, 143 Ariz. 567, 694 P.2d 1181 (1985), the Rohdes argue that the trial court abused its discretion in applying the factors listed in that case. Rather than engaging in a detailed analysis of those factors, however, the Rohdes argue that the award “could damage the retiree segment of the Arizona housing industry.” We find no abuse of discretion in the award.
Appellee will be awarded attorney’s fees on appeal upon compliance with Rule 21(c), Ariz.R.Civ.App.P., 17B A.R.S.
Affirmed.
LIVERMORE, P.J., and LACAGNINA, J., concur.
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OPINION
FELDMAN, Vice Chief Justice.
This case requires us to determine whether Arizona recognizes a cause of action for “wrongful life.” The question was certified to us by the Chief Judge of the United States District Court for the District of Arizona. See Rule 27(a), Ariz.R. Sup.Ct., 17A A.R.S. Because it raises an important issue of first impression in this state, we accepted jurisdiction. See Rule 27(b), Ariz.R.Sup.Ct, 17A A.R.S. We have jurisdiction pursuant to A.R.S. § 12-1861 and Ariz. Const, art. 6, § 5(6). We exercise our discretion in accordance with the principles set forth in Torres v. Goodyear Tire & Rubber Co., Inc., 163 Ariz. 88, 90, 786 P.2d 939, 941 (1990).
FACTS AND PROCEDURAL HISTORY
The facts are set forth in the certification order and are assumed for purposes of this proceeding. Laura Walker (Laura) sought obstetrical care from Dr. Dwight Wensel, an osteopathic physician, and his licensed physician’s assistant, Buddy Mart (defendants). Defendants negligently failed to perform adequate laboratory tests to detect that Laura had contracted rubella, commonly known as German measles, during the first trimester of her pregnancy. Thus, they failed to inform Laura of the resulting significant risk to the fetus.
If Laura had been informed that she had contracted German measles and of the attendant fetal risks, she would have aborted the fetus. In fact, on October 29, 1980, Laura gave birth to Christy Walker (Christy). Tragically, Christy was born with rubella syndrome, marked in her case by severe birth defects including cerebral palsy, deafness, and cardiac abnormalities.
Laura sued defendants in district court asserting her own claim for “wrongful birth” and a claim for “wrongful life” on Christy’s behalf. She sought special and general damages for both claims.
The gist of both claims is that defendants wrongfully deprived Laura of relevant information pertaining to the fetal risk, thereby preventing her from invoking her legal right to terminate the pregnancy. Christy alleges she was damaged by defendants’ negligence because Laura, ignorant of the fetal risk, allowed the pregnancy to go to term. As a result, Christy was born and must now live in an impaired condition.
DISCUSSION
A. “Prenatal Torts”
Scientific advances now make it possible to control conception, to discover fetal injury, and to detect genetically transmitted disease or defect prior to and after conception. A woman may choose to terminate a pregnancy by abortion when there is fear that the fetus will be born with significant defects or injuries. See Roe v. Wade, 410 U.S. 118, 93 S.Ct. 705, 35 L.Ed.2d 147 (1973). As a consequence, since the Roe decision, courts have been presented with a variety of actions brought by parents and infants against physicians and others whose acts or omissions allegedly resulted in the birth of an unwanted child.
Confusion often arises as to the proper denomination of these prenatal torts. Because this area of the law is new and fraught with emotion, both courts and commentators have often blurred the legal and theoretical distinctions among the actions. Believing those distinctions are vitally important to both theory and outcome, we commence with definitions of the terms generally used.
The cases fall into three general categories. The first is termed “wrongful conception or pregnancy.” In such actions, parents of a normal but unplanned child seek damages either from a physician who allegedly was negligent in performing a sterilization procedure or abortion, or from a pharmacist or pharmaceutical manufacturer who allegedly was negligent in dispensing or manufacturing a contraceptive prescription or device. Arizona recognized a wrongful pregnancy cause of action when parents sought damages upon the birth of their healthy, normal child after a failed vasectomy. See University of Arizona Health Sciences Center v. Superior Court, 136 Ariz. 579, 667 P.2d 1294 (1983).
The second category may be labeled “wrongful birth.” In such cases, the parents of a child born with birth defects allege that the negligence of those charged with prenatal testing or genetic counseling deprived them of the right to make a timely decision regarding whether to terminate a planned pregnancy because of the likelihood that their child would be born physically or mentally impaired.
The third category of cases, known as “wrongful life,” is brought by or on behalf of the children themselves. One variety of these actions involves claims of normal but unwanted children who seek damages either from parents, doctors, or institutions negligently responsible for their conception or birth. The action may be brought by children born as a result of a failure of a contraceptive method or by illegitimate children who allege they are impaired by their status or lack of resources to sustain themselves. Another type of wrongful life claim, like the one before us, is brought by impaired children. Usually, the children allege that because of defendants’ negligence, their parents either decided to conceive them ignorant of the risk of impairment or were deprived of information that would have impelled them to terminate the pregnancy.
B. The Issue Refined
In University of Arizona we held that the parents of a healthy child may recover damages from a physician who negligently failed to prevent conception. 136 Ariz. at 586, 667 P.2d at 1301. Two justices dissented, arguing that because the child was healthy, damages should be limited to costs of birth. Id. at 587, 667 P.2d at 1302 (Gordon, V.C.J., concurring in part, dissenting in part). The dissenting members of the court agreed, however, that “if this were a case where the child were born seriously retarded, deformed, or chronically ill, [they] too would hold the health care provider responsible [to the parents] for the cost of lifetime support and care for the child.” Id. at 586, 667 P.2d at 1301. Given Christy’s condition, therefore, we acknowledge at the outset that we have already concluded that if parents establish that a physician’s negligence prevented them from exercising their right of choice to terminate the pregnancy, they may bring a wrongful birth claim to recover damages in accordance with the principles established in University of Arizona.
The question certified, therefore, is narrowly framed and relates only to a child’s action for wrongful life. We thus focus only on the issue as Chief Judge Bilby phrased it in the certification order:
Does a child born under the circumstances set forth [above] have a cause of action in tort for “wrongful life”?
C. The Present State of the Law
At least twenty states have now considered wrongful life claims. In three, the state’s highest courts have recognized the action, allowing limited recovery. See Turpin v. Sortini, 31 Cal.3d 220, 182 Cal.Rptr. 337, 643 P.2d 954 (1982); Procanik v. Cillo, 97 N.J. 339, 478 A.2d 755 (1984); Harbeson v. Parke-Davis, Inc., 98 Wash.2d 460, 656 P.2d 483 (1983). Courts in the other states have refused to recognize the action for a variety of reasons. See Annotation, Tort Liability for Wrongfully Causing One to be Born, 83 A.L.R.3d 15, §§ 3, 13-16 (1978 & Supp.1989); see also Trotzig, The Defective Child and the Actions for Wrongful Life and Wrongful Birth, 14 FAM.L.Q. 15 (1980). As in other situations, we choose between the minority and majority positions on the basis of logic and justice, rather than the weight of numbers.
Most courts that have considered the issue agree that, irrespective of labels, a plaintiff’s claim of wrongful life sounds in negligence. See, e.g., Becker v. Schwartz, 46 N.Y.2d 401, 413 N.Y.S.2d 895, 899, 386 N.E.2d 807, 811 (1978). To state a negligence claim, a complainant must identify a legal duty the defendant owed the plaintiff, prove the defendant’s breach of that duty, and show an injury to the plaintiff proximately caused by the defendant’s breach. See Markowitz v. Arizona Parks Bd., 146 Ariz. 352, 706 P.2d 364 (1985). Thus, we analyze Christy’s claim under traditional principles of negligence law.
D. Duty and Breach
A physician rendering prenatal care has a duty of due care to both the mother and the developing fetus. Summerfield v. Superior Court, 144 Ariz. 467, 698 P.2d 712 (1985). If the attending physicians had been negligent in rendering prenatal care and had thereby injured the fetus, Christy could have brought a tort action for the damages caused by the doctor’s negligence. Id.; see generally Collins, An Overview and Analysis: Prenatal Torts, Preconception Torts, Wrongful Life, Wrongful Death, and Wrongful Birth: Time for a New Framework, 22 J.FAM.L. 677 (1983-84); Comment, Wrongful Life: A Misconceived Tort, 15 U.C. DAVIS L.REV. 447, 451 (1981) (child has had the right to sue for prenatal torts since 1946).
A physician also has a duty to inform parents about fetal problems and risks. Courts that have permitted a child’s claim for wrongful life have found that the duty owed to the parent inures derivatively to the child. See Turpin; Procanik; Harbeson. Courts that have rejected the claim have also found such a duty. See, e.g., Azzolino v. Dingfelder, 315 N.C. 103, 337 S.E.2d 528 (1985), cert, denied, 479 U.S. 835, 107 S.Ct. 131, 93 L.Ed.2d 75 (1986); Becker. We agree defendants owed such a duty in this case. On the present record, it is assumed defendants breached their duty. Thus, if defendants’ negligence injured Christy, she could bring a tort action against them.
Christy does not claim, however, that defendants injured her in útero nor does she allege defendants could have done anything to prevent or mitigate the unfortunate conditions with which she is afflicted. The question before us, therefore, is narrow: is birth, even in an impaired condition, a legally cognizable injury? We turn, then, to that issue and to examine the authority on which Christy relies.
E. Injury
All of the courts that recognize a wrongful life action find it difficult to articulate the nature of the injury caused by the defendants. An injury is simply an invasion of some right possessed by the plaintiff. See Restatement (Second) of Torts § 7 (1965); Bruggeman v. Schimke, 239 Kan. 245, 718 P.2d 635, 643 (1986); Siem-ieniec v. Lutheran Gen. Hosp., 117 I11.2d 230, 111 Ill.Dec. 302, 312, 512 N.E.2d 691, 701 (1987). There can be no tort “except in the case of some individual whose interests have suffered.” PROSSER AND KEE-TON ON THE LAW OF TORTS § 30, at 165 (5th ed.1984).
The highest courts in states recognizing a cause of action for wrongful life have avoided defining the injury. Rather, they concentrated entirely on the damage problem and concluded that it was not possible to award general damages. See Turpin, 182 Cal.Rptr. at 347, 643 P.2d at 964 (“[a] monetary award of general damages — as opposed to the claim for medical expenses ... cannot in any meaningful sense compensate the plaintiff for the loss of the opportunity not to be born ... ”); Procan-ik, 478 A.2d at 763 (general damages impossible to calculate because “the only proximate result of [defendant’s negligence] was the child’s birth”); Harbeson, 656 P.2d at 496 (“measuring the value of an impaired life as compared to nonexistence is a task that is beyond mortals, whether judges or jurors”); see also Bruggeman, 718 P.2d at 643. In each case, the court awarded only special damages.
The difficult problem of quantifying general damages should not have prevented the courts from awarding such damages if in fact an injury had occurred. It is the genius of the common law that difficult damage questions are left to juries. See Meyer v. Ricklick, 99 Ariz. 355, 357-58, 409 P.2d 280, 281-82 (1965) (damage amount in personal injury action is peculiarly within jury’s province, and the “law does not fix precise rules for the measure of damages but leaves their assessment to a jury’s good sense and unbiased judgment”); see also University of Arizona, 136 Ariz. at 586, 667 P.2d at 1301. If defendants’ negligence caused physical injury to the fetus, our cases would require the jury to compare the unknowable value of the child’s life without affliction against its almost equally unknowable future value with the affliction. See Summerfield. Thus, the problem of quantifying damages should not have prevented Turpin and its progeny from awarding general damages. In our view, if an injury has been caused by a breach of duty, then the child is entitled to the general and special damages that result.
We believe, therefore, the limited recovery allowed by the courts recognizing the tort of wrongful life exhibits a fundamental casuistry in their reasoning. The conclusion that the child is impaired does not ineluctably imply that the child has suffered a legally congnizable injury. Principles of tort law require that the existence of injury be ascertained first; courts should allow the injury caused by defendant’s negligence to define the damages recoverable, rather than allow impairment/damage the defendant did not cause to define the nature of the injury. See Comment, Washington Recognizes Wrongful Birth and Wrongful Life — A Critical Analysis, 58 WASH.L.REV. 649, 668, 674 (1982-83). In short, if the child cannot prove injury at the hands of the doctor,"
it is unfair and unjust to charge the doctors with the infant’s medical expenses. The position that the child may recover special damages despite the failure of his underlying theory of wrongful life violates the moral code underlying our system of justice from which the fundamental principles of tort law are derived.
Procanik, 478 A.2d at 772 (Schreiber, J., dissenting in part).
In the present case, defendants caused none of the impairments from which Christy suffers. The only result of their negligence was that Christy was born. Thus, we must face the basic question: is life an injury? Christy had no control over whether to be conceived and no ability to prevent her birth. See Comment, supra, 15 U.C. DAVIS L.REV. at 465. The parents’ cause of action may be predicated on the negligent invasion of their right to decide whether to avoid the birth of a child with defects. Children, however, have neither the ability nor the right to determine questions of conception, termination of gestation, or carrying to term. If Christy’s parents had decided to allow the pregnancy to continue despite a warning of possible defects, Christy had no legally recognized action against them. If her parents had decided to conceive, despite knowledge of probable congenital defects, the law would recognize no action on Christy’s behalf against them.
In short, the ability to decide questions of conception or termination of pregnancy resides in the parents, not the fetus. The law protects parents’ rights to make decisions involving procreation. Because defendants negligently failed to provide the parents with information that would have prompted Laura to exercise her right to terminate the pregnancy, any wrong that was done was a wrong to the parents, not to the fetus.
F. Comparison to Parents’ Action One might argue that if parents have a right to recover the special damages required to provide care for their child’s impairments, it would be more sensible and safer for the law to permit the child to recover instead of the parents.
We acknowledge the problems inherent in allowing some parents to recover sums needed to provide care for their child. Experience teaches that some parents cannot be trusted. Nevertheless, we believe courts are able to handle such problems.
The Delaware Supreme Court recently held that parents who collected damages as a result of the birth of a defective child were in a fiduciary relationship with the child and thus had a duty to account for all sums they recovered as damages during the child’s minority or after. Garrison v. Medical Center of Delaware, 571 A.2d 786 (Del.Sup.Ct.1989). While the Delaware court based its holding regarding damages after majority on a statute, other courts have found parents have a common law obligation to support a child beyond minority when the child is disabled from supporting himself. See Phillips v. United States, 575 F.Supp. 1309, 1316-17 (1983); Blake v. Cruz, 108 Idaho 253, 698 P.2d 315, 320-21 (1984); James G. v. Caserta, 332 S.E.2d 872, 882-83 (W.Va.1985).
We are not, therefore, persuaded by Christy’s argument that it would be anomalous to permit parents to recover in a wrongful birth action but deny the afflicted child recovery in a wrongful life action. Recognition of the wrongful life action would make a substantial difference only in limited circumstances, as when the statute of limitations bars the parents’ claim but not the child’s or when the parents are unavailable to sue. See Smith v. Cote, 128 N.H. 231, 513 A.2d 341, 354 (1986). We are sympathetic to the dilemma such a rare situation presents, but we cannot subvert fundamental legal principles to permit a cause of action when no injury exists.
G. Other Considerations
Finally, our analysis is not affected by the evolving “right to die” doctrine, as Christy claims. See Rasmussen v. Fleming, 154 Ariz. 207, 741 P.2d 674 (1987). The choice presented by the right to die cases is between a natural death and the prolongation of life by extraordinary means. In such cases, the court seeks to protect a patient’s preference for “a plan of medical treatment that allows nature to take its course and permits [the patient] to die with dignity.” Id. at 211, 741 P.2d at 678. In this case, the impaired child had neither ability nor legal right to choose nonexistence over life.
CONCLUSION
The answer to the question certified is that a child born under the circumstances set forth in this case does not have a cause of action in tort for wrongful life. Bringing a child into the world — even one who is impaired — is not a legally cognizable injury to that child. Thus, children suffer no legal injury when a parent, doctor, or other practitioner fails to prevent their birth.
GORDON, C.J., and CAMERON, MOELLER and CORCORAN, JJ., concur.
. We refer to Laura as the party plaintiff for the wrongful birth action and Christy for the wrongful life claim.
. See Annotation, Medical Malpractice, and Measure and Element of Damages, in Connection with Sterilization or Birth Control Procedures, 27 A.L.R.3d 906 (1969).
. Since Roe, an overwhelming majority of jurisdictions has recognized wrongful birth claims. See Lininger v. Eisenbaum, 764 P.2d 1202, 1208 n. 9 (Colo.1988) (citing numerous cases in which the cause of action has been recognized); see abo Note, Father and Mother Know Best: Defining the Liability of Physicians for Inadequate Genetic Counseling, 87 YALE L.J. 1488 (1978) (discussing the issue and concluding that imposing liability on physicians vindicates societal interest in reducing the incidence of birth defects); but see Azzolino v. Dingfelder, 315 N.C. 103, 337 S.E.2d 528 (1985) (denying wrongful birth claim), cert. denied, 479 U.S. 835, 107 S.Ct. 131, 93 L.Ed.2d 75 (1986).
. See Coleman v. Garrison, 349 A.2d 8 (Del. 1975) (cause of action denied for healthy child born as a result of failed sterilization), overruled on other grounds by Garrison v. Medical Center of Delaware, 571 A.2d 786 (Del.Sup.Ct.1989).
. See Zepeda v. Zepeda, 41 Ill.App.2d 240, 190 N.E.2d 849 (1963) (father had induced mother to have sexual relations by promising to marry her but promise could not be enforced because he was already married), cert, denied, 379 U.S. 945, 85 S.Ct. 444, 13 L.Ed.2d 545 (1964); Williams v. State, 18 N.Y.2d 481, 276 N.Y.S.2d 885, 223 N.E.2d 343 (1966) (illegitimate child born to institutionalized mental patient who had been raped could not state a cause of action; court stated that "[b]eing born under one set of circumstance rather than another or to one pair of parents rather than another is not a suable wrong that is cognizable in court”). But see Cowe by Cowe v. Forum Group Inc., 541 N.E.2d 962 (Ind.App.1989) (illegitimate child of institutionalized parents).
. We note also that in California the court of appeal subsequently limited Turpin by holding that Turpin’s reasoning precluded the court from awarding damages for the child’s pain and suffering or for the child’s loss of earnings. Andalon v. Superior Court, 162 Cal.App.3d 600, 208 Cal.Rptr. 899, 907 (1984).
. A California court of appeal, in fact, suggested children may have a cause of action against their own parents for making the decision not to abort. See Curlender v. Bio-Science Labs., 106 Cal.App.3d 811, 165 Cal.Rptr. 477, 488 (1980). We agree with commentators who find the suggestion "startling.” See Brown, Wrongful Life: A Misconceived Tort — An Introduction, 15 U.C. DAVIS L.REV. 445, 447 (1981).
. See Comment, supra, 15 U.C. DAVIS L.REV. at 470 (discussing necessity of preserving funds for child’s welfare to prevent parents from recovering for the future care of the infant and subsequently putting the child up for adoption).
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OPINION
CONTRERAS, Presiding Judge.
This is a special action review of an Industrial Commission award ordering repayment of long-term disability benefits. The only issue presented is whether the administrative law judge erred by ordering the self-insured respondent employer Garrett Fluid Systems Co. (Garrett), to pay the long-term disability insurance carrier for amounts it had overpaid to the petitioner employee (claimant). We conclude that the administrative law judge properly ordered such payment to be made. Accordingly, we affirm the award.
On August 4, 1985, the claimant sustained an industrial injury to his right foot and filed a workers’ compensation claim. The employer who is self-insured accepted the claim for benefits. The administration of the claim involved periods of temporary total disability and temporary partial disability. On December 9, 1987, a notice of claim status was issued closing this claim with a 7% scheduled permanent partial impairment.
In addition to workers’ compensation benefits, the claimant had long-term disability benefits available to him through a group policy obtained by Garrett with Fireman’s Fund/Amex Life Assurance Company (Amex). The Amex policy specifically provided that long-term disability benefits payable under the policy would be reduced by any amounts payable pursuant to workers’ compensation.
Following the closure of the claimant’s claim, Amex paid the claimant the maximum monthly benefit to which he was entitled under its policy without any reduction. On July 27, 1988, Garrett issued a notice of claim status rescinding the December 9, 1987 notice and reinstating the claimant to temporary total disability benefits as of November 9, 1987. This action resulted in claimant receiving an overpayment of long-term disability benefits for each month from November 1987 through August 1988, because each month’s benefits paid by Amex would have been reduced by the workers’ compensation benefits which were payable.
In response to this asserted overpayment, an Amex representative contacted the claimant and requested that he agree to repay these benefits. The claimant refused. Following this refusal, Garrett paid Amex for the overpayment of long-term disability benefits and then took a credit against the claimant’s retroactive workers’ compensation benefits, which it owed to claimant. The claimant timely protested the July '27, 1988 notice of claim status, which noted these credits, and a hearing was held.
On March 16, 1989, the administrative law judge entered an award finding that Garrett owed Amex the amounts it had overpaid to claimant and ordered Garrett to pay Amex for the overpayment of long-term disability benefits. Specifically, the administrative law judge found:
2. By means of the Garrett Income Protection Plan referred to in Finding No. 1 benefits were paid after February 18, 1987 in the belief that applicant was not entitled to Workmen’s Compensation. Thus applicant was paid $1,875.00 each month mistakenly as the amount should have been reduced by $890.89, which amount should have been paid by the employer self-insurer as worker’s [sic] compensation. Since Amex paid it in error Garrett owes the amounts paid to Amex.
3. A.R.S. § 23-1068(B) as pointed out by applicant is not the clearest statutory expression. It is clear however that persons who pay Employee’s Workmen’s Compensation benefits “... shall be entitled to a direct ... payment in the amount previously paid” on behalf of the employer. Thus everybody comes out whole.
AWARD
IT IS ORDERED that the Employer, the Garrett Corporation pay Amex the amounts overpaid to applicant through the Income Protection Plan.
This award was affirmed on administrative review, and the claimant brought this special action. In reviewing the record in this matter, and in order to better appreci- ■ ate the situation which resulted in an overpayment to claimant, we note that on December 9, 1987, Garrett closed the claimant’s claim and retroactively terminated the claimant’s workers’ compensation benefits effective November 9, 1987. Thereafter, the claimant looked to the Amex policy for the maximum monthly allotment of long-term disability benefits. The claimant continued to receive these long-term disability benefits until July 27, 1988, when Garrett rescinded its December 9, 1987 notice and retroactively reinstated the claimant’s temporary total disability benefits under workers’ compensation as of November 9, 1987. Therefore, we are presented with a scenario where the claimant was denied workers’ compensation benefits from November 9, 1987, until July 27,1988. However, on that date (July 27,1988) his condition was determined to have been compensable under workers’ compensation and temporary total disability benefits were awarded. Accordingly, claimant was entitled to workers’ compensation benefits for the period extending from November 9, 1987 to July 27, 1988.
Therefore, the claimant received the maximum monthly long-term disability benefits allowable under the Amex policy from November 1987 through August 1988 without reduction for payment of workers’ compensation benefits. Because workers’ com pensation benefits were subsequently determined to be owed for those months, claimant received an overpayment. A.R.S. § 23-1068 provides a method for recoupment of overpayments. It provides in pertinent part:
B. [I]f ... disability benefits are paid or otherwise provided by an employer to ... an employee for an injury ... for which ... compensation benefits payable pursuant to this article have been denied ... and such injury ... is subsequently determined to be compensable under this article, such employer or the person authorized by such employer to provide such benefits shall be entitled to a direct payment out of, or a direct credit against, the medical or compensation benefits payable under this article in the amount of the benefits previously paid or provided.
The claimant argues that the administrative law judge erred by ordering payment because his contract with Amex was personal and did not involve Garrett or his right to workers’ compensation. We disagree. The claimant received long-term disability benefits under a group disability insurance policy issued to Garrett for its Employee’s Income Protection Plan. That policy contained the following relevant provisions:
PART X. REDUCTION IN INDEMNITY FOR WORKERS’ COMPENSATION LAWS
The amount of any indemnity or expense payable under the policy shall be reduced by any amount paid or payable under any Workers’ Compensation or Occupational Disease Act or Law.
PART XV. GENERAL PROVISIONS
(1) WORKERS’ COMPENSATION. The policy is not in lieu of and does not affect any requirements for coverage by Workers’ Compensation Insurance.
It is the claimant’s position that because he paid the premiums for this group insurance policy, he is entitled to the full monthly amount of long-term disability benefits provided by the policy, without any reduction for workers’ compensation benefits. For that reason, the claimant asserts that it was error for the administrative law judge to order Garrett to pay Amex.
In response to this argument, we first note that the long-term disability policy was not issued to the claimant. It was issued to Garrett for the benefit of any of Garrett’s employees who desired to participate in its Employee’s Income Protection Plan. Second, this policy did not provide a fixed monthly sum of long-term disability benefits. It provided a maximum monthly benefit subject to various reductions. One specific reduction, as previously pointed out, was for any amount paid or payable under workers’ compensation. Therefore, the claimant’s premium payments were actually for a maximum monthly benefit amount subject to applicable reductions.
The claimant also argues that Part X and Part XV(1) of the Amex policy, set out above, are ambiguous. We find no ambiguity. The present special action review, although involving a specific reduction in the disability insurance policy, arises out of A.R.S. § 23-1068(B), which provides for an offset by direct payment or direct credit when there has been an overpayment. Here, because of the specific policy provision, there was clearly an overpayment. We note that a different result might obtain if the disability insurance policy provided that any benefits paid would be in addition to or supplement workers’ compensation benefits. Such is not the case.
The only remaining question is whether A.R.S. § 23-1068(B) allows the employer to make a correction for this overpayment by paying the long-term disability carrier and taking a credit against the claimant’s workers’ compensation benefits. The statute provides that either the employer or the long-term disability insurance carrier is entitled to recoup the overpayment through a direct payment out of workers’ compensation benefits payable or a direct credit against future benefits.
In this case, the long-term disability insurance carrier approached the claimant and requested that he sign an agreement which stated “I promise to repay to Amex Life any workers’ compensation awarded to me for which Amex Life has already paid me.” The claimant not only refused to sign this agreement but also refused to acknowledge that he had received an overpayment. The long-term disability insurance carrier then turned to Garrett and received a direct payment out of the claimant’s workers’ compensation benefits which were currently payable based on the retroactive benefits owed under the July 27, 1988 notice of claim status. Following this direct payment, Garrett received a direct credit against the workers’ compensation benefits it owed the claimant under the July 27, 1988 notice, which had rescinded closure and reinstated temporary total disability benefits.
It is our opinion that A.R.S. § 23-1068 contemplates this type of recoupment of an overpayment of long-term disability benefits. We find no error in the administrative law judge’s award requiring Garrett to make this direct payment to Amex out of the claimant’s retroactively reinstated temporary total disability benefits. For all of the foregoing reasons, the award is affirmed.
GERBER and BROOKS, JJ., concur.
|
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OPINION
YALE McFATE, Retired Judge.
FACTS
The defendant brings this appeal from his conviction on three counts of sale of marijuana, Class 2 felonies, following a jury trial. He was sentenced to concurrent terms of fourteen years on each count. The defendant presents the following issues on appeal:
1. Whether the prosecutor’s comments, in his opening statement, regarding the defense of entrapment constituted reversible error.
2. Whether the prosecutor’s failure to disclose evidence prior to trial prejudiced the defendant.
3. Whether the trial court erred in failing to grant defendant a trial continuance.
4. Whether the fact that the panel of prospective jurors consisted of nineteen rather than twenty veniremen denied defendant a fair trial; and
5. Whether the prosecutor’s comments in closing argument constituted reversible error.
At trial, the prosecution presented the testimony of James Benjamin Lamas who, acting as a police informant under the name Ron Chisolm, purchased marijuana from defendant on three occasions. The first two sales were observed by Sergeant Don Martin of the Kingman Police Depart ment. During the last marijuana sale, Lamas was equipped with an electronic device enabling Sergeant Martin to overhear the transaction. Lamas purchased two bags of marijuana for $40.00 each at the first and second transaction and a pound of marijuana for $875.00 at the last sale.
The defendant testified at trial and asserted the defense of entrapment. The testimony of Lamas and the defendant conflicted regarding the content of their conversations prior to the first two marijuana sales. The defendant testified that Lamas requested defendant to get him some marijuana and that defendant was reluctant to procure it. Lamas testified that the defendant initiated the conversations concerning the marijuana purchases and that he did not urge the defendant to sell him marijuana. At trial, both defendant and Lamas were impeached by evidence of prior convictions.
PROSECUTORIAL MISCONDUCT
The defendant argues that the prosecutor made improper remarks in his opening statement when he defined the defense of entrapment. The defendant asserts that the prosecutor’s comments regarding the defendant’s anticipated defense infringed upon his fifth amendment right to remain silent as he was required to testify to entrapment in order to refute the prosecutor’s statements. We find no merit to defendant’s contention.
In his opening statement, the prosecutor argued:
I also need to talk to you a little bit about entrapment. You’ve probably figured out from some of the questions that were asked of you that it is possible that there may be a case or the situation may be that during this trial that entrapment is raised; that you are going to have to decide whether, supposing that you — (interrupted)
MR. RUSHFORTH: Your honor, I’m going to object to this portion of Mr. Conn’s argument. He’s anticipating the defense, and at this point he can only make an opening statement as to what he intends lo prove. It is not proper opening argument.
MR. CONN: Your honor, I’m relying on the material which has been provided to the State at this time as to what the defenses are going to be in this case.
THE COURT: Overruled. Proceed.
MR. CONN: (Continuing) Be aware of the possible entrapment situation throughout the testimony.
Now, entrapment means that a person may in fact commit a crime but still be found not guilty if you are convinced that they were entrapped into committing the offense.
It’s very possible, even through the testimony of the State’s witnesses, that there may be established the possible entrapment defense in this ease.
A lot of you probably think you have an idea of what entrapment is. Probably most of you think of the FBI agents dressing up as Arab sheiks and trying to get congressmen to sell out for personal favors, and in a sense that’s probably a classic example of what may or may not be entrapment.
But entrapment in Arizona is very strictly defined. There are three things that are necessary before a person can be found not guilty because he was entrapped. The first thing is that the idea of committing the crime has to originate with either a police officer or one of his agents, not with the defendant. So, the first issue is where did the idea to commit the crime actually arise. Did it arise in the mind of the defendant? ... or did it arise in the minds of the police officers?
The second thing for entrapment is that you have to find that the officers or their agents urged the defendant to commit the crime, which sort of presupposes a reluctance on the part of the defendant to actually engage in criminal activity, a reluctance which is overcome by the urg ing at the hands of the cops or their agents to go ahead and commit the crime.
The third thing you have to find to support an entrapment defense is that the defendant was not predisposed to commit the crime. In other words, that at the time that he committed the crime he didn’t have any disposition towards committing the crime; the only reason he committed the crime was because the cops, in essence, urged him to do so, and that he never had the idea to do so.
Just keep those factors in mind during the presentation of the State’s case. Analyze the testimony of everybody, with this possible defense in mind.
An examination of the prosecutor’s remarks reveals that they did not go beyond the proper scope of an opening statement. The purpose of an opening statement is to advise the jury of the questions and issues involved in the case so that it will have a general idea of the evidence and testimony to be introduced during the trial. State v. Burruell, 98 Ariz. 37, 401 P.2d 733 (1965); State v. Hughes, 104 Ariz. 535, 456 P.2d 393 (1969).
In the case at bar, the prosecutor merely advised the jury of a possible defense in the case in order to prepare them for evidence which could be introduced at trial. The prosecutor’s comments were proper as defense counsel had given notice that entrapment was a defense. The fact that the prosecutor anticipated and discussed the possibility that defendant might raise an entrapment defense did not necessitate defendant testifying at trial. State v. Nilsen, 134 Ariz. 431, 657 P.2d 419 (1983). Had defendant not testified, the trial court would have instructed the jury to draw its conclusions only from the testimony and evidence presented during trial, and the remarks regarding entrapment made in the prosecution’s opening statement would have been disregarded. We are not convinced that defendant’s decision to testify was necessitated by the prosecutor’s opening statement related to entrapment. We find no error.
NONDISCLOSURE OF EVIDENCE
The defendant claims that the trial court erred by denying defendant a new trial as the prosecutor failed to disclose, prior to trial, evidence that informant Lamas had passed bad checks while acting under an assumed name. Although the defendant was granted a continuance during the middle of trial and the evidence was obtained and presented to the jury, the defendant contends that the pretrial nondisclosure of the evidence denied him a fair trial. Specifically, the defendant argues that the nondisclosure adversely affected his trial strategy and he was prejudiced by the delay caused by the continuance granted defendant to remedy the nondisclosure. We find the defendant’s arguments without merit.
During trial, defense counsel stated that he recently had been advised that informant Lamas, acting under the name of Ron Chisolm, had circulated numerous bad checks in Kingman. Counsel requested a continuance to investigate the existence of the bad checks as the evidence would be relevant for impeachment purposes; the trial was continued from June 23, 1981 at 2:00 p.m. until 9:50 a.m. the following morning. When trial resumed, evidence that Lamas had passed bad checks was presented to the jury.
Rule 15.1(a), Rules of Criminal Procedure, sets forth the pretrial disclosures to be made by a prosecutor to defense counsel. The rule states in pertinent part:
No later than 10 days after the arraignment in Superior Court, the prosecutor shall make available to the defendant for examination and reproduction the following material and information within his possession or control:
******
(7) All material or information which tends to mitigate or negate the defendant’s guilt as to the offense charged, or which would tend to reduce his punishment therefor, including all prior felony convictions of witnesses whom the prosecutor expects to call at trial.
The sanctions for nondisclosure are set forth in rule 15.7(a), Rules of Criminal Procedure:
If at any time during the course of the proceeding it is brought to the attention of the court that a party has failed to comply with any provisions of this rule or any order issued pursuant thereto, the court may impose any sanction which it finds just under the circumstances, including, but not limited to:
(1) Ordering disclosure of the information not previously disclosed.
(2) Granting a continuance.
(3) Holding a witness, party, or counsel in contempt.
(4) Precluding a party from calling a witness, offering evidence, or raising a defense not disclosed; and
(5) Declaring a mistrial when necessary to prevent a miscarriage of justice.
It is clear from the record that the pretrial nondisclosure of the evidence was not deliberate on the part of the prosecution as the prosecutor had no knowledge of it prior to defense counsel’s motion to continue. The remedy sought by counsel for nondisclosure was a continuance pursuant to Rule 15.7(a)(2). The fact that the evidence was obtained during the continuance and presented to the jury when the trial resumed indicates that a continuance rather than granting a new trial was an appropriate sanction. Moreover, the choice of sanctions is within the trial court’s discretion and will not be disturbed on appeal absent a showing of prejudice. State v. Jessen, 130 Ariz. 1, 633 P.2d 410 (1981). In Jessen, our supreme court held that when previously undisclosed exculpatory information is revealed at trial and presented to the jury, there is no due process violation even though the pretrial nondisclosures may have affected defendant’s trial preparation and strategy. There is no indication in the record that the half day continuance prejudiced the defendant. Accordingly, we find no merit to defendant’s contentions on the issue of nondisclosure of evidence.
CONTINUANCE
The defendant contends that the trial court erred in failing to grant defendant a continuance during the middle of trial so defendant could obtain information regarding Lamas’ past activities as an informant. At the time the court denied defense counsel’s request for continuance, the trial had just resumed after being delayed by the continuance previously granted the defendant.
On appeal, this court will not interfere with a trial court’s action in granting or denying a continuance unless it clearly appears that the discretion of the trial court has been so abused as to prejudice the defendant. State v. Buggs, 108 Ariz. 425, 501 P.2d 9 (1972); State v. Sullivan, 130 Ariz. 213, 635 P.2d 501 (1981). Moreover, a trial court should grant a continuance in the middle of trial only under the most exigent circumstances. State v. Blodgette, 121 Ariz. 392, 590 P.2d 931 (1979). We find, in the case at bar, that the trial court did not abuse its discretion in denying the defendant’s motion to continue as no exigent circumstances existed requiring a continuance. Defense counsel thoroughly interviewed Lamas prior to trial and was aware of the fact that he had worked with police as an informant on other occasions. The denial of a continuance for the purpose of further investigation of Lamas’ past activities as an informant was proper in light of the fact that defense counsel had a prior opportunity to discover the informant’s past activities at the pretrial interview and failed to pursue the matter. Additionally, the record reveals that at least a portion of the evidence defense counsel hoped to find concerned activities of Lamas subsequent to his involvement in this case, which would be irrelevant.
Defense counsel also admitted that he would use the evidence he hoped to discover in Lamas’ record for impeachment purposes. We have long held that it is not an abuse of discretion to deny a continuance where the testimony sought is to be used for impeachment. State v. Jackson, 112 Ariz. 149, 539 P.2d 906 (1975); State v. Griffin, 117 Ariz. 54, 570 P.2d 1067 (1977); State v. Loyd, 118 Ariz. 106, 574 P.2d 1325 (1978). We find no error resulting from denying the defendant’s motion for continuance.
JURY PANEL
Defendant complains that because a full panel of twenty veniremen was not provided from which to exercise peremptory challenges, he was deprived of due process of law, resulting in reversible error irrespective of a showing of actual prejudice.
The trial court excused for cause several prospective jurors, leaving a venire panel of nineteen members. When defense counsel advised the trial court that the venire panel consisted of nineteen rather than twenty prospective jurors, the prosecutor offered to exercise only five of his six allotted peremptory challenges pursuant to Rule 18.4 c(l)(ii), Arizona Rules of Criminal Procedure, 17 A.R.S. In addition, he informed the court that the state would exercise its sixth peremptory challenge to strike any twentieth venireman called to complete the panel. Defense counsel did not relinquish any of his six peremptory challenges. The trial court denied defendant’s motion for a continuance for the purpose of calling another venireman. The state thereupon confined its challenges to five and the defendant was afforded six.
Rule 18.5(b) and (f) require a minimum twenty member venire panel after challenges for cause are completed when an eight member jury is to be selected. It is clear that this rule was violated. Generally, however, a case will not be reversed on appeal because of irregularities at the trial level unless the appellant’s rights are prejudiced. Penaskovic v. F.W. Woolworth Co., 20 Ariz.App. 403, 513 P.2d 692 (1973). A conviction will not be set aside due to mere technical errors or defects in the record which do not affect the defendant’s substantial rights. State v. Thompson, 68 Ariz. 386, 206 P.2d 1037 (1949). This is particularly true regarding the “rules of law relative to the selection and formation of juries, our decisions being to the effect that a defendant is not entitled to be tried by any particular jury, but merely by one which is fair and impartial.” 68 Ariz. at 391, 206 P.2d at 1040. The defendant is not entitled to a perfect jury empaneled through a perfect system. State v. Taylor, 112 Ariz. 68, 537 P.2d 938 (1975), cert. denied, 424 U.S. 921, 96 S.Ct. 1127, 47 L.Ed.2d 328 (1976).
However, the right to exercise a peremptory challenge is a substantial right and not a technical or procedural one. The denial or impairment of that right constitutes reversible error without proof of prejudice. Swain v. Alabama, 380 U.S. 202, 85 S.Ct. 824, 13 L.Ed.2d 759 (1965); Wasko v. Frankel, 116 Ariz. 288, 569 P.2d 230 (1977); State v. Thompson, supra; Penaskovic v. F.W. Woolworth Co., supra.
We also note that art. 2 § 23 of the Arizona Constitution provides that the right of trial by jury shall remain “inviolate”. Hence, Rule 18.5 takes upon constitutional significance. Since this rule was clearly violated, we must set aside defendant’s conviction unless we find the violation constitutes harmless error, beyond a reasonable doubt. Chapman v. California, 386 U.S. 18, 87 S.Ct. 824, 17 L.Ed.2d 705 (1967); State v. Sorrell, 132 Ariz. 328, 645 P.2d 1242 (1982); State v. Sanchez, 130 Ariz. 295, 635 P.2d 1217 (App.1981). Based upon the facts of this case we find, beyond a reasonable doubt, that the violation in no way infringed upon defendant’s constitutional right to a jury trial.
Defendant’s right to exercise his peremptory challenges was neither denied nor adversely affected by the absence of the twentieth venireman. Defendant had no right to select any particular juror (such as a hypothetical twentieth venireman),- but only the right to peremptorily exclude six members from the panel after the state exercised its peremptory challenges. State v. Lovell, 97 Ariz. 269, 399 P.2d 674 (1965); State v. Thompson, supra; Rule 18.5 g, Arizona Rules of Criminal Procedure. This right he fully exercised, leaving a lawful trial jury of eight members. Defendant makes no claim that this jury was unfair or partial.
If defendant was denied any right, it was the chance of obtaining a more favorable trial jury from a twenty member panel by a happenstance of the following events: (1) the prosecutor’s decision not to strike the twentieth member; and (2) the defendant’s decision, as a result of his appraisal of the worth of that particular juror, that he serve on the trial jury. But the defendant did not lose any chance to bring about these fortuitous circumstances because of deprivation or curtailment of his right to exercise peremptory challenges. Assuming the challenging process had commenced with a full panel of twenty veniremen, the exercise of defendant’s right to strike jurors peremptorily could not aid him in getting the twentieth venireman on the trial jury. Contrariwise, should he direct a challenge to number twenty, it would defeat his purpose. Moreover, even though the state struck number twenty from the full panel, defendant’s right to strike six other members from those left on the panel would remain unaffected.
The defendant argues that Rule 18.4 c(3) requires an agreement between the parties to allow a lesser number of peremptory challenges than the number provided by rule. We see no merit to this argument. A party may unilaterally and voluntarily waive his right to exercise a peremptory challenge. Application of Williams, 85 Ariz. 109, 333 P.2d 280 (1958); State v. Thompson, supra. The rule merely sanctions an enforceable agreement to exercise fewer than the allotted number of challenges.
Finally, the defendant points to a statement on State v. Munson, 129 Ariz. 441, 631 P.2d 1099 (App.1981), as support for his contention that his peremptory challenge rights were impaired by the lack of a twentieth venireman. In Munson, Division Two of this court stated that, “Appellant was entitled to a venire panel of 20 qualified jurors from which he could exercise his six peremptory challenges Id. at 442, 631 P.2d at 1100.
We find the facts on which the Munson decision was based to be distinguishable. In that case, the appellant-defendant claimed that the trial court erroneously failed to excuse two members of the venire panel for cause. Neither side waived any of its peremptory challenges, and the appellant argued he was required to exercise two of his peremptory challenges against the allegedly unqualified jurors, thus clearly impairing his rights. See also Wasko v. Frankel, supra.
Here, defendant does not dispute that fourteen qualified veniremen remained after the prosecutor exercised his challenges. Hence his peremptory challenge rights were unaffected. Munson and similar cases involving venire panels containing members subject to challenge for cause are not applicable to the facts of this case.
In view of the prosecutor’s avowal to the court that he would exercise only five challenges against the nineteen member panel and that if the twentieth venireman were called he would exercise his sixth challenge by striking him, we find an additional reason to sustain the court’s decision to relegate the state to only five challenges and to proceed with only nineteen on the panel. Although the court did not expressly indicate it accepted the prosecutor’s offer, we believe, considering what actually transpired, that it impliedly did so. By proceeding with nineteen veniremen and limiting the prosecutor to five challenges, the result was the same as though the court had called the twentieth member into the box and the state, with six peremptory challenges, had stricken him, leaving only five remaining challenges. The fruitless procedural exercise of calling the twentieth member merely to have him stricken was thus avoided. Under such circumstances, defendant would have gained no advantage from having a full venire panel and could claim no prejudice from failure to so provide.
In view of all the circumstances, we find no reversible error from the action of the trial court in proceeding with a venire panel of only nineteen members.
CLOSING ARGUMENT
Lastly, the defendant contends that the prosecutor, in his closing argument, made improper remarks prejudicial to defendant. In determining whether a prosecutor’s remarks require reversal, our supreme court has stated:
“The best rule for determining whether remarks made by counsel in criminal cases are so objectionable as to cause reversal of the case is, Do the remarks call to the attention of the jurors matters which they would not be justified in considering in determining their verdict, and were they, under the circumstances of the particular case, probably influenced by those remarks.” Sullivan v. State, 47 Ariz. 224, 238, 55 P.2d 312, 317 (1936).
State v. Moore, 112 Ariz. 271, 275, 540 P.2d 1252, 1256 (1975).
The prosecutor made the following comment in closing argument:
I would also suggest to you that the criminal record of the defendant might tell you something about his predisposition to commit a crime. We’re talking about somebody who has three prior felony convictions. This is somebody who obviously has been through the system, is aware of what crime is.
MR. RUSHFORTH: Your Honor, I object to this argument. It’s contrary to the jury instructions. It’s a misstatement of the law.
THE COURT: Sustained.
The comment by the prosecutor was improper as defendant’s prior felony convictions for first degree burglary and possession of stolen property were admitted into evidence for impeachment purposes only. As a general rule, evidence of crimes other than those for which defendant is being tried is not admissible because of the questionable relevancy of the evidence and prejudice to defendant. However, an exception to this rule exists where the crimes tend to show motive, intent, absence of mistake or accident, common scheme or plan or identity. State v. Mosley, 119 Ariz. 393, 581 P.2d 238 (1978); Rule 404, Rules of Evidence. As the defendant’s prior convictions were not admitted into evidence to show motive, intent, absence of mistake or accident, common scheme or plan or identity, it was improper for the prosecutor to argue to the jury that defendant’s prior felony convictions indicated a predisposition to commit the crime. A verdict of guilt may not be based upon grounds that defendant, having committed previous crimes, is likely to have committed the offense in question. State v. Rose, 121 Ariz. 131, 589 P.2d 5 (1978).
While the jurors would not have been justified in considering the prosecutor’s remarks in determining their verdict, we find that in this case the jurors were probably not influenced by the prosecutor’s statements. As a general rule, alleged prosecutorial misconduct must be objected to and a curative instruction requested. State v. White, 115 Ariz. 199, 564 P.2d 888 (1977). In the instant case, defense counsel did not request a curative instruction, move for a mistrial, or request that the objectionable portion of the prosecutor’s argument be stricken. Cf. State v. Marvin, 124 Ariz. 555, 606 P.2d 406 (1980). Moreover, the trial court gave the following instruction to the jury:
The fact that a witness has been convicted of a felony may be considered only for the purpose of determining the credibility of that witness. The fact of that conviction does not necessarily destroy nor impair the witness’s credibility. It is one of the circumstances that may be considered in weighing the testimony of such witness.
Such evidence was not received and may not be considered to prove he is a person of bad character or that he has a disposition to commit crimes. The fact that a witness has been convicted of a misdemeanor involving dishonesty or false statements may be considered only for the purpose of determining the credibility of that witness. The fact of such a conviction does not necessarily destroy nor impair the witness’s credibility. It is one of the circumstances that may be considered in weighing the testimony of such witness.
Such evidence was not received and may not be considered to prove he’s a person of bad character or that he has a disposition to commit crimes.
The trial court also instructed the jury that the arguments and comments of the attorneys were not evidence. The evidence presented at trial supports the jury verdict that defendant was not entrapped into committing the offense. Although the defendant testified that Lamas requested him to buy some marijuana, defendant never testified that Lamas urged or enticed him to commit the crime.
As the prosecutor’s remarks were brief, and the trial court instructed the jury that defendant’s prior felony convictions could not be considered to prove that he had a propensity to commit crimes, we find it unlikely that the jury was influenced by the prosecutor’s remarks. Therefore, we find that the remarks of the prosecutor, while improper, constituted harmless error under the circumstances of this case.
The defendant also argues that the prosecutor improperly referred to defendant’s possible punishment in closing argument. The prosecutor argued as follows:
Mr. Lamas perhaps at some point has a ten-year prison sentence hanging over his head. It is suggested that this provided the incentive for him to come in here and lie. What do you think is hanging over the defendant’s head? We’re talking about somebody who, if he’s convicted here, is—
MR. RUSHFORTH: Your Honor, I object to this line of argument.
THE COURT: Sustained.
It is improper for the jury to consider defendant’s possible punishment in reaching its verdict. Cf. State v. Jaramillo, 110 Ariz. 481, 520 P.2d 1105 (1974). In the case at bar, the prosecutor did not indicate the sentence defendant would receive if convicted. While the prosecutor’s reference to the informant’s possible punishment for other offenses may have indicated that defendant would receive a like sentence if convicted of the offenses charged, we find that the error was cured by the trial court’s instruction to the jury that “[i]n deciding whether the defendant is guilty or not guilty, do not consider the possible punishment” and the court’s action of promptly sustaining defense counsel’s objection to the prosecutor’s remarks.
On other occasions, this court has held that the cumulative effect of improper statements made in closing argument mandates reversal. State v. Filipov, 118 Ariz. 319, 576 P.2d 507 (App.1977); State v. Woodward, 21 Ariz.App. 133, 516 P.2d 589 (1973). In the instant case, we find that the cumulative effect of the prosecutor’s remarks does not warrant reversal. The improper remarks were brief and not designed to inflame the jury. They were objected to by defense counsel, sustained by the court, and cured by instructions. This court’s comments and rulings, however, are not to be interpreted as condoning such misconduct. In another setting, with other evidence in the record and different rulings by the court, such comments of counsel could cause reversal. We seriously doubt, however, that such remarks individually or collectively in the setting of this case improperly influenced the jury in reaching its verdict and we find no significant prejudice therefrom.
Affirmed.
KLEINSCHMIDT, P.J., and CONTRERAS, J., concur.
NOTE: The Honorable Yale McFate, a retired judge of a court of record, was authorized to participate by the Chief Justice of the Arizona Supreme Court pursuant to Arizona Const, art. VI, § 20.
. Rule 18.4 c provides:
c. Peremptory Challenges.
(1) In General. Both parties shall be allowed the following number of peremptory challenges:
(1) Ten, if the offense charged is punishable by death.
(ii) Six, in all other cases tried in Superior Court.
(iii) Two, in all cases tried in non-record courts.
(2) Upon Joint Trial of Several Defendants. When there is more than one defendant, each shall be allowed lh the number of peremptory challenges allowed to one defendant. No additional peremptory challenges shall be allowed to the prosecutor!
(3) Agreement Between the Parties. The parties may agree to exercise fewer than the allowable number of peremptory challenges.
. Rule 18.5(b) and (f), Arizona Rules of Criminal Procedure, 17 A.R.S. provide:
b. Calling a Full Jury Box. The court shall then call to the jury box a number of jurors equal to the number to serve plus the number of alternates plus the number of peremptory challenges allowed the parties.
f. Challenge for Cause. At any time that cause for disqualifying a juror appears, the court shall excuse him and call another member of the panel to take his place in the jury box and on the clerk’s list of jurors. Challenges for cause may be made out of hearing of the jurors, but shall be of record.
. Rule 18.5 g reads as follows:
g. Exercise of Peremptory Challenges. Following examination of the jurors, the prosecutor shall exercise his peremptory challenges on the clerk’s list. The defendant shall then exercise his peremptory challenges on the same list. If the parties fail to exercise the full number of challenges allowed them, the clerk shall strike the jurors on the bottom of the list until only the number to serve, plus alternates, remain.
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FELDMAN, Justice.
John Zimmerman (claimant) was injured in an industrial accident which occurred in January, 1978. As a result of the injuries, he claims a total loss of earning capacity. The Industrial Commission awarded benefits based upon only a partial loss. The court of appeals affirmed that award by memorandum opinion and claimant now petitions this court for review. We have jurisdiction pursuant to Ariz. Const, art. 6, § 5, and Ariz.R.Civ.App.P. 23, 17A A.R.S. We granted review in order to examine and settle the law pertaining to the nature and extent of evidence necessary to support a finding that an impaired employee has other work which is “reasonably available” and which should, therefore, be considered in determining the existence or percentage of lost earning capacity.
Claimant was a victim of juvenile rheumatoid arthritis, a progressive disease which had caused pain, fatigue and joint deformities since childhood. Notwithstanding this affliction, claimant obtained a masters degree in counseling and guidance and then worked for several years as a unit administrator in the mental retardation section of the Arizona Training Program, a governmental agency. Claimant’s services prior to the industrial injury were very satisfactory, and his average earnings at the time of the injury were $1,250 per month. According to the administrative law judge:
Although the applicant was handicapped by his preexisting juvenile rheumatoid arthritis, he was able to accomplish his job which entailed approximately one mile of walking each day .... The job was nominally an eight-hour day; however, it apparently required from eight to fifteen hours each day since he was constantly on call to resolve problems.
In January, 1978, claimant injured his hip at work. This injury caused a severe, generalized exacerbation of his arthritis. Claimant suffered from a high fever and painful joint inflammation. Eventually, a left hip arthroplasty became necessary and was performed. The exacerbation of the rheumatoid inflammatory process subsided but left claimant with a permanently aggravated condition. Claimant was unable to return to his former employment because he was physically unable to perform the work.
Claimant received his medical release. The Industrial Commission determined that there was no loss of earning capacity and claimant protested. At the hearing which followed, claimant argued that he suffered from a total loss of earning capacity because no jobs were available for those with his impairment. Although the administrative law judge rejected much of the testimony of the insurance carrier’s employment expert, he did make the following findings:
7. ... Of the many jobs presented by the labor market consultant on behalf of the State Compensation Fund, which she thought the applicant would be capable of performing, only one was available on a thirty-hour week. This job is entitled Counseling and Advocacy Coordinator for the Catholic Community Services. This position would have paid a wage of $672.84 per month on the date of the applicant’s industrial injury... .
10. The applicant does have the mental and physical capacity to perform the position of a counseling and advocacy coordinator for the Catholic Community Services in Tucson, which would have paid him the salary of $672.84 per month from the date of his industrial injury and such jobs are available to him in the city of Tucson.
11. The applicant has, therefore, sustained a 53.83% reduction in his monthly earning capacity, entitling him to the monthly sum of $370.06 ....
Claimant was denied relief on administrative review. He then sought relief by special action in the court of appeals. The court of appeals held as follows:
The claimant argues that the evidence failed to establish that the position of counseling and advocacy coordinator was reasonably available .... We disagree .... [0]f the 63 applicants for this position, 10 were interviewed. The employment consultant testified that the employer would have interviewed the claimant for this position. This competition [for the job] did not compel a finding that the job was unavailable.
Conceding that the findings of the administrative law judge must be affirmed if there is reasonable evidence to support them, claimant argued that the findings are totally unsupported by the evidence and contrary to long settled legal principals. Thus, claimant argued, the court of appeals erred in affirming the award. We agree with claimant’s position.
BURDEN OF PROOF AS TO AVAILABILITY OF OTHER EMPLOYMENT
Ordinarily, the burden of proof on loss of earning capacity is upon the injured worker. That burden may be carried by evidence of the injured worker’s inability to perform the job at which he was injured and to get other work which he can perform in light of his physical impairments. Dean v. Industrial Commission, 113 Ariz. 285, 551 P.2d 554 (1976); 2 A. Larson, Workmen’s Compensation Law, §§ 57.60, 57.61 (1981). Thus, as the court of appeals indicates, “It is normally incumbent upon an injured workman to demonstrate a reasonable effort to secure employment in the area of his residence.” If there is testimony that such an effort was made and was unsuccessful, the burden of going forward with contrary evidence to establish the availability of suitable employment shifts to the employer and the carrier. Dean v. Industrial Commission, supra, Employer’s Mutual Liability Insurance Company of Wisconsin vs. Industrial Commission, 25 Ariz.App. 117, 541 P.2d 580 (1975); Larson, supra. Here, claimant did not seek work in Tucson after he received his medical release. Instead, he moved to St. George, Utah. Claimant testified that he did this because he thought it would be easier for him to live in a small town. He did inquire about self-employment and other work in St. George, but testified that he was unable to find any job openings which were suitable in light of his physical impairments. The carrier (the “Fund”) claims that where the claimant voluntarily moves from the labor market where the injury was sustained, findings regarding his loss of earning capacity may be based on the job market in either his new residence or in the locality where the injury was sustained. We agree. See, Edwards v. Industrial Commission, 14 Ariz.App. 427, 430, 484 P.2d 196, 199 (1971).
While the parties argue about the burden of proof and the burden of going forward with the evidence, we do not see these issues as the real problem in this case. At the hearing on loss of earning capacity, both parties produced expert testimony with regard to the availability of suitable employment in Tucson. Claimant’s expert testified that none was available for one with claimant’s residual impairments. The Fund’s expert testified that several suitable jobs were available. Her opinion regarding most of these jobs was rejected by the administrative law judge because she had given the prospective employers whom she had interviewed an overly optimistic description of claimant’s substantial physical impairments. The judge concluded that in light of the uncontradicted medical testimony regarding those impairments, only one of the jobs described by the carrier’s expert would be “suitable”. He expressly found that claimant was unable to perform the other jobs from a physical standpoint. (Finding No. 7). Thus, no matter which side had the burden of going forward, evidence with respect to employment available in Tucson was adduced on both sides of the question.
Further, in light of claimant’s extreme physical limitations, we do not believe that his failure to seek employment in Tucson or his questionable effort in St. George bear upon the burden of going forward with the evidence. Even if claimant had not presented expert evidence on the question, the uncontradicted testimony of the physical limitations and restrictions attributable to the sequelae of the industrial injury place him in the “odd-lot” category. An employee in this category is one “ ‘who is so injured that he can perform no services other than those which are so limited in quality, dependability, or quantity that a reasonably stable market for them does not exist....’” 2 Larson, supra, § 57.51 at 10-164.22 (1982) (quoting Lee v. Minneapolis St. Ry., 230 Minn. 315, 41 N.W.2d 433, 436 (1950)).
The testimony of both claimant and his doctor establishes that while claimant is able to do the kind of work for which he was trained, he does haye serious limitations. The doctor described the specific impairments attributable to the industrial injury as follows: claimant could stand for no more than five minutes, sit for no more than thirty to forty-five minutes, walk no more than fifty feet, lift only two to three pounds repeatedly, bend or squat only once or twice an hour, could not crouch or kneel, and was required to change positions frequently. Claimant had diminished joint function in hands and knees and had a general loss of strength. Further, the heightened inflammatory process produced fatigue which seriously reduced claimant’s ability to function and perform daily activities. The sensation of pain was greater when claimant was fatigued. The doctor also stated that if allowed four rest periods totaling two hours during an eight-hour work day, claimant could probably work six hours per day. During the rest periods, the doctor recommended that claimant be separated from the stress of work and relax on an easy chair or cot for the half-hour intervals. Dr. Strong also stated that it was possible that claimant would have unpredictable exacerbations of the disease which would prevent him from working at all on certain days. The doctor’s testimony corroborated claimant’s own descriptions of the limits on his ability to function. He stated that his fatigue had increased greatly since the injury. One or two days per week he experienced so much pain and fatigue that he required complete rest.
We believe that the uncontradicted testimony summarized above requires that we adopt the odd-lot approach which our courts have followed in similar situations:
If the evidence of degree of obvious physical impairment, coupled with other factors such as claimant’s mental capacity, education, training, or age, places claimant prima facie in the odd-lot category, the burden should be on the employer to show some kind of work is regularly and continuously available to the claimant.
Larson, supra, § 57.61, at 10-164.95 to -164.97 (emphasis supplied); Employers Mutual Liability Insurance Co. of Wisconsin, 25 Ariz.App. at 120, 541 P.2d at 583; see also Phelps Dodge Corp., Morenci Branch v. Industrial Commission, 90 Ariz. 379, 383, 368 P.2d 450 (1962).
The question, therefore, is whether the employer and carrier presented sufficient evidence of the availability of suitable employment. Employers Mutual Liability Insurance Co. of Wisconsin, supra.
THE TEST FOR LOSS OF EARNING CAPACITY
The existence of a claimant’s earning capacity is shown by “evidence that there is employment reasonably available which the claimant could reasonably be expected to perform, considering his physical capabilities, education and training .... ” Germany v. Industrial Commission, 20 Ariz. App. 576, 580, 514 P.2d 747, 751 (1973) (emphasis supplied); Employers Mutual Liability Insurance Company, supra. This is a two-phase inquiry; the existence of residual earning capacity can only be established by evidence of job opportunities that are both (1) suitable, i.e.: of the type the claimant could reasonably be expected to perform in light of his impaired physical or mental condition, and (2) reasonably available. Germany v. Industrial Commission, supra; see also Dye v. Industrial Commission, 23 Ariz.App. 68, 71, 530 P.2d 914, 917 (1975) (Jacobson, J., concurring). Findings should be made on each of these issues.
Suitability — Work Which The Claimant Could “Reasonably Be Expected To Perform”
The test for the first issue has been formulated as follows:
In determining whether the claimant can “reasonably be expected to perform” [the particular] employment [suggested] the following factors at a minimum ... must be shown: (1) the physical requirements of the particular employment under discussion; in this regard, ... specificity is required ...; (2) what education or training is required for the suggested employment; again ... abstractions are not sufficient ....
Without the necessary specificity as to the particular employment suggested, I am unable to see how the trier of fact can relate that particular employment to the claimant’s capabilities, both physical and mental.
Dye v. Industrial Commission, 23 Ariz.App. at 71-72, 530 P.2d at 917-18.
We think the foregoing analysis for determining whether the suggested employment is a job which the claimant could reasonably be expected to perform is correct. If the suggested employment meets that test, then the job may be considered suitable for the claimant; it is one which the worker can perform notwithstanding the results of the injury.
Though the question may be close, we think there is enough evidence in the record to support the administrative law judge’s finding that claimant was physically able to perform the job of a counseling and advocacy coordinator for the Catholic Community Services in Tucson. Claimant’s' physical limitations are severe. Nevertheless, Dr. Strong did indicate that claimant could work within these limitations and that some work would be good for him. Even acknowledging the possibility that there would be unpredictable episodes of exacerbation when claimant would not be able to work at all, considering Dr. Strong’s testimony and claimant’s training and experience, we believe that the administrative law judge had support for a finding that claimant could reasonably be expected to perform the job at Catholic Community Services, assuming the appropriate allowances were made for his physical condition. The first part of the test — suitability of the suggested job — was met.
REASONABLE AVAILABILITY
We have much more trouble with the second part of the Germany test, which relates to whether the suggested job was ■ “reasonably available”. The administrative law judge found that “such jobs are available to him in the City of Tucson.” (Finding No. 10). The record on this point is sparse.
Claimant’s employment consultant made contacts with numerous employers, describing the specific limitations to which Dr. Strong testified. Based on her interview with employers and the information from Dr. Strong, the consultant concluded that claimant was not employable in the open, competitive market in Tucson. The labor market consultant for the Fund also contacted various prospective employers to determine claimant’s earning capacity. Of the opportunities which the Fund’s consultant believed claimant was capable of performing, only two were available on a thirty-hour week basis. The administrative law judge made a finding that claimant was capable of performing one of these jobs, that of the counseling and advocacy coordinator. Based on this finding, the judge determined claimant’s loss of earning capacity. Thus, the administrative law judge presumptively found that the position of counseling and advocacy coordinator was reasonably available to claimant. However, the consultant for the carrier testified that there were 63 applicants for this position, 50 of whom were qualified and 10 of whom were interviewed. The prospective employer indicated that claimant would probably have been interviewed for this position.
The court of appeals held that this evidence was sufficient to support the administrative law judge’s finding of “reasonably available” employment, despite the competition for the job. However, the efforts of two consultants, interviewing numerous employers, resulted in uncovering one job position that claimant could perform. There was no evidence of how often this single position was likely to be open except that one opening had occurred in the two years preceding the hearing. Further, there was no testimony that this employer would hire someone with a preexisting serious impairment even though they were fully qualified to perform the work. There was no evidence of how claimant’s physical impairments would affect his competitive chance of getting the job.
The universally recognized ultimate issue in determining loss of earning capacity is:
to determine as near as possible whether in a competitive labor market the subject in his injured condition can probably sell his services and for how much.
Dye v. Industrial Commission, supra, quoting Davis v. Industrial Commission, 82 Ariz. 173, 175, 309 P.2d 793, 795 (1957). See also 2 Larson, supra, § 57.51.
We believe that evidence of reasonable availability was totally lacking in this case and that there is no support for the finding of the administrative law judge. As indicated by the concurrence in Dye, supra, and by Justice Struckmeyer in Dean, supra, determination of the injured worker’s ability to sell his services in a competitive, open market requires specific evidence — not abstractions or assumptions— regarding the number of positions available, the competition for those positions, the regularity and permanency of the positions, and, “possibly most importantly,” the likelihood of the prospective employer giving the injured applicant as much consideration as those who are not handicapped or who have not experienced industrial injury. We recognize that when opportunity is narrow, the impaired or injured worker is often the last to be hired and the first to be fired. Jordan v. Decorative Co., 230 N.Y. 522, 525, 130 N.E. 634, 635-36 (1921). Evidence on this problem is also to be considered. Dean v. Industrial Commission, supra; Ossic v. Verde Central Mines, 46 Ariz. 176, 49 P.2d 396 (1935). After considering all these factors, if the finder of fact can conclude that there is a reasonable probability that the injured worker can find suitable employment on a regular basis, then and only then may it be found that such employment is “reasonably available.” See also Larson, supra, § 57.51, at 10-164.49.
In the case at bench, there was no evidence that Catholic Community Services would or could consider an applicant with claimant’s serious limitations on a competitive basis with other applicants not so limited. Even if we were to assume — and we should not — that a charitable organization would place claimant on an equal footing with the other applicants, we would be left with applicant having one chance in eleven of getting this single job. We do not believe that this fulfills the test of “probable dependability” of selling one’s services in a competitive market. Dye, 23 Ariz.App. at 72, 530 P.2d at 918.
We hold, therefore, that the finding that other employment was “reasonably available” for claimant is unsupported by the record. Dean v. Industrial Commission, supra; Dye v. Industrial Commission, supra. The two-part requirement or test of Germany v. Industrial Commission, supra, was not satisfied. Accordingly, the opinion of the court of appeals is vacated, the award of the Commission is set aside, and the cause is remanded.
HOLOHAN, C.J., GORDON, V.C.J., and HAYS and CAMERON, JJ., concur.
. The phrase seems to have been coined by a judge of the King’s Bench:
“[Tjhere are cases in which the onus- of shewing that suitable work can in fact be obtained does fall upon the employer who claims that the incapacity of the workman is only partial. If the accident has left the workman so injured that he is incapable of becoming an ordinary workman of average capacity in any well known branch of the labour market ... I should say that if the accident leaves the workman’s labour in the position of an ‘odd lot’ in the labour market, the employer must shew that a customer can be found who will take it ....
Cardiff Corp. v. Hall [1911] 1 K.B. 1009, 1020-21, quoted in 2 A. Larson, Workmen’s Compensation Law § 57.51 at 10-164.50 (1982).
. The record does not indicate whether suitable allowances for claimant’s physical condition could or would be made at Catholic Community Services. For instance, claimant requires four half-hour rest periods each day. The record does not indicate whether such provisions would or could be made for claimant. Given the type of employer and its willingness to interview claimant despite his limitations, the administrative law judge may have been justi-tied in inferring that allowance would be made for claimant’s limitations.
. Presumably “such jobs” means the “Counseling and Advocacy Coordinator” job with Catholic Community Services referred to in Finding No. 7. There was no testimony that such a position existed with other agencies or that it was a commonly found position.
. Justice Struckmeyer’s phrase in Dean, supra, was “[m]aterial evidence to show, with reasonable certainty, that a claimant could secure a position.” 113 Ariz. at 287, 551 P.2d at 556 (emphasis supplied).
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OPINION
BROOKS, Judge.
In this appeal, we must decide whether the trial court abused its discretion in setting aside a default judgment. We hold that the trial court did not abuse its discretion and therefore affirm. The facts are as follows.
On May 4, 1979, appellant, Kathryn J. French (French), filed a complaint against appellee, Tony Angelic (Angelic), for false imprisonment, assault, battery, and intentional infliction of emotional distress. Various attempts were made to serve this complaint upon Angelic, but apparently French encountered difficulties in effectuating service. On June 20, 1980, Fordham Tucker filed an affidavit stating that he had been appointed to serve process pursuant to Rule 4(c), Arizona Rules of Civil Procedure (hereinafter cited as Rule), and that “on May 29, 1980, he served a copy of the foregoing Summons and Complaint on Anthony Angelic, by leaving said copy at 5221 North 24th Street, # 101, Phoenix, Arizona, with Sandra Turner, a person of suitable age and discretion then residing therein... . ” Mr. Tucker further stated in his affidavit that the mailbox for unit 101 at 5221 North 24th Street had listed upon it two names, to wit: Sandra Turner and Anthony Angelic.
Subsequently, a default was entered against Angelic and on September 3, 1980, judgment was entered in favor of French in the amount of $150,092.61. On August 27, 1981, Angelic moved to set aside the default judgment, alleging ineffective service of process. A hearing was held and on September 22, 1981, the court set aside the default judgment, holding that:
The service of process was ineffective because it was not delivered to Defendant personally and was not served at the then dwelling house or usual place of abode of Defendant.
This appeal followed.
French argues that while Angelic admittedly was not personally served, proper service was nevertheless accomplished by leaving a copy of the summons and complaint at Angelic’s “dwelling house or usual place of abode”. See Rule 4(d)(1). French contends, therefore, that the trial court abused its discretion in setting aside the default judgment.
In reaching a determination on this matter, we adhere to long established principles that it is a highly desirable legal objective that cases be decided on their merits and that any doubts should be resolved in favor of the party seeking to set aside a default judgment. Union Oil Co. v. Hudson Oil Co., 131 Ariz. 285, 288, 640 P.2d 847, 850 (1982); Walker v. Kendig, 107 Ariz. 510, 513, 489 P.2d 849, 852 (1971); Camacho v. Gardner, 104 Ariz. 555, 560, 456 P.2d 925, 930 (1969); Rogers v. Tapo, 72 Ariz. 53, 57, 230 P.2d 522, 525-26 (1951). These are matters resting entirely within the trial court’s discretion and its action will not be overturned by this court unless a clear abuse of discretion is shown. Union Oil Co. v. Hud son Oil Co., 131 Ariz. at 288, 640 P.2d at 850; Staffco, Inc. v. Maricopa Trading Co., 122 Ariz. 353, 356, 595 P.2d 31, 34 (1979); De Honey v. Hernandez, 122 Ariz. 367, 371, 595 P.2d 159, 163 (1979); Walker v. Kendig, 107 Ariz. at 513, 489 P.2d at 852; Camacho v. Gardner, 104 Ariz. at 559, 456 P.2d at 929.
In this case, Angelic moved to set aside the default judgment pursuant to Rule 60(c)(4) which provides that a court may relieve a party from a final judgment, order or proceeding if the judgment is void. Ineffective service of process would render the default judgment obtained on September 3,1980 void, see Wells v. Valley National Bank, 109 Ariz. 345, 346-347, 509 P.2d 615, 616-17 (1973); Marquez v. Rapid Harvest Co., 99 Ariz. 363, 365, 409 P.2d 285, 287 (1965); thus, the question is whether service in this case was effective.
French claims that the service made upon Sandra Turner on May 29, 1980, was made at Angelic’s “dwelling house or usual place of abode.” See Rule 4(d)(1). In evaluating this claim, we note that decisions interpreting the phrase “dwelling house or usual place of abode” indicate that no hard and fast definition can be laid down, 2 Moore’s Federal Practice ¶ 4.11[2] at 4-118 (1982); cf. Blackhawk Heating and Plumbing Co. v. Turner, 50 F.R.D. 144 (D.Ariz.1970) (court notes that meaningful definitions of the phrase “usual place of abode” are few); hence, whether a particular location is a person’s “dwelling house or usual place of abode” is to be determined from the facts in each particular case. Karlsson v. Rabinowitz, 318 F.2d 666, 668 (4th Cir.1963); Capitol Life Insurance Co. v. Rosen, 69 F.R.D. 83, 88 (E.D.Pa.1975). In this case, French cites the following evidence to support her position that 5221 North 24th Street, Phoenix, Arizona # 101, was Angelic’s dwelling place or usual place of abode on May 29, 1980:
1. Angelic, by his own admission, had lived at the address in question at some point in time prior to May 29, 1980.
2. Angelic conveyed his ownership of the residence in question on May 2, 1979, to his parents, which conveyance was recorded a day later.
3. Sandra Turner informed Fordham Tucker at the time of service on May 29, 1980, that she knew Angelic and would deliver the summons and complaint to him.
4. Angelic’s name was on the mailbox at the address in question on May 29, 1980, along with Sandra Turner’s name.
5. A copy of certain Arizona motor vehicle records indicated that Anthony Angelic had registered his car in November of 1980 and had listed 5221 North 24th Street, # 101, as his mailing address.
6. A copy of other Arizona motor vehicle records indicated that Anthony Angelic had been issued a driver’s license on July 15, 1980, which license listed his address as 5221 North 24th Street, # 101.
However, while the above described evidence arguably supports French’s contention that Angelic was residing at 5221 North 24th Street, Unit 101, at the time of the service of process, Angelic points to the following evidence in support of his position that this residence was not his dwelling house or usual place of abode on May 29, 1980:
1. Sandra Turner, in her affidavit, stated that she continuously resided at the address in question from April 1, 1980 until October 1980, and that between those dates and particularly on May 29, 1980, Angelic did not reside there;
2. Angelic, in his affidavit, stated that on March 24, 1980, he moved from the address in question to the state of New York, where he has been continuously residing;
3. Attached to Angelic’s affidavit and incorporated therein are copies of car re pair bills which indicate that work was done on his car in New York during the months of April, June, July, August, and September of 1980;
4. Angelic, in his affidavit, stated that the residence in question had been transferred to his parents in May of 1979.
5. Angelic, in his affidavit, further stated that he did not recall whether he removed his name from the mailbox at the time that he left the residence in question in March of 1980.
In our opinion, this evidence provided the trial court with a sufficient basis upon which to find that 5221 North 24th Street, Phoenix, Arizona # 101, was not Angelic’s dwelling place or usual place of abode on May 29, 1980. Cf. Hysell v. Murray, 28 F.R.D. 584 (S.D.Iowa 1961) (service upon resident lessee in Iowa insufficient to confer jurisdiction over owner of residence who lived on a military base in South Carolina); Household Finance Corp. v. McDevitt, 84 N.M. 465, 505 P.2d 60 (1973) (wife who had moved away prior to service from home where husband lived, was not properly served when service was made upon husband at husband’s address).
Since compliance with the requirements of Rule 4(d)(1) is a prerequisite for effective service pursuant to that rule, we find that the trial court properly set aside the default judgment after having found that service of process was not made at Angelic’s dwelling house or usual place of abode.
Affirmed.
JACOBSON and OGG, J., concur.
. The impetus for Angelic’s motion in August of 1981 was a scheduled sheriffs sale of the property located at 5221 North 24th Street, Phoenix, Arizona, # 101. Angelic apparently received notice of the sale.
. Rule 4(d)(1) provides as follows:
4(d) Summons; service; minors; nonresident minors. The summons and complaint shall be served together. The plaintiff shall furnish the person making service with such copies as are necessary. Service shall be made as follows:
1. Upon an individual other than those specified in paragraphs 2, 3, 4, and 5 of this subdivision of this Rule, by delivering a copy of the summons and of the complaint to him personally or by leaving copies thereof at his dwelling house or usual place of abode with some person of suitable age and discretion then residing therein or by delivering a copy of the summons and of the complaint to an agent authorized by appointment or by law to receive service of process.
. Normally, evidence of a conveyance prior to the date of service by the person allegedly served would be useful only to buttress a position that service was ineffective. However, here, French maintains that the conveyance by » Angelic was fraudulent and that Angelic owned the unit in question both prior to and after the alleged transfer of ownership.
|
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HOWARD, Chief Judge.
OPINION
This case concerns the appropriate form for review of an administrative decision under the Public Safety Personnel Retirement System Act, A.R.S. § 38-841 et seq., prior to its amendment in 1983. Before reciting the somewhat complicated factual and procedural posture of this case, it would be best to briefly describe the public safety personnel retirement system as it then existed.
Municipal firemen, policemen, employees of the Arizona Highway Patrol and other public safety personnel had a retirement system separate and apart from the other state employees. Since these persons were regularly assigned hazardous duty, a separate system consistent with their needs was created. See A.R.S. § 38-841(B). An employee in this retirement system could receive normal retirement benefits upon completion of a certain number of years’ service. A.R.S. § 38-844(A). The system also provided for both a permanent and a temporary disability pension. See A.R.S. §§ 38-844(B) and 38-844(H). An employee terminated for any reason other than death or retirement could receive, upon application, his or her accumulated benefits. A.R.S. § 38-846(A).
The system was administered by a local board. Its powers and duties were found in A.R.S. § 38-847. It decided, inter alia, who was eligible for benefits and the right of an employee to benefits. It could not grant a person benefits if that person was not eligible for them. See A.R.S. § 38-847(E). There was also a disability board of ap peals. Prior to repeal, A.R.S. § 38-847.01 stated:
“A. A decision or ruling of a local board on a disability matter is subject to appeal only as provided in this section.
B. There is established a disability board of appeals to hear all appeals on a local board’s decisions or rulings concerning disability matters.
$ sis ‡ $ ‡ $
D. The fund manager or a member may appeal from a disability decision or ruling as provided under this section. * * * * * *
H. The decision of the disability board of appeals is subject to judicial review under Title 12, Ch. 7, Art. 6....” (Emphasis added)
A.R.S. § 38-847(D)(3) provided that the local board had the duty and the power “[t]o make a determination as to the right of any person to a benefit and to afford any person dissatisfied with such determination the right to a hearing thereon.”
Subsection G of A.R.S. § 38-847, which also dealt with the powers of the local board, stated, at all times relevant hereto:
“ * * * [I]f any person is granted a hearing upon his appeal from any ruling or decision by the board and the board’s original determination is affirmed, the applicant may file an appeal with the superior court within thirty days from the receipt by registered mail of the affirmation of such ruling or decision. The superior court shall be in the county where the board is located and the proceedings on the appeal shall be a trial de novo.”
The foregoing statutes lead to this conclusion. One could only appeal a decision or ruling of a local board on a disability matter first to the disability board of appeals and then to the superior court under the Administrative Review Act. All other appeals could be made directly to the superior court after first having been appealed to the local board itself.
The Act also provided for a fund manager. A.R.S. § 38-848. The fund manager consisted of three members appointed by the governor, and was authorized to “[d]o all acts, whether or not expressly authorized, which may be deemed necessary or proper for the protection of the investments held in the fund.” A.R.S. § 38-848(F)(7).
We now go back to the facts of this case. Kurtis Jackson (Jackson) applied to the local board for temporary disability benefits on December 27, 1979, and January 7, 1980. In January 1980 the local board awarded Jackson such benefits, commencing January 1,1980, for a period of six months. On July 1 Jackson and his counsel attended a meeting of the local board at which Jackson’s temporary disability benefits were terminated. Immediately after the meeting of the local board, Jackson and his counsel asked certain members of the local board how Jackson might withdraw his contributions to the system. Jackson and his counsel were told they could request a rehearing before the local board if they desired to appeal, and were informed that Jackson could file an application for withdrawal of his contributions to the system with the local board’s secretary, Christine Beckam. They did so and on or about July 16, 1980, Jackson received a refund of his contributions less those payments previously made.
After having withdrawn his funds from the system, Jackson submitted an application for rehearing to the local board on September 22,1980, seeking a reversal of its decision to terminate his temporary disability benefits. The board conducted a hearing on October 8, 1980, at which time the local board affirmed its earlier decision terminating Jackson’s temporary disability benefits.
On November 5, 1980, Jackson appealed the local board’s decision terminating his temporary disability benefits to the board of appeals. On February 11, 1981, the board of appeals conducted a hearing. Present were Jackson and the administrator for the fund manager. The administrator presented the board of appeals with Jackson’s application for withdrawal of his contributions and urged that Jackson was no longer a member of the system and no longer entitled to any benefits under the system. It was, and it still is Jackson’s position, that he did not intend to waive any right to benefits by withdrawing his contribution from the fund and was told by a member of the local board that he could do so and if he won the appeal he would just have to refund any monies he had received. The board of appeals specifically ruled that it did not have jurisdiction to decide whether Jackson was a member of the system entitled to benefits under it, but it did conclude that the local board was wrong in denying Jackson a disability pension and that he should be given a permanent one.
Written notification of the board of appeals’ action was sent to Jackson and his counsel on February 23, 1981. The local board, after receiving notice of the board of appeals’ action, expressed dissatisfaction and confusion concerning the meaning of the decision and concurred with the fund manager’s opinion that Jackson was not a member of the retirement system. Then, at the local board’s meeting of June 2,1981, it decided that it was required by the action of the board of appeals to order the fund manager to pay Jackson a permanent accidental disability commencing July 1, 1980. By letter dated June 12, 1981, the local board transmitted such an order to the fund manager.
The fund manager filed a complaint in the Maricopa County Superior Court, Cause No. C-439159, on July 6, 1981, challenging the order of the local board and the action of the board of appeals.
A trial was had on the fund manager’s complaint on January 15, 1982, before the Honorable David L. Grounds. By minute entry dated January 25, 1982, Judge Grounds concluded that the fund manager’s complaint should be dismissed for lack of jurisdiction, finding that the fund manager did not file a timely appeal from the decision of the board of appeals of February 23, 1981. The trial court also found:
“Plaintiff claims that it has the right to appeal not only the Board of Appeals’ decision but the letter order of the local board of June 12, 1981, directing the plaintiff to pay.
If the plaintiff wished to contest the validity of the decision of the Board of Appeals it should have done so by filing a timely appeal with this Court. It did not do so. Assuming, without deciding, that the letter order of the local board of June 12, 1981, were [sic] applicable, plaintiff has not exhausted its administrative remedies.”
(Emphasis added)
In pursuit of its administrative remedies, as suggested by the order of Judge Grounds, the fund manager, on February 4, 1982, filed a request for rehearing with the local board to obtain an administrative decision whether Jackson was a member of the system entitled to a disability pension. A hearing was held and the local board determined that Jackson continued to be a member of the system, eligible for disability pension, and ordered the fund manager to pay Jackson a permanent disability pension.
On or about April 20, 1982, the fund manager appealed the local board’s March 23 decision by filing an appeal with the disability board of appeals and simultaneously filing a complaint in the Pima County Superior Court, Cause No. 201342. The fund sought both judicial and administrative relief simultaneously because it believes that the law is unclear as to the proper form for relief.
In the Pima County Superior Court action the defendants/appellees filed a motion for summary judgment seeking dismissal of the fund manager’s complaint on the grounds that the fund manager had failed to exhaust his administrative remedies (citing the appeal pending before the board of appeals, res judicata, and standing). The trial court granted the motion for summary judgment and the fund moved for a new trial which was denied. It is this granting of the summary judgment which is the subject of this appeal.
There are two issues in this case. (1) Did the disability board of appeals have jurisdiction to decide the eligibility of a person for benefits? (2) Did the judgment entered by Judge Grounds bar relief under the doctrine of res judicata? We hold that the disability board of appeals did not have jurisdiction to decide eligibility matters and that the relief was not barred by the doctrine of res judi-cata.
We start off with the basic proposition that the powers and duty of an administrative agency are to be measured by the statute creating it. Fleming v. Pima County, 125 Ariz. 523, 611 P.2d 110 (App.1980); Cox v. Pima County Law Enforcement Merit System Council, 27 Ariz.App. 494, 556 P.2d 342 (1976). A board or commission which is a creation of a statute created for a special purpose has only limited powers and it can exercise no powers which are not expressly or impliedly granted. Oracle School District No. 2 v. Mammoth High School District No. 88, 130 Ariz. 41, 633 P.2d 450 (App.1981).
We turn again to the applicable statute, A.R.S. § 38-847.01. It provided that “[a] decision or ruling of a local board on a disability matter is subject to appeal only as provided in this section.” (Emphasis added) Furthermore, under subparagraph B of the statute there was established a disability board of appeals which was to hear all appeals on a local board’s decisions or rulings “concerning disability matters.” Also of importance is subparagraph D which provided that the fund manager or a member may appeal “. .. from a disability decision or ruling as provided under this section.” It is clear that by the use of the phrases “on a disability matter”, “concerning disability matters”, and “from a disability decision or ruling” the legislature did not intend either expressly or impliedly to give the disability board of appeals jurisdiction to hear questions of whether or not a person is eligible for benefits. All the disability board was empowered to decide is whether the local board was correct in determining that the applicant for benefits was or was not disabled under the law, and if so, the nature, extent, cause and type of the disability.
It is equally clear that Judge Grounds did not decide the issue of Jackson’s eligibility, but instead found that the fund manager had not exhausted his administrative remedies by asking the local board for a rehearing as is required by A.R.S. § 38-847(D)(3) and (G).
The order granting summary judgment is vacated and set aside and the case is remanded for further proceedings consistent with this opinion.
HATHAWAY and BIRDSALL, JJ., concur.
. The disability board of appeals no longer exists. See A.R.S. § 38-847, effective July 27, 1983.
. Section 12-90Iff, The Administrative Review Act.
. Judge Grounds’ order uses the word “applicable.” The minute entry of January 25, 1982 uses the word “appealable”, which makes more sense in the context of the order.
. The fund manager conceded that it had not filed an appeal from the board of appeals’ ruling.
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OPINION
BIRDSALL, Judge.
The appellant was convicted of burglary and theft from the Montgomery Ward Auto Center in Tucson. His appeal presents only two issues: (1) Should the auto stereo parts taken from the store and found in the trunk of “his” car have been suppressed, and (2) should the tape of the statement he gave the police have been admitted?
The latter issue has a somewhat different twist since the appellant sought to have the exhibit admitted and the trial court granted the state’s motion to exclude it. We hold that ruling requires reversal.
The facts are rather straightforward. The police found the appellant inside the store at 3:30 a.m. A codefendant was outside where he was seen loading objects into the trunk of an automobile. A window of the store had been broken. Since the car trunk lid was partially open, the officers were able to observe the merchandise inside. The appellant was intoxicated — the degree of his intoxication and its effect on his ability to have the intent necessary for burglary and theft were questions for the jury. The appellant and his accomplice were arrested at the scene and taken to the station house where the appellant gave the recorded statement at 6:20 a.m. The car was not searched at the scene. It was also taken to the police lot where it was subsequently searched without a warrant. The appellant signed a “consent to search” the car. Other facts are contained in the discussion following.
THE STATEMENT
Caught in the act, as he was, intoxication was the appellant’s only hope. Where relevant, an accused has a right to present all pertinent evidence of intoxication. See e.g., State v. Betancourt, 131 Ariz. 61, 638 P.2d 728 (App.1981); People v. Counts, 318 Mich. 45, 27 N.W.2d 338 (1947); State v. Gullett, 606 S.W.2d 796 (Mo.App.1980); Sartin v. State, 610 P.2d 262 (Okla.Cr.App.1980).
In determining whether or not a reasonable doubt of the fact or extent of intoxication exists, the jury may consider all relevant factors. These factors include evidence of his conduct before the act, the act itself, and his subsequent conduct. State v. Gullett, supra. This was the purpose for offering the tape recording. Even though it was inculpatory, the appellant
admitted being in the store, the appellant argued that it was evidence showing the degree of his intoxication. According to him the jury could tell by listening to his voice and his responses that he was still very intoxicated three hours after the arrest. Where the trial court precludes a defendant from presenting such evidence, reversal is required. See Gallegos v. People, 159 Colo. 379, 411 P.2d 956 (1966); Commonwealth v. Graves, 461 Pa. 118, 334 A.2d 661 (1975); State v. Conklin, 79 Wash.2d 805, 489 P.2d 1130 (1971); State v. Keeton, 272 S.E.2d 817 (W.Va.1980).
The state argues that the trial court found the tape did not show the appellant was “so intoxicated” the appellant did not know what he was doing. From this the state contends the trial court could exercise discretion and refuse the admission of the exhibit. It is not the function of the trial court to weigh the evidence. Neither is it our function, although we have listened to the tape and are unable to understand how the trial court reached that conclusion. The tone of the appellant’s voice, the nature of his responses and the general context of the statement appear to be at least some evidence which together with the other abundant evidence presented might create a reasonable doubt of appellant’s ability to specifically intend to commit a theft.
We reject the state’s other contentions — that the tape was inadmissible hearsay and that the trial could reject it because it contained deliberate falsehoods. It is not hearsay because it was not offered to prove the truth of the words spoken. The state argues that if such evidence is held to be admissible the door is opened to admit intentionally deceptive statements. See Hinton, “States of Mind and the Hearsay Rule,” 1 U.Chi.L.Rev. 394 (1933), and Morgan, “Hearsay Dangers and the Application of the Hearsay Concept,” 62 Harv.L.Rev. 177 (1948). The scholarly discussions in these articles are inapposite since they do not address the purpose for which this tape was admissible, namely, permitting the jury to hear the appellant’s voice, captured on tape, at a time reasonably near the time of the incident.
DENIAL OF THE MOTION TO SUPPRESS
The stolen merchandise removed from the trunk of the car was lawfully seized by the police without a warrant. The police had ample probable cause to search the car. Not only did they see the codefendant at the open trunk of the car and the goods inside the partially open trunk, but they also found evidence of forcible entry into the store and appellant inside the store at 3:30 a.m. United States v. Ross, 456 U.S. 798, 102 S.Ct. 2157, 72 L.Ed.2d 572 (1982); Michigan v. Thomas, 458 U.S. 259, 102 S.Ct. 3079, 73 L.Ed.2d 750 (1982); Chambers v. Maroney, 399 U.S. 42, 90 S.Ct. 1975, 26 L.Ed.2d 419 (1970); Carroll v. United States, 267 U.S. 132, 45 S.Ct. 280, 69 L.Ed. 543 (1925). It does not matter that the search and seizure occurred at the police lot rather than at the scene. Michigan v. Thomas, supra. See also Illinois v. LaFayette, - U.S. -, 103 S.Ct. 2605, 77 L.Ed.2d 65 (1983); and see the inventory search case, South Dakota v. Op-perman, 428 U.S. 364, 96 S.Ct. 3092, 49 L.Ed.2d 1000 (1976). The items found in the trunk may be admitted in evidence in the retrial of the case.
Reversed and remanded.
HOWARD, C.J., and HATHAWAY, J., concur.
|
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ORDER
By order dated April 26, 1990, 790 P.2d 741, the Court directed respondent, EDWIN P. YOUNG, II, to submit certain information to it on or before May 7, 1990. The Court also directed respondent EDWIN P. YOUNG, II to submit information to James H. Keppel no later than May 7, 1990.
IT APPEARING THAT EDWIN P. YOUNG, II has failed to comply with the terms of the April 26, 1990 order stated above, and the Court being advised that respondent has failed to adequately communicate with James H. Keppel as required;
IT IS HEREBY ORDERED that the disbarment of EDWIN P. YOUNG, II from the practice of law in the State of Arizona be and hereby is entered this 11th day of May, 1990, effective immediately. This order of immediate disbarment supersedes the April 26, 1990 order to the extent that it allowed EDWIN P. YOUNG, II until June 25, 1990 to wind up his practice.
IT IS FURTHER ORDERED, pursuant to this Court’s inherent power over disciplinary matters, see Rule 31(a)(2), Ariz.R.S. Ct., and to minimize further public harm, that Catherine Leisch, Staff Bar Counsel, is appointed as conservator to protect the interests of clients of EDWIN P. YOUNG, II.
IT IS FURTHER ORDERED, pursuant to Rule 66(a), Ariz.R.S.Ct., that Catherine Leisch or her agent, is hereby ordered to take immediate possession of all files and papers relating to clients of EDWIN P. YOUNG, II, and EDWIN P. YOUNG, II is hereby ordered to immediately relinquish to the conservator or her agent all files and papers relating to legal matters handled by him for any client. Should EDWIN P. YOUNG, II fail to so relinquish said documents, this Court will issue a search and seizure warrant, and EDWIN P. YOUNG, II will be deemed to be in contempt of this Court’s order.
IT IS FURTHER ORDERED, pursuant to Rule 67(a), Ariz.R.S.Ct., that conservator Catherine Leisch is hereby ordered to serve a certified copy of this order on all banks or financial institutions wherein EDWIN P. YOUNG, II maintains professional financial accounts, and such service shall immediately operate as a modification of any agreement of deposit among such banks or financial institutions, the respondent and any other party to the account, so as to make conservator Catherine Leisch a neces sary signatory on any professional or trust account maintained by EDWIN P. YOUNG, II.
IT IS FURTHER ORDERED that conservator Catherine Leisch is required to post no bond, and the protections of Rule 65(f), Ariz.R.S.Ct., shall apply.
IT IS FURTHER ORDERED that respondent’s Motion to Amend Consent to Discipline; Motion to Remand to Disciplinary Commission; and Motion to Stay Action on Consent is hereby denied.
IT IS FURTHER ORDERED that respondent’s Motion for an Extension of Time to Comply with Order, filed May 9, 1990, is hereby denied.
|
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OPINION
ROLL, Judge.
Plaintiff Stephen Jay Shelby appeals from an order of the trial court entering judgment in favor of Action Scaffolding, Inc. (Action), and assessing costs against Shelby. This matter involves a question of first impression in this jurisdiction, to wit, in light of A.R.S. § 12-2504, what effect does a settlement have on a jury’s verdict against a non-settling defendant? For the reasons set forth below, we vacate the judgment of the trial court and remand for entry of judgment in favor of Shelby.
FACTS
On November 5, 1986, Stephen Shelby was hanging drywall at a church in Pima County when he fell from a scaffold manufactured by General Scaffolding (General) and erected by Action. Shelby sustained serious and permanent injuries as a result of the fall.
PROCEDURAL HISTORY
Shelby filed a lawsuit against various corporations, including Action and General. In his amended complaint, Shelby alleged strict liability against General and other manufacturers and distributors of components of the scaffold, and alleged negligence on behalf of Action. During trial, Shelby entered into a settlement agreement requiring General to pay Shelby $250,000 in settlement of all strict liability claims. This settlement agreement left the negligence claim against Action to be litigated.
The jury returned a verdict finding that Action was 30 percent at fault and Shelby was 70 percent at fault as between these two parties. The jury concluded that Shelby’s damages totalled $650,000.
After the verdict was returned, the trial court granted Action an offset or credit for the $250,000 settlement payment received by Shelby from General. The trial court determined that since the jury returned a verdict against Action of 30 percent of $650,000, or $195,000, and Shelby had already received $250,000 as a result of his settlement with General, Action owed Shelby nothing. The trial court then awarded Action costs as the prevailing party.
ISSUES ON APPEAL
On appeal, Shelby argues that the trial court (1) erred in deducting General’s $250,-000 settlement from that portion of damages attributable to Action, and (2) erred in assessing costs against Shelby.
Trial Court’s Ruling Awarding Action a Reduction in the Amount of General’s Settlement
Shelby maintains that the trial court erred in reducing Shelby’s verdict against Action by the amount of the settlement payment made by General. The trial court’s ruling regarding this reduction is a question of law and is therefore reviewed de novo. Tovrea Land & Cattle Co. v. Linsenmeyer, 100 Ariz. 107, 114, 412 P.2d 47, 51 (1966); Aldabbagh v. Ariz. Dept. of Liquor Licenses, 162 Ariz. 415, 783 P.2d 1207, 1208 (Ct.App.1989).
Action responds that A.R.S. § 12-2504(1) specifically provides for a non-settling party to receive credit for settlement payments made by a joint tortfeasor. A.R.S. § 12-2504 states:.
§ 12-2504. Release or covenant not to sue
If a release or a covenant not to sue or not to enforce judgment is given in good faith to one of two or more persons liable in tort for the same injury or the same wrongful death both of the following apply:
1. It does not discharge any of the other tortfeasors from liability for the injury or wrongful death unless its terms so provide, but it reduces the claim against the others to the extent of any amount stipulated by the release or the covenant or in the amount of the consideration paid for it, whichever is the greater.
2. It discharges the tortfeasor to whom it is given from all liability for contribution to any other tortfeasor.
The trial court agreed with Action that § 12-2504(1) required that Shelby’s verdict against Action be reduced by the amount of the settlement.
We decline to give this particular statutory provision the construction urged by Action and adopted by the trial court. The statute provides that any settlement reduces the “claim” against other tortfeasors. “Claim” means the amount of damages as determined by an impartial factfinder. Hampton v. Safeway Sanitation Servs., Inc., 725 S.W.2d 605, 610 (Mo. App.1987) (interpreting Missouri statute substantially the same as A.R.S. § 12-2504). Here the total claim was for $650,000. A.R.S. § 12-2504 requires that the jury’s calculation of damages, that is, $650,000, be reduced by the amount of General’s settlement, to wit, $250,000. Shelby’s claim having been reduced by the amount of General’s settlement, Action was required to pay 30 percent of $400,000, or $120,000. Rittenhouse v. Erhart, 126 Mich.App. 674, 337 N.W.2d 626, 630 (1983); Jensen v. A.R.A. Servs., Inc., 736 S.W.2d 374 (Mo.1987) (en banc); Hampton, supra; Heft & Heft, Comparative Negligence Manual § 4.250 (rev. ed. 1986). But see Scott v. Cascade Structures, 100 Wash.2d 537, 544, 673 P.2d 179, 183 (1983); Lemos v. Eichel, 83 Cal.App.3d 110, 117-18, 147 Cal.Rptr. 603, 606-07 (1978).
Shelby suffered $650,000 in damages. Even adding the $250,000 settlement payment by General to the $120,000 award against Action, the total of the two amounts leaves Shelby with an uncompensated $280,000 loss. Accordingly, the result reached here does not cause Shelby to receive compensation in excess of his damages. Compare Egurrola v. Szychowski, 95 Ariz. 194, 388 P.2d 242 (1964) ($10,000 settlement by negligent defendant should be credited to $250,000 verdict against joint tortfeasor); Riexinger v. Ashton Co., 9 Ariz.App. 406, 453 P.2d 235 (1969) ($5,000 settlement against negligent defendant should be applied to $20,000 verdict against joint tortfeasor, since jury set plaintiffs damages at $20,000 and to allow him to recover more than $20,000 is to go beyond making plaintiff whole); American Home Assurance Co. v. Vaughn, 21 Ariz.App. 190, 517 P.2d 1083 (1974). But see Charles v. Grant Eagle Mkts., 513 Pa. 474, 522 A.2d 1 (1987) (unjust to plaintiff to assume that jury’s verdict setting damages is accurate gauge of damages sustained by plaintiff).
This approach also embraces the public policy consideration that the law favors compromise and settlement. Dansby v. Buck, 92 Ariz. 1, 11, 373 P.2d 1, 8 (1962). To deduct General’s settlement from the sum the jury determined that Action should pay would do violence to the jury’s intent and reward the non-settling party by requiring the settling party to bear the entire burden of damages, all the while depriving the plaintiff of less than full compensation. Jensen, 736 S.W.2d at 378.
Although Action cites authority in other jurisdictions for the proposition that Action was entitled to have the jury verdict against Action reduced by the entire amount of the settlement, we do not find it persuasive. The Washington Supreme Court relied on the legislative history of the contribution statute which said that the “final judgment of the claimant is reduced by the amount paid for a release.” Scott, 100 Wash.2d at 542, 673 P.2d at 182. Accordingly, the court reduced the jury verdict by the plaintiff’s comparative negligence to reach the final judgment against the defendant, then deducted the settlement. Arizona has no such legislative history to mandate a similar result. In Le-mos, supra, a California court used a similar formula. The jury, however, apportioned total fault among the plaintiff, the non-settling defendants, and others. 83 Cal.App.3d at 116, 147 Cal.Rptr. at 605. In this case, fault was only apportioned between Action and Shelby. If we followed the trial court’s formula, we would find Shelby 70 percent at fault overall. That is contrary to the jury’s finding that he was 70 percent at fault as to Action. See Jensen, 736 S.W.2d at 377.
The jury found that as to Shelby, Action was 30 percent at fault and awarded damages. Using the trial court’s formula, Action would pay nothing despite the jury’s finding. By deducting the settlement from the total damages, Action is held to the jury’s finding of 30 percent fault.
We hold that A.R.S. § 12-2504 requires that the amount of a settlement payment should be deducted from the overall damages sustained by the plaintiff. The non-settling defendant’s liability should then be calculated based on the remaining sum.
ASSESSMENT OF ATTORNEYS’ FEES AND COSTS
The trial court, at Action’s urging, incorrectly calculated the damages owed by Action to Shelby. Because Shelby was the prevailing party, costs should not have been awarded Action.
For the reasons set forth above, we vacate the judgment of the trial court and remand this matter for entry of judgment in favor of Shelby in the amount of $120,-000. The trial court’s order awarding Action costs is vacated and, on remand, costs are to be awarded Shelby.
HATHAWAY, J., concurs.
. $650,000 damages
— 250,000 settlement $400,000
— 280,000 70 percent (contributorily negligent) $120,000 judgment
. Because A.R.S. § 12-2506(C) had not been enacted when this matter was tried, the jury made no determination as to the liability of General.
|
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OPINION
VOSS, Judge.
Appellant Robert Lewis Bernecker (defendant) appeals from his conviction for possessing drug paraphernalia with a prior felony conviction and the sentence imposed.
Throughout these proceedings defendant represented himself, with the aid of appointed advisory counsel. Following his guilty plea, defendant was convicted of one count of possessing drug paraphernalia, a class 6 felony, with one prior felony conviction. Defendant was sentenced to a stipulated sentence of 2.25 years incarceration. Defendant filed a proper appeal but has not responded to the court’s order directing him to file an opening brief. As such, we reviewed the record for fundamental error pursuant to State v. Tapp, 133 Ariz. 549, 653 P.2d 6 (1982).
We find no fundamental error. However, the recent opinion of another panel of this division in State v. Barnes, 165 Ariz. 111, 796 P.2d 913 (App.1990), and that opinion’s reliance on two earlier opinions of this court in State v. Hoover, 151 Ariz. 470, 728 P.2d 689 (App.1986), and State v. Fowler, 137 Ariz. 381, 670 P.2d 1205 (App.1983), compels us to comment on whether a defendant is denied fundamental rights when the trial court accepts an admission of prior conviction without: 1) separately advising the defendant of his right to a second jury trial on the prior felony conviction allegation; and, 2) describing the range of sentence without the enhancement.
In Barnes, as here, the defendant pled guilty to the underlying charge and the allegation of prior felony conviction. Prior to accepting the plea, the trial court informed the defendant of the rights she would waive by pleading guilty and the enhanced range of sentence. The trial court did not separately inform the defendant of her right to a second jury trial regarding the prior felony conviction, nor did the trial court describe the unenhanced range of sentence.
Relying on Hoover and Fowler, the Barnes court first held that Rule 17.6, Arizona Rules of Criminal Procedure required the trial court to advise the defendant of the rights she waived by admitting the prior felony conviction, where both the underlying offense and allegation of prior felony conviction were admitted in the same proceeding. Barnes, 165 Ariz. at 111, 796 P.2d at 913. We disagree that Rule 17.6 forms the basis for any such duty.
The comment to Rule 17.6 clearly states that the drafter’s intention was to exclude this section from cases in which the defendant was pleading to both the underlying offense and the prior felony conviction. Instead this section “governs the situation in which the defendant is pleading only to the prior offense____” Rule 17.6, comment (emphasis added). We realize section headings, notes, and comments do not constitute substantive portions of the Rules of Criminal Procedure. See A.R.S. § 1-212 (analogous interpretive rule regarding statutes). However, we believe that where the comment so directly demonstrates the intent of the rule, we cannot disregard that clear intent and reach a contrary result.
While we do not believe Rule 17.6 separately imposes a duty on the trial court to inform the defendant of his rights when he pleads to both the underlying charge and the prior felony conviction, we do believe the trial court has a duty in this context. The United States Constitution mandates the giving of certain warnings and information in order to insure the protection of a defendant’s fundamental rights when pleading guilty or no contest. See generally Boykin v. Alabama, 395 U.S. 238, 89 S.Ct. 1709, 23 L.Ed.2d 274 (1969). These constitutional requirements are provided for generally in Rule 17, and therefore specific reference to Rule 17.6 is unnecessary.
After deciding that Rule 17.6 applied, the Barnes court found that the defendant was not separately advised of her rights pertaining to the prior felony conviction. Barnes, 165 Ariz. at 111, 796 P.2d at 913. The court specifically held that:
At a minimum, the trial court should have advised defendant that if she elected a jury trial at which she did not admit the prior conviction, she would be entitled to a further jury determination as to whether the state proved the existence of the prior conviction beyond a reasonable doubt.
Id.
The court then remanded the case to “determine whether defendant understood the effect a prior conviction would have upon her sentence.” Id. Though not expressed, we understand this order, as well as the court’s analysis of Hoover, to require the trial court to describe both the enhanced and unenhanced ranges of sentence.
We can not agree that Hoover and Fowler require the holdings reached in Barnes, or require us to reach a similar result. In Hoover, the court of appeals found no error where the trial court did not separately advise the defendant of his rights regarding the prior felony conviction, but did explain the differing ranges of sentence. Hoover, 151 Ariz. at 471-72, 728 P.2d at 690-91. In Fowler, the court of appeals found no error where the trial court separately advised the defendant of his right to a jury trial, but did not explain the differing ranges of sentence. Fowler, 137 Ariz. at 385, 670 P.2d at 1209. Fowler specifically held that it was unnecessary to advise the defendant of differing sentence ranges. Id.
We can not ascertain how these factually conflicting cases require finding that the trial court must separately advise a defendant of his right to a second jury trial with regard to the prior felony conviction. If this is a rule of law derived from Fowler, then Hoover is patently incorrect as it finds that the failure to separately advise the defendant concerning his rights does not require reversal. Hoover, 151 Ariz. at 471-72, 728 P.2d at 690-91.
Likewise, we do not believe these cases require the trial court to describe both the enhanced and unenhanced ranges of sentence. If this is a rule of law fashioned from Hoover, then Fowler is incorrect as it states that explanation of the differing sentence ranges is unnecessary. Fowler, 137 Ariz. at 385, 670 P.2d at 1209.
We believe that, properly synthesized, these cases simply reiterate that the trial court must provide information sufficient to insure that the defendant’s plea is voluntarily, knowingly and intelligently made. See State v. Linsner, 105 Ariz. 488, 491, 467 P.2d 238, 241 (1970). This is not a new standard; rather this is the standard required by the Constitution and provided for in Rule 17. Boykin, 395 U.S. 238, 89 S.Ct. 1709; State v. Rogel, 116 Ariz. 114, 116, 568 P.2d 421, 423 (1977).
We do not believe that this standard requires us to command the trial court in every case to separately advise a defendant that he has the right to a second jury trial on the prior felony conviction. Such a rule of law not only exceeds what is required under the Constitution and Rule 17, but is hopelessly redundant.
In the cases cited, as well as the present case, the defendants were clearly informed, both in their written plea agreements and by the trial court, that they had certain constitutional rights that would be waived if they pled guilty to the charges. If a defendant is told he has a right to a jury trial on all of the charges, and both the written plea agreement and trial court note that the charges include an allegation concerning a prior felony conviction, how can it be argued that the defendant has been denied information needed to properly exercise his rights?
A defendant would assume, quite correctly, that he has a right to a jury trial regarding the prior felony conviction as this allegation constitutes one of the charges presented against him. The fact that this trial would follow the trial on the underlying offense does not impact on the defendant’s knowledge of his right to a jury determination nor his waiver of that right.
Similarly, we do not believe the trial court is required to describe both the enhanced and unenhanced ranges of sentence. Clearly the enhanced range must be described as that range encompasses the possible sentence under the plea as presented. However, to advise the defendant of the sentence range without the enhancement would merely confuse the proceedings as the plea is solely for the underlying charge and the prior conviction. Fowler, 137 Ariz. at 385, 670 P.2d 1209.
In the present case, we find that the trial court described the rights waived by pleading guilty, as those rights related to the charges against the defendant. We further find that the allegation of prior felony conviction was described both by the trial court and in the written plea agreement. Finally, we find that the trial court described the possible range of sentence as enhanced by the prior felony conviction. We hold that the trial court provided the information required before it could accept defendant’s guilty plea. We affirm the judgment and sentence of the trial court.
EUBANK, P.J., and SHELLEY, J., concur.
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OPINION
CONTRERAS, Presiding Judge.
Appellant Title Insurance Company of Minnesota (hereinafter “TICOM”) provided title insurance to Talley Realty Development, Inc. (hereinafter “Talley”), in its purchase of a large parcel of real property from Costain Arizona, Inc. (hereinafter “Costain”). Talley subsequently recovered a significant sum of money from TICOM under the title insurance policy because Talley did not receive title to a 15-foot strip of land that was included in the purchase agreement. TICOM, in searching title, had failed to note that Costain no longer owned any interest in the strip of property. After paying Talley’s claim, TICOM sought reimbursement from Costain, which, pursuant to the purchase agreement, had received payment for the strip of property. Three theories for recovery were asserted: (1) breach of warranty of title as Talley’s sub-rogee, (2) indemnity, and (3) unjust enrichment. This appeal was brought from entry of the trial court’s judgment denying relief under any of TICOM’s theories. We reverse the ruling of the trial court and remand the case for entry of judgment for TICOM on its breach of warranty claim.
FACTS
In May of 1984, Costain and Talley executed an agreement for Talley to purchase a large parcel of property through use of a subdivision trust arrangement in which TI-COM would serve as trustee (Trust No. 2267). The property Costain agreed to sell to Talley was part of a larger parcel Cos-tain was purchasing from the Church of Jesus Christ of Latter Day Saints pursuant to a previously executed subdivision trust agreement (Trust No. 2136) which also named TICOM as trustee. As trustee under both subdivision trusts, TICOM held title to the property for the use and benefit of the beneficiaries, the seller and buyer, as set forth by the terms of the respective trust agreements.
The senior trust agreement (Trust No. 2136) described the general duties and powers of the trustee, stating that the trustee holds title to the property for the purpose of “deeding, selling, conveying, demising, receiving payment for and otherwise handling the property upon such terms and conditions and for such prices as Trustee may be instructed in writing so to do by [Costain]____” The trust agreement also authorized the trustee to dedicate roads, alleys or easements to public use and to convey the portion so dedicated to the proper county or city upon instruction from Costain.
The senior trust provided that Costain would be allowed to direct the trustee to sell all the property or any subdivided lot or lots through escrow to be established at TICOM. Significantly, it also specified that the trustee would be entitled to rely on information provided by Costain regarding the acreage upon which to determine the purchase price of any portion of the property to be released in a subsequent sale.
Under the terms of the purchase agreement between Costain and Talley, the sales price for Talley’s purchase was initially computed on the basis of a specified number of acres, but the price was to be adjusted at the rate of $1.80 per square foot-after Costain delivered a survey to Talley showing the exact amount of acreage being conveyed, excluding existing dedicated roadways. The agreement also provided that Costain would warrant title to Talley as follows:
Seller is the owner of and has good and marketable Second Beneficial Interest to the Subject Property, free and clear of any and all claims, taxes, assessments, reservations in patents, easements, right-of-ways, encumbrances, liens, covenants, conditions, restrictions, obligations and liabilities other than those specifically set forth herein or in the Preliminary Title Report approved by Buyer or shown in a supplement or amendment to these Instructions signed by Buyer and Seller.
The agreement further provided that Cos-tain would cause TICOM, in its separate role as escrow agent, to issue and deliver to Talley its standard coverage title insurance policy insuring Talley’s interest in the property subject to those exceptions set forth in the preliminary title report which Talley agreed to accept.
TICOM’s preliminary title report failed to exclude a 55-foot strip of property on the southern edge of the parcel, which had been dedicated to the City of Chandler, although it did uncover the fact that an easement in a 40-foot portion of that same strip of property had previously been granted. As a result, the title policy issued thereafter by TICOM guaranteed that the property being conveyed to Talley included an unencumbered 15-foot strip in which Costain actually held no interest.
The engineering firm hired by Costain to survey the property to determine the exact amount of acreage being sold also improperly included this same 15-foot strip of property in its survey. Hence, when the purchase price was recalculated on the basis of the exact acreage being sold, Talley had paid Costain an additional $62,334 for land to which it did not receive title. Tal ley presented its claim to TICOM for this amount under the title insurance policy issued by TICOM. Thereafter, TICOM paid the claim and then sought reimbursement from Costain. This appeal followed the trial court’s denial of TICOM’s claim for recovery from Costain.
DISCUSSION
TICOM argues that after discharging its liability under the title insurance policy by paying Talley for its overpayment for the property it did not receive, it became subro-gated to the rights Talley would have had against Costain for breach of warranty of title. TICOM’s policy contained a subrogation clause which provided in relevant part:
Whenever the Company [TICOM] shall have settled a claim under this policy, all right of subrogation shall vest in the Company unaffected by any act of the insured claimant. The Company shall be subrogated to and be entitled to all rights and remedies which such insured claimant would have had against any person or property in respect to such claim had this policy not been issued____
It is well settled that where an insured contracts with a third party requiring the latter to pay for loss or damage to insured property, the insurer, upon payment of the loss, is subrogated to the rights of the insured under the contract. Highlands Insurance Company v. Fischer, 122 Ariz. 394, 396, 595 P.2d 186, 188 (App.1979); Couch on Insurance (Second) § 61:144 (1966). Moreover, an insurer may be entitled to subrogation under proper circumstances, not only when its contract with its insured so provides, but also through the equitable doctrine of subrogation, even in the absence of express provision. See Mosher v. Conway, 45 Ariz. 463, 468, 46 P.2d 110, 112 (1935), cert. denied, .305 U.S. 599, 59 S.Ct. 77, 83 L.Ed. 380 (1938); Lawyers Title Insurance Corporation v. Capp, 174 Ind.App. 633, 636, 369 N.E.2d 672, 674 (1977).
We conclude that if Talley had the right to maintain a claim for breach of warranty against Costain, TICOM was subrogated to that right. We note that courts have found title insurers subrogated to the rights their insured may have had against the seller despite the fact that the title insurer was negligent in its examination of title. See, e.g., Transamerica Title Insurance Company v. Johnson, 103 Wash.2d 409, 693 P.2d 697 (1985); American Title Insurance Company v. Coakley, 419 So.2d 816 (Fla.App.1982); Harvey v. J & H Holdings, Inc., 310 So.2d 371 (Fla.App.1975); Douberley v. Angelini, 240 So.2d 98 (Fla. App.1970); Wolff v. Commercial Standard Insurance Company, 345 S.W.2d 565 (Tex.App.1961).
In Transamerica Title Insurance Company v. Johnson, 103 Wash.2d 409, 693 P.2d 697 (1985), a title company failed to discover a sewer assessment lien. The title company paid the assessment lien and sought recovery from the seller who warranted title. The seller argued that since it had paid the premium to provide insurance for the buyer, the insurance company owed duties to it of searching and disclosing title defects in addition to the duties it owed under the policy to the insured buyer. The court noted a split of authority as to whether a title insurer owes duties extending to other than the insured. The court concluded, however, that even if it were to join with the jurisdictions that recognize a duty on the part of the title insurance company extending to persons other than the insured, liability would not be imposed where it cannot be shown that the noninsured relied upon the preliminary commitment or other representation of the title company and that the reliance was foreseeable. In the case before it, the court found no showing of reliance, damage or an expectation of a search and disclosure to the seller. The seller knew of the assessment liens long before the title insurer issued a preliminary commitment.
In Harvey v. J & H Holdings, Inc., 310 So.2d 371 (Fla.App.1975), the title insurer failed to note that the seller had granted an easement over the property being sold to an abutting property owner and that the easement had been properly recorded. The title company paid damages to the buyer and sought recovery from the seller. In Harvey, the title insurer provided insurance both to the buyer and to the seller. Unquestionably, the seller had knowledge of the easement and the seller’s policy did not insure against loss by reason of defects created by or known to the seller. Under these circumstances, the court found no reason for the encumbrance to be excluded from the covenant made by the seller to convey clear title.
In Wolff v. Commercial Standard Insurance Company, 345 S.W.2d 565 (Tex. App.1961), the title company failed to note that a lien on property being sold had not been released. The title company discharged the lien and sought to recover as the subrogee of its insured from the seller who warranted title. The court found no merit to the seller’s contention that the title company was estopped to assert a claim against the seller because its examination of the title to the property failed to disclose the lien. The court noted that the title company was not responsible for the encumbrance on the property and that it had existed before the seller acquired the property. The court found that even though the seller paid for the title policy, the title company owed the seller no duty to point out the encumbrance. The policy was issued only to the buyer, and the only duty imposed by the policy was to protect the insured.
Costain cites two cases in which courts refused to allow a title insurer to be subro-gated to the right of its insured to sue the seller for breach of warranty of title under circumstances in which the title insurer committed negligence in conducting its title search. See Coy v. Raabe, 69 Wash.2d 346, 418 P.2d 728 (1966); Lawyers Title Insurance Company v. Capp, 174 Ind. App. 633, 369 N.E.2d 672 (1977). We note, however, that in Coy v. Raabe, the facts indicated that all parties relied upon the title reports. The court found that under those circumstances it would be inequitable to allow subrogation on the part of the title insurer. In Lawyers Title Insurance Company v. Capp, the title insurer relied solely on the equitable doctrine of subrogation rather than on any right of subrogation included in the policy of insurance. Because the equities were conflicting and the court was not presented with pertinent language from the policy of insurance, it found no reason to overturn the trial court’s ruling against the title insurer. We find these cases to be readily distinguishable from the case before us.
In this case, the policy of insurance clearly granted a right of subrogation to TI-COM. In addition, no contention is made that TICOM was to provide insurance for anyone other than the buyer. Division Two of this court has held that a title company’s duties in inspecting records and preparing title reports are not limited to contract duties and that it may be held liable in tort. Moore v. Title Insurance Company of Minnesota, 148 Ariz. 408, 412, 714 P.2d 1303, 1307 (App.1985). However, even if we were to conclude that TICOM owed a tort duty to Costain of searching and disclosing, the record contains no evidence that Costain relied to its detriment on TICOM’s failure to disclose that it no longer held title to the 15-foot strip of property. Costain did not choose a set purchase price upon which it would suffer a loss if it were established that it had conveyed less property than it agreed to convey. Instead, the price was to be calculated upon the actual amount of property sold. Costain clearly received a windfall when the purchase price was based upon computation that included additional acreage which Costain did not own. It is only this windfall that Costain is asked to relinquish. TICOM’s negligence caused no actual loss to Costain. Moreover, Costain knew or should have known that it no longer owned the strip of property since it previously instructed the trustee to convey the same strip to the City of Chandler. In view of the foregoing, we conclude that TICOM is subrogated to Talley’s claim against Costain for breach of warranty provided that Talley was TICOM’s insured and Costain executed a warranty deed.
If TICOM, in acting as escrow agent and title insurer, had strictly followed the escrow instructions calling for it to issue the title policy to Talley, and if it had issued a warranty deed from Costain to Talley containing the warranties of title Costain gave in the purchase agreement, TICOM clearly would have been subrogated to Talley’s rights to sue Costain for breach of warranty. When TICOM issued the insurance policy, however, it listed as the insured not Talley but TICOM in its capacity as trustee of the senior trust. Moreover, instead of issuing a warranty deed from Costain to Talley, TICOM made the conveyance from TICOM as trustee in Trust No. 2136 to TICOM as trustee in Trust No. 2267. Unquestionably, this was done because of the manner in which the subdivision trusts were established with the trustee holding title for the beneficiaries. Under these circumstances, the trial court concluded that TICOM could not be subrogated on a claim against Costain for breach of warranty both because Talley was not an insured and because Costain made no warranty of title to Talley under the deed that was conveyed.
We conclude that the trial court erred in finding that Talley was not the insured. The parties’ contract and escrow instructions clearly provided that Talley was to be the insured under TICOM’s title insurance policy. The premium was paid. The issuance of the policy naming TICOM, trustee in Trust No. 2136, as the insured instead of Talley was an error which Talley was entitled to have corrected. A letter submitted into evidence indicates that the policy was in fact corrected to show Talley as the insured. This fact was not disputed. Consequently, we conclude that Talley was the insured under TICOM’s policy.
The trial court correctly observed that the deed conveying the property did not contain a warranty of title from Costain, but only from TICOM as trustee in Trust No. 2136. The doctrine of subrogation taken in its most liberal sense cannot give any greater rights to the subrogee than are held by the person to whose rights he is subrogated. Mosher, 45 Ariz. at 474, 46 P.2d at 114.
Ordinarily, express or implied provisions in a contract with respect to the title of land to be conveyed are held to be merged in an accepted deed of the land, and, as a result, evidence of such contractual provisions is held to be inadmissible to vary or contradict the deed with respect to title. Hueg v. Sunburst Farms (Glendale) Mutual Water and Agricultural Company, 122 Ariz. 284, 288, 594 P.2d 538, 542 (App.1979); Annot., 38 A.L.R.2d 1310, § 9 (1954). Even though Costain expressly agreed in the sales contract to warrant title to Talley, Costain asks us to apply the doctrine of merger to allow it to keep the windfall payment it received for the property it did not convey. TICOM argues that to do so would ignore the realities of what the parties intended in this case.
It is well settled that the doctrine of merger has several exceptions. As the Arizona Supreme Court stated in Vaughey v. Thompson, 95 Ariz. 139, 142, 387 P.2d 1019, 1021 (1963):
... In addition to fraud and mistake, a well recognized qualification to merger is that the intent of the parties controls. The rule of merger does not apply to those provisions of the antecedent contract which the parties do not intend to be incorporated in the deed, or which are not necessarily performed by the delivery of the executed conveyance. Blake-McFall Co. v. Wilson, 98 Or. 626, 193 P. 902, 14 A.L.R. 1275 (1920); 55 AmJur. 757, Vendor and Purchaser § 328. The question whether such stipulations are merged in the deed depends upon whether the parties intended a waiver, surrender or other discharge — whether the parties intended the acceptance of the deed as full performance of the entire preliminary contract. Linbrook Realty Cory, v. Rogers, 158 Va. 181, 163 S.E. 346, 84 A.L.R. 1035 (1932); Duncan v. Mc-Adams, 222 Ark. 143, 257 S.W.2d 568, 38 A.L.R.2d 1307 (1953).
Under the circumstances presented in this case, the deed was drafted as it was, conveying warranty deed from one trustee to the other, solely because of the necessity of handling the transaction through the cumbersome use of senior and junior subdivision trusts. We find no evidence that any party intended to relieve Costain of its obligation under the sales contract to warrant title to the property. We conclude that it would be inequitable to apply the doctrine of merger to allow Costain to keep the windfall it received. Accordingly, we further conclude that because TICOM paid Talley under the insurance policy for the overage Talley paid to Costain for property it did not receive, TICOM is subrogated to Talley’s rights and is entitled to reimbursement from Costain.
In accordance with the foregoing discussion, we reverse the ruling of the trial court and remand this case for entry of judgment for TICOM based on breach of warranty of title. As a result of this holding, it is unnecessary for us to determine whether TICOM should have prevailed, alternatively, under either of the other theories raised.
ATTORNEYS’ FEES
TICOM has requested attorneys’ fees in connection with this appeal. The claim is made pursuant to A.R.S. § 12-341.01(A) and (B). Accordingly, and in view of our disposition, it is ordered granting TICOM’s request for attorneys’ fees against Costain. TICOM is directed to file a statement in accordance with Rule 21, Arizona Rules of Civil Appellate Procedure. Reversed and remanded.
GERBER and McGREGOR, JJ., concur.
. This case was tried to the court on stipulated facts, predominantly comprised of documentary evidence.
. At Costain’s request, and pursuant to the terms of the senior trust agreement, TICOM had quit-claimed this strip to the City of Chandler for roadways in April of 1983.
. The amount Talley originally demanded and received from TICOM was $70,934.13. While Costain maintains that it has no liability to TICOM, it separately argued prior to trial that Talley used an incorrect acreage figure in calcu lating the overpayment. By the time of trial, Costain and TICOM agreed that the price for the amount of acreage involved was $62,334.00 and TICOM was limited to that figure in seeking reimbursement from Costain.
. The trial court stated as follows in its minute entry of May 23, 1988:
The title insurance policy insured the warranty of title made by transferor in the deed of conveyance to transferee.
The transferor in the deed was Ticom, Trustee under Trust 2136 to transferee, Ti-com, Trustee under Trust 2267. Costain made no warranties of title to Talley.
Notwithstanding Talley was not an insured, insurer paid Talley and seeks to be subrogated to Talley’s rifhts [sic] under the title insurance policy. Talley had no rights under said policy.
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OPINION
CAMERON, Justice.
I. JURISDICTION
The Disciplinary Commission of the Supreme Court of Arizona (Commission) rec.ommends that' Russell Biddle Smith, III (respondent) be disbarred. The conduct in question occurred in 1981 and 1982, prior to the adoption of the Rules of Professional Conduct, effective on 1 February 1985. The former Code of Professional Responsibility therefore applies to respondent’s conduct. See former Rule 29(a), 17A A.R.S. Sup.Ct. Rules (1981). We have jurisdiction pursuant to Ariz. Const, art. 6, § 5(3) and Rule 53(e), 17A A.R.S. Sup.Ct. Rules.
II. ISSUES
1. Was respondent properly served with notice of the disciplinary proceedings?
2. Was there clear and convincing evidence to support the Commission’s recommendation of disbarment?
III. FACTS
Respondent is currently serving a sentence in federal prison for aiding and abetting a mail fraud and aiding and abetting the sale of an unlicensed security, both federal felonies. Respondent pled guilty to these crimes and was sentenced on 13 October 1988 to five years imprisonment on the mail fraud charge, and five years probation for aiding and abetting the sale of an unlicensed security.
On 3 September 1986 the State Bar of Arizona (Bar) filed a four-count disciplinary complaint against respondent charging him with various ethical violations of the former Code of Professional Responsibility, Rule 29(a), 17A A.R.S. Sup.Ct. Rules. The complaint was based on criminal charges brought against respondent stemming from his preparation of two securities opinion letters and one tax opinion letter. The complaint alleged that respondent violated the following Disciplinary Rules: DR 1-102(A)(4) and (6) (Misconduct), DR 6-101(A)(2) (Failing to Act Competently) and DR 7-102(A) and (B) (Representing a Client Within the Bounds of the Law).
IV. NOTICE
The Bar complaint was served upon the clerk of the Arizona Supreme Court pursuant to Supreme Court Rule 55(b)(6), which provides that service may be made upon the clerk when a respondent has absented himself from the state for a continuous period of more than thirty days, or cannot be found and personally served. Rule 55(b)(6), 17A A.R.S. Sup.Ct. Rules. The clerk is designated as the agent for service and sends, by registered or certified mail, a copy of the notice and the complaint to respondent at his last known address shown by state bar records. Service upon the respondent is deemed complete thirty days after service upon the clerk.
On 2 October 1986, the clerk mailed the complaint to respondent by certified mail. On 30 October 1986, the envelope was returned to the clerk marked “unclaimed.” On 7 November 1986, the clerk filed an affidavit stating that service had been attempted upon respondent by certified mail on 2 October 1986 at his last known address.
On 15 September 1987, the complaint was deemed admitted for respondent’s failure to answer. Rule 53(c)(1), 17A A.R.S. Sup.Ct. Rules.
The first correspondence from respondent was a hand-written letter dated 8 November 1987, received 17 November 1987. In this letter respondent made clear that he received the complaint and that he denied all allegations:
I have just received Hearing Committee 6B’s complaint in the above matters. I hereby deny all the allegations in both complaints and assert the 5th Amendment’s protection of self-incrimination as an affirmative defense.
I am currently incarcerated for fact(s) relative to both complaints, and I have no typewriter (or pen) due to jail rules. I also have no access to a photocopier, and therefore, I have sent a hand copied duplicate to the clerk of the Arizona Supreme Court on this date. I doubt that I can attend the December 9th hearing because of the incarceration.
On 22 April 1988, respondent informed the Commission that he had pled guilty to the federal crimes in the United States District Court for the Eastern District of California. In the same letter respondent stated: “I, therefore and hereby, resign my license to practice law in the state of Arizona in lieu of disbarment. You will receive no further notice of correspondence from me.”
Smith did, however, send a letter dated 24 February 1989, to the Commission stating that he could not answer because of the fifth amendment privilege not to incriminate oneself in criminal proceedings. He also claimed the criminal charges were false.
On 15 March 1989, as a result of respondent’s convictions, we issued an order placing him on interim suspension. See Rule 52(c), 17A A.R.S. Sup.Ct. Rules.
The Commission was concerned as to whether service of the complaint upon respondent met due process requirements and addressed that issue in the hearing. Bar counsel stated at the Commission hearing that:
(Mr. Moore): ... there were attempts made at various times to communicate with Mr. Smith at his California address, and the most recent notice of this hearing was sent directly to his location at the Federal Correctional Institution in Texarkana. I cannot, as I sit here right now, without taking more time, recount to you each attempt that was made by the State Bar to contact Mr. Smith directly and make sure that he received the papers that had been served in this proceeding. I know, however, from reading his letters, that he did receive those papers. If you read his first letter of November 8, 1987, he received the complaints in both matters. If you read his second letter____
Bar counsel also stated that he did not have any information as to respondent’s whereabouts at the time the complaint was filed, and that, “I only know that service at that time of that complaint was made pursuant to 55(b)(6).”
The Commission found that respondent was properly served, concluding:
Upon clear and convincing evidence in the record on appeal, the Commission finds that the requirements of procedural due process have been met.
Because the respondent was absent from the State of Arizona for a continuous period of more than thirty days, service of the complaint, as well as the notices of hearings, was made pursuant to Rule 55(b)(6), Rules of the Supreme Court. Additionally, attempts to reach the respondent at addresses at the federal prisons in Sacramento, California and Texarkana, Texas were made.
The respondent acknowledges, in his letter dated November 8, 1987, that he received the complaint. In his letter dated February, 1989, respondent also acknowledges receipt of the notice of the hearing that was held before the Commission on March 11, 1989.
For the foregoing reasons, the Commission finds that these proceedings have been fundamentally fair.
In a letter dated 22 May 1989, respondent filed a notice of appeal objecting to the Commission report. Rule 53(e), 17A A.R.S. Sup.Ct. Rules.
We agree with the Commission that due process requirements were satisfied because respondent was given ample notice of the charges; in his letter dated 8 November 1987, respondent acknowledged receiving the complaint, and in his letter dated 24 February 1989, he acknowledged receiving notice of the hearing before the Commission. All evidence indicated the bar complied with the rules for out-of-state service. The clerk of the supreme court was properly served with the complaint and the clerk timely sent the complaint by certified mail to respondent in compliance with Rule 55(b)(6). Accordingly, we hold that service was sufficient to satisfy respondent’s due process rights.
V. VIOLATION OF THE CODE OF PROFESSIONAL RESPONSIBILITY
Respondent was charged with four violations of the Code of Professional Responsibility. Rule 29(a), 17A A.R.S. Sup.Ct. Rules. Because respondent has not formally addressed the charges against him, nor provided any evidence on his behalf, the complaint properly was deemed admitted. Rule 53(c)(1), 17A A.R.S. Sup.Ct. Rules. We do not believe respondent's letters can be considered responsive pleadings because respondent did not explain his conduct in these letters, but instead claimed the fifth amendment allowed him not to answer the complaint.
Both the Committee and Commission found clear and convincing evidence of intentional conduct involving fraud, misrepresentation, and/or deceit, seriously and adversely reflecting on respondent’s fitness to practice law. We agree with these findings and believe the evidence shows that respondent was guilty of a serious felony. Respondent allowed letters containing false information to influence public investors and investment counsellors. He misrepresented material facts concerning the corporate principals and promoters. He failed to inform a Nevada attorney, who represented a potential buyer of his client’s business, of a consent judgment entered against respondent, and of a $6.6 million judgment entered against the principals. Based on respondent’s felony convictions, his guilty pleas, and the complaint being deemed admitted, we believe violations of the Disciplinary Rules have been established by clear and convincing evidence.
VI. SANCTIONS
The Hearing Committee (Committee) recommended disbarment. The Commission adopted the Committee’s findings of fact and conclusions of law, and filed its report on 2 May 1989. By a vote of 6-1, the Commission also recommended disbarment.
Although we have the final word in the appropriate attorney discipline to impose, we give strong deference to the recommendations of the Committee and Commission. In re Neville, 147 Ariz. 106, 115, 708 P.2d 1297, 1306 (1985). We impose discipline not as punishment, but to protect the public and deter other attorneys from misconduct. In re Pappas, 159 Ariz. 516, 526, 768 P.2d 1161, 1171 (1988).
Under Rule 29(c) of the former Code of Professional Responsibility, conviction of a felony warranted automatic disbarment:
29(c) Conviction of felony or misdemean- or. A member shall be disbarred upon conviction of any felony, whether or not involving moral turpitude, and shall be disciplined as the facts warrant, upon conviction of a misdemeanor involving moral turpitude. Proof of conviction shall be conclusive evidence of guilt of the crime for which convicted in any disciplinary proceeding based on the conviction.
Rule 29(c), 17A A.R.S. Sup.Ct. Rules; see also In re Wines, 135 Ariz. 203, 204, 660 P.2d 454, 455 (1983). Under the Rules of Professional Conduct, conviction of a felony is conclusive evidence of guilt of the underlying criminal offense. Rule 57(a)(3), 17A A.R.S. Sup.Ct. Rules; see also In re Rivkind, 164 Ariz. 154, 156-57, 791 P.2d 1037,1039-40 (1990). However, the Rules of Professional Conduct eliminate the automatic disbarment provision in favor of a case-by-case resolution of appropriate discipline. Rule 57(a), 17A A.R.S. Sup.Ct. Rules.
We consider the American Bar Association’s Standards for Imposing Lawyer Sanctions in determining the proper discipline to impose. Pappas, 159 Ariz. at 526, 768 P.2d at 1171. The Standards provide that, absent mitigating circumstances, disbarment is generally warranted when:
(a) a lawyer engages in serious criminal conduct, a necessary element of which includes intentional interference with the administration of justice, false swearing, misrepresentation, fraud, extortion, misappropriation, or theft; or the sale, distribution or importation of controlled substances; or the intentional killing of another; or an attempt or conspiracy or solicitation of another to commit any of these offenses; or
(b) a lawyer engages in any other intentional conduct involving dishonesty, fraud, deceit, or misrepresentation that seriously adversely reflects on the lawyer’s fitness to practice.
ABA Standards for Imposing Lawyer Sanctions, Standard 5.11 (1986).
Under either the former Code of Professional Responsibility, the current rules, or the ABA Standards, the facts support respondent’s disbarment. Respondent’s conduct adversely reflects on his fitness to practice law and demonstrates a disregard for the duty owed to the public and the legal system. We find no mitigating circumstances sufficient to require us to impose lesser discipline than disbarment.
VII. DISPOSITION
Respondent is disbarred and assessed bar costs and fees in the amount of $504.20.
GORDON, C.J., FELDMAN, V.C.J., and MOELLER and CORCORAN, JJ., concur.
. The Rules of Professional Conduct govern the applicable procedure. See In re Zang, 158 Ariz. 251, 762 P.2d 538 (1988).
. The Bar also sent a copy of the complaint to respondent on 18 November 1986 by regular mail.
. In this letter, addressed to the Commission, he stated:
I received today your letter of February 14, 1989, and within the “notice" of oral arguments in the above matters.
Please note, again: I am a federal prisoner, that means I cannot attend anything in Arizona; I cannot afford any counsel to attend, I have no money; and, I have not to date answered any bar/supreme court matter in Arizona because (A) I have asserted the fifth amendment right against self-incrimination in the matter based on my continuing, i.e. appealable, legal position with the federal government, and (B) the charges are not true, but first I must finish with the federal government.
(Emphasis in original).
|
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OPINION
VOSS, Judge.
Appellant, Caryle Johnson was the plaintiff below in this action. The defendants were A1 Johnson, her former husband, and Donald Brimlow and his wife, Rita Brim-low. From a judgment favoring defendants following a bench trial, Johnson appeals. We affirm and impose attorney’s fees and sanctions for a frivolous appeal.
BACKGROUND
Because thisjs an appeal from a judgment following trial, we set forth the facts in the light most favorable to upholding the judgment. Yano v. Yano, 144 Ariz. 382, 384, 697 P.2d 1132, 1134 (App.1985). In 1975, the Brimlows desired to purchase some real property in Bullhead City, Arizona, on which was located a lounge called “Brandy’s Cocktail Lounge.” Donald Brimlow approached A1 Johnson, his friend, to help make the down payment of $30,000. Johnson agreed to provide the $30,000. In return, Brimlow agreed: (1) that he would pay Johnson $15,000; and, (2) that the Johnsons would receive half of the proceeds upon later sale of the real property. Brimlow and Johnson agreed that the Brimlows would make all subsequent payments toward the purchase and would pay all taxes and insurance on the real property. Brimlow and Johnson also agreed that the Johnsons would not be involved in the operation, nor share in the profits or losses of the business.
The property was purchased, as acknowledged by a written sales agreement signed by all the pertinent individuals. The Brim-lows began operating Brandy’s, paid the Johnsons the agreed $15,000, made all subsequent payments toward the purchase price, and paid the taxes and insurance.
Subsequent to their initial agreement and purchase of the property, A1 Johnson approached Donald Brimlow and requested that Brimlow file tax returns showing that the Johnsons and Brimlows operated the business as equal partners. Johnson requested this because he earned substantial income from other enterprises, which he wanted to offset by losses from Brandy’s. Brimlow acceded and filed returns for several years showing the business as a partnership. Brimlow testified that the only reason he reported Brandy’s as a partnership was to help Johnson. Brimlow also testified that he later filed amended returns showing the business as a sole proprietorship.
In 1979, the Johnsons were divorced in California with the court awarding appellant “one-half of all proceeds received by the parties from the sale of the property commonly described as Brandy’s Cocktail Lounge located in Bullhead City, Arizona.” In 1983, appellant filed this action against A1 Johnson and the Brimlows alleging that the Johnsons and Brimlows were partners in both the real property and the business, Brandy’s.
None of the defendants disputed that there was a partnership as to the real property. During the pendency of the action the court ordered the real property sold and the proceeds divided evenly, 25% each to appellant and A1 Johnson, and 50% to the Brimlows. Thereafter, a one-day bench trial was held. Neither appellant nor A1 Johnson attended the trial and Donald Brimlow was the only witness to testify on the underlying issues. Two other witnesses testified, both certified public accountants, but their testimony is irrelevant to the disposition of this appeal. As a result, there was no testimony rebutting Brim-low’s account of the agreement. The only evidence in the record supporting appellant’s allegation that she and A1 Johnson were partners in the business was the tax returns. However, Brimlow’s explanation of the returns was undisputed.
Consistent with its earlier order directing the sale of the real property, the court ruled that there was a partnership with respect to the real property. As to the business the court ruled that there was no partnership between the Brimlows and Johnsons. The court further ruled that even if there had been such a partnership, appellant’s action was barred by laches.
DISCUSSION
On appeal, appellant argues that the trial court erred: 1) by holding in the alternative that appellant’s claims against the business interest were barred by laches; 2) in failing to include fixtures and equipment as elements of the property partnership; 3) in allowing the Brimlows “credits” either regarding the operation of the business, or the property partnership; and, 4) in failing to find that the Brimlows breached a fiduciary duty to account to the other partners.
Business Partnership Versus Property Partnership
Before reaching the items claimed as error by the appellant, we must comment on whether the trial court correctly found that there was no partnership as to the business, but that there was a partnership concerning the real property.
Based on its judgment and findings, it is evident that the trial court believed Donald Brimlow’s testimony and therefore held that there was no business partnership. It was the function of the trial court to resolve the conflict between the tax returns and Donald Brimlow’s testimony. See Yano, 144 Ariz. at 384, 697 P.2d at 1134 (weight to be given evidence peculiarly within province of trial court).
Because there is substantial evidence in the record to support the trial court’s decision, and that decision is not clearly erroneous, we would affirm the holding that there was no partnership in the business. See Whittemore v. Amator, 148 Ariz. 173, 175, 713 P.2d 1231, 1233 (1986) (appellate court concerned with whether established facts reasonably support trial court’s judgment). However, we need not directly reach this issue as appellant expressly conceded this holding in her appellate brief, and again through her attorney during oral argument. Appellant contends that her theories of recovery stem solely from the property partnership. We discuss the issue here because despite her admission that the trial court’s holding was not error, appellant continues to raise, or at least imply, the erroneous nature of this holding throughout her argument.
Laches
Appellant argues that the court erred in finding her action barred by laches. The trial court clearly offered its ruling regarding laches as an alternative to the ruling concerning the lack of a business partnership. Appellant concedes that she does not have an interest in the business. Therefore, any argument regarding the merits of the alternative ruling is moot and frivolous.
Appellant’s belief that the trial court’s alternative ruling might relate to its holding regarding the property partnership is a similar exercise in futility. By holding that a real property partnership existed and awarding appellant her interest, the court necessarily precluded itself from finding that claim was barred by laches, or any other equitable defense. Moreover, neither the trial court’s order, nor the record, indicate that it considered laches in the context of the real property partnership.
Fixtures and Equipment
Appellant complains that, while the trial court correctly found that a partnership existed as to the real property, it nonetheless erred by not including fixtures and equipment as elements in the property partnership. Her brief fails to specify any chattels she claims to have been transformed into fixtures and how that occurred. Instead she merely makes the broad claim that “[t]he evidence presented can infer only one conclusion, that the fixtures and equipment were annexed to the real property and hence owned by the real property partnership.” This type of unsup ported generalization has been previously condemned:
We wish to say, however, counsel for appellant are guilty of making sweeping statements in their briefs as to what the evidence shows without taking the least pains to quote such evidence or indicate where in the record it can be found. This is not conforming with the court’s rules, made to be observed and not ignored.
Lazear v. Pendergrass, 39 Ariz. 111, 116, 4 P.2d 386, 388 (1931); see also Midas Muffler Shop v. Ellison, 133 Ariz. 194, 199, 650 P.2d 496, 501 (App.1982) (sanctions appropriate where counsel’s arguments are conclusory statements unsupported by facts of case).
For a chattel to become a fixture, there must be evidence that it was attached to the real property with the intent that it become a part thereof, Murray v. Zerbel, 159 Ariz. 99, 101, 764 P.2d 1158,1160 (App. 1988), or there must be an agreement between the parties that it be treated as a fixture. Voight v. Ott, 86 Ariz. 128, 133, 341 P.2d 923, 926 (1959).
Appellant cited no evidence in the record that any chattel became a fixture either through attachment or agreement of the parties. Furthermore, appellant failed to cite any evidence that items which may have been fixtures were not sold along with the realty, for which she was paid under the court-ordered sale.
“Credits”
Appellant contends that the Brimlows were not entitled to any “credits” because, she claims, they were unsubstantiated by supporting documentation. However, she fails to specify what she means by this contention and again leaves the court to speculate. In some instances it appears that appellant is complaining of “credits” regarding the operation of the business. If this is her contention it is inconsistent with her admission that the court correctly concluded she was not a partner in Brandy’s and is entitled to nothing from its operation.
If appellant is actually complaining about “credits” regarding the real property partnership, this has no more merit than the other possibility. The partnership relationship is one of contract. G & S Investments v. Belman, 145 Ariz. 258, 267, 700 P.2d 1358, 1367 (App.1984). The partners are free to make their own agreement for division of partnership profits. Id.
In the present case, the agreement between Donald Brimlow and A1 Johnson provided that the Johnsons’ profits from the real property partnership would be limited to an equal share of the proceeds from the sale of the property and that the Brimlows would be responsible for all intervening expenses.
Appellant received her share of the profits pursuant to the court’s order directing the sale of the property. The order authorizing the sale and distributing the proceeds does not reduce the proceeds by any intervening expenses. Any expenses, as well as rents and profits, incurred in the interim were solely the province of the Brimlows. Appellant’s argument is without merit.
Partner’s Fiduciary Duty to Account
Finally, appellant complains that the court erred by not imposing damages against the Brimlows for breaching their fiduciary duty to account to the other partners. It must be repeated that appellant concedes she had no partnership interest in the business. Therefore, appellant could not possibly claim that the Brimlows were required to account to her for the business. As to the real property partnership, appellant’s sole right pursuant to the agreement between Donald Brimlow and A1 Johnson was to share in the proceeds from the sale, which she received pursuant to the court-ordered sale. Because she was not entitled to any profits prior to the sale of the real property, she could not have been damaged' by any alleged failure to account.
SANCTIONS
Rule 25, Arizona Rules of Civil Appellate Procedure allows appellate courts to sanction, or otherwise punish, offending parties and their attorneys for frivolous appeals. Frivolous appeals are not new or novel theories raised upon colorable claims, Price v. Price, 134 Ariz. 112, 114, 654 P.2d 46, 48 (App.1982), nor positions on appeal that simply fail to prevail. Hoffman v. Greenberg, 159 Ariz. 377, 380, 767 P.2d 725, 728 (App.1988). Instead, a frivolous appeal is one brought for an improper purpose or based on issues which are unsupported by any reasonable legal theory. Arizona Tax Research Assoc, v. Department of Revenue, 163 Ariz. 255, 787 P.2d 1051, 1054 (1989).
We do not believe that the present appeal was brought for an improper purpose. However, we do believe that the appeal is nonetheless frivolous for its failure to raise any reasonable issue regarding a meritorious claim. Much of appellant’s argument is meaningless, given her concession that the trial court correctly held that she was not a partner in the business. What remains is a confusing array of assertions variously, and at times simultaneously, foisted upon incorrect propositions of law and completely unsupportable factual conclusions.
We note that frivolous appeals waste the time and energy of the opposing parties and the resources of this court. Mother Tucker’s Food Experience v. Industrial Comm’n, 142 Ariz. 496, 501, 690 P.2d 797, 802 (App.1984). More importantly the attorney has a specific duty to avoid claims for which there is no justification. E.R. 3.1, and comment, Rule 42, Supreme Court Rules.
While we do not impose sanctions lightly, we believe sanctions against appellant’s attorney are appropriate.
CONCLUSION
Appellees have requested attorney’s fees on appeal pursuant to A.R.S. § 12-341.01. As the underlying issues arise from an alleged partnership agreement, we employ our discretion and grant appellees’ request for attorney’s fees against appellant. As a sanction for filing a frivolous appeal, appel-lees’ attorney’s fees are also awarded against appellant’s attorney, Rule 25, Arizona Rules of Civil Appellate Procedure. Appellees may establish the amount of the request pursuant to Rule 21, Arizona Rules of Civil Appellate Procedure.
The judgment of the trial court is affirmed.
EUBANK, P.J., and SHELLEY, J., concur.
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OPINION
MORONEY, Judge.
The taxpayer-plaintiffs are a number of partnerships, all of whose partners are also partners of the same law firm. Each taxpayer partnership was formed by partners of the law firm to buy personal property which the buying partnership then leased to the law firm.
A different taxpayer partnership was formed every year. All of the non-expendable personal property required by the law firm was subject to purchase by the taxpayer partnership that was the then current most recently formed partnership.
For the relevant tax year, each taxpayer partnership owned the personal property it purchased between the time it was formed and the time the next partnership was formed. Each taxpaper partnership was lessor on only one lease, and the law firm was the lessee on all such leases. None of the taxpayer partnerships have any employees; none of them have an office; and none of them seek additional business. They have no function other than as the owner-lessor of personal property used by the law firm in the conduct of its law business.
Partners of the law firm were eligible to be partners of the leasing partnerships which were formed while they were partners of the law firm. A partner of the law firm, however, was not required to be a partner of a taxpayer partnership. Nor was there any requirement that partners in one leasing partnership be partners in any other leasing partnership.
Subsequent to the formation of the partnerships, the taxpayers paid transaction privilege taxes to both the State and the City of Phoenix on the lease income derived by each partnership .from its single lease. Because the property purchased by the taxpayer partnership was purchased to be leased, there was no transaction tax to the vendor.
The taxpayer partnerships now view their status differently. They now claim an exemption from taxation on lease payments. This claim is based on their position that the single lease of each partnership to the law firm is a casual lease, and, therefore, lease payments are not subject to tax.
The taxpayers also seek refunds of transaction privilege taxes paid on their lease income for prior years. They acknowledge that they should have to reimburse the City of Phoenix for the tax lost because no privilege tax was paid on the initial purchase of the property leased by the taxpayer partnerships to the law firm.
The City of Phoenix resists this change of status.
The Court holds that the taxpayer partnerships are each in the business of leasing personal property, and the casual activities exemption does not apply to the business activity which is the subject of this litigation.
Because of this holding, the Court need not consider the taxpayers’ arguments that it is entitled to refunds of previous taxes paid.
Exemptions to taxation are strictly construed against the taxpayer. People of Faith, Inc. v. Department of Revenue, 161 Ariz. 514, 520, 779 P.2d 829, 835 (Tax 1989).
The Phoenix City Code imposes a transaction privilege tax on “persons on account of their business activities within the City”. Phoenix City Code § 14-2. The tax applies to “every person engaging or continuing in the ... business activity [of] ... (8) [l]easing or renting tangible personal property for a consideration.” Phoenix City Code § 14-2(8).
The taxpayers argue that they are not engaged in the business of leasing tangible personal property. The taxpayers further argue that the business activity in which they are engaged is the practice of law. The taxpayers fail to distinguish between the business activity of the partners and that of their leasing partnerships.
A.R.S. § 29-206(A) defines a partnership with the following language. “A partnership is an association of two or more persons to carry on as co-owners a business for profit.”
A partnership, by definition, must have a business purpose. That such business purpose does not occupy anyone full time is not relevant. Here, the taxpayer partnerships are clearly engaged in the business of leasing tangible personal property. This is the reason each partnership was formed. The leases to which the law firm is subject make it clear that the partnership will provide such personal property as it is asked to provide. The leases also provide that the law firm will compensate the lessor partnerships by making periodic lease payments.
The issue before the Court is whether or not a partnership is exempt from transaction tax on lease income because all of its business activity is limited to one lease, or because all of its business activity is limited to one lessee.
The City Code defines business as “all activities or acts, personal or corporate, engaged in ... with the object of gain, benefit, or advantage, either direct or indirect, but not casual activities or sales.” A casual activity or sale means “a transaction of an isolated nature made by a person who neither represents himself to be nor is engaged in a business subject to a tax imposed by this chapter.” Phoenix City Code § 14-100.
The Court has above determined that the partnerships are engaged in a business subject to a tax imposed by this chapter. Webster’s New Collegiate Dictionary 608 (1979), defines “isolated” as “set apart from others”. The Court interprets “a transaction of an isolated nature” to be a transaction not customarily made by a business entity in furtherance of its business. See Department of Revenue v. Mountain States Tel. & Tel. Co., 113 Ariz. 467, 556 P.2d 1129 (1976).
Each taxpayer partnership was formed with the purpose of, and did in fact engage in, leasing personal property for a gain, benefit, or advantage. In analyzing the application of the Phoenix City Tax Code to the activities of the taxpayer partnerships, it is important to focus on the activities of the partnerships and not the activities of the partners. If a law partnership were to sell a used desk or typewriter, such a transaction might well be of an isolated nature.
The Plaintiffs rely heavily on State v. Selby, 25 Ariz.App. 500, 544 P.2d 717 (App. 1976), and Gemma Properties Carolina Ltd. v. City of Tucson, 130 Ariz. 369, 636 P.2d 147 (App.1981), for authority that their activities are exempt as casual activities.
Both Selby and Gemma involve a single lease transaction of real property. In Sel-by, the taxpayers were individuals who were also the owners of all of the stock of an automobile dealership. As individuals they owned the land upon which the dealership was situated. As individuals they leased to their dealership corporation the land. In Selby, the Court held that this single transaction was exempt from the state transaction privilege tax as a casual activity. The Court held that the individual taxpayers were not in the business of renting property. In so holding, the Court quoted from the Arizona Supreme Court opinion in Trico Electric Coop., Inc. v. State Tax Comm’n, 79 Ariz. 293, 288 P.2d 782 (1955).
“Casual means ‘a happening without design and without being expected; coming without regularity; occasional.’ It carries the idea of lack of continuity.” Selby, 25 Ariz.App. at 501, 544 P.2d at 718.
Focusing on the activities of the taxpayer partnerships, it cannot be said that a partnership’s lease to the law firm was a happening without design and without being expected. The fact that the law firm consistently utilized these ad hoc partnerships to finance the personal property it required in its business reflects that such activity had regularity, was not occasional, and is continuous.
Gemma, like Selby, involved a single real property lease made by persons not in the property leasing business. In Gemma, the Court of Appeals relied on its decision in Selby. It found that the taxpayers in Gemma were not regularly engaged in the leasing business • in Tucson. Here, the Court has found that the taxpayers are regularly engaged in the leasing business in Phoenix. In fact, it is their only business.
IT IS THEREFORE ORDERED denying summary judgment to the taxpayers.
IT IS FURTHER ORDERED granting summary judgment to the City of Phoenix.
|
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OPINION
FERNANDEZ, Chief Judge.
Appellant asks us to change the Arizona rule that requires a defendant to admit all elements of the charged offenses in order to avail himself of an entrapment defense. We refuse to do so and affirm his convictions.
Appellant was found guilty by a jury and sentenced to presumptive concurrent terms of seven years each on two counts of unlawful offer to sell a narcotic drug, one count of unlawful sale of a narcotic drug, and one count of conspiracy to sell a narcotic drug. He was sentenced to a mitigated term of nine years’ imprisonment as a repetitive offender for unlawful transfer of a narcotic drug.
The charges against appellant were the result of his dealings with an undercover police officer. At trial appellant objected to the admission of two pieces of paper found at his home pursuant to a search warrant. The first was found in a jar inside a train case that was sitting on the floor of the master bedroom bathroom. The other was found in a jar inside a box underneath the sink in the master bedroom bathroom.
Appellant’s defense was entrapment, and appellant did not testify. After the state rested, appellant’s counsel requested that he be permitted to argue entrapment without admitting any elements of the charged crimes. As an alternative, counsel sought to admit only certain facts. The court denied both motions, and appellant then filed an “admission of elements.” The convictions followed.
On appeal, appellant contends the trial court erred in not following the rule in Mathews v. United States, 485 U.S. 58, 108 S.Ct. 883, 99 L.Ed.2d 54 (1988). He also argues that the court erred in admitting the two papers found in his house.
Under Arizona law, a defendant is not entitled to an instruction on entrapment unless he admits all the elements of the charged offense. State v. Nilsen, 134 Ariz. 431, 657 P.2d 419 (1983); State v. Mendoza, 109 Ariz. 445, 511 P.2d 627 (1973); State v. Johnson, 143 Ariz. 318, 693 P.2d 973 (App.1984). Clearly the court’s ruling followed Arizona law. Appellant asks us to overrule Arizona law and instead to follow Mathews. In that case, the United States Supreme Court held that in federal criminal prosecutions in which a defendant denies one or more of the elements of an offense, he is nevertheless entitled to an entrapment instruction if there is sufficient evidence from which a reasonable jury could find entrapment.
We are not bound to follow the Supreme Court because the right involved here is not one of constitutional dimension. Arizona courts are thus free to apply established Arizona law as to the circumstances under which a defendant is entitled to an entrapment defense. We agree with the state, in any event, however, that the Arizona rule is the better rule because the federal rule tends to increase the risk of perjury.
Next, appellant contends the trial court erred in admitting the papers that the state contended were evidence of other drug transactions and show that appellant was predisposed to sell narcotic drugs. . Both papers were found in appellant’s master bathroom. The state’s undercover officer testified that both contained notations that could be construed as a ledger for transactions of small amounts of drugs. Our review of the record reveals a sufficient showing to support the court’s ruling. Appellant’s defense of entrapment put his predisposition to sell narcotics in issue. See State v. Lacey, 143 Ariz. 507, 694 P.2d 795 (App.1984). We find no error.
Affirmed.
LIVERMORE, P.J., and LACAGNINA, J., concur.
|
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OPINION
FOREMAN, Judge .
Carl Whipple has asked this court to review the order of the superior court denying his petition for post-conviction relief. Ariz.R.Crim.P. 32.9. We deny review by summary order. This opinion explains our action in this case.
Publishing an opinion to explain an order is not without precedent. E.g., State v. Wilson, 174 Ariz. 564, 851 P.2d 863 (App.1993). It is consistent with the policies that govern publishing opinions found in Rule 111(b), Rules of the Arizona Supreme Court.
Denying a petition for review of a petition for post-conviction relief by summary order is consistent with our statutory mandate to write our “opinions” stating the grounds for our decision. “Orders” are not “opinions” but are an authorized method of denying petitions for review. See Ariz.Sup.Ct.R. 111(c); cf. Ariz.R.Civ.App.P. 23(h).
Over the past ten years the caseload of this court has dramatically increased. One of the major contributors to this burgeoning case load has been an increase in criminal appeals and petitions for post-conviction relief. Since 1982 this court has resolved 1076 petitions for review in post-conviction relief cases. Only 21 have been significant enough to merit publication. See Ariz.Sup.Ct.R. 111(c). Four hundred thirty-seven have been resolved by order. However, 618—a 247 percent increase since 1982—have been resolved by written, memorandum decision. The majority of those decisions deny relief for the reasons already articulated by the trial court.
Memorandum decisions have no precedential value. Ariz.Sup.Ct.R. 111(c). When the trial court order properly identifies and rules on each issue, memorandum decisions needlessly duplicate what is already in- the record. However, memorandum decisions do require the time and resources of this court. Each decision involves research, writing, and editing. The time and energy spent upon these decisions should be spent dealing with the mass of other appellate cases that crowd this court’s docket.
Not all decisions denying relief to petitioners seeking review in post-conviction proceedings should be summary orders. Memorandum decisions denying relief serve a purpose when the trial court’s order is modified or a different legal basis for denying relief is used. Sometimes the record from the trial court is unclear and a written decision is necessary to identify and specifically rule upon the issues.
Summary orders denying relief where the trial court clearly and correctly articulates its ruling will not complicate further review in state or federal court. The United States Supreme Court has adopted a “look through” rule that looks to the last explained decision to determine whether a habeas corpus peti tioner has litigated his claim on the merits in state court. Ylst v. Nunnemaker, 501 U.S. 797,---, 111 S.Ct. 2590, 2594-95, 115 L.Ed.2d 706 (1991); Coleman v. Thompson, 501 U.S. 722,-, 111 S.Ct. 2546, 2559, 115 L.Ed.2d 640 (1991).
Some concern has been raised over the years that denying relief by summary order might create confusion about whether a procedural default has occurred in the post-conviction relief proceeding, which would preclude federal habeas corpus review, Wainwright v. Sykes, 433 U.S. 72, 80-88, 97 S.Ct. 2497, 2503-07, 53 L.Ed.2d 594 (1977). Whatever validity there once may have been to this argument is now gone. Under Ylst and Coleman the federal courts will “presume that no procedural default has been invoked” when an unexplained order leaves in place an earlier decision on the merits. Ylst, 501 U.S. at-, 111 S.Ct. at 2594. We presume that the federal courts will do as the United States Supreme Court directs and “look through” to the superior court ruling to determine whether the issues raised in the federal habeas corpus proceeding were resolved in Arizona courts on the merits or are precluded by procedural default.
Since Rule 32 became effective in 1973, the Arizona Court of Appeals has had the protection of discretionary review against the flood of routine cases which can be effectively resolved without the commitment of resources needed for a written decision. Historically, this court has been reluctant to use its powers of discretionary review the way the United States Supreme Court and Arizona Supreme Court have used their much broader powers of discretionary review. We should take advantage of our discretionary powers and use them as those courts have used theirs.
This case provides an excellent example of a routine case where denying review by order is appropriate. Whipple’s convictions and sentences were affirmed in a memorandum decision. State v. Whipple, 1 CA-CR 90-408 (filed April 2, 1992). The trial court’s orders denying the petition for post-conviction relief clearly identify the issues raised. Each issue raised is correctly ruled upon in a fashion that will allow any court in the future to understand the resolution. No useful purpose would be served by this court rehashing the trial court’s correct ruling in a written decision.
GERBER, P.J., and GRANT, J., concur.
The Honorable John Foreman, Maricopa County Superior Court Judge, was authorized to participate in the disposition of this matter by the Chief Justice of the Arizona Supreme Court pursuant to article 6, section 3 of the Arizona Constitution.
. Ariz.Rev.Stat.Ann. § 12-120.07. Published opinions and memorandum decisions both satisfy the statute.
. Arizona Corut of Appeals, Division One, selected cases 1983-92 (on file with the Office of the Clerk of the Arizona Court of Appeals, Division One).
. We do not reach the issue of whether a summary order denying review would be appropriate in a case where the court must conduct fundamental error review. The question of whether fundamental error review must be conducted by the court of appeals in those cases where the only appellate review is by petition for post-conviction relief is unresolved. See A.R.S. § 13-4033(B); Rules 17.1, 17.2 and 27.8, Ariz.R.Crim. P.; Wilson v. Ellis, 176 Ariz. 121, 122, 859 P.2d 744, 745 (1993). However, no apparent problem would be caused by a summary order denying a petition for review that includes a statement that a search for fundamental error was made and none was found.
. Rule 32.9(f) of the Rules of Criminal Procedural provides that “the [Court of Appeals] may, in its discretion, grant review____" See also State v. Stice, 23 Ariz.App. 97, 98, 530 P.2d 1130, 1131 (1975) ("The granting of a petition for review by this Court [in a rule 32 case] is discretionary.”).
. For a thorough discussion of the evolution of the discretionary jurisdiction of the United States Supreme Court as a response to its crushing caseload, see .Robert L. Stem, et al., Supreme Court Practice, §§ 4.1 and 1.16 (6th ed. 1986).
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OPINION
FIDEL, Judge.
Resolution Trust Corporation (RTC), the receiver for First American Savings, Inc., a defunct savings and loan association, appeals from summary judgment granted to the City of Scottsdale rejecting First American’s claim for a refund of transaction privilege taxes. First American was charged the taxes on the sale of a house that it had acquired at a trustee sale from a debtor—a speculative builder—in default. Although the appeal presents many questions concerning First American’s susceptibility to the tax, we need not resolve them. Instead, we decide that Scottsdale is obliged by federal law to forego the tax now that RTC has become First American’s receiver.
I. FACTS AND PROCEDURAL HISTORY
John and Deborah Ebdon, doing business as Cameo Homes, built and sold several houses in Scottsdale during the four years preceding the events that underlie this suit. In 1987, First American lent the Ebdons $419,000.00, evidenced by a promissory note secured by a deed of trust on a Scottsdale lot. After building a single-family residence on the lot, the Ebdons defaulted on the note. First American initiated a trustee sale and acquired the house and lot with a credit bid of $424,159.79. It later sold the house and lot for $450,000.00.
The City of Scottsdale taxes a property-owner as a speculative builder—or under certain circumstances as a speculative .builder’s successor—when the owner sells improved real property within twenty-four months of its improvement. Scottsdale Rev. Code §§ 416, 417 (1987). In this case, both the trustee sale to First American and First American’s resale occurred within twenty-four months after the Ebdons had substantially completed building a residence on their lot. The City of Scottsdale sought transaction privilege taxes from First American as the successor to a speculative builder. After exhausting its remedies within the city administrative system, First American paid the assessment under protest and then filed this suit. On cross-motions for summary judgment, the tax court granted judgment for the City, holding First American liable for the tax, measured by its credit bid at the trustee sale.
The tax court ruled for the City in April of 1991 and reduced its ruling to judgment on October 30, 1991. On November 27, 1991, First American moved alternatively for reconsideration or relief from judgment. The motion asserted that on August 16, 1991, RTC had become receiver for First American and had assumed its rights, powers, and privileges pursuant to 12 U.S.C. § 1821(d)(2) (1989). RTC did not seek to intervene as a party, but argued that its accession as receiver invalidated the tax assessment against First American pursuant to 12 U.S.C. § 1441a(g) (1993), which exempts RTC from all state and local taxes other than ad valorem real property taxes. Simultaneously with its motion for reconsideration and relief from judgment, First American filed a notice of appeal to this court. The tax court concluded that it had lost jurisdiction to consider First American’s motion upon the filing of the notice of appeal.
II. SUBSTITUTION OF RTC
RTC has the status of a federal agency when it acts as receiver of an insured depository institution. See 12 U.S.C. § 1441a(b)(l)(B). RTC also succeeds “by operation of law” to “all rights, titles, powers, and privileges of the insured depository institution....” 12 U.S.C. § 1821(d)(2)(A); see 12 U.S.C. § 1441a(b)(4)(A). As receiver, RTC has thus succeeded to First American’s power to appeal the tax court’s judgment in this case.
The procedural vehicle for it to do so is Rule 27, Arizona Rules of Civil Appellate Procedure (ARCAP), which provides in part:
(b) Substitution for Other Causes. If substitution of a party is necessary for any reason other than death, substitution shall be effected in accordance with the procedure prescribed in subdivision (a).
ARCAP 27(a) permits substitution of a deceased party’s personal representative when a party’s death is brought to the attention of the court. RTC as receiver for First American Savings is functionally equivalent to a personal representative for a deceased party. By separate order, we add RTC as a party in its capacity as receiver and so amend the caption on appeal.
III. IMMUNITY FIRST ASSERTED ON APPEAL
RTC argues that its immunity from state and local taxation under 12 U.S.C. § 1441a(g) invalidates the Scottsdale transaction privilege tax that First American paid under protest before RTC became its receiver. The City objects to RTC making this argument for the first time on appeal. RTC replies that 12 U.S.C. § 1821(d)(13) specifically empowers it to do so.
In considering this issue, we attribute no significance to the fact that, simultaneously with its notice of appeal, RTC addressed the issue of its immunity in a motion for reconsideration/relief from judgment filed with the trial court. As the notice of appeal deprived the trial court of any opportunity to consider the issue, filing such a memo was an empty formality in this case. For practical purposes, the issue of immunity was first raised on appeal.
Several federal circuit courts have rejected the argument that section 1821(d)(13) entitles the RTC to raise issues for the first time on appeal as of right. E.g., In re 604 Columbus Ave. Realty Trust, 968 F.2d 1332, 1343 (1st Cir.1992); Olney Sav. & Loan Ass’n v. Trinity Banc Sav. Ass’n 885 F.2d 266, 275 (5th Cir.1989); Baumann v. Savers Fed. Sav. & Loan Ass’n, 934 F.2d 1506, 1511-12 (11th Cir.1991). Our research reveals no federal circuit decisions to the contrary. But cf. FDIC v. Hadid, 947 F.2d 1153, 1157 (4th Cir.1991) (permitting the FDIC to raise “D’Oench, Duhme defense” for first time on appeal because precluding defense would frustrate its underlying policies). The federal circuits have recognized, • however, that even if they are not obliged by section 1821(d)(13) to entertain arguments that the RTC first raises on appeal, they may do so as a matter of discretion. E.g., In re 604 Columbus Ave. Realty Trust, 968 F.2d at 1343. As set out by the First Circuit in Realty Trust, the guiding criteria include:
whether the new issue is purely legal, such that the record pertinent to the issue can be developed no further; whether the party’s claim appears meritorious; whether reaching the issue would promote judicial economy because the same issue is likely to be presented in other cases; and whether declining to reach the argument would result in a miscarriage of justice.
Arizona appellate courts likewise have discretion to entertain arguments first raised on appeal. The general rule disfavoring such arguments is not a jurisdictional requirement, but reflects considerations of the orderly administration of justice. Hawkins v. Allstate Ins. Co., 152 Ariz. 490, 503, 733 P.2d 1073, 1086 (1987). Appellate courts have discretion to consider questions of a general public nature for the first time on appeal, especially substantive law issues not affected by questions of fact. Rubens v. Costello, 75 Ariz. 5, 8-9, 251 P.2d 306, 308 (1952). Such is the immunity question in this case.
In short, the federal case law to date does not favor the proposition that we are required by section 1821(d)(13) to permit RTC to raise the immunity issue for the first time on appeal. As both federal and Arizona cases recognize our discretion to do so, however, we choose to reach the issue that RTC has raised.
We recognize, in exercising our discretion, that if RTC had proceeded more expeditiously, it might have achieved a trial court ruling on the question of its immunity. That makes our decision to reach the issue closer in this case than in Baumann v. Savers Fed. Sav. & Loan Ass’n, 934 F.2d 1506, 1512-14 (11th Cir.1991). There, in permitting the RTC’s predecessor FSLIC to assert a defense under 12 U.S.C. § 1823(e) for the first time on appeal, the Eleventh Circuit observed that the agency had not become conservator for the affected savings and loan until after judgment was entered and had lacked the opportunity to raise its argument below. Accord RTC v. McCrory, 951 F.2d 68, 71 (5th Cir. 1992); In re 604 Columbus Ave. Realty Trust, 968 F.2d 1332 (1st Cir.1992).
Here, RTC did not become First American’s receiver until four months after the trial court had rendered its decision on the merite. Yet two months remained before the trial court reduced its ruling to a formal judgment; in this period, RTC could have placed the issue of its immunity before the trial court. The immunity issue, however, as we have noted, was purely legal and required no factual development. Moreover, we recognize that the RTC was required, in restoring order to the chaos of our country’s insolvent savings and loans, to come to grips with multiple lawsuits in various stages of proceeding. Accordingly, as we have discretion, we decline to use it to penalize the agency for not asserting its statutory immunity in this lawsuit with greater speed.
IV. RTC’S IMMUNITY UNDER 12 U.S.C. § 1441a(g)
According to the RTC, to deny the refund that it seeks would violate the immunity of its “capital, reserves, surpluses, and assets” from local taxation under 12 U.S.C. § 1441a(g). The argument to the contrary turns on the fact that the City had already assessed and collected the tax from First American before RTC became First American’s receiver. The assessment when made and paid did not contravene RTC’s exemption from taxation, and the City seeks no additional amount. Therefore, the City insists, it does not attempt to deplete the “capital, reserves, surpluses, and assets” to which RTC succeeded as receiver.
The City acknowledges, as it must, that among the RTC’s protected “assets” is First American’s tax refund claim. However, the City distinguishes that claim—a cause of action—from the money First American paid the City. Because First American no longer possessed the money at the time of the receivership, the money itself did not become an asset of RTC. And though the refund claim became an asset, the City does not seek to tax that claim. In short, according to this argument, no RTC asset has been or will be subjected to local tax within the meaning of 12 U.S.C. § 1441a(g).
This highly semantic argument defies the sense of the statute, if not its words. The evident purpose of section 1441a(g) is to assure that RTC’s asset pool for protecting the depositors of a failed insured depository institution will not be diminished by state and local taxes. Though our insured depository arrangements assign the federal government the lion’s share of this protective burden, state and local governments bear a small part of the load by foregoing taxes that a healthy depository institution would have paid. The City here seeks to avoid that part of the load. To permit the City to prevail would permit local taxation to diminish RTC’s asset pool in violation of the requirements of section 1441a(g).
If the timing of this case were different—if the disputed tax had accrued during the solvency of First American but had not been paid by the time RTC took charge— RTC’s immunity undisputedly would have applied. See, e.g., Fort Bend County Mun. Util. Dist. v. Gayle, 755 F.Supp. 746 (S.D.Tex.1990). That here the tax was paid is, for statutory purposes, a distinction without a difference, because the payment was under protest. Depositors should not be penalized as a consequence of First American’s compliance with the City’s procedural requirement that the tax be paid first and challenged later. Cf. Ward v. Board of County Comm’rs, 253 U.S. 17, 40 S.Ct. 419, 64 L.Ed. 751 (1920) (requiring county to refund tax that was paid under protest and later adjudicated invalid); McKesson v. Division of Alcohol Beverages and Tobacco, 493 U.S. 916, 110 S.Ct. 275, 107 L.Ed.2d 255 (1990) (requiring state to provide remedy for tax that was paid under protest and later adjudicated invalid). The essential detail is that the tax was not yet final. See 12 U.S.C. § 1821(d)(13). For that reason, as we interpret the purpose of section 1441a(g), this tax falls among the non-final revenues that local government must forego to enlarge the funds the RTC may use for depositor protection. ■
V. CONCLUSION
For the foregoing reasons, we reverse and direct the trial court on remand to enter judgment for RTC.
TOCI, P.J., and CLABORNE, J., concur.
. 12 U.S.C. § 1441a(g) provides:
The Corporation [RTC] and the Thrift Depositor Protection Oversight Board, the capital, reserves, surpluses, and asséts of the Corporation and the Thrift Depositor Protection Oversight Board, and the income derived from such capital, reserves, surpluses, or assets shall be exempt from State, municipal, and local taxation except taxes on real estate held by the Corporation, according to its value as other similar property held by other persons is taxed.
. 12 U.S.C. § 1821(d)(13), entitled "Additional rights and duties,” provides:
(A) Prior final adjudication
The Corporation shall abide by any final unappealable judgment of any court of competent jurisdiction which was rendered before the appointment of the Corporation as conservator or receiver.
(B) Rights and remedies of conservator or receiver
In the event of any appealable judgment, the Corporation as conservator or receiver shall—
(i) have all the rights and remedies available to the insured depository institution (before the appointment of such conservator or receiver) and the Corporation in its corporate capacity, including removal to' Federal court and all appellate rights____
. Appellant refers to three Texas intermediate appellate court decisions for the proposition that § 1821 empowers the RTC to force an appellate court to hear an issue not raised below. FSLIC v. T.F. Stone-Liberty Land Assocs., 787 S.W.2d 475 (Tex.Ct.App.1990); FDIC/Manager Fund v. Larsen, 793 S.W.2d 37 (Tex.Ct.App.1990); FDIC v. Zoubi, 792 S.W.2d 825 (Tex.Ct.App.1990). Our research discloses that all three decisions were reversed or overruled by the Texas Supreme Court in Larsen v. FDIC/Manager Fund, 835 S.W.2d 66 (1992).
. See infra note 5 for explanation of "D’Oench, Duhme defense.”
. 12 U.S.C. § 1823(e) is the federal codification of the common law rule announced by D'Oench, Duhme & Co. v. FDIC, 315 U.S. 447, 62 S.Ct. 676, 86 L.Ed. 956 (1942), prohibiting the assertion against FDIC of agreements or conditions affecting loans extended by a federally insured depository institution, but not reflected in writing in the institution’s official records. Langley v. FDIC, 484 U.S. 86, 108 S.Ct. 396, 98 L.Ed.2d 340 (1987) broadened the rule to preclude asserting against the FDIC that the insured lender had induced a loan transaction by a misrepresentation not reflected in writing in the institution’s official records.
. See supra note 2.
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OPINION
JACOBSON, Judge.
Several issues have been raised in this appeal, only one of which is worthy .of being discussed in an opinion. See Fenn v. Fenn, 174 Ariz. 84, 847 P.2d 129 (App.1993). We therefore have disposed of other issues by memorandum decision and issue our opinion in this case on the issue whether a single “serious physical injury” that occurs in the course of committing sexual assault, aggravated assault, and kidnapping is sufficient to render all of these offenses “dangerous” for sentence enhancement purposes. We also determine whether making those sentences consecutive runs afoul of double punishment considerations.
FACTUAL BACKGROUND
Late in the evening of December 31,1985, T, then a 19-year old waitress at a Mesa restaurant, was sexually assaulted as she walked home from work. The assailant approached T from behind, grabbed her, then punched her repeatedly in the face. The assailant dragged T to bushes approximately 50 feet away. He sexually assaulted T by placing his fingers and his penis in her vagina. When he finished, the assailant apologized and stated, “I had a little too many Jack Daniels tonight.” When T turned to look at the assailant, he kicked her in the face and told her, “Don’t look at me, bitch. I told you not to look at me.”
T hailed a passing police car. She gave a description of the assailant that included the fact he was wearing a plastic Hawaiian lei. Despite a prompt response from officers at a substation near the scene of the assault, police were unable to locate the assailant that night.
Five days later, a Mesa police officer responded to a domestic violence call at defendant’s apartment. The apartment, in the same complex where T lived, was located near the scene of the sexual assault. The officer noted Hawaiian leis inside the apartment. Defendant was subsequently arrested. While defendant was in custody, a detective questioned him about the sexual assault of T. Defendant made a full confession, which was recorded on audiotape. Pursuant to a search warrant, a lei and a down vest were seized from defendant’s apartment. At trial T testified that the vest resembled the one worn by her assailant.
Defendant was indicted on two counts of sexual assault, one count of aggravated assault, and one count of kidnapping. The state alleged that each offense was a dangerous offense, that defendant had a prior felony conviction, and that the offenses were committed while defendant was on probation.
The jury found defendant guilty of all charges as dangerous offenses and determined that he had previously been convicted of a felony. The trial court found that defendant was on probation at the time of the offenses. Pursuant to A.R.S. § 13-604.02(A), the court imposed sentences of life imprisonment on each count. The court ordered the sentences for the two sexual assaults to be served concurrently but ordered the sentences for aggravated assault and kidnapping to be served consecutively to each other and to the sexual assault sentences.
Defendant filed a timely notice of appeal. As previously indicated, this opinion deals solely with the sentencing issues.
DISCUSSION
In contending that consecutive sentences of life imprisonment were improperly imposed, defendant makes a somewhat intricate two-part argument. First, he contends that the “serious physical injury” inflicted on T supported a finding of dangerousness only on his conviction for aggravated assault. As a result, he asserts that he must be resentenced on the remaining charges as non-dangerous offenses. Second, he alternatively argues that, if the infliction of that injury supported a finding of dangerousness on all four offenses, the imposition of consecutive sentences for aggravated assault and kidnapping was improper under State v. Gordon, 161 Ariz. 308, 778 P.2d 1204 (1989). We consider these arguments separately.
1. Sentencing for “dangerous offenses."
Defendant does not dispute that T suffered “serious physical injury,” as defined by AR.S. § 13-105, when she was punched and kicked during the assault. However, he argues that the infliction of such an injury supported only the jury’s finding that aggravated assault was a dangerous offense. To prove the kidnapping and sexual assault counts dangerous, defendant argues, the state was required to establish the infliction of separate “serious” injuries dining each of those criminal acts.
This argument is novel but flawed in light of the relevant statutory language. The statute under which defendant was sentenced, AR.S. § 13-604.02(A), applies to “a person convicted of any felony offense involving ... the intentional or knowing infliction of serious physical injury upon another.” (Emphasis added.) “Involving” is an expansive term that is clearly sufficient to connect the injury inflicted to each of the crimes at issue in this case. Specifically, by punching T, defendant was able to accomplish sexual intercourse “without consent” as required by the sexual assault statute. See A.R.S. § 13-1406(A). Similarly, inflicting the punching injury to T enabled defendant to effect the element of “restraint” required for kidnapping. See AR.S. § 13-1304(A). We therefore hold that the trial court could properly consider the serious physical injury as being “dangerous” so as to enhance all of the offenses.
2. Propriety of consecutive sentences.
In challenging the imposition of consecutive life sentences, defendant does not argue that the facts surrounding the assault of T mandated concurrent sentences under AR.S. § 13-116 and State v. Gordon. We have no difficulty in concluding that such an argument would fail because the offenses for which consecutive sentences were imposed— aggravated assault and kidnapping—did not constitute a single “act” under the test elaborated in Gordon. Rather, defendant directs his argument to the issue of sentence enhancement. He contends that, if the infliction of a single “serious physical injury” is sufficient to make all four offenses “dangerous,” then the “act” of inflicting those injuries may not be punished by imposition of consecutive sentences.
This argument, however, ignores the fact that the protection of A.R.S. § 13-116 against consecutive sentences, defined in Gordon, does not apply to sentence enhancement. We have made this clear in response to a variety of challenges. In State v. Rodriguez, 126 Ariz. 104, 106-07, 612 P.2d 1067, 1069-70 (App.1980), we rejected the contention that A.R.S. § 13-116 was implicated in a prosecution where the defendant’s use of a gun established both his guilt of aggravated assault and the dangerousness of the offense. We stated:
This statute was not designed to cover the increased punishment as imposed here but was designed to protect a defendant from double punishment when he has been found guilty of two or more crimes all arising from the same fact situation.
Id. at 107, 612 P.2d at 1070. See also State v. Torrez, 141 Ariz. 537, 539, 687 P.2d 1292, 1294 (App.1984) (rejecting application of statute when prior conviction was used to increase sentencing range and as basis for enhancement due to release status).
The case most closely on point is State v. Roberts, 131 Ariz. 519, 642 P.2d 864 (App. 1981), approved in part, vacated on other grounds, 131 Ariz. 513, 642 P.2d 858 (1982). Our analysis in that case bears repeating here:
Appellant contends that it was unlawful for the trial court to impose consecutive sentences. He argues that AR.S. § 13-116 precluded the trial court from imposing consecutive sentences where the use of the gun was relied upon pursuant to A.R.S. § 13-604 to enhance the sentences. He asserts that AR.S. § 13-604 establishes the use of a gun as an additional element, act, or omission in the commission of a crime.
Appellant asserts therefore that his dangerous act, the use of the gun, precludes consecutive sentences. AR.S. § 13-116 prohibits multiple punishment for a single act, and applies only where the same act violates more than one statute. State v. Arnold, 115 Ariz. 421, 565 P.2d 1282 (1977). A criminal defendant convicted of two separate crimes involving different acts may be given consecutive sentences. AR.S. § 13-708.
In the instant case, appellant was convicted of two separate crimes: kidnapping with use of a gun, and extortion with the use of a gun. The kidnapping was established by the evidence that appellant had held [the victim] at gunpoint with the intent to hold him for ransom or to aid in the commission of extortion. The extortion was established by appellant’s attempt while exhibiting a gun to obtain money from [the victim’s family members] by threatening to harm [the victim] if they did not obtain the money. Thus, the use of the gun in each crime enhanced the sentence imposed as to each crime, but it did not define a separate offense. Each of these crimes was established by different acts, and each of them was a dangerous nature felony. Thus, the trial court did not violate AR.S. § 13-116 in imposing consecutive sentences.
Id. at 522, 642 P.2d at 867 (emphasis added). Similarly, the evidence in this case established four separate offenses, each of a dangerous nature. The court imposed the mandatory enhanced sentence of life imprisonment on each one. We find nothing in Gordon, which did not consider sentence enhancement in its analysis of A.R.S. § 13-116, that would cause us to deviate from our conclusion in Roberts. The consecutive sentences were properly imposed.
CONCLUSION
Pursuant to AR.S. § 13-4035, we have reviewed the entire record on appeal. We find no fundamental error. Defendant’s convictions and sentences are affirmed.
GERBER, P.J., and TOCI, J., concur.
. Under A.R.S. § 13-105(31):
"Serious physical injury” includes physical injury which creates a reasonable risk of death, or which causes serious and permanent disfigurement, or serious impairment of health or loss or protracted impairment of the function of any bodily organ or limb.
A doctor who treated T testified at trial that she suffered an open nasal fracture. T testified that her nose was still fractured and that at the time of trial, five and one-half years after the attack, she continued to suffer nosebleeds. She also testified that the shape of her nose was "completely changed," and that she suffered a scar on her nose as a result of the fracture.
. In pertinent part, A.R.S. § 13-116 provides:
An act or omission which is made punishable in different ways by different sections of the laws may be punished under both, but in no event may sentences be other than concurrent____
|
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OPINION
ZLAKET, Justice.
We accepted review of this case to examine the relationship between an insured’s “reasonable expectations” of coverage and the “household exclusion” found in an automobile liability insurance policy. We have jurisdiction pursuant to Ariz. Const, art. 6, § 5(3) and A.R.S. § 12-120.24.
BACKGROUND
Angela and Daniel Averett were seriously injured while riding as passengers in the family automobile driven by their mother, Carol Averett. Carol died as a result of the accident, which the parties have stipulated was caused by her negligence.
Ray Averett, Carol’s husband, made a claim for himself and his children against Farmers Insurance Company, which carried liability insurance on the automobile Carol was driving. Farmers, relying on its “household exclusion” and Arceneaux v. State Farm Mut. Auto. Ins. Co., 113 Ariz. 216, 550 P.2d 87 (1976), responded with an offer of $15,000 per child, even though the policy declarations recited bodily injury limits of $250,000 per person and $500,000 per occurrence, and the children’s injuries admittedly exceeded those amounts.
In its insuring agreement, the Averett policy states that Farmers
will pay damages for which any insured person is legally liable because of bodily injury to any person ... arising out of the ... use of a private passenger car.
Although Ray Averett was designated as the named insured, it is undisputed that his wife also qualified as an “insured person” under the policy.
In a separate section entitled “Exclusions,” the policy states:
This coverage does not apply to:
11. The liability of any insured person for bodily injury to you or a family member.
“Family member” is defined to include related persons who live in the named insured’s household. Because Angela and Daniel were clearly family members under this definition, Farmers denied coverage for all sums over the statutorily required limits of $15,000 per person and $30,000 per occurrence. See A.R.S. § 28-1170.
Averett filed suit, seeking a judicial declaration that Farmers was obligated to pay the full amount of the policy limits notwithstanding the exclusion. The parties filed cross-motions for summary judgment. In denying Averett’s motion and granting Farmers’, the trial court cited Arceneaux for the proposition that “the household exclusion in the plaintiff’s insurance policy is a valid exclusion after payment of the statutory limits.” Although his order did not expressly say so, the judge obviously rejected the argument that Averett’s reasonable expectations could render the exclusion unenforceable. The court of appeals affirmed by memorandum decision, with one judge dissenting.
DISCUSSION
It is well established that a contracting party’s reasonable expectations may affect the enforceability of non-negotiated terms' in a standardized agreement. See Broemmer v. Abortion Services of Phoenix, Ltd., 173 Ariz. 148, 151-52, 840 P.2d 1013, 1016-17 (1992); Darner Motor Sales v. Uni versal Underwriters, 140 Ariz. 383, 389-94, 682 P.2d 388, 394-99 (1984); Restatement (Second) of Contracts § 211 cmt. f (1981). Farmers argues, however, that because there is no evidence here that its agent made misleading statements or promises to induce Mr. Averett to purchase this policy, the law of reasonable expectations does not apply. We disagree. The absence of misrepresentation is not determinative. In State Farm, Mut. Auto. Ins. Co. v. Bogart, 149 Ariz. 145, 151, 717 P.2d 449, 455 (1986), we said:
It is true that an oral representation contrary to the words in the written instrument may qualify as either a fraudulent or negligent misrepresentation, but Darner does not by its terms limit itself to misrepresentation actions. We decline the invitation to so limit the decision. The provision in the declaration page reflecting non-owned coverage in the amount of $300,000 certainly is an indication that the “dickered” or negotiated deal was the purchase of $300,000 in non-owned coverage. One of the basic principles which underlies Darner is simply that the language in the portion of the instrument that the customer is not ordinarily expected to read or understand ought not to be allowed to contradict the bargain made by the parties.
Farmers further suggests that our decision in Arceneaux validates its conduct here. Such an assertion misconstrues that case. With respect to coverages in excess of the statutorily required mínimums, A.R.S. § 28-1170(G) and Arceneaux permit the adoption of contract terms that do not conform to the strict requirements of the financial responsibility laws. 113 Ariz. at 218, 550 P.2d at 89. This allowance does not necessarily mean, however, that all such terms are automatically valid and enforceable. See Do by Minker v. Farmers Ins. Co. of Arizona, 171 Ariz. 113, 116, 828 P.2d 1254, 1257 (Ct. App.1991). As with any agreement sought to be judicially enforced, the law of contracts must be applied in an attempt to discern and effectuate the parties’ intentions. See Taylor v. State Farm Mut. Auto. Ins. Co., 175 Ariz. 148, 854 P.2d 1134 (1993). That body of law includes the rule of reasonable expectations. Thus, while the “household exclusion” may be enforceable in some circumstances, it may not be in others. In Gordinier v. Aetna Cas. & Sur. Co., 154 Ariz. 266, 272-73, 742 P.2d 277, 283-84 (1987), we stated:
As a synthesis of the cases and authorities demonstrates, Arizona courts will not enforce even unambiguous boilerplate terms in standardized insurance contracts in a limited variety of situations:
1. Where the contract terms, although not ambiguous to the court, cannot be understood by the reasonably intelligent consumer who might check on his or her rights, the court will interpret them in light of the objective, reasonable expectations of the average insured [citing State Farm Mutual Auto. Ins. Co. v. Bogart, 149 Ariz. 145, 717 P.2d 449 (1986) and Wainscott v. Ossenkop, 633 P.2d 237 (Alaska 1981)];
2. Where the insured did not receive full and adequate notice of the term in question, and the provision is either unusual or unexpected, or one that emasculates apparent coverage [citing Zuckerman v. Transamerica Insurance Co., 133 Ariz. 139, 650 P.2d 441 (1982) ];
3. Where some activity which can be reasonably attributed to the insurer would create an objective impression of coverage in the mind of a reasonable insured [citing Sparks v. Republic National Life Ins. Co., 132 Ariz. 529, 647 P.2d 1127 (1982) ];
4. Where some activity reasonably attributable to the insurer has induced a particular insured reasonably to believe that he has coverage, although such coverage is expressly and unambiguously denied by the policy [citing Darner Motor Sales v. Universal Underwriters, 140 Ariz. 383, 682 P.2d 388 (1984)]....
According to his deposition testimony, Ray Averett told the Farmers agent that he wanted “full coverage” for his entire family, although the meaning of that statement is not fully explained in the record. Averett purchased what he believed was “full coverage,” in amounts far greater than those required by law. He chose Farmers because he thought it offered what he wanted at the lowest available price, and he paid all of the premiums.
Averett further testified that he thought this insurance would cover his children if they were injured while riding with their mother. He said that his wife had health problems, which made him particularly concerned about her ability to drive. His testimony implies that had he been advised of the household exclusion, he might have opted to shop elsewhere, or taken other measures. The Farmers agent allegedly knew of Carol’s health problems, but it is unclear to what extent they were discussed, if at all, in connection with Averett’s purchase of the coverage.
Rather typically, the parties did not discuss the contract terms, nor was there any opportunity to negotiate them. Moreover, Averett testified that he never received a copy of the actual insurance policy, though Farmers asserted dining argument before this court that it sent one to him. Averett acknowledged receipt of the declarations page which recited coverage in the limits he had purchased. This allegedly reinforced his belief in the amount of protection he thought he had. Averett further stated that at no time prior to this claim was he advised of the existence or substance of the “household exclusion.” When the exclusion was finally called to his attention, he said that he read but was unable to understand it.
In Bogart, we stated:
[W]e believe it quite clear that the clause in question also significantly modifies the “dickered deal” and could even be found unconscionable. The “dickered deal” was to buy $100,000/$300,000 in owned and non-owned auto coverage. Most informed policyholders would be shocked to discover that the substantial protection which they had purchased was reduced to the $15,000 minimum statutory coverage whenever they drove a rented car. Such an eventuality is certainly one that should be clearly called to the attention of the insured.
149 Ariz. at 153, 717 P.2d at 457. The same analysis lends itself to this case. According to Averett’s testimony, neither the agent nor anyone else from Farmers ever explained the coverage or told him that the policy might provide fewer benefits for his children than it would for a stranger.
We believe that reasonable persons could differ on the factual issues presented here. Whether the average, reasonably informed policyholder would expect his or her family to be excluded from liability coverage under these circumstances is certainly a debatable question. We strongly suspect that most consumers who purchase insurance in amounts greater than the statutory minimums would be surprised to learn that members of their household were covered only .to the extent of $15,000 per person and $30,000 per occurrence, regardless of the limits stated on the face of the policy. Other questions here include whether Farmers ever provided Averett with a copy of the policy that it now attempts to enforce, and if so, whether that document’s language was sufficiently clear to place a reasonable insured on notice of the household exclusion. Thus, we are of the view that the trial court should have permitted a fact finder to decide if, based on all available evidence, the household exclusion in Averett’s policy was “beyond the range of reasonable expectations.” Restatement (Second) of Contracts § 211 cmt. f (1981).
Our decision should not be read to mean that a household exclusion is unenforceable under all circumstances. As Arceneaux makes clear, the insurance company and its insured may agree to this exclusion with respect to losses above the statutorily required minimum amounts of coverage. But such a limitation must be intended and agreed to, not merely imposed upon an unwitting customer. When an exclusion, limitation or escape clause runs contrary to what a reasonable insured would expect, or when it significantly diminishes coverage that the policy purports on its face to provide, the surrounding facts and circumstances must be considered to determine whether, and to what extent, there was a meeting of the minds between the contracting parties.
Nor is it our intention here to extend or expand upon the doctrine of reasonable expectations as previously described in cases such as Darner, Broemmer and Gordinier. We hold only that under these facts, the trial court should not have granted summary judgment on Averett’s reasonable expectations theory but should have instead allowed the matter to be considered by the finder of fact.
CONCLUSION
We vacate the court of appeals’ memorandum decision. We reverse the summary judgment in favor of Farmers, and remand the case for further proceedings consistent with this opinion.
FELDMAN, C.J., MOELLER, Vice C.J., and CORCORAN and MARTONE, JJ., concur.
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OPINION
GARBARINO, Judge.
Ynez and Mary Lopez appeal from the judgment and amended judgment entered against them and in favor of Farmers Insurance Company of Arizona (Farmers) and from the trial court’s order denying their motion for a new trial and motion for judgment notwithstanding the verdict. Because we find that the trial court erred in refusing to excuse for cause jurors who were insured by Farmers, refusing to require that Farmers give race-neutral explanations for excusing minority jurors, and giving an improper jury instruction, we reverse and remand for a new trial.
ISSUES ON APPEAL
The Lopezes raise the following issues on appeal:
(1) Whether the trial court erred in refusing to excuse for cause jurors who were Farmers’ policyholders;
(2) Whether the trial court erred in finding that the principles announced in Batson v. Kentucky do not apply to civil trials;
(3) Whether the trial court erred by not permitting the jury to consider the issue of bad faith unless it first found Farmers had breached the express terms of the insurance contract;
(4) Whether the trial court erred in allowing Farmers to present the opinion testimony of a Farmers’ claims manager when Farmers had faded to disclose in discovery that it intended to use his testimony;
(5) Whether the trial court erred in refusing to give jury instructions regarding Arizona Department of Insurance rides and regulations;
(6) Whether the trial court erred in giving certain limiting instructions because they commented on and misstated the evidence and confused and prejudiced the jury by changing the issue; and finally,
(7) Whether the trial court erred in denying their motion for directed verdict and motion for judgment notwithstanding the verdict on the issues of breach of contract and bad faith.
Because we find the trial court erred in its rulings as to the first three issues presented, we do not address the remaining issues raised and reverse the judgment of the trial court and remand for a new trial.
FACTS
We view the facts in the light most favorable to sustaining the judgment. McFarlin v. Hall, 127 Ariz. 220, 224, 619 P.2d 729, 733 (1980). On January 18, 1986, Mrs. Lopez was involved in a car accident which damaged the Lopezes’ 1981 Honda. The Lopezes were insured by Farmers under a standard automobile liability policy which included collision coverage and which obligated Farmers to pay for the lesser of the car’s actual cash value or the amount necessary to repair or replace the car, less a deductible. The driver of the other vehicle involved in the accident was also insured by Farmers. The Lopezes notified their insurance agent about the accident and he suggested they obtain a repair estimate from a dealership.
Mr. Lopez first sought an estimate from Biddulph Oldsmobile-Honda (Biddulph), the dealership from which the Lopezes had purchased the car. Biddulph estimated it would cost $3,108.24 to repair the car. As directed by Farmers, Mr. Lopez then took the car to a Farmers’ drive-in claims office for an estimate. Manny Lugo, the Farmers’ claims adjuster who wrote the estimate, handled the Lopezes’ claim as a third-party claim. Mr. Lugo estimated the car repair would cost $2,032.25 and gave Mr. Lopez a draft for that amount. The draft contained release lan guage indicating that endorsement would constitute a release or covenant not to sue Farmers unless the draft was a payment of, among other things, a collision loss, in which case the draft would constitute a release only. Mr. Lopez told Mr. Lugo that Biddulph had given him an estimate that was substantially higher than Farmers’ estimate and asked Mr. Lugo how he was going to get the car repaired for the amount Farmers was offering. Mr. Lugo responded that the Lopezes could have their car repaired for the estimated amount.
The Lopezes obtained another estimate from Villa’s Body Shop for $2,827.95. When Mr. Lopez called Farmers to advise them he could not find a repair shop that would do the work for the amount of Farmers’ estimate, Farmers suggested Mr. Lopez take the car to Sanderson Ford. Sanderson Ford gave the Lopezes an “open” estimate for $2,842.64. When Mr. Lopez told Farmers of the Sanderson estimate, Farmers again stated that its estimate was fair and that the car could be repaired for that amount.
The Lopezes contacted their agent and told him what was happening. After the agent contacted Farmers, Farmers sent adjuster Carl Carroll to Biddulph to reinspect the Lopezes’ car. Mr. Carroll reinspected the Honda and gave an “agreed price,” a price within which Biddulph, a Farmers “cooperative” shop, agreed to make the repairs subject to certain conditions or possible changes in the estimate. Mr. Carroll and Bud Emmett, the Biddulph estimator, estimated that $2,288.77 was sufficient to make the necessary repairs to the car. When the Lopezes received a Farmers’ draft for that amount in the mail, it contained the same release language as the first draft. The Lopezes went to Biddulph to find out why their second estimate was so much lower than their earlier estimate. Mr. Lopez testified at trial that Biddulph had told him that they were going to piece the car together and fix it as cheaply as possible.
The Lopezes sent back the second draft issued by Farmers with a letter that stated they wanted their claim to be handled under their own collision coverage. William Hilding, a Farmers’ claims manager, answered their letter. He returned the draft to them and told them that if they were not satisfied with the amount, they could demand an appraisal. The Lopezes refused to cash the draft.
The Lopezes sued Farmers, alleging breach of contract and breach of the implied covenant of good faith and fair dealing. The jury returned a verdict for Farmers and the trial court awarded Farmers costs and attorneys’ fees. The Lopezes filed a motion for a new trial and a motion for judgment notwithstanding the verdict. Both motions were denied. The Lopezes filed a timely notice of appeal.
DISCUSSION
A. Farmers’ policyholders should have been excused from the jury for cause because the Lopezes made a satisfactory showing that they had a monetary interest in the outcome of the case.
The Lopezes first argue that they were deprived of a fair trial because the court refused to excuse for cause all prospective jurors who were Farmers’ policyholders. At a pretrial conference, the Lopezes requested that the court excuse for cause any prospective juror who was a Farmers’ policyholder. They argued that Farmers’ insureds would be financially affected by the outcome of the case because they would-be told that the premiums charged for automobile insurance could be affected by their verdict. When the court asked Farmers if such evidence would be brought up, Farmers indicated the jury would be told that one consideration in the rate-making process is the cost of claims. The court refused to strike the Farmers’ insureds from the jury, stating that it would question each juror individually to determine his or her ability to be fair and impartial. During jury selection, the Lopezes reasserted their argument, stating that Farmers would also introduce evidence that their practice of using “after market parts,” instead of original equipment manufacturer parts, results in lower premiums to their insureds. Farmers objected to a blanket striking of Farmers’ insureds. The court did not strike the jurors. After the parties exer cised their five peremptory strikes, four of the remaining eight jurors were. Farmers’ insureds. During opening statements, Farmers discussed its use of after market parts to lower claims costs, a factor used in determining insurance premiums. The Lopezes objected and later moved for a mistrial which the court denied. The Lopezes again moved for a mistrial, which was denied, after Mr. Hilding testified about the use of after market parts.
On appeal, the Lopezes claim that the trial court abused its discretion by failing to exclude for cause jurors who were insured by Farmers. The Lopezes contend that the jurors had a financial interest in the outcome of the case which was brought to the jurors’ attention and emphasized during the opening remarks and closing arguments and through the testimony of Mr. Hilding. We agree.
Removing a juror for cause is within the trial court’s discretion, and this court will not reverse absent an abuse of discretion. Wasko v. Frankel, 116 Ariz. 288, 290, 569 P.2d 230, 232 (1977). Arizona Revised Statutes Annotated (AR.S.) section 21-211 (1990) provides as follows:
The following persons shall be disqualified to serve as jurors in any particular action:
2. Persons interested directly or indirectly in the matter under investigation. Jurors who are insured by an insurance company that is a party in the case have a direct financial interest in the outcome of the case if they know or have reason to believe their rates may increase or decrease depending on the outcome of the case. The jurors in question knew that the insurance company involved in the litigation was their insurance company. The insurance premiums affected by Farmers’ use of “after market parts” were their premiums.
Fanners argues that the law cannot recognize this infinitesimal relationship. Farmers likens the relationship to a customer of Safeway being disqualified because a verdict may affect food prices or a taxpayer being disqualified because his or her taxes may increase. We do not believe the facts of this case to be so attenuated. When viewed in the light of the evidence to be presented, the relationship between Farmers and the jurors warrants disqualification for cause. However, we do agree that the facts of each case must be analyzed on an individual basis. Regardless of their professed ability to be fair, they know their verdict could mean money out of their pockets. Only naivete would lead us to believe that jurors are not astute enough to factor a rate increase into their decision. Money can be a compelling force in the decision-making process. Fairness alone dictates that those with a direct interest in the outcome should be excluded from the jury-
This is a matter of first impression in Arizona. We find no support from the few jurisdictions that have considered this issue. See Oglesby v. Conger, 507 P.2d 883, 885 (Colo.App.1972); State Farm Fire and Casualty Co. v. Hornback, 217 Kan. 17, 535 P.2d 441, 443-44 (1975); Kendall v. Prudential Ins. Co., 327 S.W.2d 174, 178 (Mo.1959); Barb v. Farmers Ins. Exch., 281 S.W.2d 297, 301 (Mo.1955); Amos v. Altenthal, 645 S.W.2d 220, 223 (Mo.App.1983). The trial court applied the case law as it exists in other states. We find that this approach is unrealistic in selecting objective, unbiased, and unprejudiced jurors in today’s world. Our concéms are directed towards the juror insured by a party insurance company who perceives that the practices and policies of that insurance company will have an impact on his or her personal insurance rates. In the instant case, in view of evidence to be presented, we find the Lopezes only had to show that the jurors were insured by the defendant Farmers and that the resultant verdict could affect the amount of their future insurance premiums to necessitate their being excused from jury service for cause. The trial court, therefore, abused its discretion in failing to excuse for cause those jurors who were Fanners’ insureds.
In their motion for a new trial and on appeal, the Lopezes argued that because Farmers is a mutual insurance company, its insureds would have an even greater interest in the outcome of a case in which Farmers was a party. Although the Lopezes raised this issue too late, we do not believe this distinction merits further consideration. Where the evidence will reflect that the amount of premiums to be paid may be dependent on the amount of claims paid, every insured has a direct financial interest in a case in which his or her insurer is a party.
B. Race-based, exclusion violates the equal protection rights of civil jurors.
The Lopezes next argue that they were denied a fair trial because the trial court permitted Farmers to strike the only minority members from the panel without requiring a race-neutral explanation. Following voir dire, counsel for both parties made their peremptory strikes. Before the permanent jurors were seated on the jury, plaintiffs’ counsel voiced an objection to defendants’ counsel having exercised two of his peremptory strikes against the only, two minority members on the panel. He argued that the equal protection principles announced in Batson v. Kentucky, 476 U.S. 79, 106 S.Ct. 1712, 90 L.Ed.2d 69 (1986), extended to civil litigants. The trial judge indicated that he did not believe the principles set out in Batson applied to civil cases and defense counsel agreed. The judge then requested the clerk to call the names of those individuals selected to serve as jurors in the case which in effect was a denial of plaintiffs’ motion.
We find that the trial court erred in its determination that Batson did not apply to civil cases and point simply to Edmonson v. Leesville Concrete Co., 500 U.S. 614, 111 S.Ct. 2077, 114 L.Ed.2d 660 (1991), a case which we recognize was decided after the instant appeal was filed.
C. A finding of breach of contract is not a necessary prerequisite to an action for bad faith.
The Lopezes next assert that the trial court erred in instructing the jury to reach the bad faith claim only if it found Farmers had breached its insurance contract with the Lopezes. Based on our supreme court’s recent decision in Deese v. State Farm Mut. Auto. Ins. Co., 172 Ariz. 504, 838 P.2d 1265 (1992), which was not available at the time of trial, we find that it was error to so instruct the jury. As the court stated in Deese:
We hold that plaintiff may simultaneously bring an action both for breach of contract and for bad faith, and need not prevail on the contract claim in order to prevail on the bad faith claim, provided plaintiff proves a breach of the implied covenant of good faith and fair dealing.
Id. at 509, 838 P.2d at 1270.
On remand, the trial court is instructed to modify its instructions regarding the bad faith claim to cure this error.
We decline to rule on the remaining issues as they may or may not arise on retrial.
Accordingly, we reverse and remand this case for a new trial.
CLABORNE, P.J., and MYERS, J., concur.
NOTE: The Honorable ROBERT D. MYERS was authorized to participate in this case by the Chief Justice of the Arizona Supreme Court pursuant to the Arizona Constitution, article VI, section 3.
|
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OPINION
KLEINSCHMIDT, Judge.
The state appeals from an order dismissing an indictment charging the defendant, Wade Bruce Cook, with violations of the Arizona securities laws. We conclude that the trial court was correct in finding that the imposition of a $150,000 penalty in a prior administrative proceeding constituted punishment within the meaning of the Double Jeopardy Clause of the Fifth Amendment to the United States Constitution, thus barring the state from prosecuting Cook criminally.
In February of 1989, the Securities Division of the Arizona Corporation Commission accused Cook of selling unregistered securities, selling securities without a license, and securities fraud, violations of Ariz.Rev.Stat. Ann. (“A.R.S.”) sections 44-1841, 44-1842 and 44-1991, respectively. Following a hearing, the commission found that Cook had committed these violations and ordered him to cease and desist from the sale of securities in Arizona, make restitution in the amount of $390,841 to a number of investors, and pay a $150,000 administrative penalty.
Subsequently, Cook was indicted for the same conduct which was the subject of the proceedings before the corporation commission. He moved to dismiss the indictment on the ground that the $150,000 penalty previously imposed was punishment which, under the Double Jeopardy Clause, precluded the state from seeking further criminal sanctions. Following an evidentiary hearing, the trial court, relying on United States v. Halper, 490 U.S. 435,109 S.Ct. 1892,104 L.Ed.2d 487 (1989), and Mullet v. Miller, 168 Ariz. 594, 816 P.2d 251 (App.1991), cert, denied, — U.S.-, 112 S.Ct. 1245, 117 L.Ed.2d 477 (1992), concluded that criminal prosecution violated the Double Jeopardy Clause. The court found that the administrative penalty was “punitive,” not “remedial,” as those terms are used in Halper and it dismissed the indictment with prejudice. The state challenges that dismissal.
A CIVIL SANCTION CAN BE “PUNISHMENT” FOR DOUBLE JEOPARDY PURPOSES
In United States v. Halper, the Supreme Court reaffirmed that multiple punishments for the same offense imposed in different proceedings violate the Double Jeopardy Clause. 490 U.S. at 435, 109 S.Ct. at 1892. Halper had been prosecuted criminally for submitting sixty-five fraudulent Medicare billings that totalled $585. He was convicted, imprisoned and fined $5,000. Subsequently, the government brought an action against him under the federal civil False Claims Act. The district court granted summary judgment for the government on the issue of liability but refused to impose the statutory penalty of $130,000. The court ruled that imposing such a penalty would violate the Double Jeopardy Clause by punishing Halper a second time for the same conduct. The Supreme Court agreed, stating:
We ... hold that under the Double Jeopardy Clause a defendant who already has been punished in a criminal prosecution may not be subjected to an additional civil sanction to the extent that the second sanction may not fairly be characterized as remedial, but only as a deterrent or retribution.
490 U.S. at 448-49, 109 S.Ct. at 1902. The term “remedial,” as the court used it in Hal-per, refers to a sanction that is intended to recompense the government for the loss the defendant caused. The court explained:
The rule is one of reason: Where a defendant previously has sustained a criminal penalty and the civil penalty sought in the subsequent proceeding bears no rational relation to the goal of compensating the Government for its loss, but rather appears to qualify as “punishment” in the plain meaning of the word, then the defendant is entitled to an accounting for the Government’s damages and costs to determine if the penalty sought in fact constitutes a second punishment.
Id. at 449-50, 109 S.Ct. at 1902.
Halper has been construed by the appellate courts of this state in several decisions which the parties have cited as bearing on the issue before us. In Mullet v. Miller, Division Two of this court remanded a criminal prosecution to the trial court to determine whether an administrative penalty of $380,000 imposed by the corporation commission for a violation of the securities laws, “was rationally related to making the state whole.” 168 Ariz. at 597, 826 P.2d at 254. The court of appeals directed the trial court to dismiss the prosecution if it found that the penalty was not related to making the state whole. Id. at 597-98, 826 P.2d at 254-55.
In Taylor v. Sherrill, 169 Ariz. 335, 819 P.2d 921 (1991), the supreme court considered a claim that a default judgment for civil traffic violations precluded a criminal prosecution for assault and criminal damage that arose out of the same incident. The court concluded that the defendant had the burden of demonstrating that a previous civil sanction constituted “punishment.” Id. at 344, 819 P.2d at 930. It found that the defendant had failed to carry his burden on this issue because the maximum civil penalty that could be imposed for each offense was $250, and the record did not disclose what penalties had actually been imposed or whether the defendant had paid them. The court also resolved an issue implicit in the case now before us; for purposes of double jeopardy analysis, it makes no difference that the criminal action follows, rather than precedes, the civil proceeding. Id. at 343, 819 P.2d at 929.
The statute authorizing administrative penalties gives little guidance as to whether such penalties are intended to be punitive or remedial. At the time of the proceeding in question it read:
A. A person who, in an administrative action, is found to have violated any provision of this chapter or any rule or order of the commission may be assessed an administrative penalty by the commission, after a hearing, in an amount not to exceed five thousand dollars for each violation.
B. In the event of noncompliance with commission orders, the attorney general may bring actions to recover penalties pursuant to this section in the name of this state in the superior court of Maricopa County. Nothing in this section shall be construed to limit the right of a party in an action under this section to a trial by jury.
C. Any penalties collected pursuant to this section shall be remitted to the state treasurer for deposit in the state general fund.
A.R.S. § 44-2036.
We find no merit in the state’s attempt to classify the administrative penalty as non-punitive by invoking the general “remedial” purpose behind the securities laws. See United States v. Naftalin, 606 F.2d 809 (8th Cir.1979). The state’s argument that the commission’s “purpose” is “to safeguard the investing public from fraudulent devices” is irrelevant to the double jeopardy question before us because that purpose may be fulfilled by a “punitive” sanction as well as by a “remedial” one.
THE STANDARD OF REVIEW
We first consider the appropriate standard of review. Many constitutional questions, even mixed questions of law and fact, are reviewed de novo. An exhaustive analysis of the subject in general is found in United States v. McConney, 728 F.2d 1195 (9th Cir.) (en banc), cert. denied, 469 U.S. 824,105 S.Ct. 101, 83 L.Ed.2d 46 (1984). We agree, however, with Cook’s contention that the issue presented by this case is properly reviewed for an abuse of discretion. In Hal-per, the Supreme Court noted:
We must leave to the trial court the discretion to determine on the basis of [an accounting of the Government’s damages] the size of the civil sanction the Government may receive without crossing the line between remedy and punishment.
490 U.S. at 450, 109 S.Ct. at 1902; accord Mullet, 168 Ariz. at 597, 816 P.2d at 254.
A deferential standard of review is suggested by the fact-sensitive inquiry the trial court is called upon to make in resolving this type of double jeopardy claim. In Halper, the Supreme Court rejected the government’s contention that determining the nature of the civil sanction imposed was truly a matter of statutory construction. 490 U.S. at 447, 109 S.Ct. at 1901. The Court said:
[W]hile recourse to statutory language, structure, and intent is appropriate in identifying the inherent nature of a proceeding, or in determining the constitutional safeguards that must accompany those proceedings as a general matter, the approach is not well suited to the context of the “humane interests” safeguarded by the Double Jeopardy Clause’s proscription of multiple punishments____ This constitutional protection is intrinsically personal. Its violation can be identified only by assessing the character of the actual sanctions imposed on the individual by the machinery of the state.
Id. (citations and footnote omitted).
THE TRIAL COURT DID NOT ABUSE ITS DISCRETION
The court found that the state incurred costs of $1,492 and attorney’s fees of $30,000 in the administrative proceeding. The $150,000 penalty far exceeds these sums, easily supporting the conclusion that the purpose of the sanction was not solely remedial. See Halper, 490 U.S. at 452,109 S.Ct. at 1904 (disparity between government costs of $16,-000 and penalty of $130,000 is “sufficiently disproportionate that the sanction constitutes a second punishment in violation of double jeopardy”).
The trial court scrutinized the commission’s order for sanctions, noting the language which explained: “taking into consideration the fact that Mr. Cook appropriated investors’ funds fcfr personal purposes, the Commission agrees with the [securities] Division that Respondents should be assessed an administrative penalty of $150,000.” This statement, which focused on Cook’s conduct rather than on the loss to the state, is objective evidence of a punitive intent. See Kvitka v. Board of Registration in Medicine, 407 Mass. 140, 551 N.E.2d 915, 918, cert, denied, 498 U.S. 823, 111 S.Ct. 74, 112 L.Ed.2d 47 (1990) (administrative fine imposed after physician’s guilty plea was punishment, court noting that licensing board characterized defendant’s actions as “‘a flagrant abuse of public trust’ ” and stated that “ ‘misconduct in the area of prescription practice will not be treated lightly5 ”).
The trial court also relied on the testimony of Jim D. Nielsen, an attorney for the securities division, given at the hearing on the motion to dismiss. Nielsen, who prosecuted the action before the corporation commission, stated that the fine proposed by the division. and adopted by the commission had no remedial purpose, but was intended to deter Cook and others from committing similar acts.
The state argues that Nielsen’s intent was immaterial and that the commission’s purpose must be discerned from its own order. We do not believe the evidence need be viewed that narrowly. Certainly, what Nielsen testified to had a bearing on whether the state was even attempting to recoup damages and costs through the imposition of the penalty.
The state also argues that the trial court erred by narrowly viewing the state’s loss as the cost of maintaining the administrative proceeding against Cook. Rather, the state asserts that the combined effect of Cook’s conduct injured the state’s economy and lowered the state’s tax base. Such intangible costs, it argues, are difficult to quantify but may nonetheless be recovered as a remedy. See, e.g., United States v. Walker, 940 F.2d 442, 444 (9th Cir.1991) (customs penalty not punishment because it was justified by the financial burden associated with maintaining checkpoints and administering the customs system); United States v. Valley Steel Products, Co., 729 F.Supp. 1356, 1360 (Ct. Int’l Trade 1990) (liquidated civil penalties for illegal importation of steel not barred by prior criminal sanction; court notes that in absorbing cost of investigation and prosecution, the government suffers diffuse harm from repercussions due to defendant’s conduct).
In this case, however, the state never even claimed such an intangible loss in proceedings before the commission or, more significantly, before the trial judge at the hearing on the motion to dismiss. We agree with Cook that the state’s effort to justify the penalty as commensurate with its actual loss falls short of what Halper requires. In United States v. Hall, 730 F.Supp. 646 (M.D.Pa.1990), the district court reached a similar conclusion in addressing the government’s attempt to obtain a $1 million civil penalty from a previously-convicted defendant who failed to file a report regarding an international transfer of securities. The court stated:
[T]he Government puts forth only the most minimal effort at establishing a rational relationship between the $1,035,000 civil penalty and the goal of making the Government whole. Beyond its general assertions concerning the “heavy burden” of investigation and prosecution and the injury to the United States’ trade and economic programs, which it characterizes as “impossible to measure, with precise certainty,” the Government makes no attempt to quantify the actual losses it suffered as a result of [defendant’s] criminal misconduct. The absence of such a quantification, when coupled with the disproportionate relationship between the amount of the fine and the damages apparently caused by [defen dant’s] conduct, leads the court to conclude that this fine is not rationally related to the goal of making the Government whole.
Id. at 655.
The state also asserts that the trial court erred in applying Halper because that case announced “a rule for the rare case, the case such as the one before us where a fixed-penalty provision subjects a prolific but small gauge offender to a sanction overwhelmingly disproportionate to the damage he has caused.” 490 U.S. at 449, 109 S.Ct. at 1902.
The state contends that Cook, in light of the fact he was ordered to pay restitution of more than $390,000 to 150 victims of the securities law violations, was not a “small gauge offender,” entitled to protection under Halper. This fact, however, adds nothing to the calculation of the state’s own loss, which is the relevant consideration for this double jeopardy analysis. Halper makes this point clear, stating: “The protections of the Double Jeopardy Clause are not triggered by litigation between private parties.” Id. at 451, 109 S.Ct. at 1903. Cook has never argued that the restitution order was punishment which would trigger the Double Jeopardy Clause.
The state also argues that the $150,000 penalty imposed is not “overwhelmingly disproportionate” to the state’s proven costs of more than $31,000. We find no support for this contention in Halper. Although in that case the Supreme Court did indicate that a penalty which exceeded the government’s actual costs would not necessarily offend the Double Jeopardy Clause, it did not suggest any particular ratio of costs to penalty that should serve as a threshold for double jeopardy analysis. Rather, to be classified as remedial, the penalty imposed must be “rationally related to the goal of making the Government whole.” Id. at 451,109 S.Ct. at 1903. That relationship may be established when the state’s loss is close to the civil sanction imposed, even if the sanction exceeds it. Id. at 449, 109 S.Ct. at 1902 (“process of affixing a sanction that compensates the Government for all its costs invariably involves an element of rough justice”); see also State v. Darby, 246 N.J.Super. 432, 587 A.2d 1309 (Ct.App.Div.1991) (civil sanction of $292,000 in securities case was rationally related to government’s $205,000 in costs, plus office expenses, physical plant costs, travel time, and trial costs). In this case, we agree with the trial court that no such rational relationship was established.
Finally, we agree with Division Two of this court in rejecting the argument that the punishments can be accumulated so long as they remain within statutory limits. See Mullet, 168 Ariz. at 598, 816 P.2d at 255 (‘While multiple punishments may be imposed in a single proceeding for the same conduct if authorized by statute, the Double Jeopardy Clause clearly prohibits a second proceeding to punish for the same conduct”). In this context, the state’s reliance on Jones v. Thomas, 491 U.S. 376, 109 S.Ct. 2522, 105 L.Ed.2d 322 (1989), which considered punishment for multiple offenses in a single proceeding, is misplaced.
The order of the superior court dismissing the indictment with prejudice is affirmed.
EHRLICH, P.J., and CONTRERAS, J., concur.
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OPINION
LACAGNINA, Presiding Judge.
In this case the trial court granted summary judgment in favor of Apache County and duly elected members of the board of supervisors, deciding they had the power to authorize the expenditure of funds from the county treasury for county functions performed in portions of Apache County located within the boundaries of the Navajo Indian Reservation. In addition, the trial court granted a motion to dismiss all counts of the counterclaim alleging all expenditures authorized by the board of supervisors were illegal, subjecting the individual members of the board to personal liability for said expenditures. We affirm the judgment of the trial court for the reasons hereafter stated, and based on the general proposition that citizens of the State of Arizona and residents of Apache County are entitled to the same benefits derived therefrom even though they are members of the Navajo Tribe and reside within the boundaries of the Navajo Indian Reservation. Therefore, the authorization for the expenditure of county funds for lawful county purposes without the borders of the Navajo Reservation, are lawful for county purposes within the reservation.
FACTS
One-half of the territory of Apache County consists of property held in trust by the United States for the exclusive use of the Navajo, Apache and Zuni Indian tribes. Seventeen percent of the land is privately owned, and the remainder is owned by the State of Arizona and the United States. The county is divided into three districts, and the supervisors from each district also serve as members of the governing board of Apache County Flood Control District. Districts One and Two are totally within the boundaries of the Navajo Reservation. A portion of District Three is also located within the reservation. Since 1977, elected’ supervisors of Districts One and Two have been Navajo Indians. Art Lee, a non-Indian named party, is the elected supervisor for District Three. Members of the board of supervisors from Districts One and Two have served as members of the Navajo Tribal Council or employees of the tribe during all or part of the time they served as supervisors.
Mitchel D. Platt is a licensed attorney who resides in Apache County and owns property assessed by the county for taxes. The board of supervisors has authorized expenditures for on-reservation county projects and travel expenses incurred by county employees such as the county manager, county attorney, engineer, school superintendent and others while performing their duties on the reservation.
DISCUSSION
Platt argues that because Navajo Indians and the tribe are protected by federal laws, giving them certain immunities and jurisdiction within the boundaries of the reservation, the county does not have “exclusive jurisdiction” on the reservation. Therefore, he argues, all expenditures for county purposes on the reservation are illegal. We disagree with Platt’s interpretation of A.R.S. § 11-201(A)(5), which allows the county to “levy and collect taxes for purposes under its exclusive jurisdiction as are authorized by law,” cited to support this argument, because Apache County does have exclusive territorial jurisdiction for county purposes throughout Apache County. The extent of the state’s jurisdiction over Indian reservations is clearly defined by the Arizona Supreme Court in United States v. Superior Court in and for Maricopa County, 144 Ariz. 265, 697 P.2d 658 (1985):
Article 20, ¶ 4, may be given full meaning by construing it, first, as a disclaimer of all rights to “Indian lands considered as property,” Porter v. Hall, 34 Ariz. [308] at 321, 271 P. [411] at 415 [(1928)], and second, as an acknowledgement that federal law and policy are paramount on Indian reservations. Reservation lands “are within the political and governmental, as well as geographical boundaries of the state.” Id. They are not immune from the reach of state governmental authority. Thus, by the first clause of article 20, ¶ 4, the state waives any claim of right, title, or interest to Indian lands as property. By the second portion of ¶ 4, the state acknowledges Congress’ superior right of disposition, jurisdiction, and control, but does not cede exclusive jurisdiction. Indian reservations remain politically and governmentally part of the state, and state law applies on the reservations, as does state process and procedure, so long as its application is consistent with the will of Congress. The basic test is set forth in Williams v. Lee, [358 U.S. 217, 79 S.Ct. 269, 3 L.Ed.2d 251 (1959) ]. State laws apply on reservations unless their application would impair rights granted, reserved, or protected by federal law or would interfere with tribal self-government. 358 U.S. at 219-20, 79 S.Ct. at 270-71.
144 Ariz. at 276, 697 P.2d at 667.
The exercise of county powers given by A.R.S. § 11-251 on the reservation is exclusive because the exercise thereof does not impair rights protected by federal law, nor does the exercise of county powers interfere with tribal self-government. The county’s execution of intergovernmental contracts and agreements are also valid pursuant to AR.S. §§ 11-951 to 11-954, including agreements with an Indian tribe defined as a “public agency” under § 11-951 for these purposes. The flood control agreements executed by the board of supervisors pursuant to A.R.S. §§ 48-3603(B) and (C)(9) are legally authorized by AR.S. §§ 11-951 to 11-954 and include projects on the reservation. By the same reasoning, the authorization to establish and maintain justice courts within the county pursuant to AR.S. §§ 11-601(2), 22-101 and 117(A) applies to creation of a justice court on the reservation.
In summary, Indian reservations located within the State of Arizona are within the sovereignty of the State of Arizona and are not excluded by the legislature from county political jurisdiction exercised for the benefit of all the residents of Apache County including Indian residents on the reservation so long as the exercise of those powers does not impair rights granted by federal law or interfere with tribal self-government. Good-luck v. Apache Comity, 417 F.Supp. 13, 16 (D.C.Ariz.1975), aff'd, 429 U.S. 876, 97 S.Ct. 225, 50 L.Ed.2d 160 (1976); United States v. Superior Court in and for Maricopa County, supra; Shirley v. Superior Court, 109 Ariz. 510, 513 P.2d 939 (1973), cert. denied, 415 U.S. 917, 94 S.Ct. 1415, 39 L.Ed.2d 472 (1974); Porter v. Hall, 34 Ariz. 308, 271 P. 411 (1928). For the same reason, the trial court also correctly dismissed all of the counts of Platt’s counterclaim alleging the illegality of specific expenditures by the board of supervisors for county purposes on Indian lands.
However, the claim that elected members of the board of supervisors who are Indian and serve on the Navajo Tribal Council or who are employed by the tribe are guilty of statutory or common law conflicts of interest when performing their duties as county supervisors needs further discussion. Shirley v. Superior Court, supra. Nothing in the record before us demonstrates that services provided by the Navajo Tribe to its members legally conflict with the services provided by Apache County to all of its residents, some of whom are tribal members. Neither governmental entity is subordinate to the other, and the performance by one person in two elected posts does not violate the common law doctrine of incompatibility unless the functions of the two offices are inconsistent or it is physically impossible to perform the duties of both offices. Perkins v. Manning, 59 Ariz. 60, 122 P.2d 857 (1942). The functions of both offices are not inconsistent, and it is physically possible to perform the duties of both offices in Apache County. Davis v. Hale, 96 Ariz. 219, 393 P.2d 912 (1964).
A statutory conflict exists within the meaning of A.R.S. §§ 38-501 to 38-511 when a public official has a substantial pecuniary or proprietary interest in one of his or her decisions. Pecuniary means money and proprietary means ownership. The record before us does not demonstrate that the Navajo supervisors receive more benefits from their decisions to authorize expenditures on the reservation than any other county resident living on the reservation. Any benefit the supervisors receive as tribal employees is no greater than the benefits received by all other on-reservation constituents either directly or through county agreements with the tribal council. There is no evidence that the Navajo supervisors have any direct economic interest in the contractual relationships between the county and the Navajo Tribe, and at best, their interest and expenditures made for county residents on the reservation is remote and noneonflicting. A.R.S. §§ 38-502(10)(g) and (j). The reservation residents who are Navajos receive on-reservation public services on the same terms and conditions as other citizens and residents of Apache County. A.R.S. § 38-502(10)(g).
Finally, the Indian residents of Apache County are entitled to the same benefits as' non-Indian residents, and the duly elected members of the board of supervisors do not act illegally when they exercise their powers and authorize expenditures to provide county services in the same manner on the reservation as off the reservation.
The judgment of the trial court is affirmed.
LIVERMORE, C.J., and ESPINOSA, J., concur.
|
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OPINION
FELDMAN, Chief Justice.
We review a court of appeals opinion affirming summary judgment for defendants. The trial court held that A.R.S. § 4-312(B) immunizes a social host from liability for serving alcohol to a minor who became intoxicated and injured an innocent third party. The court of appeals affirmed. Estate of Hernandez v. Arizona Board of Regents, 172 Ariz. 522, 838 P.2d 1283 (Ct.App.1991). It held A.R.S. § 4-312(B) severable from A.R.S. § 4-312(A), which we declared unconstitutional in Schwab v. Motley, 164 Ariz. 421, 793 P.2d 1088 (1990). The court of appeals also found that A.R.S. § 4-312QB) did not violate the anti-abrogation provisions of Ariz. Const, art. 18, § 6.
We have jurisdiction under Ariz. Const, art. 6, § 5(3) and A.R.S. § 12-120.24. We granted review to determine whether a non-licensee can be liable for damages for furnishing alcohol to a person under the legal drinking age who subsequently harms a third party. See Ariz.R.Civ.P. 23(c)(4).
FACTS
When reviewing a grant of summary judgment, we examine the facts in the light most favorable to the party opposing the motion. Gulf Ins. Co. v. Grisham, 126 Ariz. 123, 124, 613 P.2d 283, 284 (1980).
On August 27, 1988, a University of Arizona fraternity welcomed new members with a bid party. As was customary, the fraternity served alcohol. To purchase alcohol for social events, the fraternity maintained a separate fund to which all imbibing members contributed. The social fund chair, a member over the age of twenty-one, collected and held the liquor money, and ensured that noncontributing members did not drink at parties.
The fraternity’s officers kept background records on all members and were aware of their ages. As of August 27,1988, a majority of the members were under the legal drinking age of twenty-one. However, all members, regardless of age, could contribute to the fund; and contribution was the sole criterion to drink at parties. Several hundred people generally attended these functions, but the fraternity checked neither members nor non-members for proof of age.
John Rayner, a contributing fraternity member under twenty-one, drank at the bid party that night. At 1:45 a.m., Rayner’s car crashed into a vehicle driven by Ruben Hernandez. Rayner was driving over forty in a twenty-five mile-per-hour zone. At 2:30 a.m., his blood alcohol level was .15, exceeding the limit set by A.R.S. § 28-692(A)(2). The crash left Hernandez blind, severely brain-damaged, and quadriplegic.
Hernandez brought an action against Rayner for personal injuries, and his three adult children joined in the action to recover loss of consortium. Hernandez later amended the complaint to add as defendants: (1) the fraternity; (2) each fraternity member who contributed to the social fund that semester; (3) the lessor of the property on which the fraternity house was located; (4) the national fraternity organization; (5) the Arizona Board of Regents; and (6) a student assigned to the fraternity through a university student education program aimed at reducing alcohol-related problems among fraternities and sororities. Hernandez died in July 1990, and his personal representative was substituted as a plaintiff. Rayner settled and was dismissed from the suit. We refer to the remaining defendants collectively as “Defendants.”
LEGISLATIVE BACKGROUND
At one time, Arizona arguably did not recognize civil liability for those who furnished or sold alcohol that was a contributing factor in a later accident. See, e.g., Lewis v. Wolf, 122 Ariz. 567, 568, 596 P.2d 705, 706 (Ct.App. 1979); Profitt v. Canez, 118 Ariz. 235, 236, 575 P.2d 1261, 1262 (Ct.App.1978). In 1983, however, we held that a licensed tavern owner could be liable to third persons injured by an intoxicated patron. See Ontiveros v. Borak, 136 Ariz. 500, 667 P.2d 200 (1983). We also held that the tavern owner could be liable to a minor who was furnished alcohol and, as a result, injured himself. See Brannigan v. Raybuck, 136 Ariz. 513, 667 P.2d 213 (1983).
Following these decisions, in April 1985, the Arizona Legislature enacted A.R.S. § 4-301, dealing with “social hosts” and granting civil immunity to non-licensees who serve alcohol to a person over the legal drinking age. One obvious purpose of § 4-301 was to limit any extension of Ontiveros and Brannigan to non-licensees. The statute reads:
Liability limitation; social host
A person other than a licensee ... is not liable in damages to any person who is injured, or to the survivors of any person killed, or for damage to property, which is alleged to have been caused in whole or in part by reason of the famishing or serving of spirituous liquor to a person of the legal drinking age.
AR.S. § 4-301 (emphasis added).
The following year the legislature enacted 1986 Ariz.Sess. Laws ch. 329, entitled “Illegal Sale of Spirituous Liquor.” This act had only two sections, designated §§ 4-311 and 4-312. In pertinent part, the first provides:
Liability for serving intoxicated person or minor; definition
A. A licensee is liable for property damage and personal injuries or is liable to a person who may bring an action for wrongful death pursuant to § 12-612 if a court or jury finds the following:
1. The licensee sold spirituous liquor either to a purchaser who was obviously intoxicated, or to a purchaser under the legal drinking age without requesting identification containing proof of age or with knowledge that the person was under the legal drinking age,____
AR.S. § 4-311(A) (emphasis added).
The other provision, § 4-312(B), reads:
Liability limitation
Subject to the provisions of subsection A of this section[ ] and except as provided in section J/,-311, a person, firm, corporation or licensee is not liable in damages to any person who is injured, or to the survivors of any person killed, or for damage to property which is alleged to have been caused in whole or in part by reason of the sale, famishing or serving of spirituous liquor.
(Emphasis added). In Schwab we did not address the scope and effect of the immunity purportedly granted by § 4-312(B), but we must do so now.
DISCUSSION
A. Does A.R.S. § 4-312(B) provide immunity to non-licensees who illegally furnish alcohol to persons under the legal drinking age?
Defendants argue that they are protected under the language of § 4-312(B), which im munizes all persons, firms, or corporations not liable under § 4-311. Under Defendants’ reading, therefore, § 4-312(B) confers blanket immunity on everyone except those licensees who may be liable, in certain instances, under § 4-311. If correct, this theory would immunize Defendants and all non-licensees, including social hosts, under all circumstances.
1. The effect of A.R.S. § 4-301
Defendants’ argument stretches § 4-312(B) much too far for two reasons. First, it overlooks § 4-301, which is in the same chapter as §§ 4-311 and 4-312. By its title, § 4-301 is applicable to social hosts and immunizes only those non-licensees who furnish or serve alcohol “to a person of legal drinking age.” Conspicuously absent from § 4-301 is any provision immunizing non-licensees who serve those under the legal drinking age. It is a familiar if overused rule that a statute’s expression of one or more items of a class indicates legislative intent to exclude unexpressed items of the same class. Pima County v. Heinfeld, 134 Ariz. 133, 134, 654 P.2d 281, 282 (1982); Wells Fargo Credit Corp. v. Arizona Property & Cas. Ins. Guar. Fund, 165 Ariz. 567, 571, 799 P.2d 908, 912 (Ct.App.1990).
Second, and as important, common sense tells us that when, in dealing with a very controversial subject, the legislature took the trouble to expressly grant immunity for furnishing alcohol to persons of legal drinking age, it meant to exclude from its largesse those who furnish alcohol to persons below that age. We see no other rational construction of § 4-301, nor has any been suggested. We conclude, therefore, that § 4-301 covers non-licensee liability and grants no immunity when, as in this case, a non-licensee furnishes liquor to an underaged person. Defendants concede this interpretation but argue that § 4-301 was repealed.
2. Implied repeal
Notwithstanding the lack of express repeal, Defendants claim that § 4-301 is no longer in effect because it conflicts with the provisions of § 4-312(B), which grants immunity to all persons, firms, or corporations except those licensees hable under § 4-311. Because § 4r-312 was passed after § 4-301, Defendants argue we must resolve the conflict in the statutes by construing § 4r-312 as repealing § 4-301. Lemons v. Superior Court, 141 Ariz. 502, 505, 687 P.2d 1257, 1260 (1984). We disagree.
The law does not favor construing a statute as repealing an earlier one by implication. Pima County v. Maya Construction Co., 158 Ariz. 151, 155, 761 P.2d 1055, 1059 (1988); Mead, Samuel & Co., Inc. v. Dyar, 127 Ariz. 565, 568, 622 P.2d 512, 515 (Ct.App. 1980). Rather, whenever possible, this court interprets two apparently conflicting statutes in a way that harmonizes them and gives rational meaning to both. Id. We can do so here with a construction that both fulfills legislative intent and furthers legislative goals.
a. “Plain wording”
Defendants submit that the words of § 4-312(B)—“a person, firm, corporation or licensee is not hable,”—are plain and must be applied accordingly. They read the words as granting immunity to every person, firm, or corporation, hcensed or not, except those licensees hable under § 4-311 for sale to intoxicated or underaged persons. When determining legislative intent, they argue, courts must apply the ordinary meaning of the words used. This, of course, is true “unless it appears from the context or otherwise that a different meaning should control.” State v. Raffaele, 113 Ariz. 259, 262, 550 P.2d 1060, 1063 (1976) (emphasis added).
If read in isolation, the provisions of § 4-312(B) may seem unambiguous. However, given § 4-301, Defendants’ broad interpretation is insupportable. We beheve the section headings are telling. Although section headings are not part of the substantive law, see § 1-212, they aid interpretation when uncertainty exists. State v. Barnett, 142 Ariz. 592, 597, 691 P.2d 683, 688 (1984).
All three statutes are in chapter 3 of title 4. The chapter is entitled “Civil Liability of Licensees and Other Persons.” The legislature first addressed “other persons”—non-licensee, non-sale liability—in article 1 of chapter 3, denominated as § 4-301, “Liability limitation; social hosts” (emphasis added). The following year, the legislature added article 2 to chapter 3, entitled “Illegal Sale, of Spirituous Liquor” (emphasis added). These headings at least indicate that the legislature intended the first article (consisting of § 4-301) to apply to transactions other than sales and the second article (§§ 4^311 and 4r-312) to apply to sales under a license.
b. Legislative intent
We would be reluctant, of course, to base construction of such important statutes on chapter headings and section titles. However, Defendants’ argument that the conflict in the statutes indicates legislative intent to repeal the earlier statute has yet another fatal flaw. We believe that we would not only defy common sense if we were to conclude that § 4r-301 was repealed by implication on adoption of § 4-312 but would attack legislative competence as well.
Section 4-301 is not a technical provision that could be overlooked and impliedly repealed by a legislative committee engaged in the revision of some obscure portion of the code. Although such oversights may occur with legislative bodies and others, we deal here with three statutes passed by the same legislature. These statutes were contained in the same chapter and dealt with a subject that, after Ontiveros and Brannigan, was one of the most controversial before the legislature. In essence, Defendants ask us to assume that in 1986, when the legislature added article 2 (§§ 4r-311 and 4-312) to chapter 3, it forgot that just the previous year it had adopted article 1 of that chapter, expressly providing for only a partial limitation of social host liability. We do not assume so easily that the legislature was unaware of its own actions. Nor does the legislature’s own language admit of such a conclusion.
In 1985, when enacting § 4-301, the legislature’s stated purpose was “in no way [to modify] existing law with respect to the principles of civil liability applicable to licensees who sell, furnish or serve spirituous liquor.” A.R.S. § 4-301, Historical Note. We believe the only rational conclusion is that in 1985 the legislature enacted a provision (§ 4r-301) dealing only with the liability of non-licensees, and in 1986, the same legislature, after further. debate and thought, followed with two complementary provisions (§§ 4-311 and 4-312) regulating only licensee liability. We believe common sense makes this conclusion much more likely than the “legislature forgot” argument that we would otherwise have to adopt if we found an implied repeal.
The legislative record further indicates the lawmakers’ intent to address only licensees by the 1986 enactments. Legislative committee members considering § 4-312 discussed “bar owners” and “liquor establishments,” but never even mentioned social hosts or non-licensees in reference to the statute. See Minutes, Committee on Judiciary, H.B. 2376, March 3,1986. They referred to the proposed law as “dramshop legislation.” Id. The legislative minutes also contain numerous comments by bar and restaurant owners, and the Arizona Licensed Beverage Association, indicating that the pur pose of the 1986 legislation was to alleviate commercial vendors’ difficulties in obtaining affordable liquor liability insurance. Id. The owner of one Tempe establishment testified that his insurance premiums had jumped from $43,000 in 1983 (when there was almost no common-law liability) to $113,000 in 1985. Id. This testimony was typical of that given by several other individuals in the restaurant and bar industry. Id.
Some further history helps to clarify legislative intent. After passing §§ 4-311 and 4-312, citizens groups attempted to place the legislation on the November 1986 general election ballot as Proposition 301. See Proposition 301, Publicity Pamphlet. The measure evidently did not qualify. See State of Arizona Official Canvass, Nov. 4, 1986 (an official list of all measures that were actually on the ballot). Proposition 301 does not appear on the canvass—presumably because the sponsor did not collect the required signatures—but the Arizona Attorney General’s Office published the necessary publicity pamphlet.
As required by § 19-124, a simple analysis and a “pro” and “con” argument written by the Arizona Legislative Council, with input from informed and interested legislators, accompanied Proposition 301 in the publicity pamphlet. This analysis of Proposition 301 discussed only licensee liability, and in reference to § 4-312(B) states, “if the conditions listed in paragraphs 1, 2 and 3 above [§ 4-311] do not exist, then the liquor licensee is not liable.” Proposition 301, Publicity Pamphlet (emphasis added). In its supporting statement, the council even gave meaning to the terms “person,” “firm,” and “corporation” in the context of a liquor licensee. When discussing the “server” of liquor it stated, “every time a server pours a drink, he is exposing himself and the owner of the business to possible liability that can wipe out the business.” Id. (emphasis added). Hence, we believe that the legislature’s intent with respect to a person, firm, or corporation was to protect those associated with licensees. Our reading is reinforced by the wording of § 4-301, which excludes from immunity an employee of a licensee acting in connection with employment. This illustrates the legislature’s belief that the word “licensee” is broad enough to encompass those beyond the actual license holder.
In short, every aspect of the statute’s history indicates a legislative intent to regulate non-licensee liability under § 4r-301 and licensee liability under §§ 4-311 and 4^-312.
c. Overall legislative scheme
As this court has stated, “[w]hen the text of a statute is capable of more than one construction or result, 'legislative intent on the specific issue is unascertainable, and more than one interpretation is plausible, we ordinarily interpret the statute in such a way as to achieve the general goals that can be adduced from the body of legislation in question.” Dietz v. General Elec. Co., 169 Ariz. 505, 510, 821 P.2d 166, 171 (1991); see also City of Phoenix v. Superior Court, 144 Ariz. 172, 175-76, 696 P.2d 724, 727-28 (CtApp. 1985).
The legislature’s goals are clear. As pointed out in an amicus curiae brief, the legislature has responded to the tragic problem of underaged drinking with a strong policy of deterrence. The statutory scheme includes § 4-244(9), which creates criminal penalties for both minors who possess alcohol and licensees or others who serve alcohol to anyone under the legal drinking age; § 4-241(A), which requires a licensee or other person to demand identification before serving liquor to a person who appears underage; § 4-301, which grants immunity to social hosts only when serving those of the legal drinking age; § 4-312(A), which implies, among other things, that licensees are liable for injuries resulting from a licensee’s service to a minor; and § 8-249 (the “not a drop” law), which allows courts to suspend the driver’s license of a minor who drives while possessing or consuming any alcohol.
As a whole, this body of legislation reveals a definite scheme. The legislature has imposed criminal and other sanctions on all persons who, whether licensed or not, furnish alcohol to minors. Given this, it is unreasonable to assume that the legislature would provide civil relief to those who act illegally by serving alcohol to minors. Such a reading of § 4r-312(B) would give civil immunity to someone whose conduct could even result in a charge of manslaughter. See State v. Marty, 166 Ariz. 233, 801 P.2d 468 (Ct.App.1990) (defendant can be guilty of manslaughter by supplying drugs and alcohol to driver who subsequently dies in accident).
The parties have not cited, and we cannot find, any instance where the legislature has expressed such an intent. We can see no indication that the legislature wanted to abandon its comprehensive fight against the cost and carnage created by underage drinking and driving by granting immunity to those who illegally furnish alcohol to. minors.
3. Resolution
■ We conclude, therefore, that the most plausible interpretation of § 4-312(B) is that the immunity it grants applies solely to liquor licensees and their associates. In the statute, the word “person” must refer to a licensee’s agent or employee, while “firm or corporation” refers to any entity associated with the licensee, such as a partner, landlord, subsidiary corporation, or the like. The most reasonable construction is that by enacting § 4-312(B), the legislature protected only licensees and those associated with a licensee’s permitted activities from personal liability, “subject to” the common-law liability expressed in Ontiveros and Brannigan and codified in § 4-311.
This interpretation harmonizes all three statutes. It leaves § 4-301 intact, reconciles potentially conflicting wording in all three statutes, and implements the overall intent expressed in the chapter’s title, the legislative history, and the entire body of Arizona law on alcohol and minors.
We hold, therefore, that the term “person, firm or corporation” in § 4-312(B) is intended to protect from liability only licensees and their associates who conduct a transaction permitted under a license for the “sale, furnishing or serving” of alcohol. We further hold that § 4-312(B) has no effect on non-licensee liability under § 4-301. The statutory immunity granted by § 4-301 applies only when a non-licensee furnishes alcohol to “a person of legal drinking age.” Thus, no statutory immunity protects Defendants—all of whom are non-licensees who furnished alcohol to a minor.
This holding obviates the need to determine the constitutionality of A.R.S. § 4-312 under Ariz. Const, art. 18, § 6 or other issues such as severability, de facto licensee, and retroactivity. Having, determined that Defendants are not protected by any statutory immunity, we turn now to the question of common-law liability.
B. Is there a common-law cause of action against a social host who serves alcohol to a minor?
1. The effect of A.R.S. § 4-301
Defendants argue that if we sustain Hernandez’ claim, we create a new cause of action, infringing on the legislature’s realm. Given the noted statutory provisions, we see no infringement on legislative prerogative. Indeed, we believe that by granting immunity in A.R.S. § 4-301 only to those non-licensees who furnish or serve alcohol “to a person of the legal drinking age,” the legislature left this court to determine the liability, if any, of social hosts who furnish or serve alcohol to those under the legal drinking age. We see no other explanation for legislative action immunizing non-licensees who serve those of legal age and legislative silence on the question that then comes into focus: what about the liability of those who serve underaged drinkers?
Thus, we see no reason to “pass the buck” to the legislature. By the words of § 4-301, the lawmakers have obviously left resolution of this issue to us, and we would abdicate our responsibility by refusing to decide it.
2. The effect of criminal statutes
The common-law rule of non-liability was based on either a lack of causation or a lack of duty. The existence of a statute criminalizing conduct is one aspect of Arizona law supporting the recognition of duty in this cause of action. Like other states, Arizona has a statute making it a criminal offense to furnish alcohol to a minor. A.R.S. § 4r-244(9). A criminal statute may establish a tort duty if the statute is “designed to protect the class of persons, in which the plaintiff is included, against the risk of the type of harm which has in fact occurred as a result of its violation____” W. Page Keeton et al„ Prosser and Keeton on the Law of Torts § 36, at 229-30 (5th ed. 1984).
We have previously relied on § 4r-244 to sustain a cause of action against those who furnish alcohol to minors.
We believe that A.R.S. § 4-244(9) ... constitute^] legislative recognition of the foreseeable danger to both the patron and third parties, and an effort to meet that danger by enactment of laws designed to regulate the industry, to protect third persons, and to protect those who are underage from themselves.
Brannigan, 136 Ariz. at 517, 667 P.2d at 217.
Although Bmnnigan addressed licensee liability, § 4-244(9) makes it a crime for anyone to furnish alcohol to a minor. We believe the rationale of Bmnnigan is certainly broad enough to apply to the facts of this case. Here, as in Ontiveros and Brannigan, we find Defendants’ violation of the statute further supports a civil cause of action. These provisions are not new. The statutory prohibition against furnishing alcohol to a minor is long settled in Arizona. It was a crime as early as 1887. “Every person who shall directly or indirectly, knowingly ... give away any intoxicating liquor to any minor ... without the consent of [the minor’s] guardian or parent, shall be deemed guilty of a misdemeanor, ...” Arizona Penal Code § 514 (1887); see also Arizona Penal Code § 270 (1901) (adopting the same ban). Based on past and present statutes, we see no constriction of the duly of social hosts under the facts of this case.
3. Duty based on common-law principles
Many state courts faced with a claim against a social host who served alcohol to a minor have found this to be a valid cause of action properly before the judiciary. Cravens v. Inman, 223 Ill.App.3d 1059, 166 Ill. Dec. 409, 586 N.E.2d 367 (Ill.Ct.App.1991) (citing cases), rev. granted, 143 Ill.2d 637, 167 Ill.Dec. 398, 587 N.E.2d 1013 (1992), appeal dismissed, 168 Ill.Dee. 19, 589 N.E.2d 133 (1992). See generally Edward L. Raymond, Jr., Annotation, Social Hosts Liability for Injuries Incurred by Third Parties as a Result of Intoxicated Guest’s Negligence, 62 A.L.R. 4th 16 (1988). A minority of courts have left this problem to their legislatures for various reasons. See, e.g., Cravens, 166 Ill.Dee. at 420, 586 N.E.2d at 375-78. Most have deferred because their legislatures had “entered the field” and they felt the “policy decisions” were better left to them. See, e.g., Bankston v. Brennan, 507 So.2d 1385, 1387 (Fla.1987). As noted above, we believe that the legislature invited this court to decide the question of liability for those who furnish alcohol to minors by declaring an immunity extending only to adults. See A.R.S. § 4-301.
It is especially appropriate for this court to address this issue because, under Ariz. Const, art. 18, § 6, Arizona’s judiciary shares responsibility for the evolution of the law of torts. Law v. Superior Court of State of Arizona, 157 Ariz. 147, 156, 755 P.2d 1135, 1143 (1993), (“[Tjhis court has an obligation to participate in the evolution of tort law so that it may reflect societal and technological changes.”) (citing Summerfield v. Superior Court, 144 Ariz. 467, 698 P.2d 712 (1985)). This court is a proper forum in which to resolve this important issue. As we have held:
[T]he common law, which is judge-made and judge-applied, can and will be changed when changed conditions and circumstances establish that it is unjust or has become bad public policy. In reevaluating previous decisions in light of present facts and circumstances, we do not depart from the proper role of the judiciary.
Ontiveros, 136 Ariz. at 504, 667 P.2d at 204.
Before 1983, this court arguably recognized the common-law rule of non-liability for tavern owners and, presumably and a fortiori, for social hosts. Id. Traditional authority held that when “an able-bodied man” caused harm because of his intoxication, the act from which liability arose was the consuming not the furnishing of alcohol. See also Megge v. United States, 344 F.2d 31, 32 (6th Cir.), cert. denied, 382 U.S. 831, 86 S.Ct. 69, 15 L.Ed.2d 74 (1965); 45 Am.Jur.2d Intoxicating Liquors § 553 (1969).
However, the common law also provides that:
One who supplies ... a chattel for the use of another whom the supplier knows or has reason to know to be likely because of his youth, inexperience, or otherwise ... to use it in a manner involving unreasonable risk of physical harm to himself and others ... is subject to liability for physical harm resulting to them.
Restatement (Second) of Torts § 390 (1965) (hereinafter Restatement). Arizona’s courts have repeatedly followed the Restatement’s analysis in this area. See Powell v. Langford, 58 Ariz. 281, 119 P.2d 230 (1941) (lending car to intoxicated driver); Lutfy v. Lockhart, 37 Ariz. 488, 295 P. 975 (1931) (giving automobile to incompetent driver); see also Ontiveros, 136 Ariz. at 508, 667 P.2d at 208 (same analysis as Restatement § 390).
Even in an earlier era, it was actionable negligence to furnish a minor with a dangerous instrument. For example, in Anderson v. Settergren, 100 Minn. 294, 111 N.W. 279 (1907), relying on a criminal statute making it illegal for one under the age of fourteen to possess a gun, the Minnesota Supreme Court held the defendant liable for damage resulting from furnishing a thirteen-year-old with a gun. The court stated: “ ‘Every man must be taken to contemplate the probable consequence of the act he does.’ ” Id. 111 N.W. at 280-81 (quoting Townsend v. Wathen, 103 Eng.Rep. 579, 580-81 (1808)).
This principle, like Restatement § 390, found common application in cases involving furnishing cars to inexperienced, youthful, or intoxicated drivers. See Engleman v. Traeger, 136 So. 527, 530 (Fla.1931) (“every court in the land has recognized” liability for entrusting a car to a person who is drinking); Ransom v. City of Garden City, 113 Idaho 202, 743 P.2d 70 (1987) (city can be hable when police officer entrusted keys to intoxicated person who then caused an automobile accident).
We perceive little difference, in principle between liability for giving a car to an intoxicated youth and liability for giving drinks to a youth with a car. If there should be a difference between duty in the former and the latter, no case cited has explained it to us, and we perceive none. If the recipient is known to be incompetent to receive the dan gerous instrument, it is irrelevant whether it is a loaded gun, a car, or alcohol. The theory of recovery is the same and was well-established long ago. This, perhaps, is the unarticulated rationale explaining why so many states now impose either common-law or statutory liability in cases such as this. See Cravens, 166 Ill.Dec. at 416, 586 N.E.2d at 374 (listing states). Perhaps these states have interpreted common-law concepts of duty as broad enough to encompass the liability of one who furnishes alcohol to a minor. See, e.g., Wiener v. Gamma Pi, 258 Or. 632, 485 P.2d 18 (1971); Congini v. Portersville Valve Co., 504 Pa. 157, 470 A.2d 515 (1983); Koback v. Crook, 123 Wis.2d 259, 366 N.W.2d 857 (1985).
4. Duty based on prior Arizona case law
In 1940, this court sustained a claim for a wife’s loss of consortium against defendants who had supplied liquor to her husband, despite knowing he was alcoholic. Pratt v. Daly, 55 Ariz. 535, 104 P.2d 147 (1940). Although it recognized that Arizona had no dram shop statute, this court held that there is a duty not to provide liquor to persons known to have subnormal ábility to control their actions. Id. at 546, 104 P.2d at 151. As in the present case, the defendants in Pratt argued there was no Arizona precedent for such a decision and no common law to sustain the action, and therefore the court would be legislating if it allowed the claim to proceed. With great wisdom, Judge Alfred C. Lockwood replied:
Every requested application of the principles of the common law to a new set of circumstances is originally without precedent, and some court must be the first one to make the proper application.
In answer to the second question, ... [w]e are asked to declare what the common law is and always has been, and a declaration by us that it has always permitted such an action, even though none has ever actually been brought, is no more legislation than would be a declaration that it does not.
Id. at 545-46, 104 P.2d at 151.
A minor is similar to an adult who has diminished judgment and capacity to control his alcohol consumption. Moreover, unlike Pratt, where the tortious conduct was legal, here it is illegal to furnish alcohol to a minor.
In Brannigan, this court sustained an analogous claim, basing its decision on the duty, foreseeability, and causation issues related to furnishing alcohol to a minor. We held in relevant part:
A growing number of cases, however, have recognized that one of the very hazards that makes it negligent to furnish liquor to a minor ... is the foreseeable prospect that the [youthful] patron will become drunk and injure himself or others. Accordingly, modem authority has increasingly recognized that one who furnishes liquor to a minor ... breaches a common law duty owed ... to innocent third parties who may be injured.
Brannigan, 136 Ariz. at 516, 667 P.2d at 216 (citations omitted). Although Brannigan dealt with a licensee, the common-law concept of the duty of reasonable care logically applies whether the individual furnishing alcohol to an underage person is a licensee or social host.
Nor are considerations of proximate causation a reason to conclude there is no liability as a matter of law in all cases. See Ontiveros, 136 Ariz. at 505, 667 P.2d at 205 (finding that both furnishing and drinking alcohol contributed to the cause of the subsequent accident). Furnishing alcohol to underaged consumers creates an obvious and significant risk to the public. The facts of this case and its two companion cases are illustrative. We are hard pressed to find a setting where the risk of an alcohol-related injury is more likely than from underaged drinking at a university fraternity party the first week of the new college year.
CONCLUSION
The factors we have considered on the issue of recognizing the common-law liability of those who provide alcohol to persons under the legal drinking age point to a single conclusion. Furnishing alcohol to underaged drinkers violates numerous statutes. It is outside the area of immunity from civil liability described by the legislature in A.R.S. §§ 4-301 and 4-312. It is within the area left by the legislature to judicial decision. The conduct in question violates well-established common-law principles that recognize a duty to avoid furnishing dangerous items to those known to have diminished capacity to use them safely. These principles are embodied in Arizona authority and in the majority of cases that have examined the question of common-law duty.
We join the majority of other states, therefore, and conclude that as to Plaintiffs and the public in general, Defendants had a duty of care to avoid furnishing alcohol to underaged consumers. We understand the need to specify in this area of tort law what we hold and what we do not. We hold only that the so-called traditional rule—if ever there was one—of non-liability when a non-licensee serves alcohol to minors does not exist in Arizona. We do not, in this opinion, lay down any rule of absolute liability for serving alcohol to minors. We also expressly refrain from addressing, considering, or deciding in any way the liability of non-licensees for serving adults or the validity of A.R.S. § 4-301 under Ariz. Const, art. 18, § 6.
Arizona courts, therefore, will entertain an action for damages against a non-licensee who negligently furnishes alcohol to those under the legal drinking age when that act is a cause of injury to a third person.
We vacate the court of appeals’ opinion and reverse the trial court’s judgment. Because we do not, at this stage in the case, reach the questions of negligence or cause in fact, we simply remand to the trial court for further proceedings.
MOELLER, Y.C.J., and CORCORAN, ZLAKET and MARTONE, JJ., concur.
. We consolidated this case for oral argument with Petolicchio v. Santa Cruz County Fair & Rodeo Ass'n, No. CV-92-1098-PR, and Simental v. Magma Copper Co., No. CV-92-0036-PR, which present related issues.
. But see McFarlin v. Hall, 127 Ariz. 220, 619 P.2d 729 (1980) (court found liability when bar owner continued to serve intoxicated patron with knowledge of patron's violent temper, and failed to warn or protect fellow patrons, one of whom the intoxicated patron shot in parking lot); Pratt v. Daly, 55 Ariz. 535, 104 P.2d 147 (1940) (court found liability based on server’s knowledge of imbiber’s alcoholism).
. A.R.S. § 4-312(A) limited liability by preventing intoxicated persons and their companions from suing the licensee provider of the alcohol. In Schwab, we found this section unconstitutional because it mandated a finding of contributory negligence and assumption of the risk, impermissibly infringing on the jury’s right to decide the question in "all cases” as guaranteed under the Arizona Constitution. Schwab, 164 Ariz. at 425, 793 P.2d at 1092; Ariz. Const, art. 18 § 5; see generally Richard Gordon, Note, Schwab v. Matley: The Constitutionality of the Legislative Attempt to Limit Dramshop Liability in Arizona, 33 Ariz.L.Rev. 955 (1991).
. The subject of this legislation was hotly debated. See, e.g., New law takes aim at teen-age ‘keg parties,’ Ariz. Daily Star, May 4, 1985, § B, at 6.
. For example, in one of several articles, the Arizona Daily Star called Ontiveros and Brannigan "landmark decisions.” The paper, quoting a legislator about resulting legislation, stated "[a]nytime you get into legislation that involves alcohol, you get into a lot of discussion.” See Bars liable for patrons, state justices rule, Ariz. Daily Star, July 7, 1983, at 9.
. We consider this testimony in conjunction with the legislators’ own comments and only to discern the subject matter. Little weight is generally given to non-legislative testimony when determining legislative intent, unless there is some indication that such evidence reflects the legislators' views. See Turner v. Prod, 707 F.2d 1109, 1119 (9th Cir.1983) ("[Tjestimony of witnesses before congressional committees prior to passage of legislation generally constitutes only ‘weak evidence’ of legislative intent.”) (citing 2A C.D. Sands, Statutes and Statutory Construction, A Revision of the Third Edition of Sutherland on Statutory Construction § 48.10 (4th ed. 1973)), rev’d on other grounds, Heckler v. Turner, 470 U.S. 184, 105 S.Ct. 1138, 84 L.Ed.2d 138 (1985).
. The version of § 19-124, in effect in 1986 stated:
B. Not later than sixty days preceding the regular primary election the legislative council, after providing reasonable opportunity for comments by all legislators, shall prepare and file with the secretary of state an analysis of the provisions of each ballot proposal of a measure or proposed amendment____
(Emphasis added.)
. The statistics are alarming. In 1990, about 30.8% of fatally injured 16- to 20-year-old drivers were intoxicated at the time of the accident. More than 43% of all deaths of 16- to 20-year-olds in 1990 resulted from automobile accidents. Almost half of those were alcohol-related. Of all persons arrested for DUI/DWI nationally, approximately 26% were under the age of 25. Alcohol is a factor in 21% of all college dropouts and that likely costs nearly $210 million in tuition in 1991. MADD Amicus Curiae Brief, Appendix A.
. Cf. Michael P. Rosenthal, The Minimum Drinking Age for Young People: an Observation, 92 DickA.Rev. 649, 656 n. 62 (1988) ("every state bans sales [of alcohol] to minors”).
. We contrast these facts with those in Keckonen v. Robles, 146 Ariz. 268, 705 P.2d 945 (Ct. App.1985), where the court of appeals found no duty upon which to extend liability to social hosts. In Keckonen, a social host furnished alcohol to an intoxicated adult. The court expressly excluded minors from the scope of its decision. Id. at 269 n. 1, 705 P.2d at 946 n. 1.
. See Cruse v. Aden, 127 Ill. 231, 20 N.E. 73, 74 (1889) ("It was not a tort at common law to either sell or give intoxicating liquor to ‘a strong and able-bodied man’ ”).
. See also Binford v. Johnston, 82 Ind. 426 (1882) (holding defendant liable for harm caused from giving toy pistol loaded with gunpowder and ball to two boys, ages 10 and 12); Carter v. Towne, 98 Mass. 567 (1868) (holding licensed gunpowder seller liable for harm caused by providing gunpowder to 8-year-old child); Lynch v. Nurdin, 1 Q.B. 30, 113 Eng.Rep. 1041 (1841) (finding that defendant negligently left horse and cart in street, causing child to be injured when he climbed into cart).
. In speaking of duty here, we include not only the concepts of duty as described in most cases, see, e.g., Markowitz v. Arizona Parks Board, 146 Ariz. 352, 706 P.2d 364 (1985), but also the concept of proximate cause, or the so-called able-bodied man theory, that was mixed with the duty issue in some of the older cases, such as Cruse. See supra, n. 10. In doing so, however, we do not address fact-intensive questions involving proximate cause or any question of negligence or cause in fact.
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OPINION
ESPINOSA, Presiding Judge.
The state appeals from the trial' court’s dismissal without prejudice of the indictment charging appellee with unsworn falsification in violation of A.R.S. .§ 13-2704(A)(2). We agree that the court erred in dismissing the indictment and reverse.
In 1986 appellee was a witness to the killing of two men. Her boyfriend, Edward Chiles, was charged with second-degree murder, and appellee testified at his trial. Chiles was acquitted of killing one of the men and convicted of second-degree murder as to the second. A new trial was ordered because of juror misconduct, appellee again testified, and Chiles was convicted of manslaughter. A new trial was again ordered, this time because of the court’s conclusion that the verdict was contrary to the weight of the evidence. The state appealed, and the new trial order was affirmed by Division One of this court in March 1989.
In July 1989, Chiles and appellee were indicted on drug charges, and in August 1989, appellee was indicted on theft and burglary charges. In December 1989, appellee agreed to testify against Chiles at his drug trial in exchange for the dismissal of the drug charges against her. Based on the agreement, the state dismissed the drug charges against appellee. It also dismissed her theft and burglary charges in order to enhance her credibility. Chiles subsequently pled guilty in the drug case.
The agreement on the drug charges was reached between appellee, a Phoenix police detective, and a Maricopa County prosecutor while appellee was serving time in the Maricopa County Jail for prostitution. At the conclusion of the discussion, appellee stated that she had lied during Chiles’s previous homicide trials and wanted to tell the truth at his third trial. She then gave a tape-recorded statement. During Chiles’s third homicide trial in March 1990, appellee testified consistently with her testimony in the two previous trials. On cross-examination, Chiles’s attorney asked her about the fact that she had given a different statement in December 1989. Appellee agreed that her testimony differed from her statement and told the attorney she had lied in her statement because she had been facing “a lot of time” in the penitentiaiy. Chiles was acquitted at his third trial.
Appellee was then indicted for her false statement to the detective and the prosecutor in the December 1989 pretrial interview. Appellee moved to dismiss, arguing that the facts alleged in the indictment do not constitute a criminal offense and that the unsworn falsification statute is unconstitutional. The trial court granted appellee’s motion to dismiss, concluding without explanation that the statute was not applicable to the facts of this case. The court also ruled that the statute is constitutional.
A person commits unsworn falsification by knowingly:
1. Making any statement which he believes to be false, in regard to a material issue, to a public servant in connection with an application for any benefit, privilege or license.
2. Making any statement which he believes to be false in regard to a material issue to a public servant in connection with any official proceeding as defined in § 13-2801.
A.R.S. § 13-2704(A). An “official proceeding” is defined as “a proceeding heard before any legislative, judicial, administrative or other governmental agency or official authorized to hear evidence under oath.” A.R.S. § 13-2801(2). There are no cases interpreting § 13-2704.
It is not disputed that appellee made a statement that she believed to be false. It is also not disputed that she made the statement to a public servant, as defined in A.R.S. § 13-105(30). Nor is it disputed that the statement was made in regard to a material issue. In her December 1989 pretrial interview, appellee told the detective and the prosecutor that Chiles had told one of the men he would shoot him and had aimed the gun at him as he said it. At his trial, she denied that Chiles had pointed a gun at anyone at the time he made the threat. The only issue before us, then, is whether statements in a pretrial interview are made “in connection with” an official proceeding.
Because the phrase “in connection with” is not defined in the statute and because there is no indication that it is to be given an unusual meaning, we refer to a widely respected dictionary for assistance. State v. Wise, 137 Ariz. 468, 671 P.2d 909 (1983). As the state observes, “connection” is defined as “a relationship or association in thought.” Webster’s Third New International Dictionary 481 (1971). Clearly, pretrial interviews conducted in preparation for and in anticipation of trial, an official proceeding under the definition of A.R.S. § 13-2801, bear a sufficient relationship to the trial itself to constitute having been performed “in connection with” the trial. Indeed, were it not for the prospect of a trial, there would be no reason to conduct pretrial interviews.
We find no merit to appellee’s contention that the statements she made are not subject to prosecution because they were not made in the official proceeding itself. Appellee’s interpretation of the statute renders meaningless the words “in connexion with,” contrary to the principles of statutory interpretation. Kriz v. Buckeye Petroleum Co., 145 Ariz. 374, 701 P.2d 1182 (1985); State Board of Technical Registration v. McDaniel, 84 Ariz. 223, 326 P.2d 348 (1958). Had the legislature intended to so limit the reach of the statute, it need only have said in rather than in connection with an official proceeding, the latter language clearly reflecting a broader scope.
Nor do we find merit to appellee’s argument that the statute does not apply because neither the detective nor the prosecutor is authorized to take oaths. The official proceeding must be held by an entity or official authorized to hear evidence under oath. § 13-2801(2). That requirement is satisfied here; Chiles’s trial was held in superior court, and the proceedings were conducted under oath. Appellee’s statement, however, was made to a public servant, a requirement of the unsworn falsification statute itself. § 13-2704(A)(2). The statute does not require that the statement be made to a person authorized to take oaths.
Finally, we reject appellee’s contention that the state’s interpretation of the statute renders it overbroad and too vague to enforce. Because we have concluded that appellee engaged in some conduct that is proscribed by the statute, she has no standing to complain that it might be vague when applied to the conduct of others. Village of Hoffman Estates v. Flipside, Hoffman Estates, Inc., 455 U.S. 489, 102 S.Ct. 1186, 71 L.Ed.2d 362 (1982). The example appellee cites in support of her overbreadth argument fails to meet the statute’s requirements either of materiality or connection with an official proceeding.
The order dismissing the case is reversed, and the case is remanded for further proceedings.
DRUKE, C.J., and HATHAWAY, J., concur.
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OPINION
GRANT, Judge.
Petitioner Bonnie Blazek (“petitioner”) brings this special action from the trial court’s order denying her Motion for Protective Order. The issue presented is whether the trial court was arbitrary and capricious or abused its discretion by ruling (1) that the marital communications privilege allows discovery of statements made by petitioner to her husband when they were separated, and (2) that petitioner must produce psychological records relating to her divorce and child custody proceedings because she put her psychological state in issue by claiming emotional damages in this civil suit for sexual harassment and rape. We accepted jurisdiction by an order dated November 30, 1993, with this opinion to follow because the existence of a privilege is a question of law and a special action is the appropriate means of relief when a party is ordered to disclose what she believes is privileged material. State ex rel. Romley v. Superior Ct. (Roper), 172 Ariz. 232, 235, 836 P.2d 445, 448 (App. 1992). We grant partial relief by vacating the trial court’s orders.
I. FACTUAL AND PROCEDURAL HISTORY
This case arises from petitioner’s pending lawsuit in which she alleges that real party in interest Charles Edward Segrave (“Segrave”) sexually harassed and raped her while he was her supervisor at the Scottsdale Unified School District. Segrave admits that he became romantically interested in petitioner while he was working with her, but denies any sexual misconduct.
Petitioner complained of harassment by Segrave to the School District on August 21, 1990. The School District investigated the charges and ultimately removed Segrave from his position. The School District’s investigators interviewed petitioner on August 29 and August 30, 1990. She did not allege then that Segrave had raped her. She was expressly asked if she had engaged in sexual intercourse with Segrave and she stated that she had not done so.
Petitioner and her husband, Terry Blazek, were separated for most of the time during which the sexual harassment was allegedly occurring and at the time the alleged rape occurred. When petitioner first accused Segrave of rape, she was involved in a divorce proceeding in which her husband challenged her fitness as a parent for the custody of their children. The domestic relations court appointed Dr. Ronn Lavit, a psychologist, to evaluate the parties’ fitness relating to custody and visitation, and ordered petitioner to submit her medical records to him. Petitioner did not participate in the evaluation, although she did release her records to Dr. Lavit. The court awarded custody of the children to petitioner’s ex-husband, Terry.
After the divorce, petitioner consulted with Dr. Marcus Earle, another psychologist, for advice concerning visitation problems with her children. In the course of counseling petitioner, Dr. Earle met with petitioner’s ex-husband and attempted to reconcile the couple. In his conversations with Dr. Earle, petitioner’s ex-husband made allegations of sexual misconduct by petitioner which are reflected in Dr. Earle’s records.
In defending this civil suit, the School District subpoenaed the records of Dr. Lavit and Dr. Earle and noticed the deposition of petitioner’s ex-husband. Petitioner sought a protective order, inter alia, quashing the subpoenas for Dr. Lavit’s and Dr. Earle’s records and barring Segrave from eliciting or using any information relating to the former marriage between petitioner and Terry Blazek. This special action arises from the trial court’s denial of the petitioner’s requested protective order.
II. DISCUSSION
Was the Trial Court’s Denial of Petitioner’s Motion For Protective Order Arbitrary and Capricious or An Abuse of Its Discretion?
A trial court has broad discretion over discovery matters, and this court will not disturb that discretion absent a showing of abuse. Brown v. Superior Ct., 137 Ariz. 327, 331, 670 P.2d 725, 729 (1983). A trial court abuses its discretion when it misapplies the law or predicates its decision upon irrational bases. Id. at 332, 670 P.2d at 730. Whether an evidentiary privilege exists is a question of law, and we are not bound by the trial court’s conclusions of law. City of Tucson v. Superior Ct., 167 Ariz. 513, 809 P.2d 428 (1991); State ex rel. Babbitt v. Arnold, 26 Ariz.App. 333, 548 P.2d 426 (1976). We construe privilege statutes narrowly because they exclude relevant evidence and impede the fact-finder’s search for the truth. Church of Jesus Christ of Latter-Day Saints v. Superior Ct., 159 Ariz. 24, 29, 764 P.2d 759, 764 (App.1988).
A. Does the marital communications privilege protect statements between spouses during periods of separation?
In the trial court, petitioner surmised that Segrave would elicit information from her ex-husband about petitioner’s alleged marital infidelities. Petitioner sought a protective order “barring defendants ... from interro gating or eliciting from plaintiffs ex-husband, Terry, by any means any ‘communications,’—-verbal or non-verbal or documentary—by or between Bonnie and Terry during the time of their marriage; [and] prohibiting defendants from using any documents or testimony, directly or indirectly, relating to the marital relationship between Bonnie and Terry.” The trial court held, “Where, as here, the marriage was irretrievably broken at the time of separation, statements made by wife to husband during the period of separation are not privileged.” Petitioner requests this court to issue an order “[sustaining Bonnie’s marital privilege and prohibiting the real parties in interest from interrogating Terry Blazek regarding any conversations/matters that related to or took place during their marriage, including periods they were separated.”
There are two marital privileges. The anti-marital fact privilege enables a party spouse in civil and criminal proceedings to prevent the other spouse from testifying. Ariz.Rev.Stat.Ann. (“AR.S.”) §§ 12-2231 to -2232 (1982) ; AR.S. § 13-4062. See generally Morris K. Udall et al., Law of Evidence § 72 at 130 (3d ed. 1991). Dissolution of the marriage terminates this privilege.
The marital communications privilege, which petitioner has invoked, protects confidential communications made between spouses while they are married. AR.S. § 12-2232. Unlike the anti-marital fact privilege, the marital communications privilege survives the termination of the marriage. The marital communications privilege protects only confidential communications; it does not protect non-confidential communications or non-communicative acts. Our supreme court has stated:
Each [spouse] may testify for or against the other as to matters which came to their knowledge during the existence of the marital relation, unless such matters were in the nature of confidential communications. In other words, they may testify as to what was done by either spouse, but not as to what was said if it was in the nature of a confidential communication.
Posner v. New York Life Ins. Co., 56 Ariz. 202, 207, 106 P.2d 488, 491 (1940); see also State v. Hunt, 8 Ariz.App. 514, 522, 447 P.2d 896, 904 (1968) (“The privilege only extends to communications and does not apply to acts.”); United States v. McCown, 711 F.2d 1441, 1452 (9th Cir.1983) (marital privilege applies to utterances or expressions between husband and wife that are intended to be communicative and confidential). All marital communications are presumed to be confidential, and the burden to prove otherwise is on the person seeking to avoid the application of the privilege. Arizona Title Guar. & Trust Co. v. Wagner, 75 Ariz. 82, 87, 251 P.2d 897, 901 (1952).
The trial court found an exception to the marital communications privilege for statements made during periods of separation in “irretrievably broken” marriages. This exception is not one of the four statutory exceptions found in A.R.S. section 12-2232, nor is it found elsewhere in our statutes. See AR.S. § 12-1671 (privilege does not apply in proceedings under Uniform Reciprocal Enforcement of Support Act); AR.S. § 13-3620(F) (privilege does not apply in any proceeding in which a child’s neglect, dependency, abuse or abandonment is at issue); AR.S. § 13-4062 (privilege does not apply in actions for interspousal crimes, cer tain sex crimes, or a husband’s failure to support his wife or minor children).
In support of the trial court’s ruling, Segrave cites federal cases which have limited the application of the marital communications privilege to “communications that take place during a valid marriage between couples still eohabitating____” United States v. Byrd, 750 F.2d 585, 593 (7th Cir.1984). These decisions reason:
[W]hile it is in the interests of society to protect the confidentiality of the marriage relationship, there is little societal interest in protecting the confidential relationship of permanently separated couples. The importance of the search for truth at issue in a criminal trial outweighs the interest in protecting separated couples’ confidentiality-
Id.; United States v. Roberson, 859 F.2d 1376, 1380 (9th Cir.1988). In addition to these federal decisions, Segrave points to dicta in a state murder case which suggests that Arizona’s marital privileges may not protect communications made during separations: “[T]he reasons for not permitting a wife to testify against her husband are not present in the instant case because it had already been agreed that the marital relationship would be terminated.” State v. Crow, 104 Ariz. 579, 586, 457 P.2d 256, 263 (1969), overruled on other grounds by State v. Burchett, 107 Ariz. 183, 484 P.2d 179 (1971).
Despite the dicta in Crow, Arizona law does not recognize an exception to the marital communications privilege for statements made during periods of separation, or when the marriage has been “irretrievably broken” but the parties are not yet divorced. See State ex rel. Woods v. Cohen, 173 Ariz. 497, 844 P.2d 1147 (1992).
Because the legislature has codified the marital communications privilege, we look to the words, context, reason and spirit of the statute. Humana Hosp. Desert Valley v. Superior Ct., 154 Ariz. 396, 402, 742 P.2d 1382, 1388 (App.1987). “[C]lear and unambiguous language is given its plain meaning unless absurd or impossible consequences will result.” Dunn v. Industrial Comm’n, 177 Ariz. 190, 194, 866 P.2d 858, 862 (Jan. 6, 1994). Here, the language describing the privilege provides that “any communications made by one [spouse] to the other during the marriage ” are privileged. A.R.S. § 12-2232 (emphases added). We take this language to mean what it says and note the obvious: couples who are separated but not yet divorced are still legally married. Further, the legislature has listed several exceptions to the marital communications privilege, yet it has not provided an exception for statements made during periods of separation. See A.R.S. §§ 12-2232; 12-1671; 13-3620(F); 13-4062. These specific exceptions to the privilege imply that the legislature did not intend other exceptions, such as for periods of separation or for “irretrievably broken marriages.” See Pima County v. Heinfeld, 134 Ariz. 133, 134, 654 P.2d 281, 282 (1982) (expression of specific exceptions to confidentiality requirement of Open Meeting Law for some persons implies an intent not to except other persons). Thus, neither the plain language granting the privilege nor the enumerated exceptions to it suggest that the privilege leaves unprotected communications made during periods of separation.
To find an exception for communications between spouses in “irretrievably broken marriages” would be contrary to Arizona’s public policy. In other áreas of domestic relations law Arizona has strong presumptions in favor of the marital community. See, e.g. Carroll v. Lee, 148 Ariz. 10, 712 P.2d 923 (1986) (nearly conclusive presumption that all property acquired during marriage is community property). Just as our courts have construed the marital privilege strictly against non-married couples, see State v. Watkins, 126 Ariz. 293, 298, 614 P.2d 835, 840 (1980) (marital privileges do not apply to “de facto” or “quasi” marriages), Arizona’s public policy justifies extending the full benefit of the privilege to validly married couples, including couples who are separated. Indeed, the reasons justifying the marital communications privilege—“encourag[ing] marital partners to share their most closely guarded secrets and thoughts, thus adding an additional measure of intimacy and mutual sup port to the marriage” —apply with equal force to married couples who, despite the appearance to outsiders of an “irretrievably broken marriage,” may still share hopes of reconciliation. Here there had been no legal determination that the marriage was “irretrievably broken.” Couples may separate and reunite without the marriage being legally dissolved.
Moreover, any determination that a particular communication is not protected because it was made when the marriage was irretrievably broken would be made in complete hindsight. For instance, an ex-husband, or even a third party as happened in the present case, might be able to subsequently convince a court that a wife’s confidential communication to her then-husband is not worthy of protection because, as it later turns out, their marriage was irretrievably broken when the communication was made. Married partners could no longer be confident that their private revelations to each other would remain private. This uncertainty would defeat the policy behind the privilege.
Sound judicial policy also weighs against reading an “irretrievably broken marriage” exception into the privilege. Such a standard would create far more evidentiary problems than it would solve. For example, federal district courts following the Roberson approach must “undertake a ... detailed investigation into the irreconcilability of the marriage” considering (1) the duration of the separation and the stability of the marriage at the time of the communication, (2) whether one of the spouses had filed for divorce, (3) the relationship of the parties prior to the communication, (4) substantially supported allegations of gross misconduct, (5) statements by either party regarding irreconcilability or the reasons for a prolonged absence from the home, and (6) “all other relevant circumstances.” 859 F.2d at 1381. Arizona’s already overburdened trial courts should not undertake the onerous task of making a “case by case qualitative and quantitative analysis, of such factors as intimacy, voluntary commitment, stability and psychological involvement.” State v. Watkins, 126 Ariz. at 298, 614 P.2d at 840.
Although we share Roberson’s concern for “balancing society’s interest in the search for truth and administration of justice with society’s interest in the confidentiality of marriage,” 859 F.2d at 1380, our legislature has already balanced these interests for Arizona. The unambiguous statutory language and the public policy expressed throughout Arizona statutes make clear that married couples, even those who may be separated, enjoy the privilege to communicate their deepest feelings to each other without fear of eventual exposure in a court of law. Therefore, the trial court abused its discretion when it read an “irretrievably broken marriage” exception into the marital communications privilege.
Petitioner, however, has overstated the relief to which she is entitled. The marital communications privilege, properly construed, does not allow her to prevent Segrave from “interrogating Terry Blazek regarding any conversations/matters that related to or took place during their marriage____” To the contrary, Segrave may depose petitioner’s ex-husband concerning all relevant matters except confidential communications made during the marriage. This means that all non-communicative actions which Terry observed during the marriage and any non-confidential communications between petitioner and her ex-husband are subject to discovery in Terry’s deposition. Petitioner’s concerns that her ex-husband may “blurt out” privileged communications should be resolved through objections at the deposition and sanctions for any deliberate misconduct. See Rules 16(f) and 26(f), Ariz.R.Civ.P.; accord United States v. Davis, 714 F.Supp. 853, 870 (S.D.Ohio 1988) (stating that to bar former spouse from testifying altogether is excessive; rather, husband should object at trial to prevent ex-wife’s disclosure of marital communications).
B. Did petitioner waive the psychologist-patient privilege by claiming emotional distress damages and thereby putting her psychological state in issue?
The trial court ruled that neither Dr. Lavit’s nor Dr. Earle’s records concerning petitioner were privileged because in the court’s words, “Plaintiff has placed her psychological condition directly at issue by claiming that she suffers from severe emotional distress, humiliation, embarrassment and depression as a result of defendant’s sexual misconduct____ Either she [must] waive[ ] her claim for emotional distress, etc. or the records must be disclosed.” Petitioner argues that this ruling is contrary to Arizona law. We agree and remand for an in camera review to determine the relevance of the psychologists’ records.
The psychologist-patient privilege in AR.S. section 32-2085 provides in relevant part: “The confidential relations and communications between a client and a psychologist ... are placed on the same basis as those provided by law between an attorney and client.” This privilege enhances the effective diagnosis and treatment of illness by ensuring that a person requiring a psychologist’s attention will not be deterred by fear that his or her condition may create public embarrassment or humiliation. Bain v. Superior Ct., 148 Ariz. 331, 334 n. 1, 714 P.2d 824, 827 n. 1 (1986). Information placed in a patient’s records is privileged if the psychologist obtained the information through a consultation intended to be confidential. A.R.S. § 32-2085(B); Tucson Medical Ctr., Inc. v. Misevch, 113 Ariz. 34, 37, 545 P.2d 958, 961 (1976). A patient consents to disclosure of privileged information by (1) expressly waiving the privilege in writing or in open court testimony, AR.S. § 32-2085; or (2) pursuing a course of conduct which is inconsistent with the observance of the privilege, such as by placing the underlying psychological condition at issue as a claim or an affirmative defense. Styers v. Superior Ct., 161 Ariz. 477, 479, 779 P.2d 352, 354 (App.1989); Bain, 148 Ariz. at 334, 714 P.2d at 827.
Petitioner has given Segrave access to those psychological and medical records which she contends pertain to her injuries and treatment stemming from the alleged sexual harassment and rape. Segrave, however, contends that petitioner has not provided all the relevant records. He maintains that he is entitled to the records petitioner submitted to Dr. Lavit during the custody proceeding and to the records Dr. Earle compiled when petitioner consulted him about visitation problems she was having with her children. Segrave argues that petitioner has waived her privilege regarding those records by placing her psychological condition at issue. Those records are critical to his defense, he asserts, because they may (1) corroborate that petitioner fabricated rape charges in an effort to have her default in the custody proceedings overturned; (2) reflect that petitioner’s injuries pre-dated his alleged misconduct, thus he did not cause them; and (3) show that any injuries he may have caused petitioner are not as extensive or serious as she claims.
The record in this special action does not specify exactly what kind of mental injuries petitioner alleges in her complaint or what mental conditions the psychologists’ records reflect. Thus, we cannot resolve whether petitioner has placed those mental conditions at issue as part of her claim for damages and thereby waived her privilege as to those records. The trial court determined that petitioner had placed her mental condition at issue and ordered Segrave’s discovery efforts for the psychologist’s records to proceed without limitation or restriction to areas raised in the petitioner’s claim for damages.
Without being able to decide the waiver issue, or even needing to do so, we can, however, see an abuse of discretion plainly on the face of the trial court’s order. The scope of an implied waiver of the psychologist-patient privilege is limited only to those communications concerning the specific condition which petitioner has placed at issue. Bain, 148 Ariz. at 335, 714 P.2d at 828. The trial court may have determined which specific mental conditions petitioner has placed at issue, but the court did not know whether all the information contained in the psychologists’ records relates to those conditions. Before allowing Segrave complete access to petitioner’s psychological records, the trial court should have conducted an in camera review of them to determine what information, if any, is reasonably calculated to lead to admissible evidence concerning petitioner’s claims. See Brown v. Superior Ct., 137 Ariz. at 332, 670 P.2d at 730 (in camera inspection of insurance files purportedly containing irrelevant and privileged materials was best way to determine questions of relevancy and discoverability). Petitioner could be prejudiced by the disclosure of confidential information that is not relevant to this case.
III. CONCLUSION
The trial court’s October 21, 1993, order is vacated and relief is granted to the petitioner as follows. The trial court abused its discretion when it read an “irretrievably broken marriage” exception into the marital communications privilege. On remand, Segrave may depose petitioner’s ex-husband concerning all relevant matters except confidential communications made during the marriage.
The trial court abused its discretion by permitting unlimited discovery of Dr. Lavit’s and Dr. Earle’s records without first determining the relevance of the information contained within them. The trial court must conduct an in camera inspection of Dr. Earle’s and Dr. Lavit’s files to determine whether the information in them might lead to the discovery of admissible evidence, and hence, what portions, if any, of those files Segrave may review. Segrave may obtain relevant information by narrow, pointed discovery, but he may not go on a fishing expedition through petitioner’s psychological records. Styers, 161 Ariz. at 480, 779 P.2d at 355.
GERBER, P.J., and LANKFORD, J., concur.
. Petitioner also named Scottsdale Unified School District as a defendant in the suit. The School District is no longer a party, however, because the trial court granted its motion for summary judgment after petitioner filed for a protective order.
. These subpoenas and deposition notices were issued before the School District was granted summary judgment. Petitioner and Segrave have agreed, in the interest of judicial economy, that Segrave would not have to re-subpoena the records or re-notice the depositions.
. One of Scottsdale Unified School District’s Rule 26.1 disclosure statements listed the following pieces of evidence that the School District planned to use at trial: a handwritten note from petitioner to another man along with a picture of that man that Terry Blazek found in the wastebasket; a receipt for sunglasses for the other man in the amount of $79.13; a purported love note from an individual with whom petitioner was allegedly having an affair; a purported suicide note to Terry Blazek from petitioner after he allegedly discovered her affairs.
. A.R.S. section 12-2231 provides in relevant part:
In a civil action a husband shall not be examined for or against his wife without her consent ... except as stated in paragraphs 1 through 4 of § 12-2232.
A.R.S. section 12-2232 provides:
A husband or wife shall not, during the marriage or afterward, without the consent of the other, be examined as to any communications made by one to the other during the marriage, except:
1. In an action for divorce or a civil action by one against the other.
2. In a criminal action or proceeding as provided in the criminal code.
3. In an action brought by the husband or wife against another person for the alienation of the affections of either.
4. In an action for damages against another person for adultery committed by either husband or wife.
. G. Lilly, An Introduction to the Law of Evidence 386 (2d ed. 1987).
. "The requirement of relevancy at the discovery stage is more loosely construed than that required at trial. For discovery purposes, the information sought need only be ‘reasonably calculated to lead to the discovery of admissible evidence.’ ” Brown v. Superior Ct., 137 Ariz. at 332, 670 P.2d at 730 (quoting Rule 26(b)(1), Ariz. R.Civ.P.).
. The attorney-client privilege provides in relevant part: ‘‘[A]n attorney shall not, without the consent of his client, be examined as to any communication made by the client to him, or his advice given thereon in the course of professional employment.” A.R.S. § 12-2234; A.R.S. § 13-4062.
. Petitioner has not included her complaint in our record. At various points in her petition, however, she refers to "emotional damages,” "psychic injury,” and "psychological injuries.” The trial court’s minute entry denying petitioners’ requested protective order indicates that petitioner claims "severe emotional distress, humiliation, embarrassment and depression.”
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OPINION
BROOKS, Judge.
The sole question presented by this appeal is whether the trial court erred in directing a verdict for the defendant at the close of plaintiffs’ case.
Plaintiffs/appellants Pennie J. Matts and Dale C. Burlingham filed a complaint in Maricopa County Superior Court against the City of Phoenix and others to recover damages for bodily injuries and property damage sustained when Burlingham drove his car into a deep hole on the right shoulder of 38th Avenue near the intersection of 38th Avenue and Missouri Avenue. Appellants alleged that the city was negligent in failing to keep the roadway in a safe condition. This matter was tried to a jury and at the close of plaintiffs’ case, the city moved for a directed verdict. The trial court granted the motion and entered judgment for the city. Matts and Burlingham filed a motion for new trial which was denied and they timely appealed. We affirm the trial court.
In determining whether a directed verdict in favor of the city was proper, we are guided by the well established principle that if the evidence, when viewed most favorably to the plaintiff, warrants submission of the matter to a jury on any theory presented, a directed verdict must be reversed. Bailey v. Montgomery Ward and Co., 6 Ariz.App. 213, 217, 431 P.2d 108, 112 (1967). However, a directed verdict must be affirmed if any of the grounds on which the motion is based are sufficient and the result is the only one that could be reached as a matter of law. Davis v. Weber, 93 Ariz. 312, 380 P.2d 608 (1963); Cowen v. Valley Nat. Bank, 67 Ariz. 210, 193 P.2d 918 (1948). A directed verdict for the defendant is proper where the plaintiff has introduced no evidence which would justify a reasonable person in returning a verdict in favor of the plaintiff. Fruth v. Divito, 26 Ariz.App. 154, 546 P.2d 1163 (1976); Hildebrand v. Minyard, 16 Ariz.App. 583, 494 P.2d 1328 (1972). We must therefore determine whether plaintiffs’ evidence on the elements of negligence was sufficient to warrant submission to a jury.
The elements of actionable- negligence are: a duty owed to the plaintiff, a breach thereof and an injury proximately caused by the breach. Boyle v. City of Phoenix, 115 Ariz. 106, 107, 563 P.2d 905, 906 (1977). A municipality owes the public a duty to keep its streets reasonably safe for travel, but it is not an insurer of those using the streets. Wisener v. State, 123 Ariz. 148, 150, 598 P.2d 511, 513 (1979); Arizona State Highway Department v. Bechtold, 105 Ariz. 125, 129, 460 P.2d 179, 183 (1969); Phoenix v. Clem, 28 Ariz. 315, 327, 237 P. 168, 172 (1925). For a municipality to be liable for failure to repair, it must have first received actual or constructive notice of the defect. Wisener v. State, supra, 123 Ariz. at 150, 598 P.2d at 513; City of Phoenix v. Williams, 89 Ariz. 299, 304, 361 P.2d 651, 655 (1961).
Appellants argue that they presented evidence from which a jury could find that the street in question was in an unreasonably dangerous condition and that the city had both actual and constructive notice of that condition. While we find that the record contains evidence of the size and location of a hole from which a jury could find the street to be in an unreasonably dangerous condition, we find no evidence from which reasonable minds could conclude that the city had either actual or constructive notice of the defect.
The sole evidence relied upon by appellants to prove that the city had actual notice of the hole is a notation in a street maintenance log of the City of Phoenix. This document shows that on April 4,1979 a barricade was “replaced” at the intersection of 38th Avenue and Missouri. Appellants emphasize the word “replace” and argue that since there were no other notations with respect to a barricade at 38th Avenue and Missouri between the date of the accident, March 10, 1979, and April 4, 1979, a reasonable person could infer that a barricade had been placed in that location prior to the accident but had been moved on the night of the accident. Had the city placed the barricade at that location prior to the accident, it might be reasonable to infer that the city had actual knowledge of the hole in the roadway.
The city argues that the street maintenance logs do not indicate precisely where the barricade was placed or why it was placed or whether it related in any way to the hole in question. Further, there was no evidence that the barricade was ever in place prior to the accident. The city contends that the jury would have been engaging in sheer speculation if it had been permitted to consider a log notation made almost a month after the accident to establish actual knowledge of the defect by the city. We agree.
Even if the barricade had been “replaced” on April 4, 1979, it could have been originally placed after March 10, 1979. There were no probative facts that the barricade had been erected before the accident. It would have been improper for the trial court to permit the jury to draw speculative inferences which were not based on probative facts. In Re Schade's Estate, 87 Ariz. 341, 344, 351 P.2d 173, 175 (1960); Casey v. Beaudry Motor Co., 83 Ariz. 6, 12, 315 P.2d 662, 666 (1957).
We next consider appellants’ contention that they presented evidence of constructive notice. In order to establish constructive notice, appellants were required to introduce some evidence that the defect complained of had existed for a sufficient length of time from which it could be inferred that, by the exercise of reasonable diligence, the city should have known of the defect. See City of Phoenix v. Brown, 88 Ariz. 60, 65, 352 P.2d 754, 758 (1960); City of Phoenix v. Weedon, 71 Ariz. 259, 265, 226 P.2d 157, 161 (1950). Appellants rely on two items of evidence in that regard: (1) photographs of the hole and (2) a City of Phoenix street maintenance log entry which indicates that five tons of “ABC” were transported to 38th Avenue and Missouri on April 13, 1979.
We first address appellants’ contention with respect to the photographs of the hole. Appellants argue that a jury could draw a reasonable inference based on the photographs that the hole had existed for a substantial period of time. They argue that the photographs demonstrate a large hole with rounded edges and conclude that the hole was “one slowly eroded by water runoff into the adjoining SRP Canal.” Other than the photographs themselves, the only testimony concerning the hole was appellant Burlingham’s testimony as to its size and the fact that the hole had rounded edges. We note that appellant attempted to give his own opinion that the hole had been there for some time; however, the trial court ordered that testimony stricken from the record.
Appellants rely on Leon v. City of Miami, 312 So.2d 518 (Fla.Ct.App.1975), as standing for the proposition that the photographs alone constitute tangible evidence of the scene sufficient to raise an inference as to the length of time that the hole was present. We note that another district of the Florida Court of Appeals disagreed with the Leon rationale, Hannewacker v. City of Jacksonville Beach, 402 So.2d 1294 (Fla.Ct.App.1981), and that the Florida Supreme Court addressed the issue in Hannewacker v. City of Jacksonville Beach, 419 So.2d 308 (Fla.1982).
In Hannewacker, the Florida Supreme Court noted that the normal procedure for entering evidence of the duration of a defect is through testimony of a witness with personal knowledge of the duration, or through the opinion of an expert witness. The court further noted that it is a preferred procedure to require live testimony in addition to a photograph to support the critical element of time. The court found, however, that an admitted photograph can act as a “silent witness” in certain limited situations where the photograph, standing alone, can provide a basis for an inference of time. The court noted that several problems may arise when photographs are used for this purpose and then set forth the following guidelines:
If the photograph portrays a condition that has some distinguishing feature which clearly shows that the defect has existed for a long period of time, it may afford the jury a basis to infer that a significant period of time has passed. If the photograph is ambiguous on this point and what is shown makes it questionable whether a significant period has passed, the jury would necessarily be required to indulge in speculation to determine the duration of the condition. In such a case the photograph without live testimony is insufficient. This is no different than if a witness testifies to the condition of a defect at the time of an accident and there are no distinguishing features or other testimony to indicate its duration. In such instance the trial judge is entitled to direct a verdict on the question of constructive notice. Since that is the law in effect for testimonial evidence, it should be the same when the witness is a photograph. But there are photographs which may constitute tangible evidence of the scene of an accident sufficient to raise an inference as to the length of time the defect was present. While this depends entirely on the condition sought to be depicted, the photograph must clearly demonstrate that a significant period of time has passed.
419 So.2d at 311-12.
The Hannewacker court held that from the photographs that depicted a chipped street curb, the jury could only guess or speculate as to how long the defect had existed. The trial court found that the photographs were insufficient to raise an inference as to the duration of the defect and the Florida Supreme Court held that the trial court correctly directed a verdict for the defendant.
We agree with the reasoning of the Florida Supreme Court in Hannewacker and we similarly find that the photographs in the present case, standing alone, do not demonstrate that a significant period of time has passed. Appellants presented no testimony of a witness with personal knowledge of the length of time which the hole had existed and they presented no expert opinions on this issue. No evidence of weather conditions during relevant time periods was presented, nor was any evidence presented of the amount of water flowing into an adjacent irrigation ditch. As noted above, the only evidence regarding the hole was appellant Burlingham’s testimony as to its size and the fact that the hole had rounded edges. The photographs in the present case do not have a distinguishing feature which shows that the hole had been present for a sufficient period of time to give the city constructive notice of its existence. The jury would have been required to indulge in sheer speculation to determine the duration of the condition.
Appellants also contend that County of Harris v. Eaton, 561 S.W.2d 245 (Tex.Civ.App.1978), aff’d 573 S.W.2d 177 (1978), sup ports their position. We disagree. The photograph in Eaton depicted a hole which spanned almost the entire width of a road. There was additional testimony in Eaton that governmental employees traveled the roads in their jurisdiction daily and were under a duty to report holes or other defects. The court noted that it was apparent from the photograph that the hole must have been present for several days and thus would support an inference that the daily inspection had not occurred in that area. There is no evidence in the present case of a duty on the part of the City of Phoenix to make a daily inspection of all of the roads under its control.
Contrary to appellants’ contention, we do not find the facts of this case analogous to Tom v. S.S. Kresge Co., 130 Ariz. 30, 633 P.2d 439 (1981). In that case evidence of a damp area on the floor of a store was held to support an inference that liquid had remained on defendant’s floor for a sufficient period of time to either partially evaporate or be absorbed. However, this inference was permitted because there was also testimony that the defendant’s store had provided soft drinks for its patrons to drink and that spills had occurred.
We finally consider appellants’ argument that another street maintenance log entry also leads to a reasonable inference that the hole had been in existence for a substantial period of time. The log entry provides:
4-13-79. 38 Ave & Missouri S.W. corner, fill wash out, 5 ton ABC
“ABC” is a mixture of sand and rock that is used as a base for streets. Appellants elicited testimony that five tons of ABC constitute a volume of approximately six feet by six feet by six feet. However, there was no evidence introduced concerning where the ABC was used. It was not established that this amount of fill was used in the hole. The log simply supports an inference that this material was transported to 38th Avenue and Missouri more than a month after the date of the accident. There was no evidence from which the jury could infer over what area this material was placed. Again, appellants simply failed to introduce sufficient probative evidence to reach the jury.
Having concluded that appellants failed to present sufficient evidence to reach the jury on the issues of actual or constructive notice of the defect in the roadway, we conclude that the trial court correctly directed a verdict in favor of the City of Phoenix and denied appellants’ motion for new trial.
Judgment affirmed.
JACOBSON, P.J., and OGG, J., concur.
. Appellants also sought recovery against the Salt River Valley Water Users Association. A directed verdict was granted in favor of that corporation at the close of plaintiffs’ opening statement. No appeal has been taken from the judgment in favor of the Salt River Valley Water Users Association.
. The court set forth the following cases as examples of situations where the admitted photograph portrayed a distinguishing feature which clearly showed that the defect had existed for a long period of time: Clark v. City of Berkeley, 143 Cal.App.2d 11, 299 P.2d 296 (1956) (sidewalk was dilapidated and fragmented with grass and weeds growing through the cracks); Van Dorn v. City & County of San Francisco, 103 Cal.App.2d 714, 230 P.2d 393 (1951) (settled and sunken areas in paving stones could not have arisen suddenly); Word v. City of St. Louis, 617 S.W.2d 479 (Mo.App.1981) (jury could have reasonably inferred that the defect had been present long enough for the metal to rust and the cracks to appear); Taylor v. New York City Transit Auth., 48 N.Y.2d 903, 400 N.E.2d 1340, 424 N.Y.S.2d 888 (1979) (the irregularity, width, depth and appearance of the defect apparent from the concrete surface exhibited such a length of time).
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OPINION
HOWARD, Chief Judge.
Appellant was convicted of one count of kidnapping, two counts of sexual assault, and one count of theft. The offenses were found to have been of a dangerous nature. He was sentenced to 21 years for the kidnapping and the aggravated assaults and to an additional consecutive sentence of seven and one-half years for theft.
On appeal he contends: (1) That his confession was obtained in violation of his Miranda rights; (2) that the court erred in allowing admission of subsequent bad acts; (3) that the court erred in allowing the admission of an umbrella and knife; (4) that he was denied due process when the court allowed newly discovered evidence to be admitted against him.
The record reveals that appellant contacted a real estate salesperson for the ostensible purpose of purchasing real estate. He represented himself ás David Foster, owner of the Foster Freeze Ice Cream chain in Oregon. During July 1981, the salesperson (A) showed appellant various properties. On several occasions while they were on these outings, he attempted to kiss her. On July 25, while they were viewing a vacant house, appellant threatened her with a knife and forced her to engage in oral sex, twice.
Appellant attempted to show that the sexual conduct was mutually consensual, that they had kissed on two different days prior to the assault, had engaged in intimate conversations, and that she had encouraged him. He attempted to establish that A’s motive for consenting and encouraging the sexual acts was to make sure that he bought real estate from her.
B, a real estate saleswoman in Phoenix, testified that on the day following the assault in Tucson, appellant came to an open house being handled by her in Phoenix. Appellant made arrangements to meet her on July 28 and represented himself to be one of the owners of Foster Freeze Ice Cream chain. When she met with him at the appointed time to show him some real estate, he threatened her with a knife and forced her to perform oral sex.
A Lake Havasu real estate woman, C, testified that on August 1, 1981, she met appellant who introduced himself as Anthony Scott. When she was showing him a house on August 3, 1981, he threatened her with a knife and attempted sexual assault. C escaped.
On August 27, while in custody, appellant unequivocally invoked his right to remain silent and his right to counsel under the Fifth, Sixth and Fourteenth Amendments by informing the authorities that he did not wish to make any statements without having consulted a lawyer. Nevertheless, Detective Whitte, who had been sent to Las Vegas by the Pima County Sheriffs Department persisted in discussing certain aspects of the crime with appellant. Specifically, Detective Whitte told appellant that the Tucson victim was having difficulties because her insurance company was pressuring her to settle the claim on her car which had been taken by appellant and had not yet been located. The detective also informed appellant that warrants were out for his arrest in two other Arizona counties and that physical evidence such as fingerprints and hair samples would be taken from appellant.
While the physical evidence was being taken, appellant made some inquiries of the detective concerning the Pima County Jail facilities. During this contact of about one hour, appellant suggested to Detective Whitte that the missing car could be found within a one mile area near the house where appellant had been staying in Tucson.
Four days later, Detective Whitte returned to Las Vegas to transport appellant back to Tucson. While preparations were being made for their departure, appellant asked whether the victim’s car had been located. Upon learning that it had not, appellant asked for a map of Tucson so he could show the detective the location of the car. Whitte had no map with him and appellant then agreed to take him to the car’s location upon their return to Tucson. This was appellant’s suggestion. It did not come from the detective. This appellant did early the next day, September 2.
Later that same day, appellant had his initial appearance and bond was set at $1,000,000. Shortly thereafter, on the same day, Whitte learned that appellant had requested a conference with him in the holding area of the courthouse. The following testimony was given with reference to the ensuing conversation:
“A. We went into an office that was vacant and he made some comments as to, ‘Look, I’m not going to deny the sexual contact or whatever, but it was consen-tual [sic], or it wasn’t rape’ or something.
He told me that he felt that there hadn’t been an auto theft because that should be dropped because the car wasn’t taken out of town or out of state, which was evidenced by the fact that this was where he left it.
He told me that if the prosecutor persisted in going forward with these charges that he was going to make the victim look bad in the press, t.v., this type of thing. I asked him at the time if he would give a taped statement on his side of the story, and he again refused. So, I took him back to the elevator and they took him back downstairs.
Q. In the particular conversation at the County Attorney’s Office did he ever indicate to you that he wanted to have his attorney present?
A. No, he didn’t.
Q. Did you ever force him or coerce him to speak with you at that time?
A. No, I did not.
Q. Did you ever question him at that time? Or was he giving you more of his version of what he felt the facts showed?
A. It was a little of both. He was giving me his version. He did say something about — I could understand where he says about consentual [sic] and this and that. But the problem is really — Going to be tough to get over the problem about the knife. That is especially so: Well, she’s not the only one. Linda is not the only one who tells about the knife. There were two girls. He said, well, you can’t use that because I haven’t been convicted of those yet, or something. It has nothing to do with this case. He also said something like bringing in witnesses that said that he had sex with him without a knife and that he didn’t need a knife to do that.
Q. Okay. And so, Detective Witte [sic], was that idea to speak with Mr. Foster your idea? Or his idea?
A. I had no intention of speaking until the Detective Chavez told me that he told him he wanted to talk to him [sic].”
Appellant claims it was his understanding that he and Whitte agreed that if he disclosed the location of the car to save the victim from financial loss, this information would not be used against him. In fact, these statements were not used against appellant at trial since the prosecution did not attempt to have the statements admitted.
Appellant argues however, that he believed Whitte breached their agreement because information concerning the car was used to effectuate strict conditions for pretrial release. Appellant claims that he felt betrayed and that, as a direct response to this feeling of betrayal, he sent for Whitte and made the further incriminating statements. He contends that a direct link exists between the initial police misconduct in eliciting statements concerning the ear and the final incriminating statements concerning the sexual conduct which he made several days later. We do not agree.
In determining whether appellant’s confession was obtained in violation of Miranda v. Arizona, 384 U.S. 436, 86 S.Ct. 1602, 16 L.Ed.2d 694 (1966), we keep in mind the following principles. In Miranda the United States Supreme Court enunciated the general rule that once an accused requests an attorney, all questioning must cease. In Edwards v. Arizona, supra, the court recognized as a qualification to this general rule that nothing prohibits police from listening to statements which are clearly voluntary, such as where the accused himself initiates the conversation with the police. A confession, however, is not “voluntary” if it is the “... product of words or actions on the part of the police that they should have known were reasonably likely to elicit an incriminating response.” Rhode Island v. Innis, 446 U.S. 291, 303, 100 S.Ct. 1682, 1691, 64 L.Ed.2d 297, 309 (1980).
According to Edwards, we must not only inquire as to whether appellant’s statements were voluntary, but we must also decide whether appellant validly waived his right to have counsel present. Such waiver “.. . must not only be voluntary, but must also constitute a knowing and intelligent relinquishment or abandonment of a known right of privilege.... ” 451 U.S. at 482, 101 S.Ct. at 1884.
Thus, the critical question to be answered is whether appellant “initiated” the conversation in which he made the incriminating statements or whether the statements were the product of police conduct which the police should have known was reasonably likely to elicit an incriminating response. Under Arizona law, the state has the burden of proving that statements of an accused are voluntary. State v. Emery, 131 Ariz. 493, 642 P.2d 838 (1982). If appellant “initiated” the conversation, we can conclude that the statements were given voluntarily and appellant knowingly and intelligently decided to forego his right to have counsel present.
Whitte’s initial comments concerning the hardship faced by the victim because her car was missing clearly fall under the standard set by Innis since the comments constituted “words or action ... [which were] ... reasonably likely to elicit an incriminating response.” 446 U.S. at 302, 100 S.Ct. at 1690. The statements given by appellant in response to this conduct, however, were not admitted as evidence against him at trial. We must thus determine whether the final incriminating statements appellant made on September 2 were the direct result of Whitte’s initial misconduct or whether the link between that misconduct and appellant’s request to see the detective on September 2 is so attenuated that the taint of the initial misconduct was dissipated to the extent that the conversation was “initiated” by appellant.
For the following reasons we find that the conversation which resulted in appel lant’s confession was “initiated” by appellant. First, four days intervened between Whitte’s improper questioning and appellant’s confession. Second, the conversation took place at appellant’s request. Third, the initial interrogation did not involve the same crime to which appellant confessed. Michigan v. Mosley, 423 U.S. 96, 96 S.Ct. 321, 46 L.Ed.2d 313 (1975). Fourth, appellant made no allegations of threats, mistreatment or undue pressure.
The fact that the conversation occurred at the request of appellant weighs heavily toward a finding of voluntariness. We recognize that this fact alone is not determinative. Stumes v. Solem, 671 F.2d 1150 (8th Cir.1982); State v. Emery, 131 Ariz. 493, 642 P.2d 838 (1982). In both Stumes and Emery, the incriminating conversations occurred at the request of the accused. Nevertheless, in both cases, the courts held the confessions to be involuntary because they found the incriminating conversations to be a mere continuation of a previous improper interrogation. Four days, a significantly longer time period than in either Stumes and Emery, intervened between appellant's confession and the initial violation of his rights. The length of the intervening time period tends to decrease the likelihood that appellant’s request to see Whitte constituted a continuation of their prior conversation. Moreover, the incriminating remarks in question did not directly concern the crime which Whitte discussed with appellant. Whitte inquired about the location of the victim’s car, but never referred to the sexual conduct charges. Although appellant was in custody during the four intervening days, he was never subjected to any threats, mistreatment, promises, or undue pressure.
Although appellant’s testimony proposes a tenuous link between the violation of his rights and the final incriminating conversation, we find that because he requested the conference with Whitte after an intervening time period of several days, this link is too weak to support an inference that the incriminating statements were the result of police conduct which the police should have reasonably forseen would elicit an incriminating response. We note that appellant testified at the suppression hearing that he was in part motivated to make the incriminating statements by his concern for the victim. Furthermore, his explanation as to why he made the statements in the holding area, that he felt betrayed, does not ring true. The context of the statement does not show a man angered by betrayal, but a man trying to convince the officer to drop the charges. The motivation for this statement was not his prior disclosure of the location of his car, as the dissent says. He would have made this statement in any event. We find the state has carried its burden of proof, demonstrating that appellant “initiated” the incriminating conversation.
ADMISSION OF SUBSEQUENT BAD ACTS
Appellant challenges the admission of evidence of the episodes which occurred in Phoenix and Lake Havasu subsequent to the offense in the instant case. He questions whether there being subsequent bad acts, rather than prior, is a reason to exclude the evidence. No such distinction is made in Rule 404(b), Arizona Rules of Evidence, 17A A.R.S. and the Arizona cases have upheld the admissibility of relevant subsequent acts. State v. Martinez, 127 Ariz. 444, 622 P.2d 3 (1980); State v. Price, 123 Ariz. 166, 598 P.2d 985 (1979); State v. Tuell, 112 Ariz. 340, 541 P.2d 1142 (1975).
Proper reasons for the admissibility of subsequent bad acts are to prove intent and identity. Intent is clearly an issue since appellant contends the acts were consensual. Although identity does not appear to be so clearly in issue, the subsequent acts involving the same distinctive modus operandi solidify the Tucson victim’s identification of appellant. The acts were distinctive, displaying a peculiarity required by State v. Tuell, supra, thus, demonstrating relevance. The prosecutor’s summarization to the trial court is helpful:
“And here we have in each particular case we have three young women who are real estate agents.
We have the young women who are driving him around in their car, because he said he needs, to invest in this property-
Each case we have him pulling a knife on the victim.
We have within the first case, actually assaulting the victim, and taking some of her property, including the car.
In the second case, we have him just taking property and the woman escapes; and the third case we have him pulling a knife and attempting to sexually assault the woman and she gets out of the car and he takes the car.”
Appellant contends that the other acts, even though relevant, should have been excluded because their prejudicial impact outweighed their probative value. He has not specified particular unfair prejudice. Rule 403, Arizona Rules of Evidence, 17A A.R.S. provides for the exclusion of relevant evidence only when its probative value is “substantially” outweighed by the danger of unfair prejudice. The Kentucky Supreme Court, obviously annoyed with the generalized usage of the term “prejudice”, commented:
“A good deal of tripe has grown up around the question of what sort of prejudice should entitle a defendant to a separate trial. Perhaps the rule itself is not sufficiently explicit. ‘Prejudiced’ means unfairly prejudiced. A defendant is prejudiced, of course, by being tried at all.” Ware v. Commonwealth, 537 S.W.2d 174, 176 (Ky.1976) (Emphasis in original)
We find no abuse of the trial court’s discretion in admitting the subsequent bad acts.
ADMISSION OF THE UMBRELLA AND KNIFE
On the day of the assault, appellant carried a black umbrella. He had left the umbrella in the car when they went to inspect a vacant house. While in the house, he directed the victim to sit on two stacked mattresses and close her eyes because he was going to give her a gift. She complied and heard rustling sounds. He instructed her to hold out her hand. He placed his penis in her hand and the victim testified, “I panicked, having a man standing there, I’m holding his penis, so I ended up thrown on the bed. At that point, I guess I put my hand out to break the fall or whatever, and had a hold of his wrist, where he was holding a very large steak knife. At that point I’m afraid you got to get pretty calm.” She had seen a black umbrella cover on the edge of the bed. When the car was located on September 2, a black umbrella was found in it and was turned over to the detectives. Whitte testified that he had received the umbrella from one of the other detectives and put it aside in his office, opened it and a knife fell out. The umbrella and knife were then placed in the usual property control procedures. The victim identified the knife as looking like the one with which she had been threatened. Mr. Seekatz, the owner of the house where appellant had stayed, testified that the knife looked like one of his steak knives which disappeared when appellant left.
The knife in question was identified by the victim as looking like the one used to threaten her, and it was also identified as being the knife missing from Mr. Seekatz’ house after appellant left. We find that the foundation for the admission was sufficiently established. State v. Brookshire, 107 Ariz. 21, 480 P.2d 985 (1971). The admission of evidence will not be disturbed on appeal absent a showing of an abuse of discretion. State v. Macumber, 119 Ariz. 516, 582 P.2d 162 (1978), cert. den. 439 U.S. 1006, 99 S.Ct. 621, 58 L.Ed.2d 683 (1978). The knife and umbrella were properly admitted, both under a sufficient showing of chain of custody and through witness identification.
ADMISSION OF TESTIMONY
Finally appellant contends that it was error for the trial court to allow testimony from one of the victims that he had sexually assaulted her. Appellant had known from the beginning that the victim would be called to testify that he had kidnapped her and robbed her at knifepoint. However, the night after the first day of trial, the victim told the prosecutor for the first time that he had also sexually assaulted her. At trial the next day, the prosecutor informed both defense counsel and the judge of the additional evidence and asked that the victim be allowed to testify concerning the event. The trial judge agreed but first provided defense counsel the opportunity to interview the victim. Counsel conducted the interview and the testimony was admitted in evidence over his continuing objection.
Although counsel interviewed the witness, he was unable to articulate to the trial judge how prior knowledge about this aspect of her testimony would have altered or affected his trial strategy. Nor did he request that the trial court allow him additional time to further investigate. Appellant has not shown this court how he was prejudiced by admission of the testimony nor can we find any. See State v. Lawrence, 123 Ariz. 301, 599 P.2d 754 (1979). Neither do we believe that he was denied due process of law. See State v. Schreiber, 115 Ariz. 555, 566 P.2d 1031 (1977).
Affirmed.
BIRDSALL, J., concurs.
. This differs from Edwards v. Arizona, 451 U.S. 477, 101 S.Ct. 1880, 68 L.Ed.2d 378 (1981) where the second set of officers went to the jail to see him on their own initiative.
. Whitte’s conduct is somewhat reminiscent of the “Christian burial speech” in Brewer v. Williams, 430 U.S. 387, 97 S.Ct. 1232, 51 L.Ed.2d 424 (1977).
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OPINION
HOWARD, Chief Judge.
Appellant’s drunk driving resulted in a jury finding him guilty of reckless manslaughter, involving the use of a dangerous instrument, an automobile. He was sentenced to imprisonment for the presumptive term of 7.5 years.
He contends the trial court erred by (1) failing to suppress the results of the blood test administered since he did not give consent, (2) failing to suppress evidence and statements obtained in violation of the physician-patient privilege and (3) instructing the jury that driving under the influence was an act inherently dangerous to human life and safety. He also contends the conviction should be reversed because the prosecution improperly commented on his failure to testify and because he was denied effective assistance of counsel. We affirm.
The accident occurred in the early morning hours of October 24,1981. Several witnesses testified that they saw appellant run the red light at the intersection of East Broadway and North Wilmot Road in Tucson. There were estimates that he was traveling as fast as 60 to 70 miles per hour. After the accident it was observed that appellant’s vehicle contained an empty Miller’s beer carton, a six-pack of Michelob beer with two empty bottles, a Miller’s beer bottle three-fourths full, and an empty Bacardi rum bottle. When Officer Florence Martin of the Tucson Police Department arrived on the scene, she saw appellant sitting on the curb being helped by a paramedic. Her supervisor, Sgt. Monk, asked her to determine if there were any witnesses or suspects at the scene. She asked appellant if he had been involved in the accident. He replied that he was driving and that he was going southbound on Wil-mot when he came to the intersection and that he entered on the green light. Actually, he was going northbound on Wilmot and entered on the red light. Appellant was bleeding, his speech was slow and deliberate and Officer Martin thought that he was under the influence of something.
Appellant was taken by ambulance to El Dorado Hospital. In the meantime, Officer Harriman, who had arrived at the scene, was directed by Sgt. Monk to go to El Dorado Hospital and conduct a blood alcohol test on appellant. He was also told that if appellant was to be released from the hospital, he was to place him in custody for driving under the influence.
When Officer Harriman walked into the hospital emergency room, he saw appellant yelling, screaming, and trying to get out of bed. Three hospital attendants were trying to restrain him. One of the attendants told appellant that they could not help him unless he told them what he had taken. He said that he had been drinking, had smoked some pot and some hashish, and had “blotted some acid.”
A doctor informed Officer Harriman that appellant probably would not be able to respond to any questions. The officer requested that a blood sample be taken and the officer was present when it was done. Appellant was unconscious at the time. When the needle was inserted, he did not respond at all. A technician turned the blood sample over to Officer Harriman. Appellant’s blood contained .29 per cent alcohol. Appellant contends that his blood sample was illegally taken because he was never placed under arrest. We do not agree.
A.R.S. § 28-691 states, in part:
“A. Any person who operates a motor vehicle within this state gives consent, ... to a test or tests of his blood, breath, or urine for the purpose of determining the alcoholic content of his blood if arrested for any offense arising out of acts alleged to have been committed while the person was driving or in actual physical control of a motor vehicle while under the influence of intoxicating liquor... .
% *
C. Any person who is dead, unconscious or who is otherwise in a condition rendering him incapable of refusal is deemed not to have withdrawn the consent provided by subsection A of this section . . . . ”
Subsection D of the section also provides that if the person under arrest refuses to submit to a test none shall be given. However, such a refusal will result in a suspension of operating privileges.
Although it can be argued that appellant, while not formally arrested, was actually under arrest because Officer Harriman was instructed to place appellant under arrest if he were to be released, and therefore his freedom of movement was restricted in a significant manner, we need not reach that issue since no arrest was required.
The evidence shows that at the time the blood was taken appellant was incapable of refusing the blood test and that A.R.S. § 28-691(C) applied. While it is clear that under § 28-691(A) there must be an arrest before the implied consent provision becomes operative, it is equally clear that there need not be a prior arrest under paragraph C since it would be extremely difficult to arrest a dead man. We do not believe the legislature intended to require an exercise of futility by having the police officer arrest a corpse or a live person who cannot even know he is under arrest. All that is required under the facts here is that there be probable cause to believe that the defendant is intoxicated and that the officer might reasonably believe that he is confronted with an emergency so that the delay necessary to obtain a warrant, under the circumstances, threatens destruction of the evidence. Schmerber v. California, 384 U.S. 757, 86 S.Ct. 1826, 16 L.Ed.2d 908 (1966); State v. Tolbert, 100 N.J.Super. 350, 241 A.2d 865 (1968). Under the Schmerber test Officer Harriman was justified in taking the sample without arrest because of the probability that the evidence of the blood alcohol would be soon dissipated.
Appellant next contends that the trial court erred in admitting into evidence the statements he made in the emergency room. He contends that A.R.S. § 13-4062 prohibits the introduction of his statements into evidence. We do not agree. The cited statute states, in part:
“A person shall not be examined as a witness in the following cases:
* * * * * *
4. A physician or surgeon, without the consent of his patient, as to any information acquired in attending the patient which was necessary to enable him to prescribe or act for the patient.”
The statute, by its terms, only applies to the examination of a physician or surgeon and does not apply to the examination of a police officer who overheard the statements. The trial court did not err in admitting the evidence.
The trial court instructed the jury, inter alia, as follows:
“Driving while under the influence of intoxicating liquors is an act inherently dangerous to human life and safety.”
No objection was made below to the instruction but appellant now claims that fundamental error was committed since the instruction acted to relieve the state of its burden of proof. See Sandstrom v. Montana, 442 U.S. 510, 99 S.Ct. 2450, 61 L.Ed.2d 39 (1979). We do not agree. Appellant was charged and convicted of manslaughter by recklessly causing the death of another person while using a dangerous instrument, to-wit: an automobile. The instruction came from the case of State v. Dorame, 121 Ariz. 108, 588 P.2d 850 (App.1978). This case involved a statute in existence prior to the effective date of our new criminal code, October 1, 1978. It is superfluous, irrelevant, and should not be given. It says that driving while under the influence is inherently dangerous. No one needs to be told that. The state had to prove more than engaging in “dangerous” conduct. It had to prove that the defendant was aware of and disregarded a “... substantial and unjustifiable risk that the result will occur or that the circumstance exists,” and that the risk was “... of such nature and degree that disregard of such risk constitutes a gross deviation from the standard of conduct that a reasonable person would observe in the situation.” A.R.S. § 13-105(5)(c). The instruction did not relieve the state of its burden in proving these elements. There was no fundamental error.
Appellant did not testify at trial. His defense counsel, in closing argument, stated: “He [appellant] didn’t testify. He doesn’t know anything about the incident, and he couldn’t be called as a witness. He couldn’t add anything to the facts.” The prosecutor in his rebuttal stated:
“Mr. Clark told you that the reason he [appellant] did not testify is because he didn’t know anything about the incident, and can’t remember it. I didn’t hear any evidence to that effect. If you want to believe it, go ahead. There is no facts [sic] in evidence to support that argument.” (Emphasis added).
Appellant contends that the prosecutor wrongfully commented on his failure to testify and that he was therefore denied a fair trial. See Griffin v. California, 380 U.S. 609, 85 S.Ct. 1229, 14 L.Ed.2d 106 (1965). We do not agree. The doctrine of invited error applies here. The prosecutor’s remark was invited or occasioned by the accused’s counsel and is not a ground for reversal. State v. Smith, 101 Ariz. 407, 420 P.2d 278 (1966).
Appellant’s last argument was that he was denied his Sixth Amendment right to effective assistance of counsel. The test in Arizona as to whether or not there was effective assistance of counsel is found in State v. Watson, 134 Ariz. 1, 653 P.2d 351 (1982), which is whether under the circumstances the attorney showed at least minimal competence in representing his criminal defendant. Appellant has cited several claims, admissions and errors made by his attorney at trial. We have examined them all and find that not one single one of them has any merit.
Affirmed.
HATHAWAY and BIRDSALL, J., concur.
. See State v. Mangels, 166 Mont. 190, 531 P.2d 1313 (1975); Galvan v. State, 655 P.2d 155 (Nev.1982); see also, Annot., 72 A.L.R.3d 325, §§ 9 and 10.
|
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OPINION
MEYERSON, Judge.
The primary issue in this appeal concerns the propriety of an award of attorneys’ fees to plaintiffs-appellees, three attorneys who appeared in propria persona in this matter. The trial judge found that conditions precedent to a real estate purchase contract were not fulfilled and ordered that plaintiffs be refunded their deposit and awarded them attorneys’ fees. We affirm the ruling of the trial court with respect to the merits of this action, but reverse the award of attorneys’ fees.
I. FACTS
Plaintiffs-appellees James B. Connor, Kevin E. O’Malley, and Jon A. Titus (buyers) brought this action against defendants-appellants Cal-Az Properties, Inc. and Gary Malmstrom (sellers) (as well as other defendants who are not parties to this appeal), seeking the return of $2,500 deposited as earnest money on a real estate purchase contract. The parties entered into a contract for the sale of real property on December 2,1980. The contract provided that $100,000 of the purchase price would be paid “by [a] new conventional loan (renegotiable).” The contract further provided that it was “contingent on [the] property appraising for at least [the] sales price and buyers qualifying for and obtaining above loan. Buyer to pay for appraisal and cost of securing loan. Buyer to apply for loan within three working days.”
Three days later, buyers met with a representative of Western American Mortgage Company (Western American) to arrange for the financing. Credit information was obtained and the mortgage company submitted the buyers’ application for a renegotiable, conventional loan to Greater Arizona Savings and Loan Association which ultimately refused to extend credit to the buyers.
Western American also arranged for an appraisal to be done on the property. The first appraiser valued the property at $134,-900 by the cost approach and $130,000 by the market approach. The sales price of the property was $164,500. The initial appraisal was not completed and submitted as a “formal” appraisal because it was below the sales price. A subsequent appraisal was arranged which reflected the value of the property at exactly the sales price. Because the initial appraisal was not at the sales price and because the buyers failed to obtain financing in the form of a renegotiable, conventional loan, they concluded that the conditions stipulated in the real estate contract were not met and demanded the return of their deposit. After the sellers refused, the buyers instituted the present action.
The trial judge granted the buyers’ motion for summary judgment. Buyers were granted judgment in the amount of $2,500 and sellers were further ordered to pay $1,250 in attorneys’ fees. Sellers then brought this appeal.
II. REFUND OF THE DEPOSIT
Sellers contend that the trial court erred in granting summary judgment with respect to their obligation to return the buyers’ $2,500 deposit. Sellers contend that there were disputed issues of material fact which made the granting of summary judgment improper. We disagree.
The real estate purchase contract contained two contingencies — the property appraising for at least the sales price and buyers qualifying for and obtaining a renegotiable, conventional loan. Because we find that the first condition precedent— that the property appraise for at least the purchase price — was not satisfied, we need not reach the second condition concerning the renegotiable, conventional loan. The condition failed when the appraiser of the property valued it at $134,900 by a cost approach and $130,000 by a market approach, far less than the sales price of $164,-500. When an express condition of a contract for the purchase of real estate fails, the contract will not be enforced. Sam Levitz Furniture Co. v. Safeway Stores, Inc., 105 Ariz. 329, 332, 464 P.2d 612, 615 (1970).
Although a subsequent appraisal was secured for the exact purchase price, that would hardly have been much comfort to the buyers after the first appraisal came in far below the sales price. The condition pertaining to the appraisal was inserted for the benefit of the buyers who could legitimately conclude that based upon the initial appraisal the property did not appraise at the sales price. Likewise, it was not error for the trial judge to conclude that the property did not appraise at the sales price. Because the initial appraisal was less than the sales price, the buyers were entitled to enforce the condition and thereby cancel the agreement. Hence, the trial judge correctly concluded that buyers were entitled to the return of their $2,500 deposit.
III. ATTORNEYS’FEES
The buyers, all attorneys, represented themselves in these proceedings. According to Mr. O’Malley’s affidavit, the three attorneys spent 45.7 hours in connection with the litigation and claimed that the value of their time was $60 per hour. Thus, they requested attorneys’ fees in the amount of $2,742 which was reduced by the trial court to $1,250. Buyers sought these fees pursuant to A.R.S. § 12-341.01 and a provision in the real estate contract which provided that in the “event Buyer or Seller shall file suit against the other to enforce any provision of this contract, or for damages sustained by reason of its breach, all the parties prevailing in such action, on trial and appeal, shall receive their reasonable attorney’s fees and costs awarded by the court.”
The question before us is whether under the terms of the contract or the statute, attorneys who appear on their own behalf and who prevail in litigation, are entitled to receive a fee award. We need not consider, however, the claim for fees under the statute. Where “parties have provided in the contract the conditions under which attorney’s fees may be recovered,” A.R.S. § 12-341.01 is not to be considered. Sweis v. Chatwin, 120 Ariz. 249, 252, 585 P.2d 269, 272 (Ct.App.1978). Thus, we limit our discussion to the fee provision contained in the real estate contract.
Courts have split on the issue of whether attorneys who represent themselves can be awarded fees for such representation. In a case awarding fees to attorneys appearing on their own behalf, the Supreme Court of Oklahoma in Weaver v. Laub, 574 P.2d 609 (Okl.1977) summarized the policy considerations raised in other jurisdictions. Courts declining to grant fees under such circumstances have found that one should not become one’s own client and charge for professional services and that attorneys representing themselves might be tempted to protract litigation for their own financial betterment. See, e.g., Westenberger v. Bernard, 160 So.2d 312 (La.App.1964); VanHooser v. Cunningham, 24 Tenn.App. 480, 146 S.W.2d 840 (1941). Other courts have denied fees based upon statutory construction. O’Connell v. Zimmerman, 157 Cal.App.2d 330, 321 P.2d 161 (1958). Courts which have awarded fees to attorneys representing themselves have found that the lawyers have expended their professional time, knowledge and experience and because their legal services are valuable, like other professionals, they ought to be compensated for their time. See, e.g., Wells v. Whinery, 34 Mich.App. 626, 192 N.W.2d 81 (1971); Winer v. Jonal Corp., 169 Mont. 247, 545 P.2d 1094 (1976).
Although these prior decisions are helpful, they are not completely dispositive. Most courts distinguish between compensation for non-attorneys appearing on their own behalf and attorneys appearing on their own behalf; however, we see no sig nificant distinction. In Arizona, one who acts only for himself in legal matters is not considered to be engaged in the practice of law. State ex rel. Frohmiller v. Hendrix, 59 Ariz. 184, 190, 124 P.2d 768, 772 (1942). Even though the buyers in this case were themselves all attorneys, and carried out tasks ordinarily performed by lawyers, their activities did not constitute the practice of law because they represented themselves. Thus, for the purposes of our analysis, it makes no difference that the buyers, all appearing on their own behalf, were attorneys licensed to practice law in this state.
In our opinion, the presence of an attorney-client relationship is a prerequisite to the recovery of attorneys’ fees. The “creation of the relation of attorney and client ... is essential to the right of an attorney to recover compensation for his services rendered.”, 1 S. Speiser, Attorneys’ Fees § 4:1 at 147 (1973); see Great Western Bank & Trust v. Myers, 109 Ariz. 542, 544, 514 P.2d 463, 465 (1973). Because an attorney has no right to recover compensation in the absence of an attorney-client relationship, the corollary must necessarily be true — a party who represents himself in litigation has no right to be compensated by the payment of attorneys’ fees because of the absence of an attorney-client relationship.
The buyers make one point which we believe deserves particular attention. They contend that because the amount in controversy in the lawsuit, $2,500, was relatively small, they could not have afforded to pursue this action if they were not attorneys, and representing themselves. Indeed, most non-attorney litigants are precluded from retaining counsel to prosecute claims where the cost of legal representation exceeds the amount in dispute. We cannot, however, have one rule which provides for compensation to attorneys when acting on their own behalf and another rule for lay persons acting on their own behalf. We cannot compensate the buyers here, who as attorneys could not have vindicated their claim but for the fact that they appeared on their own behalf, and yet deny compensation to lay persons who litigate on their own behalf for the same reason.
The problem of insuring access to the courts will not be solved by the proposal of the attorney-litigants in this case. To grant fees to parties appearing pro se will, in our view, create incentives to protract and delay litigation. It may well foster litigation over specious claims and in many cases the prospect of a fee award could well be the principal motivating factor behind a lawsuit. In particular, the leverage which would be granted to attorneys appearing on their own behalf could easily become oppressive where the opposition is forced to incur legal expenses.
The buyers’ argument, however, touches on an issue of vital concern for the administration of justice in this country. The buyers apparently recognize, as does this court, that it is increasingly difficult for Americans with modest means to secure meaningful access to the courts on claims involving relatively small sums. Hackin v. Arizona, 389 U.S. 143, 88 S.Ct. 325, 19 L.Ed.2d 347 (1967) (per curiam) (Douglas, J., dissenting). As United States Supreme Court Justice Sandra D. O’Connor said recently:
[T]he time and the cost required to go to court on consumer complaints often exceeds the amount of the dispute. The consumers then may burn with inner frustration because they don’t know how to have their complaints considered at a price they can afford.
Address by Justice Sandra D. O’Connor, First National Conference on Alternative Consumer Dispute Resolution (Jan. 17, 1983). Every segment of the legal community has a responsibility to address this pressing national problem. And indeed, some progress has been made through the establishment of legal services programs for the poor, bar-supported pro bono programs, small claims court, mandatory arbitration, alternative methods of dispute resolution, public interest law, and charitable representation done by lawyers in private practice. But despite these efforts, everyone concedes that the problem exists and it is growing. ABA, Report on the National Conference on Minor Disputes Resolution (May 1977). The dimensions of this pressing issue, and proposals for reform, however, are best considered by a full inquiry and examination which should be done initially in the legislative forum or by the private bar.
For the foregoing reasons, the judgment granting buyers the return of their deposit is affirmed and the judgment granting attorneys’ fees is reversed. This matter is remanded to the trial court for proceedings consistent with this opinion.
HAIRE, P.J., and EUBANK, J., concur.
. The initial appraisal was not submitted as a “formal” appraisal because it did not meet the buyers’ requirements under the contract. We find no merit to sellers’ argument that this appraisal may not be considered because it was not a “formad” appraisal.
. Sellers contend that the contract did “not require that all appraisals value the Property at the sales price.” This is a correct statement as far as it goes. The contract was contingent on the property “appraising for at least the sales price .... ” The initial valuation, at substantially below the sales price, according to two methods of appraisal, supports the trial judge’s conclusion that the property did not appraise at the sales price.
|
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HAYS, Justice.
This is the third time petitioner has presented his case to this court. State v. Jordan, 114 Ariz. 452, 561 P.2d 1224 (1976), vacated, 438 U.S. 911, 98 S.Ct. 3138, 57 L.Ed.2d 1157 (1978) (Jordan I); State v. Jordan, 126 Ariz. 283, 614 P.2d 825, cert. denied, 449 U.S. 986, 101 S.Ct. 408, 66 L.Ed.2d 251 (1980) (Jordan II). We have jurisdiction pursuant to Ariz. Const, art. 6, § 5(3), and 17 A.R.S. Rules of Criminal Procedure, rule 32.
On January 20, 1983, this court set petitioner’s execution for March 23, 1983. On February 16, 1983 petitioner filed a Rule 32 petition in Superior Court. The Superior Court denied the petition and a motion for rehearing. Petitioner petitioned for review and we stayed the execution on March 11, 1983. We have considered the Rule 32 petition, petitioner’s brief, and the state’s responses thereto.
STANDARD USED IN VOLUNTARINESS HEARING
Petitioner argues that his “due process rights” were violated because the trial court, in ruling on petitioner’s motion to suppress, failed to use the “constitutionally required higher degree of care,” which petitioner calls a “due process standard.” Petitioner cites Beck v. Alabama, 447 U.S. 625, 100 S.Ct. 2382, 65 L.Ed.2d 392 (1980), to support his position.
We find petitioner’s reliance on Beck ill-founded, and his “constitutionally required higher degree of care” nonexistent. The Supreme Court in Beck said:
To insure that the death penalty is indeed imposed on the basis of “reason rather than caprice or emotion,” we have invalidated procedural rules that tended to diminish the reliability of the sentencing determination. The same reasoning must apply to rules that diminish the reliability of the guilt determination.
447 U.S. at 638, 100 S.Ct. at 2390 (footnote omitted). In State v. Finehout, 136 Ariz. 226, 229, 665 P.2d 570, 573 (1983), we said:
Confessions are prima facie involuntary and the burden is on the State to show a confession was freely and voluntarily made. (Citation omitted.) That burden is by a preponderance of evidence. (Citation omitted.) Courts must look to the totality of the circumstances surrounding the giving of the confession, presented to them at “voluntariness hearings,” and decide whether the State has met its burden. (Citations omitted.) (Quoting State v. Knapp, 114 Ariz. 531, 538, 562 P.2d 704, 711 (1977), cert. denied, 435 U.S. 908, 98 S.Ct. 1458, 55 L.Ed.2d 500 (1978)).
We think this procedure ensures that a defendant’s rights will be safeguarded, and it tends to establish the reliability of the guilt determination. Petitioner’s claim is without merit.
SPEEDY TRIAL
Petitioner was sentenced to death on March 13, 1975. After the judgment was affirmed on appeal, the case was remanded pursuant to this court’s decision in State v. Watson, 120 Ariz. 441, 586 P.2d 1253, cert. denied, 440 U.S. 924, 99 S.Ct. 1254, 59 L.Ed.2d 478 (1979), and petitioner was again sentenced to death on December 20, 1978. Petitioner argues that this delay violated his right to a speedy trial. As we said in State v. Blazak, 131 Ariz. 598, 600, 643 P.2d 694, 696, cert. denied, — U.S. —, 103 S.Ct. 184, 74 L.Ed.2d 149 (1982): “[neither this court nor the United States Supreme Court has found that the right to a speedy trial extends to sentencing.” We note that petitioner does not indicate what evidence was available in 1975 that was unavailable in 1978, nor does he indicate which witnesses were available in 1975 that were unavailable in 1978.
We do not think that the delay in resen-tencing resulted in prejudice to petitioner.
RIGHT TO JURY
Petitioner asserts that he has a right under both the sixth and eighth amendments to have a jury participate in sentencing. Petitioner argues that if the jury may not impose sentence in Arizona, he does have a right to have a jury find those facts that make a death sentence imposable (i.e., aggravating circumstances). We have rejected the assertion of a right to jury in sentencing. See State v. Smith, 136 Ariz. 273, 665 P.2d 995 (1983); State v. Gretzler, 135 Ariz. 42, 659 P.2d 1, cert. denied, — U.S. —, 103 S.Ct. 2444, 77 L.Ed.2d 1327 (1983).
INTENT TO KILL
Petitioner argues that his death sentence is invalid because the trial judge did not specifically find, in imposing sentence, that petitioner intended to kill. This issue is based on Enmund v. Florida, 458 U.S. 782, 102 S.Ct. 3368, 73 L.Ed.2d 1140 (1982).
We addressed this issue in State v. McDaniel, 136 Ariz. 199, 210, 665 P.2d 70, 81 (1983). We said:
In order to comply with Enmund, therefore, we believe that in future cases where the jury might have found the defendant guilty of first degree murder based on a felony-murder theory, the trial judge must determine beyond a reasonable doubt prior to imposing a sentence of death that the defendant killed, attempted to kill or intended to kill. This determination, of course, must be in addition to those procedures specified in A.R.S. § 13-703.
Because McDaniel, supra, was decided several years after petitioner’s resentenc-ing, the trial judge obviously did not make the finding now required; however, in Jordan II we found that petitioner killed and intended to kill. See 126 Ariz. at 287-88, 614 P.2d at 830.
PRIOR CONVICTIONS
Petitioner argues that the sentencing judge should not have used petitioner’s Texas felony convictions as aggravating circumstances because petitioner was appealing them and they were entered after the murder was committed but before the instant conviction. We considered and rejected both of these claims in Jordan II. See 126 Ariz. at 287, 614 P.2d at 829-30.
Petitioner claims that the aggravating circumstances were not found using the standard of beyond a reasonable doubt. In Jordan II we said that “the state must prove the existence of aggravating circumstances beyond a reasonable doubt.” 126 Ariz. at 286, 614 P.2d at 828. At sentencing, the state rested on the evidence presented at trial. At trial petitioner stated that he had been convicted of felonies in Texas. The trial court found that petitioner had been convicted of robbery by assault and had been convicted of aggravated robbery three separate times. Petitioner has not attacked the existence of these convictions.
These convictions support the finding beyond a reasonable doubt that petitioner was convicted of an offense in the United States for which under Arizona law a sentence of life imprisonment was imposable, A.R.S. § 13-703(F)(1); see Jordan I, supra (we held that petitioner’s convictions were subject to a possible life imprisonment) and that petitioner was previously convicted of a felony in the United States involving the use or threat of violence on another person, A.R.S. § 13-703(F)(2); see Jordan I, supra (we held that under Texas law these convictions did involve the use or threat of violence).
ADDITIONAL AGGRAVATING CIRCUMSTANCES
Petitioner states that his sentence is unlawful because, at resentencing, the trial judge found two aggravating circumstances that he did not find at the first sentencing (that the murder was heinous, cruel or depraved, and that the murder was committed for pecuniary gain). His first argument is based on Bullington v. Missouri, 451 U.S. 430, 101 S.Ct. 1852, 68 L.Ed.2d 270 (1981). He claims that any aggravating circumstance not proved by the state at the first sentencing is thereafter barred by the double jeopardy clause of the fifth amendment. His second argument is based on Stephens v. Zant, 631 F.2d 397 (5th Cir.1980). He claims that the existence of two unlawful aggravating circumstances makes it impossible to determine whether his sentence is based on constitutionally permissible factors.
We agree that the court should not have found that this murder was “especially heinous, cruel, or depraved.” The facts of this case do not support such a finding. See Jordan II, supra, 126 Ariz. at 288, 614 P.2d at 830. We disagree with petitioner that the finding of pecuniary gain was unlawful. In State v. Gretzler, supra, 135 Ariz. at 49, 659 P.2d at 8, we said:
[T]he state was justified in its attempt to establish two additional aggravating factors on resentencing, as the law on both of these factors had been substantially clarified since the time of the original sentencing. In 1980 in State v. Clark, 126 Ariz. 428, 616 P.2d 888, cert. denied 449 U.S. 1067, 101 S.Ct. 796, 66 L.Ed.2d 612 (1980), this court interpreted the “pecuniary gain” circumstance of A.R.S. § 13-454(E)(5), expressly holding for the first time that this factor was not limited to the “hired gun” situation.
However, in Jordan II we refused to consider either additional aggravating circumstance. Based simply on consistency, we continue to do so in petitioner’s case. For this reason, we need not consider petitioner’s claim based on Stephens v. Zant, supra; however, we note that case was reversed. Zant v. Stephens, — U.S. —, 103 S.Ct. 2733, 77 L.Ed.2d 235 (1983).
MITIGATING EVIDENCE
Petitioner argues that the trial judge’s finding that no mitigating circumstances exist is factually wrong and is a violation of his eighth and fourteenth amendment rights. The trial judge stated that he considered all proffered evidence and found none of it mitigating. This is all that is required by State v. Watson, supra; Lockett v. Ohio, 438 U.S. 586, 98 S.Ct. 2954, 57 L.Ed.2d 973 (1978); and Eddings v. Oklahoma, 455 U.S. 104, 102 S.Ct. 869, 71 L.Ed.2d 1 (1978). We carefully reviewed petitioner’s evidence presented in mitigation in Jordan II, and we concurred with the trial judge’s findings.
GUIDANCE IN BALANCING AGGRAVATING AND MITIGATING FACTORS
Petitioner asserts that our statute is unconstitutional because it provides no standards for weighing aggravating and mitigating circumstances. We have considered this issue at length in State v. Gretzler, supra, and rejected it. See 135 Ariz. at 53, 659 P.2d at 12; State v. Smith, 136 Ariz. 273, 665 P.2d 995 (1983); see also Zant v. Stephens, supra, — U.S. at — n. 13, 103 S.Ct. at 2742 n. 13, (stating that “specific standards for balancing aggravating against mitigating circumstances are not constitutionally required.”).
PROPRIETY OF IMPOSING THE DEATH SENTENCE ON PETITIONER
Petitioner argues that his sentence is unconstitutional because the court must impose the death penalty if one or more aggravating circumstances are found and no mitigating circumstances are found. This, he claims, is an unconstitutional mandatory death statute.
In State v. Gretzler, supra, this court said:
Where one or more statutory aggravating circumstance is found, and no mitigation exists, the statute requires the death penalty.
135 Ariz. at 54, 659 P.2d at 13 (citations omitted), and
We feel that the statute, as interpreted by our case law, provides constitutionally adequate guidance to the trial judges in deciding whether to impose a capital sentence. As an additional safeguard, this court independently reviews the record of each capital case to determine the propriety of the sentence, (citation omitted) Where the death penalty has been erroneously imposed, we will set it aside in favor of a life sentence.
Id. at 55, 659 P.2d at 14.
We conclude that our statutory scheme passes constitutional muster.
RULE 32
Petitioner argues that it was improper for the Superior Court to refuse to grant petitioner an evidentiary hearing. He states that a hearing was required to resolve the following issues: 1) whether he was prejudiced by the passage of time before his resentencing; 2) whether the aggravating circumstances were found using the standard of beyond a reasonable doubt; 3) whether the trial judge erred in finding that no mitigating circumstances exist; and 4) whether the trial judge indicated that if petitioner would enter a guilty plea to the first degree murder charge, the trial judge would not impose the death penalty.
We have determined that petitioner’s first three claims are not meritorious. (See, respectively, the sections entitled “SPEEDY TRIAL,” “PRIOR CONVICTIONS,” and “MITIGATING EVIDENCE.”) Petitioner’s last allegation is supported by his counsel’s affidavit. The state has offered no evidence to refute this allegation. For purposes of this petition, therefore, we must accept this assertion as true. The question then becomes whether petitioner was entitled to a hearing to determine the validity of his claim.
In Arizona, the “court shall not participate” in plea negotiations. 17 A.R.S. Arizo na Rules of Criminal Procedure, rule 17.-4(a). One reason for this rule is aptly stated in United States ex rel. Elksnis v. Gilligan, 256 F.Supp. 244, 254 (S.D.N.Y.1966) in which the court said:
The unequal positions of the judge and the accused, one with the power to commit to prison and the other deeply concerned to avoid prison, at once raise a question of fundamental fairness. When a judge becomes a participant in plea bargaining he brings to bear the full force and majesty of his office. His awesome power to impose a substantially longer or even maximum sentence in excess of that proposed is present whether referred to or not. A defendant needs no reminder that if he rejects the proposal, stands upon his right to trial and is convicted, he faces a significantly longer sentence. One facing a prison term, whether of longer or shorter duration, is easily influenced to accept what appears the more preferable choice. Intentionally or otherwise, and no matter how well motivated the judge may be, the accused is subjected to a subtle but powerful influence.
Another sound reason for this rule is indicated by the Second Circuit Court of Appeals in United States v. Werker, 535 F.2d 198, 203 (2nd Cir.1976). The court said:
Rule 11 [prohibiting judicial participation in plea bargaining] implicitly recognizes that participation in the plea bargaining process depreciates the image of the trial judge that is necessary to public confidence in the impartial and objective administration of criminal justice. As a result of his participation, the judge is no longer a judicial officer or a neutral arbiter. Rather, he becomes or seems to become an advocate for the resolution he has suggested to the defendant.
Also, when a sentence is imposed after judicial participation in plea bargaining, it is unclear whether the sentence imposed was based on reason or based on the fulfillment of the previous threat. In People v. Clark, 183 Colo. 201, 515 P.2d 1242 (1973), the Colorado Supreme Court said “that the trial judge advised defense counsel, in the course of the plea negotiations, that the defendant would be given an extremely heavy sentence, or ‘put away forever,’ if he did not accept the district attorney’s offer and went to trial and was found guilty.” Id. 515 P.2d at 1242. Defendant refused the offer and was convicted after a jury trial.
The court went on to say:
In this case, the trial judge’s attempt to coerce an agreement did not bear fruit, and as a result, the trial judge can properly be accused of carrying out his threat. The comments of the trial judge require that the defendant be resentenced to ensure that the sentences imposed were not the product of the trial judge’s promise to put the defendant away forever if the jury found him guilty.
Id. 515 P.2d at 1243.
The judge of the Superior Court committed error when he refused to hold an evidentiary hearing on this issue. See State v. Carriger, 132 Ariz. 301, 645 P.2d 816 (1982). A hearing should have taken place and a stay of execution granted.
It is ordered remanding to the Superior Court. Further ordered that within 60 days a hearing shall be had, the judge of the Superior Court shall make findings, and the findings shall be forwarded to this court with a transcript of the hearing.
HOLOHAN, C.J., GORDON, V.C.J., and CAMERON and FELDMAN, JJ., concur.
. Petitioner mentioned several claims in a footnote. He did not elaborate on them and indicated that this court had previously considered them.
. Petitioner states that this court has not reviewed the proportionality of his sentence. The determination of that contention will abide the resolution of the above issue.
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OPINION
FROEB, Presiding Judge.
The parties in this case were locked in dispute over amounts due under a note secured by a deed of trust. In the face of an approaching deadline, they entered into a stipulation that pending claims be dismissed with prejudice and judgment was entered accordingly. The following day, the party whose claims were dismissed moved to set the judgment aside on the ground of duress. The motion was granted and this appeal followed. We vacate the order and reinstate the judgment.
The undisputed facts necessary to the resolution of the appeal are as follows. Roger S. Rudine (also Rodine) and Thomas Caprino, individually and as partners of R and C Trust Company, a partnership (referred to hereafter as “R and C”), purchased the Westward Ho Hotel in Phoenix on December 20, 1977, from Republic National Life Insurance Company (referred to hereafter as “Republic”). The unpaid portion of the purchase price was represented by a note in the amount of $2,270,000.00 secured by a deed of trust under which Republic was the beneficiary and Lawyers Title of Arizona was the trustee. Within the year, specifically on September 14,1978, R and C gave an option to purchase the hotel to Westward Ho Associates (hereafter referred to as “option purchasers”). The option was later exercised and a closing of the sale conditioned upon conveyance of clear title was scheduled for February 12, 1980. Earlier, on January 10, 1979, Republic declared R and C in default of payment under the note and accelerated the unpaid balance as immediately due and owing. Republic also demanded possession of the hotel, which was refused. R and C attempted to cure their default by tendering two cashier’s checks to Republic on January 15,1979, and again on January 19,1979, the first check covering the installments in default plus late fees, and the second check in the amount of $500.00 for reasonable attorney’s and trustee’s fees. Republic refused the tendered amounts and filed suit for possession of the hotel. Republic also noticed a non-judicial trustee’s sale of the hotel for April 29, 1979. Through a series of restraining orders and preliminary injunctions, the trustee’s sale of the hotel was prevented and R and C remained in possession. R and C filed their answer to Republic’s suit on February 20,1979, and asserted two counterclaims which are the subject of this appeal. In substance, the two counterclaims sought injunctive relief and monetary damages alleging that Republic had breached the deed of trust by wrongfully declaring R and C in default and by acting maliciously and in reckless and wanton disregard of R and C’s contract rights.
The dispute continued between the parties. The option purchasers exercised their option to purchase the hotel on January 30, 1980, and set February 13, 1980, as the closing deadline date because their financing commitment thereafter would be withdrawn by the lender. Faced with this deadline, R and C intensified their efforts to resolve the default and obtain release of the lien. Republic continued to insist on its terms for release of the lien as it had set forth in its October 8, 1979, letter. Although R and C contested the amounts demanded by Republic, the main stumbling block remained the demand that the counterclaims be dismissed. R and C’s situation became more pressing when the option purchasers filed suit against them for specific performance of their agreement or, in the alternative, One Million Dollars in damages. Before the February 13, 1980, deadline, R and C made several unsuccessful tenders to Republic but refused to dismiss the counterclaims. Finally, on February 13, literally minutes before financing was to be withdrawn, R and C entered into a stipulation tendering all sums demanded and agreeing to dismissal of their counterclaims. In exchange, Republic agreed to release its lien on the hotel. The stipulation was made in court before a court reporter and provided for entry of the judgment dismissing the counterclaims. The judgment was entered, Republic released the hotel from the lien of the deed of trust, and the sale to the option purchasers closed.
Although presented in the context of a rule 60(c) motion to vacate order, the issue before us first requires a resolution based upon contract principles. In order to decide the merits of the rule 60(c) motion, the enforceability of the stipulation must first be decided. See Lamb v. Arizona Country Club, 124 Ariz. 239, 240, 603 P.2d 510, 511 n. 2 (App.1978).
At the heart of R and C’s claim of duress is their argument that Republic had no legal justification to demand anything more than payment of all sums due under the deed of trust, Best Fertilizers of Arizona, Inc. v. Burns, 116 Ariz. 492, 570 P.2d 179, rev’d on other grounds, 117 Ariz. 178, 571 P.2d 675 (App.1977), which R and C contend was tendered and rejected. R and C argue that Republic wrongfully took advantage of the deadline they were faced with to force upon them dismissal of the counterclaims. On the other hand, Republic has steadfastly maintained that it had the right to demand dismissal of the counterclaims prior to releasing its lien against the hotel. Republic’s position is based upon the following provisions of the deed of trust:
TO PROTECT THE SECURITY OF THIS DEED OF TRUST, TRUSTORS [R AND C] AGREE:
3. To appear in and defend any action or proceeding purporting to affect the security hereof or the rights or powers of Beneficiary or Trustee; to pay all costs and expenses of Beneficiary and Trustee, including the cost of evidence or title and attorney’s fees in a reasonable sum, in any such action or proceeding in which Beneficiary or Trustee may appear or be named and in any suit brought by Beneficiary or Trustee to foreclose this Deed of Trust.
4. To pay: (a) before delinquent, all taxes and assessments affecting said property; (b) when due, all encumbrances, charges and liens, with interest, which may hereafter be placed against the property or any part thereof and which appear to be prior or superior hereto; (c) all costs, fees and expenses of this Trust, including without limiting the generality of the foregoing, the fees of Trustee for issuance of any Deed of Partial Release and Partial Reconveyance or Deed or Release and Full Reconveyance, and all lawful charges, costs and expenses in the event of reinstatement of, following default in, this Deed of Trust or the obligations secured hereby.
Should Trustors fail to make any payments or to do any act as herein provided, then Beneficiary or Trustee, but without obligation so to do but with notice to or demand upon Trustors, and without releasing Trustors from any obligation hereof, may: (a) make or do the same in such manner and to such extent as either may deem necessary to protect the security hereof, Beneficiary or Trustee being authorized to enter upon said property for such purposes; (b) appear in and defend any action or proceeding purporting to affect the security hereof or the rights or powers of Beneficiary or Trustee; (c) pay, purchase, contest or compromise any encumbrance, charge or lien which in the judgment of either appears to be prior or superior hereto; (d) and in exercising any such powers pay necessary expenses, employ counsel and pay his reasonable fees.
5. To pay immediately and without demand all sums expended by Beneficiary or Trustee pursuant to the provisions hereof, together with interest from date of expenditure at the same rate as is provided for in the note secured by this Deed of Trust or at the highest legal rate, which ever be the greater rate. Any amounts so paid by Beneficiary or Trustee shall become a part of the debt secured by this Deed of Trust and a lien on said premises or immediately due and payable at option of Beneficiary or Trustee. [Emphasis added].
Republic maintains that any sums incurred for attorney’s fees in successful defense of the counterclaims would be recoverable from R and C and would be secured by the lien of the deed of trust. Since it was entitled to insist upon dismissal of the counterclaims before releasing its lien, Republic argues there can be no duress as a matter of law. Therefore, it argues, the stipulation for dismissal of the counterclaims and for entry of judgment was enforceable and the stipulated judgment should not have been set aside by the trial court.
We find it unnecessary to construe the provisions of the deed of trust to decide whether Republic’s interpretation of its terms is correct. We hold that Republic was entitled to adhere to its interpretation of the deed of trust in demanding dismissal of the counterclaims and that duress did not thereby result which would justify voiding the stipulation.
Arizona has adopted the definition of duress set forth in Restatement of Contracts § 492:
Duress in the Restatement of this Subject means
(a) any wrongful act of one person that compels a manifestation of apparent assent by another to a transaction without his volition, or
(b) any wrongful threat of one person by words or other conduct that induces another to enter into a transaction under the influence of such fear as precludes him from exercising free will and judgment, if the threat was intended or should reasonably have been expected to operate as an inducement.
See In re Estate of Cohen, 105 Ariz. 337, 464 P.2d 620 (1970); Dunbar v. Dunbar, 102 Ariz. 352, 429 P.2d 949 (1967). In Dunbar v. Dunbar, the court considered the question of duress in the context of a settlement between the parties. The court held:
Settlements such as are involved herein must be measured and determined in the light of the facts and surrounding circumstances. By definition, an act or threat to constitute duress must be “wrongful.” * * * It is not duress to declare an intention to resort to the courts for the purpose of insisting on what one believes are one’s legal rights. Kaplan v. Kaplan, 25 Ill.2d 181, 182 N.E.2d 706.
102 Ariz. at 356, 429 P.2d at 953. In the present case, the stipulation between the parties arose because the parties could not agree as to the meaning of the deed of trust. It was not “wrongful" for Republic to adhere to its interpretation of the deed of trust. In re Estate of Cohen; Dunbar v. Dunbar. See also Vinnell Corp. v. State ex rel. Bob Skousen Contractor, Inc., 109 Ariz. 87, 505 P.2d 547 (1973); Ellsworth v. Layton, 97 Ariz. 115, 397 P.2d 450 (1964); Johnson v. American National Insurance Co., 126 Ariz. 219, 613 P.2d 1275 (App.1980). In our opinion, Republic had the right to hold to its position that it would be potentially entitled to attorney’s fees if it successfully defended against R and C’s counterclaims and that payment of the attorney’s fees would be secured by the lien of the deed of trust. The fact that substantial economic considerations attended the decision of R and C to stipulate to the dismissal of the counterclaims does not in and of itself constitute duress. See LaBeach v. Beatrice Foods Co., 461 F.Supp. 152 (S.D.N.Y.1978); Alexander v. Standard Oil Co., 97 Ill.App.3d 809, 53 Ill.Dec. 194, 423 N.E.2d 578 (1981). This is especially so where Republic’s conduct did not cause the disparity in bargaining positions. 13 Williston on Contracts, 3rd Ed. § 1617 (1970). Moreover, R and C have acted upon the stipulation to Republic’s detriment by accepting the release of lien and obtaining clear title. R and C did so knowing that they would later assert duress to prevent enforcement of the stipulation and that Republic could not be restored to its pre-bargaining position as a lienholder. Finally, R and C rely heavily upon Leeper v. Beltrami, 53 Cal.App.2d 195, 1 Cal.Rptr. 12, 347 P.2d 12 (1959) and Pecos Construction Co., Inc. v. Mortgage Investment Co. of El Paso, 80 N.M. 680, 459 P.2d 842 (1969) to support their argument for duress, but neither these two cases, nor others cited, persuade us that legal duress occurred here. Such cases involve wholly different fact situations.
R and C have also failed to demonstrate that Republic’s conduct, and not their own, was the cause of the duress alleged. R and C created their own stringent circumstances when they agreed to sell the hotel free and clear of liens to the option purchasers. The option purchasers and R and C set the closing deadline, not Republic.
This is not a situation where one party extracted additional payments from another party based upon its superior bargaining position. R and C entered into the stipulation because they thought it would be a better choice than breaching their agreement with the option purchasers and pursuing a litigation remedy against Republic for the resulting damages. Nor is this a situation where one party acquiesces to avoid irreparable damage to its business or property interests. Pleasants v. Home Federal Savings & Loan Assoc., 116 Ariz. 319, 569 P.2d 261 (App.1977). The most that can be said is that R and C gave up their unproven counterclaims and paid amounts claimed by Republic to be owing under the promissory note. Yet there is no certainty that R and C would have prevailed in the then pending litigation or, had they been successful, what damages would have been recoverable. At the heart of the stipulation was a controversy between the parties over amounts owing and the meaning of provisions in the deed of trust. The parties settled this controversy by stipulation. As stated by the court in Phillips v. Musgrave, 23 Ariz. 591, 595, 206 P. 164, 165 (1922):
The settlement of a controversy is valid and binding, not because it is the settlement of a valid claim, but because it is the settlement of a controversy, and when such settlement is characterized by good faith the court will not look into the question of law or fact in dispute between the parties, and determine which is right. (Quoting from Smith v. Farra, 21 Or. 395, 28 P. 241 (1891)).
Even if we were to assume Republic acted erroneously by insisting upon dismissal of the counterclaims, R and C would not prevail because they have failed to demonstrate that a litigation alternative to the compromise was unavailable. R and C first became aware of Republic’s position in October 1979. During the course of the following months, R and C took no legal action to resolve the issue. A party cannot prevail where it takes no action to contest the other party’s position and later acquiesces in a settlement agreement. See Joyce v. Year Investments, Inc., 45 Ill.App.2d 310, 196 N.E.2d 24 (1964).
We, therefore, reject R and C’s argument that they entered into the stipulation because they were without a reasonable alternative. They have not shown that their contract remedy for damages resulting from the alleged breach by Republic would have been unavailable or wholly inadequate. This being so, their claim that duress forced them into a settlement stipulation is weakened proportionately.
Having concluded that the settlement stipulation withstands R and C’s claim of duress, we return to consideration of the procedural context in which it was raised in the trial court. R and C moved to set aside the dismissal of their counterclaims on the authority of rule 60(c), Rules of Civil Procedure. In particular, R and C argued that duress is a species of fraud, thereby justifying relief under rule 60(c)(4). Additionally, they contended that the motion presented reasons justifying relief under rule 60(c)(6). We find, however, that the procedural avenues for relief raise the claim no higher than the claim of duress itself, and that claim has been rejected. Purely and simply, the order setting aside the stipulated judgment in this case cannot rest upon a rule 60(c) ground where we have found the stipulation itself to be enforceable as a contract notwithstanding the claim of duress.
For the reasons set forth, the order of the trial court setting aside the order dismissing counterclaims is vacated.
GRANT and GREER, JJ., concur.
. Republic demanded acceleration of the debt in accordance with paragraph 15 of the deed of trust which reads: “That upon default by Trus-tors [R and C] in the payment of any indebtedness secured hereby ... Beneficiary may declare all sums secured hereby to be immediately due and payable....”
. Republic claimed its right to possession under A.R.S. § 33-702, which reads:
B. A mortgage or trust deed may provide for an assignment to the mortgagee or beneficiary of the interest of the mortgagor or trustor in leases, rents, issues, profits or income from the property covered thereby, whether effective before, upon or after a default under such mortgage or trust deed or any contract secured thereby, and such assignment may be enforced without regard to the adequacy of the security or the solvency of the mortgagor or trustor by any one or more of the following methods:
2. The mortgagor or beneficiary taking possession of the property, or without the mortgagor or beneficiary taking possession of the property.
. The definition has since been revised in Restatement (Second) of Contracts § 175(1) adopted by the American Law Institute on May 17, 1979. See also § 176. The conclusion we have reached in this case would not be different if the revised definition were applied.
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OPINION
JACOBSON, Judge.
The major issue raised by this appeal is whether the failure of the prosecution to advise the court or defense counsel of the apparent inability of the victim-prosecutrix to appear at trial invalidates the defendant’s Alford plea.
The defendant, David Lee Fowler, was charged by information filed March 4, 1981 with sexual assault, a class 2 felony in violation of A.R.S. § 13-1406. Allegations of two prior felony convictions were subsequently filed and the case was set for trial on June 11,1981. On June 10,1981, the day before trial, the defendant, his counsel and the prosecutor met with the trial judge in an informal conference to settle voir dire questions. Although the victim of the sexual assault had moved to Ohio, the prosecutor had maintained contact with her and had been told by the victim that she would be available for trial on June 11, 1981. Additionally, the state had mailed her flight tickets to Phoenix and made hotel reservations. This witness was to be met at the airport in the late afternoon of June 10, 1981.
With trial imminent and the victim apparently available, the defendant expressed his interest in negotiating a plea bargain. Although the defendant claimed innocence, he entered a plea on the afternoon of June 10, 1981 in accordance with North Carolina v. Alford, 400 U.S. 25, 91 S.Ct. 160, 27 L.Ed.2d 162 (1970). The plea agreement provided that the defendant would plead guilty to sexual assault with one prior felo ny conviction and a stipulated sentence of 8.5 years imprisonment. The plea was accepted and on July 7,1981, the agreed upon sentence was imposed.
After the plea was accepted, the prosecutor was told that the victim had not flown to Phoenix as prearranged. The prosecutor attempted to call the victim’s home in Ohio and friends of the witness in Phoenix. These efforts proved fruitless. Apparently because of the entry of the plea, including the stipulated sentence, the prosecutor dropped the issue and merely wrote a letter to the victim explaining what had occurred. This information was not relayed to the defense attorney until either shortly before or shortly after sentencing.
In the consolidated appeal and petition for review, the following two arguments are listed in the opening brief:
1. The willful failure of the prosecution to timely advise either court or counsel of the apparent recantation by the prosecu-trix vitiates any Alford plea supported by that same prosecutor’s avowal as to the prosecutrix’s testimony at trial;
2. The court record fails to demonstrate a knowing, voluntary, and intelligent plea as to the defendant’s admission of a prior conviction for enhancement or aggravation.
Without citation to authority, the defendant claims on appeal that the failure of the victim to travel to Phoenix amounted to recantation of her testimony by act and because the prosecutor did not immediately advise defense counsel of the failure of the victim to appear, this somehow vitiated the validity of the Alford plea. We reject the “recantation” argument as purely speculative. The state responds to the balance of the argument by citing Brady v. United States, 397 U.S. 742, 90 S.Ct. 1463, 25 L.Ed.2d 747 (1970).
Brady was charged with kidnapping under a federal statute which at that time permitted the death penalty if recommended by the jury. To avoid the potential death penalty, Brady entered a plea of guilty. The statute was later found unconstitutional in United States v. Jackson, 390 U.S. 570, 88 S.Ct. 1209, 20 L.Ed.2d 138 (1968) on the grounds that the potential death penalty which could be imposed only by a jury, placed an undue price on the sixth amendment right to a jury trial. After Jackson issued, Brady argued that his plea had not been intelligently entered because of his assumption that the statute was constitutional and that he faced a potential death sentence. The Supreme Court found that the plea was validly entered using the following language:
Often the decision to plead guilty is heavily influenced by the defendant’s appraisal of the prosecution’s case against him and by the apparent likelihood of securing leniency should a guilty plea be offered and accepted. Considerations like these frequently present imponderable questions for which there are no certain answers; judgments may be made that in the light of later events seem improvident, although they were perfectly sensible at the time. The rule that a plea must be intelligently made to be valid does not require that a plea be vulnerable to later attack if the defendant did not correctly assess every relevant factor entering into his decision. A defendant is not entitled to withdraw his plea merely because he discovers long after the plea has been accepted that his calculus misapprehended the quality of the State’s case or the likely penalties attached to alternative courses of action. More particularly, absent misrepresentation or other impermissible conduct by state agents, cf. Von Moltke v. Gillies, 332 U.S. 708, 68 S.Ct. 316, 92 L.Ed. 309 (1948), a voluntary plea of guilty intelligently made in the light of the then applicable law does not become vulnerable because later judicial decisions indicate that the plea rested on a faulty premise. A plea of guilty triggered by the expectations of a competently counseled defendant that the State will have a strong case against him is not subject to later attack because the defendant’s lawyer correctly advised him with respect to the then existing law as to possible penalties but later pronouncements of the courts, as in this case, hold that the maximum penalty for the crime in question was less than was reasonably assumed at the time the plea was entered. 397 U.S. at 756, 757, 90 S.Ct. 1473.
In our opinion, there is no relevant distinction between the mistake of law (the constitutionality of the death penalty statute) in Brady, and the mistake of fact here (that the prosecutrix would be available to testify). We therefore find Brady disposi-tive.
The defendant argues, however, that since his was an Alford plea, (maintaining his innocence, but willing to plead because of the strength of the state’s case), the result should be different. It is clear from this record that the prosecution had no knowledge that the victim would not appear at trial at the time the Alford plea was entered, and therefore no indication that when the prosecutor presented the strong factual basis for the plea as required by North Carolina v. Alford, supra, that the prosecutor was guilty of any misrepresentation or other impermissible conduct. Knowledge of matters (not affecting the validity of the plea process) acquired after the plea which might indicate that the defendant would have been better off going to trial rather than entering a guilty plea, does not invalidate either an Alford plea or a normal plea of guilty.
In the defendant’s second argument, he claims that the plea to the prior conviction was invalid because: (1) the trial judge had made no ruling on the State’s allegation of the prior conviction at the time he accepted the plea and (2) had failed to separately advise the defendant of the sentencing range to a plea of sexual assault versus sexual assault with a prior felony conviction.
The defendant was arraigned on March 9, 1981 and trial was originally set for April 27, 1981. Motions were ordered to be filed no later than April 7, 1981. While the State’s first allegation of a prior conviction was timely filed on March 15, 1981, the second allegation of a prior conviction, to which appellant eventually plead guilty, was not filed until May 4, 1981.
Rule 16.1, Arizona Rules of Criminal Procedure, requires that all motions, including motions to allege a prior conviction, must be filed within twenty days before the original trial date. See State v. Superior Court, 127 Ariz. 175, 619 P.2d 3 (1980); State v. Birdsall, 116 Ariz. 112, 568 P.2d 419 (1977) and City of Tucson v. Arndt, 125 Ariz. 607, 611 P.2d 960 (App.1980). However, the untimely filing of the motion does not preclude the prior conviction from being alleged.’ It merely shifts from the prosecutor to the trial court the discretion of permitting the allegation under A.R.S. § 13-604(K). State v. Kelly, 123 Ariz. 24, 597 P.2d 177 (1979). The defendant is therefore correct that normally the trial judge would be required to exercise his discretion under A.R.S. § 13-604(K) before permitting the allegation of a prior conviction. Cf, State v. Jones, 119 Ariz. 479, 581 P.2d 713 (App.1978). But, this argument entirely ignores the fact that the plea agreement, in paragraph 4, specifically amended the indictment to charge the offense to which the defendant entered his plea. Under these circumstances, it was not necessary for the court to rule on the allegation of the prior conviction. See Rule 13.5 and State v. Wilson, 126 Ariz. 348, 615 P.2d 645 (App.1980).
Finally, as to the defendant’s claim that the plea to the prior conviction was not intelligently entered because he had not been separately advised of the potential punishment for sexual assault as opposed to sexual assault with a prior conviction, again we find no merit. The defendant was specifically advised of the constitutional rights he was waiving by entering his plea and was advised that these rights applied to both a trial on the charge of sexual assault and a subsequent trial on the prior conviction. This, combined with the explanation of the potential range of sentence which the defendant faced by pleading guilty to sexual assault with a prior conviction, was all that was required by Rule 17.6. As correctly noted by the State, to have advised the defendant of separate sentencing ranges would merely have confused the proceedings as the plea agreement was solely to the sexual assault with a prior conviction.
For the reasons stated, the judgment is affirmed and the sentence modified to a sentence of imprisonment and as so modified, affirmed.
CONTRERAS, J., concurs.
. At the time of sentencing, the trial judge ordered that appellant be committed to the Department of Corrections. Pursuant to State v. Gutierrez, 130 Ariz. 148, 634 P.2d 960 (1981), appellant’s sentence is modified to a sentence of imprisonment.
. This factual basis was fully supported by the victim’s testimony at the preliminary hearing.
. We recognize that Kelly was decided under former A.R.S. § 13-1649(C), the forerunner to A.R.S. § 13-604(K). Nevertheless, because the statutes are identical in relation to the allegation of a prior conviction, we find Kelly still viable.
|
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OPINION
OGG, Judge.
In this special action review of an Industrial Commission award suspending benefits we examine: first, the legal effect of an order of the Industrial Commission conditioning approval to leave the state upon a requirement that the worker return to the state at her own expense upon any and all requests of the carrier; specifically, whether such a condition can obviate the requirement of A.R.S. § 23-1026 that medical examinations be held at a time and place reasonably convenient to the employee; and second, whether the award in this case is legally and factually correct.
We find that the conditional permission to leave the state did not allow the carrier to arbitrarily schedule medical examinations without meeting the requirements of A.R.S. § 23-1026. We have also determined that the award suspending benefits in this case is incorrect under the applicable law.
Therefore, the award must be set aside.
Following an industrial injury, which was accepted for benefits, petitioner employee Pearl Israel requested permission from the Industrial Commission to move to Pratt-ville, Alabama, where her daughters reside. She also asked that Gary E. Phillips, M.D., of Montgomery, Alabama, an orthopedic physician, become her treating physician.
By findings and order issued August 14, 1980, the Industrial Commission granted permission to leave the state, pursuant to A.R.S. § 23-1071 and approved petitioner’s change of physicians.
The order of the Industrial Commission included the following proviso:
IT IS FURTHER ORDERED that said applicant shall return at her expense if so directed by the defendant insurance carrier or the Industrial Commission of Arizona.
In June of 1981 the carrier scheduled a medical examination of the employee with Thomas H. Taber, M.D., for July 7,1981, in Phoenix, Arizona.
In communications between counsel it was requested that a physician be appointed for the examination in Alabama rather than Phoenix, due to the expense and the employee’s health.
The carrier would not accommodate the employee and she traveled to Phoenix at her own expense for the appointment with Dr. Taber on July 7, 1981.
The contents of Dr. Taber’s report are not disputed by the parties. It included the following:
It is my opinion that this patient sustained a lumbosacral contusion and a strain on 7-31-79. There are no definite, specific, orthopaedic findings today. The patient’s picture is that of a patient with underlying degenerative joint disease with significant functional overlay and over reactivity unresponsive to any treatment and progressively getting worse. It is my opinion that there is no evidence of orthopaedic disease related to the episode of 7-31-79. The patient does have some degenerative joint disease of her spine which is organic. In addition she has significant functional overlay but probably not a specific psychiatric problem. These functional components should be evaluated appropriately. (Emphasis added)
Based on Dr. Taber’s report, and after petitioner had returned to Alabama, the carrier scheduled another medical examination by Howard S. Gray, M.D., a psychiatrist. This examination was set in Phoenix, Arizona, and was scheduled for September 18, 1981.
Counsel for petitioner requested that a psychiatrist be appointed in Alabama for the examination as petitioner was too ill to travel and could not afford the expense of another trip so soon after the first examination.
There is no indication that the carrier made any attempt to assess the feasibility or necessity of appointing a psychiatric physician in Alabama to conduct the examination.
Counsel for petitioner filed a motion for a protective order against the notice of further medical examination. Apparently because the matter was not at that time before the hearing division of the Industrial Commission, the motion was handled administratively. The motion was denied by the chief counsel for the Industrial Commission, who set the date for the examination for September 29,1981. No one has argued the effect or validity of this procedure, therefore we will not reach the question.
In regard to the carrier’s argument that the denial of the motion for protective order became final, we note that a recent decision of the Arizona Supreme Court has determined that an order denying a motion for protective order is interlocutory. Miceli v. Industrial Commission, 135 Ariz. 71, 659 P.2d 30 (1983). Such an order can be challenged pursuant to A.R.S. § 23-948 by a special action governed by Rule 1(b), Rules of Procedure for Special Actions, 17A A.R.S.; Miceli, supra.
It is appropriate for this court to consider sua sponte, the scope of its Rule 10, Rules of Procedure for Special Actions, jurisdiction in this case. Koval v. Industrial Commission, 23 Ariz.App. 277, 532 P.2d 549 (1975). We find it was not necessary for petitioner to bring a special action pursuant to A.R.S. § 23-948 against the interlocutory Commission order denying her motion for protective order to preserve the issue for review. On Special Action — Industrial Commission review, this court’s jurisdiction is limited to, but may also include, all matters which the administrative law judge could consider in his review of his own decision. See Stephens v. Industrial Commission, 114 Ariz. 92, 95, 559 P.2d 212, 215 (App.1977).
By requesting a hearing against a notice of suspension of benefits issued by the carrier, the petitioner in this case challenged the Industrial Commission’s authority to require her attendance at a medical examination scheduled far from home. The interlocutory order of the Commission denying her motion for-protective order did not preclude the administrative law judge from considering the validity of the carrier’s notice of suspension of benefits. Since the petitioner raised the argument again in her request for review, the question of the validity of the suspension is also properly before this court. Stephens, supra.
Petitioner did not appear in Phoenix for the psychiatric examination and on October 29, 1981, the carrier issued a notice of suspension of benefits alleging that petitioner had refused to attend or had obstructed a medical examination.
Petitioner, through counsel, requested a hearing. The matter was handled without a hearing through a pre-hearing conference and the submission of the case to the administrative law judge on the basis of stipulated facts, the Industrial Commission claims file, and memoranda of counsel.
The award, issued May 7, 1982, upheld the suspension on two grounds: first, that the conditions of the order granting permission to leave the state required her to return at any request of the carrier at her own expense, regardless of A.R.S. § 23-1026; secondly, that the request of the carrier for a psychiatric examination was reasonable because the carrier could have, on the basis of Dr. Taber’s report, closed petitioner’s claim entirely.
On special action review, petitioner asserts that, even in light of the conditional order granting permission to leave the state, A.R.S. § 23-1026 must be applied in determining whether a failure to attend a medical examination scheduled away from the injured worker’s residence is a willful refusal. Additionally, petitioner argues that the refusal of the carrier to negotiate at all concerning the place of examination, together with the setting of a second examination close in time to the first, was unreasonable on the part of the carrier.
The carrier argues that once the petitioner failed to appear at a duly noticed medical examination, there were prima facie grounds upon which to issue a suspension of benefits. Edmunds v. Industrial Commission, 126 Ariz. 486, 616 P.2d 946 (App.1980). However, as we also stated in Edmunds, upon filing a request for hearing, the claimant is entitled to show why the failure to attend is not grounds for suspension. As will be discussed, the fact that a medical examination has been scheduled away from the injured worker’s place of residence requires the carrier, after protest by the claimant on those grounds, to show reasonable cause why the suspension should be sustained in light of A.R.S. § 23-1026.
In a case which we find instructive to the issues in this review, the Arizona Supreme Court has recently considered the validity of a suspension of benefits when a claimant has reasonably objected to the setting of a medical examination away from home. The decision, Miceli v. Industrial Commission, supra, did not involve a claimant who resided out-of-state; however, the reasoning is persuasive as to the issue before this court.
Interpreting A.R.S. § 23-1026, the court stated:
Obviously, the statute limits the Commission by depriving it of unrestrained discretion with regard to the place of examination. It must be one which is reasonably convenient to the employee. Our courts have held that a reasonable showing of cause must be made before an order could be entered forcing an injured worker who had left the state to return to Arizona for examination. Meva Corporation v. Industrial Commission, 15 Ariz.App. 20, 25, 485 P.2d 844, 849 (1971). While the requirement of good cause in Meva went to the issue of modifying benefits, rather than the place of examination, the court in making its ruling recognized that A.R.S. § 23-1026 “does not grant an unfettered right on the part of the carrier to demand that the Industrial Commission order an injured worker to appear in Arizona for follow-up physical examinations.” Id. We believe that the same principle is applicable to requiring an injured worker to leave his or her residence and travel to a different locality for medical examination; there must be a reasonable showing of cause. (Emphasis added)
Where permission to reside in another state has been granted under A.R.S. § 23-1071, the carrier, upon scheduling a medical examination far from the injured worker’s home, must still show that its action is reasonable pursuant to A.R.S. § 23-1026, if the claimant objects to the examination on the grounds provided in that statute.
Waxler v. Industrial Commission, 116 Ariz. 213, 568 P.2d 1111 (App.1977), cited by the carrier, has no application to this case because the claimant in Waxier left the state without the permission of the Industrial Commission while she required medical treatment. See A.R.S. § 23-1071(A).
By this opinion we do not say that the Industrial Commission has no right to order a claimant to appear in Arizona for a follow-up physical examination. We merely hold that the award in this case is in error for failing to apply the correct legal standard when it determined that A.R.S. § 23-1026 did not apply to the carrier’s action in suspending benefits. The facts show no attempt on the part of the carrier to show reasonable cause why this claimant should be required to travel far from her home a second time for a psychiatric examination. There are no reasons set forth anywhere in the record why the psychiatric examination must occur in Arizona rather than Alabama. Rather, the administrative law judge relied on the condition in the order granting permission to leave the state that required the claimant to return at any time at her own expense. As we have already discussed, that condition did not obviate the application of A.R.S. § 23-1026, and the award is in error.
The second basis for the award also requires comment. The mere fact that the carrier might have been able to close the case on the basis of Dr. Taber’s report without scheduling an additional psychiatric examination does not bear upon the reasonableness of the examination or the failure to attend under A.R.S. § 23-1026. Entirely different legal and factual considerations underlie the closing of a claim as opposed to a suspension of benefits. The carrier may not, through an arbitrary use of suspension, achieve an effective closure of the claim. Whenever possible, cases should not be resolved through procedural vehicles, but by proceedings on the merits. Cook v. Industrial Commission, 133 Ariz. 310, 651 P.2d 365 (1982). Therefore, we find that the portion of the award upholding the carrier’s action because Dr. Taber’s report would have supported closing the claim is also in error. The claimant has the right to contest closure of her claim in other proceedings.
For the reasons stated above, the award is set aside.
BROOKS, J., concurs.
. § 23-1026. Periodical medical examination of employee; effect of refusal or obstruction of examination or treatment.
A. An employee who may be entitled to compensation under this chapter shall submit himself for medical examination from time to time at a place reasonably convenient for the employee, if and when requested by the commission, the state compensation fund, his employer or the insurance carrier.
B. The request for the medical examination shall fix a time and place having regard to the convenience of the employee, his physical condition and ability to attend. The employee may have a physician present at the examination if procured and paid for by himself.
C. If the employee refuses to submit to the medical examination or obstructs the examination, his right to compensation shall be suspended until the examination has been made, and no compensation shall be payable during or for such period.
D. A physician who makes or is present at the medical examination provided by this section may be required to testify as to the result thereof.
E. Upon appropriate application and hearing, the commission may reduce or suspend the compensation of an employee who persists in unsanitary or injurious practices tending to imperil or retard his recovery, or who refuses to submit to medical or surgical treatment reasonably necessary to promote his recovery.
. § 23-1071. Notice by disabled employee of absence from locality or state; failure to give notice; change of doctor
A. No employee may leave the state of Arizona for a period exceeding two weeks while the necessity of having medical treatment continues, without the written approval of the commission. Any employee leaving the state of Arizona for a period exceeding two weeks without such approval will forfeit his right to compensation during such time, as well as his right to reimbursement for his medical expenses, and any aggravation of his disability, by reason of the violation of this section, will not be compensated.
B. No employee may change doctors without the written authorization of the insurance carrier, the commission or the attending physician.
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OPINION
OGG, Judge.
Shortly after midnight on August 23, 1981, officers David Cummings and Nora Wysocki observed a station wagon as it made a left turn onto Indian School Road in Phoenix, Arizona. As several cars were forced to slow down to avoid colliding with the station wagon, these officers pulled the station wagon over at 17th Street and Indian School Road. Officer Paul Griego arrived shortly thereafter and served as the backup officer for officers Cummings and Wysocki.
Steve Yawnez was the driver of the car and appellant was the only passenger. As Mr. Yawnez had no driver’s license in his possession and there was an outstanding misdemeanor warrant for him, the officers arrested Mr. Yawnez and placed him in the back of the police car operated by officers Cummings and Wysocki.
During this stop, the officers noticed that appellant smelled strongly of alcohol, had slurred speech, and lacked coordination in his movements. All three officers concluded that appellant was intoxicated.
Officer Cummings told appellant that he was too intoxicated to be driving a car and that he would not allow appellant to drive his vehicle. Appellant replied that he knew he had too much to drink, that he would not drive, and that he was going to call someone to come and get him. Officer Cummings then told appellant there was possibly a phone booth near the intersection of 16th Street and Indian School Road by the chicken restaurant, approximately a block away.
Officer Cummings warned appellant again not to drive and that if appellant was caught driving the car that evening, appellant would be arrested and booked into jail. Appellant assured officer Cummings that he would not be driving and the officer gave appellant the keys to the car, which car belonged to appellant’s mother. Appellant then started walking towards the chicken restaurant and all three officers left the scene, although officer Griego parked only a short distance away, where he stopped to fill out paper work.
About five minutes after officer Griego had left the scene, he noticed the same station wagon pulling up to the intersection at 17th Street and Indian School. Officer Griego fell in behind the vehicle and put on his red lights and spotlight in an attempt to stop the vehicle. The vehicle did not stop but instead led officer Griego and other officers on a high speed chase through Phoenix. The chase ended when appellant collided with a motorcycle at 7th Avenue and Thomas. The two persons riding the motorcycle were killed instantly and the station wagon hit a concrete wall. Appellant was the only person in the station wagon and although he was injured, he survived. At the time of the collision, the minimum speed of the station wagon was at least 70 miles per hour. Approximately three hours after the collision, a test revealed appellant’s blood alcohol level to be .10.
Appellant was charged with two counts of second degree murder, class two and dangerous felonies. Appellant waived the right to a trial by jury and a trial to the court commenced on February 9, 1982. On February 16, 1982, the court found appellant guilty of two counts of negligent homicide, class four and dangerous felonies. Appellant was sentenced on March 18, 1982 to four years imprisonment on each count. The counts were ordered to run concurrently and appellant was given credit for pre-sentence incarceration. This appeal followed.
The issues as raised by the appellant are:
1. Whether the trial court should have found appellant not guilty by reason of pathological intoxication.
2. Whether appellant’s conviction should have been found to be nondangerous.
INTOXICATION
During appellant’s trial, two psychiatrists, Dr. Walter Fox and Dr. Otto Ben-dheim, testified that at the time of the high speed chase, appellant was suffering from pathological intoxication. Dr. Fox testified that pathological intoxication is a condition in which an individual behaves in a very bizarre, unusual, and often in a violent way after the consumption of an amount of alcohol that would not cause such behavior in the average individual. It is usually characterized by complete lack of memory of the episode. Dr. Bendheim’s definition of pathological intoxication was similar to Dr. Fox’s definition and it was uncontroverted that appellant suffered from pathological intoxication during the high speed chase. Dr. Bendheim also testified that during the chase, appellant was not aware of the nature, quality and consequences of his actions, was no longer able to control his conduct, and was no longer aware of his actions.
From this testimony, appellant argues that appellant did not commit a voluntary act when he was driving the car which hit and killed two persons. Appellant cites A.R.S. § 13 — 105(32), which defines a “voluntary act” to mean “a bodily movement performed consciously and as a result of effort and determination.” A voluntary act is essential to establishing appellant’s criminal liability here, because A.R.S. § 13-201 provides:
The minimum requirement for criminal liability is the performance by a person of conduct which includes a voluntary act or the omission to perform a duty imposed by law which the person is physically capable of performing.
According to appellant, his pathological intoxication precluded him from committing a voluntary act and hence provided a complete defense to negligent homicide. The court, however, finds that appellant’s pathological intoxication did not preclude him from committing a voluntary act.
Even if it is assumed that appellant was suffering from pathological intoxication during the high speed chase, and even if one assumes that appellant did not appreciate the wrongfulness of his actions, such conditions do not mean that appellant’s bodily movements were performed other than consciously and as a result of effort and determination. See A.R.S. § 13-105(32). While Arizona’s statutes do not define the term “consciously”, the courts in California have defined an unconscious act to be “one committed by a person who because of somnambulism, a blow on the head, or similar cause is not conscious of acting and whose act therefore cannot be deemed volitional.” People v. Ray, 14 Cal.3d 20, 25, 120 Cal.Rptr. 377, 379, 533 P.2d 1017, 1019 (1975). A person who leads police on a high speed chase through the streets of Phoenix for several miles, making turns and avoiding police cars, is hardly a person who is performing unconsciously. Thus, appellant’s conduct falls within the definition of a “voluntary act” and criminal liability cannot be avoided here pursuant to A.R.S. § 13-201.
Furthermore, even if appellant had been unconscious during the high speed chase, unconsciousness caused by voluntary intoxication is no defense to a negligent homicide charge. See People v. Kelly, 10 Cal.3d 565, 111 Cal.Rptr. 171, 516 P.2d 875 (1973) (unconsciousness caused by voluntary intoxication is no defense to a general intent crime). “Voluntary intoxication” is defined in Arizona to mean:
[I]ntoxication caused by the knowing use of drugs, toxic vapors or intoxicating liquors by the defendant, the tendency of which to cause intoxication the defendant knows or ought to know, unless the defendant introduces them pursuant to medical advice or under such duress as would afford a defense to an offense.
A.R.S. § 13-105(33).
In this case, appellant voluntarily consumed four cans of beer, two glasses of beer, and one drink of tequila during the evening prior to the detention of Mr. Yaw-nez and appellant near 17th Street and Indian School Road. Appellant knew for months prior to August 23, 1981 that after only two beers, his world would be blurry, he would talk more, he would often go to sleep, and he would not remember going to sleep. Indeed, appellant gave the keys to the car to Mr. Yawnez on August 23, 1981 because he knew he was too drunk to drive.
While appellant’s memory of the morning of August 23,1981 is sparse, appellant did recall that during the detention by officers Cummings, Wysocki and Griego, he knew he was too drunk to drive and that he told the officers he was too drunk to drive. Appellant further recalled sticking his hand in through the car window and unlocking the door after the detention and he even remembered starting and backing up the car. Appellant admitted at trial that even at the time he was starting and backing up the car, he knew he was too drunk to drive. There was also psychiatric testimony that appellant was not subject to pathological intoxication prior to and during the time he was backing up the car. Thus, the record in this case contains evidence that appellant was voluntarily intoxicated.
Admittedly, because of pathological intoxication, it took less liquor to produce antisocial results than with one not so afflicted, and the antisocial results were more serious than in the case of normal intoxication. Nevertheless, the disability which appellant acquired from drinking liquor was within his own control and he knew the consequences of his drinking. Appellant became pathologically intoxicated that morning only after he had voluntarily consumed significant quantities of alcohol. Cf. Kane v. United States, 399 F.2d 730 (9th Cir.1968), cert. denied, 393 U.S. 1057, 89 S.Ct. 698, 21 L.Ed.2d 699 (1969) (defendant became pathologically intoxicated only after he voluntarily began to drink). See also United States v. Burnim, 576 F.2d 236 (9th Cir.1978) (mental disability must have been brought about by circumstances beyond the control of the actor before one can find insanity); State v. Cooper, 111 Ariz. 332, 529 P.2d 231 (1974) (a temporary episode of mental incapacity caused by voluntary use of liquor is not a defense to crime, except to show lack of specific intent); State v. Curry, 127 Ariz. 1, 617 P.2d 785 (App.1980) (where a person drinks intoxicating liquor and is sane both prior to drinking and after the influences of the intoxicant have worn off, but is insane by the applicable test while under its influence, he is not excused from the responsibility of the criminal act because his insanity is only temporary). A.R.S. § 13-503 specifically states:
No act committed by a person while in a state of voluntary intoxication is less criminal by reason of his having been in such condition, but when the actual existence of the culpable mental state of intentionally or with the intent to is a necessary element to constitute any particular species or degree of offense, the jury may take into consideration the fact that the accused was intoxicated at the time in determining the culpable mental state with which he committed the act.
In this case, the defendant was convicted of negligent homicide. See A.R.S. § 13-1102. As negligent homicide requires the culpable mental state of “criminal negligence”, see A.R.S. § 13-1102(A); A.R.S. § 13-105(5)(d), and not “intentionally” or “with the intent”, see A.R.S. § 13-105(5)(a), then voluntary intoxication is not a defense to negligent homicide and therefore, appellant’s pathological intoxication is not a defense of any kind in this case. See A.R.S. § 13-503.
DANGEROUSNESS
A.R.S. § 13-604(F) provides for enhancement of punishment where a dangerous instrument has been used. See also A.R.S. § 13-604(K) (which defines “dangerous nature of the felony”). In this case, the state alleged that the dangerous instrument used was the automobile which the appellant drove. “Dangerous instrument” has been defined to mean “anything that under the circumstances in which it is used, attempted to be used or threatened to be used is readily capable of causing death or serious physical injury.” A.R.S. § 13-105(7). (Emphasis added)
Appellant does not contest that an automobile is readily capable of causing death or serious physical injury, but instead submits that the above definition of “dangerous instrument” includes an intent requirement equal to the intentional or knowing conduct required for a finding of dangerousness when a serious physical injury is established. Appellant’s only apparent authority for this proposition is the disjunctive definition of “dangerous nature of the felony” in A.R.S. § 13-604(K). A.R.S. § 13-604(K) states, in pertinent part, that “ ‘[djangerous nature of the felony’ means a felony involving the use or exhibition of a deadly weapon or dangerous instrument or the intentional or knowing infliction of serious physical injury upon another.” However, appellant fails to suggest any logical reason for requiring that a dangerous instrument be used intentionally or knowingly in order to establish the dangerous nature of the felony, when the statute itself does not specify that the dangerous instrument be used intentionally or knowingly, and the statute does specify that infliction of serious physical injury upon another be done intentionally or knowingly before there can be a finding of dangerousness. If anything, the specific reference to intentional or knowing with respect to infliction of serious physical injury and not with respect to the use of a dangerous instrument weakens, rather than strengthens, appellant’s argument.
Furthermore, this court in State v. Carrillo, 128 Ariz. 468, 626 P.2d 1100 (App.1980), upheld the trial court’s refusal to instruct the jury that the vehicle must be aimed at the victim before the jury could find the defendant guilty of assault using a deadly weapon. Here, as in Carrillo, the particular use of the automobile made the automobile a dangerous instrument; also here, as in Carrillo, the trial court correctly rejected the argument that the defendant must actually intend to use the automobile as a deadly weapon before there can be a finding of dangerousness.
The use of an automobile in the commission of a crime does not automatically trigger the provisions of A.R.S. §§ 13-604(F) and 13-604(K) to enhance punishment. The automobile qualifies as a dangerous instrument under the provisions of A.R.S. § 13-105(7) when it is used under circumstances that are “readily capable of causing death or serious physical injury.”
It is the opinion of this court that an automobile, as in this case, when it is driven by an intoxicated person at a high rate of speed in a densely populated area qualifies as a dangerous instrument and triggers the use of the enhanced punishment provisions of A.R.S. §§ 13-604(F) and 13-604(K).
The conviction and sentence imposed are affirmed.
KLEIN SCHMIDT, Acting P.J., and CONTRERAS, C.J., concur.
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HOLOHAN, Chief Justice.
Catherine and Vincent Iacouzze were divorced in Tucson, Arizona in 1976. Custody of the child of the parties, a daughter, was awarded to appellant Vincent Iacouzze. Shortly after the divorce appellant and his daughter moved to New Jersey to live with his parents.
The appellee Catherine Iacouzze was granted visitation with the minor child for two weeks each summer. In 1978 appellee filed a petition in New Jersey alleging that appellant was unfit to retain custody of the child. After a court ordered investigation the petition was dismissed by the New Jersey Superior Court.
In 1979 and 1980 the appellee exercised her visitation rights without incident, but in 1981 when she exercised her visitation right she retained her daughter beyond the two week visitation period. Appellee commenced proceedings in Arizona for a change of custody. At the time of appellee’s petition both Arizona and New Jersey had adopted the Uniform Child Custody Jurisdiction Act.
The superior court conducted an extended hearing which resulted in the court ordering that the custody of the child be changed from appellant to appellee. Appellant filed a timely appeal.
Division II of the Court of Appeals heard the appeal and affirmed that portion of the ruling of the superior court which found that an emergency existed which authorized an Arizona court to exercise jurisdiction under A.R.S. § 8-403 A. 3. The Court of Appeals, however, reversed the order of the superior court which awarded permanent custody of the child to appellee. The Court of Appeals, guided by decisions from other jurisdictions, held that the superior court should have awarded temporary custody to the appellee mother and stayed further proceedings in Arizona upon the condition that the appellee commence custody proceedings within a set period of time in New Jersey where the child has resided for the past five years.
Appellee sought review by this Court. We accepted review.
We have reviewed the legal authorities cited to us, and we agree with the ruling of the Court of Appeals; therefore, we approve and adopt the decision of the Court of Appeals (Iacouzze v. Iacouzze, 137 Ariz. 605, 672 P.2d 949 (1983). The order awarding permanent custody of the child to the appellee is vacated. The trial court is directed to award the appellee temporary custody and stay further proceedings upon condition that a custody proceeding be commenced in New Jersey within a period to be set by the court. In all other respects, the judgment of the superior court is affirmed.
GORDON, V.C.J., and HAYS, CAMERON and FELDMAN, JJ., concur.
|
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OPINION
HATHAWAY, Judge.
The question on appeal is whether it was error for the superior court to amend a 1978 judgment of bail bond forfeiture, nunc pro tunc, to include appellant, Surety Company. We find that it was not and affirm.
Greg C. Yocum appeared as principal and appellant as surety on a $33,000 bail bond given for Yocum’s release pending criminal proceedings. On October 21, 1977, Yocum was convicted in Pima County of seeond degree conspiracy, unlawful sale of mari juana and unlawful transportation of marijuana in cause number A-31732. Yocum was continued at liberty on the bond, but upon his failure to keep a probation department appointment, an order to show cause why the bail bond should not be forfeited, was scheduled and noticed. Appellant appeared at the hearing through counsel. On February 21, 1978, the court, through minute entry, ordered:
“IT IS ORDERED that the petition to forfeit bond is granted. IT IS FURTHER ORDERED that Pima County is entitled to judgment against the defendant, Greg Courtland Yocum, and against the Surety Insurance Company of California (Dick Garcia, agent).
The Court directs Mr. Higgins to prepare a form of judgment for the Court’s signature.”
Formal judgment entered on March 27, 1978, stating:
“It is hereby ordered, adjudged and decreed that said bond posted herein by Defendant Greg Courtland Yocum is forfeited in the amount of $33,000 and any amount over that stated sum which may have been posted, pledged or promised is exonerated.”
In May of 1982, appellee reviewed its records and discovered that $33,000 was due and owing on the judgment. Appellee made demand on Richard Garcia, agent for appellant, for the amount of the judgment on May 19,1982. Appellant moved to exonerate the bond and for remission of bail forfeiture and judgment, or in the alternative, to set aside and vacate the judgment. After hearing, the matter was taken under advisement and the court determined that through the minute entry order of February 21, 1978, the order of forfeiture ran against Yocum and appellant and appellee was entitled to judgment against both. The court found that the signed judgment of March 27,1978, did not comply with the minute entry order of February 21, 1978. The court stated, in its minute entry of August 3, 1982:
“If a verdict and judgment, because of a clerk’s act, do not respond to a decision and directions made by a trial court, the trial court may at a subsequent term amend the judgment as against parties to suit, by a nunc pro tune entry to make it accord with decision rendered at former term. Webb v. Western Reserve Bond and Share Company, 115 Ohio St. 247, 153 N.E. 289. The correction of clerical errors in the record of judgments may take the form of amendments striking out the names of parties who ought not to have been included, or inserting the names of parties who ought to have been included. * * * * * *
THEREFORE, IT WILL BE ORDERED NUNC PRO TUNC AS OF MARCH 27, 1978, that the Judgment (Bond Forfeiture dated March 27,1978) will be amended to conform with the court’s minute entry of February 21,1978, so that it may include that judgment be entered against the defendant, Greg Courtland Yocum, and Surety Company of California.”
Formal judgment was accordingly entered on August 23, 1982.
Appellant argues that appellee’s failure to include appellant on the judgment for the bond forfeiture was not due to clerical error. We disagree. The minute entry order of February 21,1978, specifically ordered appellee’s entitlement to “judgment against the Defendant, Greg Court-land Yocum, and ... Surety Insurance Company of California (Dick Garcia, agent).” Moreover, the formal judgment ordered forfeiture of the “bond posted herein by defendant Greg Courtland Yocum ...” It would appear that the order clearly identified the bond that was to be forfeited. Any failure to specify in that order that the forfeiture was also to operate against the surety seems a niggling over technicalities. The bond was forfeited and the principal and surety responsible thereon knew where they stood in light of the forfeiture. This appears to be confirmed through the sworn testimony given by appellant’s agent on October 31, 1978, in Greenlee County in foreclosure proceedings on collateral security furnished in connec tion with the surety appellant’s undertaking:
“(Examination by Mr. Stewart):
Q. Mr. Garcia, would you please state your name in full, please.
A. Richard W. Garcia.
Q. And you are the owner of the Garcia Bail Bond?
A. Yes, sir.
Q. And as such you are agent for the Surety Insurance Company; is that correct?
A. Yes, sir.
Q. As such did you post a bond in the sum of $33,000 for the appearance and attendance at Court in Superior Court case No. A-31732 in Pima County for Greg Yocum?
A. Yes, sir.
Q. Did he ultimately fail to appear for sentencing in that particular case, and was that bond then forfeited and Surety Insurance Company has been required to pay it.
A. Yes, sir.”
Rule 60(a), Arizona Rules of Civil Procedure, provides:
“Clerical mistakes in judgments, orders, or other parts of the record and errors therein arising from oversight or omissions may be corrected by the court at any time of its own initiative or on motion of any party and after such notice, if any, as the court orders. During penden-cy of an appeal, such mistakes may be so corrected before the appeal is docketed in the appellate court, and thereafter while the appeal is pending may be so corrected with leave of the appellate court.”
Appellant’s contention that it was incumbent upon appellee to move to alter or amend the judgment within 15 days after March 27, 1978, pursuant to Rule 59(7), Arizona Rules of Civil Procedure, is without merit. In the instant ease, there is no amendment to the substance of the judgment dated March 27, 1978. The nunc pro tunc order of August 3, 1982, simply conformed a judgment to the clear language of the preceding minute entry order which specifically named appellant as included within the court’s judgment. Cf., Ibach v. Ibach, 123 Ariz. 507, 600 P.2d 1370 (1979), approving the nunc pro tunc entry of a judgment as an appropriate correction of clerical error, “since the failure to enter an appropriate judgment cannot be attributed to judicial discretion.”
Appellant contends that shortly after the bond forfeiture was entered against Yocum on March 27, 1978, Yocum’s convictions were reversed and remanded to superior court for a new trial. The mandate was issued on October 17, 1978, and Yocum thereafter entered negotiations with the state on the reinstated charges. An agreement was ultimately reached between the state and Yocum. Yocum performed what was required of him under the agreement and subsequently the charges against him were dismissed upon the state’s motion on March 30, 1979. It is argued that during this time frame, appellee had no formal or binding judgment against appellant and that when Yocum’s case was dismissed in March of 1979, any issue regarding appellant’s liability on the bond was ended. The difficulty with appellant’s argument is that any defect in the forfeiture during the period in question was occasioned through clerical error. The nunc pro tunc correction of the formal bond forfeiture judgment corrected that clerical error and caused the amended formal nonforfeiture judgment to speak the true judgment of the court, i.e., the inclusion of appellant on the bond forfeiture. Thus, subsequent activities bearing on the merits of the final resolution of Yocum’s case have no bearing on the basis for the forfeiture of the bond which was posted to ensure Yocum’s appearance as ordered. His failure to fulfill his obligations of appearance triggered the bond forfeiture proceedings and served as a basis therefor, separate and apart from any questions of his guilt, innocence or plea bargaining activities.
In becoming surety on an appearance bond, the bonding company assumes the risk of the defendant’s failure to ap pear. State ex rel. Berger v. Marquardt, 111 Ariz. 413, 531 P.2d 536 (1975).
Finally, appellant complains that the amended judgment of bond forfeiture still fails to direct that judgment be entered against appellant and is thereby void. We disagree. Rule 7.6(d) of the Arizona Rules of Criminal Procedure, 17 A.R.S., provides:
“Forfeiture. If at any time it appears to the court that a condition of an appearance bond has been violated, it shall require the parties and any surety to show cause why the bond should not be forfeited, setting a hearing thereon within 10 days. If at the hearing, the violation is not explained or excused, the court may enter an appropriate order of judgment forfeiting all or part of the amount of the bond, which shall be enforceable by the prosecutor as any civil judgment."
The comment to Rule 7.6(d), notes that the section combines into a single proceeding what had been encompassed within the more cumbersome procedure of the 1956 Arizona Rules of Criminal Procedure, as amended, Rules 70-75. Thus, appellant’s concern that the amended judgment of bond forfeiture is deficient, is without merit. It conforms to the requirement of Rule 7.6(d) of the Arizona Rules of Criminal Procedure and is enforceable by the prosecutor as any civil judgment.
Affirmed.
HOWARD, C.J., and HARRY GIN, Superior Court Judge, concur.
NOTE: Judge BEN C. BIRDSALL having recused himself from consideration of this matter, Judge HARRY GIN was called to sit in his stead and participate in the determination of this decision.
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OPINION
HATHAWAY, Judge.
Appellants, plaintiffs below, have brought this appeal challenging the trial court’s granting of appellees’ motion for summary judgment. We believe the granting of the motion was proper and affirm.
Appellants, members of the State Bar of Arizona, were appointed in 1978 by the Juvenile Court of Pima County to represent minor children and the natural father in a dependency proceeding and in a termination of parental rights proceeding. As compensation for this representation, the judge who had appointed appellants and who presided over the proceedings by minute entry ordered payment to them in excess of $250 which was the statutory limit imposed by A.R.S. § 8-225(A) at that time. This occurred in March 1979. Subsequent to this date, various minute entry orders were made and countermanded; a special action petition was filed and this court and the supreme court denied relief; a petition for an order to show cause was made and denied; and subsequently an order to show cause issued and relief was denied. During the course of this legal maneuvering, appellant Newman received $500 and appellant Haralambie received $479.50. Appellants made a claim on Pima County for compensation in the amount of $2,814.50 for Newman and $2,258.00 for Haralambie. The county took no action and this contract suit was filed. Appellants filed a motion for summary judgment and the county filed a cross-motion. The court granted appellee Pima County’s motion and this appeal followed.
In reviewing the granting of a motion for summary judgment, we must view the evidence in a light most favorable to the appellants and give the appellants the benefit of all reasonable inferences which may be drawn from the record. Grain Dealers Mutual Insurance Co. v. James, 118 Ariz. 116, 575 P.2d 315 (1978). Only if the record demonstrates that there is no genuine dispute as to any material fact and there is only one inference that can be drawn from the undisputed material facts is the granting of summary judgment proper. Tribe v. Shell Oil Company, Inc., 133 Ariz. 517, 652 P.2d 1040 (1982). Conversely, summary judgment is appropriate where there is no genuine dispute as to any material fact, only one inference can be drawn from the undisputed material facts and based on the undisputed material facts the prevailing party is entitled to judgment as a matter of law. Nicoletti v. Westcor, Inc., 131 Ariz. 140, 639 P.2d 330 (1982).
Appellants raise numerous issues urging reversal; however, we need only address two: (1) Was the statute constitutional as it was worded in 1979, and (2) did the judge have the authority to order compensation in excess of the statutory limit? We find the statute was constitutional and that the judge exceeded his authority in issuing orders for compensation in excess of the statutory limit.
The constitutionality question has been answered for us by the Supreme Court in McDaniels v. State of Arizona, 62 Ariz. 339, 158 P.2d 151 (1945). There the court held valid a statutory limit on compensation to be paid to attorneys representing indigents. The court stated, “... counsel will have to look to the Legislature for their remedy and not the courts.” That is what happened to A.R.S. § 8-225(A). Subsequent to the proceedings which gave rise to this claim for compensation, the statute was amended and the compensation limit deleted.
We find appellants’ reliance on Smith v. State, 118 N.H. 764, 394 A.2d 834 (1978), to be misplaced. The court there was interpreting a provision of the state constitution as it applied to compensation for attorneys representing indigent criminal defendants.
Having determined that the statute was constitutional, we now must decide if the juvenile judge had the authority to issue the orders in question.
We can appreciate the judge’s concern that court appointed counsel be adequately compensated for representing parties and children before the juvenile court. As appellants point out, these proceedings which determine familial rights are extremely important and it is vital and in the best interests of society that all parties be represented by adequate counsel. In many cases, one of which may very well be the case before us, equity would require compensation in excess of $250. In this regard, we take note of the fact that the statute in question has been amended and the monetary limit removed.
In spite of this desire to be equitable, we must find that the juvenile court judge’s orders were void ab initio. As this court said in State v. Jacobson, 22 Ariz.App. 260, 526 P.2d 784 (1974):
“While it is axiomatic that a trial judge has authority to interpret the law reasonably, it must be in conformity with the statutes of the State of Arizona and the decisions of the Arizona appellate courts. He may not alter the law or fashion it to his own liking. This is the function of the legislative branch of the government.” 22 Ariz.App. at 264, 526 P.2d 784.
As is the case here, the judge in Jacobson was attempting to do equity. However, we note there that “where there is a specific statute on the subject, equity follows the law.” 22 Ariz.App. at 265, 526 P.2d 784.
Other jurisdictions adhere to the principle expressed in Jacobson. The Supreme Court of Florida has stated:
“No judge is permitted to substitute his concept of what the law ought to be for what the law actually is.” In re Inquiry Concerning a Judge, J.Q.C. No. 77-16, 357 So.2d 172, 179 (Fla.1978).
And in Ben P. Fyke & Sons, Inc. v. Gunter Company, 390 Mich. 649, 213 N.W.2d 134 (1973), the court said:
“An individual judge may not properly substitute his personal view of justice and sound public policy for the statutory ... rule meant to apply.” 213 N.W.2d at 138.
Appellant Haralambie additionally argues that in any event she is entitled to $250. We find this argument to be without merit. As stated by appellants in their reply to appellees’ response to their motion for summary judgment, she has received $479.50 which is in excess of the statutory limit.
Appellant Haralambie maintains that she should receive $250 for services performed during the termination proceedings under A.R.S. § 8-531, et seq. We note that the statutes at the time of the proceedings made no provision for compensation of appointed attorneys in such proceedings. As appellants point out, statutory compensation was authorized only for proceedings under Chapter 2 of Title 8, A.R.S. § 8-201, et seq. The court in McDaniels, supra, stated:
“... a county is not liable for fees and disbursements to counsel assigned to defend accused in the absence of statute regulating such compensation.” 62 Ariz. at 351, 158 P.2d 151.
Affirmed.
HOWARD, C.J., and BIRDSALL, J., concur.
. The judge who ordered payment had been the presiding judge of the juvenile court prior to January 1979.
|
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OPINION
CONTRERAS, Judge.
This is a special action review of an August 31, 1982, Industrial Commission decision upon review closing a reopened claim with a scheduled disability. The issue on appeal is whether the original final scheduled disability classification is res judicata in a case where the comparative degree of impairment is unchanged, but under current standards for rating impairment the disability classification should be unscheduled. We conclude that the comparative degree of impairment is irrelevant and that res judicata is inapplicable. The current standards, therefore, govern the disability classification.
Claimant was injured at work in February 1963. By August 1965, a group of consultants concluded that he was stationary with a twenty percent permanent impairment of the left leg because of throm-bophlebitis and that he was able to return to work as a laborer. The claim was accordingly closed with a scheduled disability. This closure became final.
The Industrial Commission adopted new rules of procedure applicable to petitions to reopen filed after January 1, 1969, which became effective November 1, 1973. See A.C.R.R. R4^13-101(A). Rulel 113(D) adopted the American Medical Association Guides (Guides) as the standard for rating permanent impairment. Id. In 1976, claimant successfully reopened his claim for a recurrence of the thrombophlebitis. See generally A.R.S. § 23-1061(H). In November 1981, the carrier closed the claim without additional impairment and with the same scheduled disability classification. A group of consultants subsequently con-' firmed that claimant was stationary without additional impairment, but classified this impairment as one affecting the whole man under the current applicable Guides for rating vascular disease. They also released claimant to light work only because of this impairment.
Claimant timely protested the termination notice and hearings were conducted. The administrative law judge then issued an award for unscheduled disability because under the Guides, claimant’s impairment affected the whole man. On administrative review, the administrative law judge reversed. Relying on State Compensation Fund v. Bunch, 23 Ariz.App. 173, 531 P.2d 549 (1975), decision on reh’g, 25 Ariz.App. 552, 545 P.2d 63 (1976), he concluded that because the original disability classification was scheduled and claimant had no additional impairment, finality principles required the same scheduled disability classification despite the unscheduled classification under the Guides. This special action followed to challenge this conclusion. See A.R.S. § 23-951; 17A A.R.S., Special Actions, Rules of Procedure, Rule 10.
On appeal, claimant contends that his disability classification should be unscheduled. For the following reasons, we agree.
State Compensation Fund v. Bunch, the primary authority for the decision upon review, does not govern the present case. In Bunch, the claimant had a work-related back injury in California, which was compromised and settled for a lump sum. He then had a work-related right hand injury in Arizona, which was closed with a scheduled disability. He subsequently had another work-related right hand injury in Arizona. Although the record as summarized in the opinions is somewhat unclear, we assume that this second injury caused increased impairment. This claim was also closed with a scheduled disability.
Claimant then successfully reopened the second injury claim and received additional medical benefits. The claim was again closed with a scheduled disability classification, but claimant protested and at the hearing presented evidence that the California back injury had caused a disability for work. Pending disposition by the Industrial Commission, the Arizona Supreme Court decided Rodgers v. Industrial Commission, 109 Ariz. 216, 508 P.2d 46 (1973) (successive injury to same member causing increased impairment unschedules the disability). The Industrial Commission reclassified the disability as unscheduled because under Rodgers the disability should have been classified as unscheduled when the second hand injury was originally closed.
This court set aside the award. In the first opinion, we reasoned that because claimant knew of his back disability before both Arizona hand injuries, he could not now rely on this disability to unschedule the reopened second hand injury claim. We further reasoned that Rodgers was inappli cable because the claimant could not prove an additional impairment to the right hand when the reopened claim was closed. State Compensation Fund v. Bunch. In the opinion on rehearing, we amplified our reasons for rejecting the applicability of Rodgers. First, we reasoned that the reopening alone did not permit a reexamination of the original closing or change the status of the original disability classification. Second, we reasoned that Rodgers would apply when the reopened claim was closed only if claimant then had an increased impairment.
The present case, in contrast, does not involve successive injuries to the same member. Rather, it simply involves the reopening of a previously closed claim. Accordingly, the Rodgers requirement that the second injury increase impairment to unschedule the disability has no applicability here. To the contrary, in the ordinary case where a previously closed scheduled disability is subsequently reopened and then closed with increased impairment, the resulting disability is scheduled. Claimant would receive additional scheduled benefits only. See Blount v. Industrial Commission, 19 Ariz.App. 245, 506 P.2d 285 (1973).
The present case, however, is not the ordinary scheduled disability case. When the disability was originally classified, the uncontradicted medical evidence rated a permanent impairment of the left leg only. The claim was then reopened for a new or additional condition. When it was again closed, the medical evidence rated a permanent impairment of the whole man under the then applicable Guides.
This difference requires an unscheduled disability classification in this case. In Payne v. Industrial Commission, 664 P.2d 649 (Ariz., 1983), claimant injured his left knee, underwent a meniscectomy, and then was discharged without permanent impairment. He then reinjured the same knee, underwent more surgery, and was discharged with a twenty percent permanent impairment, ten percent of which was attributable to the first injury. The claim was closed with a ten percent scheduled disability from the second injury. Claimant protested this closing and also petitioned to reopen the first claim. The supreme court held that this new evidence of a permanent impairment from the first injury was sufficient to reopen the first injury claim:
The first time that the claimant knew that he had a permanent disability as a result of the first injury was when he was examined by the evaluation panel. He was entitled to rely on this newly discovered evidence just as he had previously relied on the report of the treating physician after the first injury.... The finding of a 10% loss of function as a result of his first injury is a newly discovered fact upon which a reopening may be based.
(At 652.)
A fortiori, where as in the present case the claim is already reopened under A.R.S. § 23-1061(H), the newly discovered evidence that the permanent impairment rates an unscheduled disability under the applicable Guides should govern the disability classification.
We therefore conclude that the administrative law judge misinterpreted State Compensation Fund v. Bunch and misapplied res judicata principles to the present case. The Guides govern claimant’s disability classification.
The award is set aside.
BROOKS and CORCORAN, JJ., concur.
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OPINION
HOWARD, Chief Judge.
The last surviving shareholder of a professional corporation died. At the time of his death the corporation had a contingent liability for unpaid rent. The personal representative of the estate of the shareholder lists, as an asset of the estate, an asset which the unpaid landlord claims is an asset of the corporation. How does the landlord proceed to reduce his claim to a judgment and prevent the personal representative from distributing the corporate asset to the distributees of the estate? These are the issues to be decided here.
On November 13, 1975, Soble & Cole, P.C., entered into an agreement with G.I.F. Properties, Inc., leasing office space in the Transamerica Building in Tucson. The lease commenced on January 1, 1976, and terminated on December 31,1981. Presidio Properties (Presidio), appellee, is the successor in interest to G.I.F. Properties, Inc., with respect to the lease.
In 1978 the lease for the law office was held by Joseph H. Soble, P.C., with Joseph H. Soble as the sole shareholder of the corporation. On June 25, 1979, the professional corporation vacated the leasehold pri- or to the end of the lease term. This result ed in a dispute over the payment of the balance of the rent.
On October 6, 1980, Joseph Soble died. Presidio filed a claim in his estate which was disallowed by the personal representative. Presidio then filed a petition for allowance of claims against the estate. After a trial on the matter the trial court found that the property listed in the inventory as item number 5, “personal injury suits in litigation” with a market value of $25,000 and item number 6, “fees to be paid through settlement with Republic Insurance” in the sum of $110,000, were corporate property. The court then went on and found “... the claim [of Presidio Property] has priority over other claims against the estate with respect to these assets.... ”
The trial court then ordered that the claim be allowed in the sum of $25,763.61, plus costs and attorney’s fees in an amount to be determined.
We hold that the probate court had jurisdiction to determine whether the contested asset represented corporate property or property of the estate. However, it did not have jurisdiction to enter a judgment for the amount of rent claimed.
Joseph H. Soble, P.C., ceased to exist when Joseph Soble died. See A.R.S. § 10-908(3). The corporation was, therefore, dissolved by operation of law. How does the landlord reach the corporate asset? A.R.S. § 10-904 provides:
“Professional corporations shall be governed by the laws applicable to other Arizona private corporations organized for profit except insofar as such laws shall be limited or enlarged by or contrary to the provisions of this chapter, in any of which events this chapter shall be controlling.”
A.R.S. § 10-105 states:
“The dissolution of a corporation ... by expiration of its period of duration, shall not take away or impair any remedy available to or against such corporation, its directors, officers or shareholders, for any right or claim existing, or any liability incured [sic], prior to such a dissolution. Any such action or proceeding ... against the corporation may be prosecuted or defended by the corporation in its corporate name.... ” (Emphasis added.)
The death of the last living shareholder operates as a dissolution of the corporation by expiration of its period of duration. Thus A.R.S. § 10-105 applies to professional corporations and the landlord should have filed suit against the corporation in order to reduce its claim to judgment.
In order to preserve the corporate assets one thing the landlord could have done was file a declaratory judgment in the probate estate. See A.R.S. § 14-3105 and Gonzales v. Superior Court, Etc., 117 Ariz. 64, 570 P.2d 1077 (1977). Although the procedure here, a petition for allowance of claims, was incorrect, the essence and net result of the procedure utilized was equivalent to declaratory relief. We are unable to discern how either the proceedings or the results would have been different if the pleadings had been labeled as an action for declaratory relief.
Appellant attacks the trial court’s finding that the deferred attorney’s fees payable from Republic Insurance Company represented assets which belonged to the professional corporation. The record clearly shows that these fees were earned by Mr. Soble while he was practicing law with the professional corporation. They were part of a settlement in a personal injury action in which there was a structured settlement of the personal claim and a provision that Mr. Soble be paid out of the settlement a total of $210,000, $100,000 of which to be paid immediately and the remaining bal- anee of $110,000 to be paid in equal payments of $55,000 over a period of two years. There was no evidence that these deferred fees had been assigned to Joseph Soble in his individual capacity, such as for example, by the minutes of a corporate meeting approving such an assignment.
That part of the trial court’s order which finds that items 5 and 6 of the inventory represents corporate property is affirmed. The balance of the findings and order of the probate court is vacated.
HATHAWAY and BIRDSALL, JJ., concur.
. The statute provides in part:
“The court has jurisdiction of any other action or proceeding concerning succession or to which an estate, through a personal representative, may be a party, including actions to determine title to property alleged to belong to the estate, and of any action or proceeding in which the property distributed by a personal representative or its value is sought to be subjected to rights of creditors or successors of the decedent. Amended by Laws 1976, Ch. 92 § 15.”
|
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] |
GERBER, Judge.
This is a special action review of an administrative law judge’s award for an unscheduled permanent partial impairment with no loss of earning capacity.
FACTS
The facts taken in a light most favorable to sustaining the award are as follows. Petitioner employee (claimant) is a cement finisher who injured his jaw while working as a foreman for respondent Robert N. Ewing (Ewing). Respondent Industrial Indemnity Company (Industrial Indemnity) is the insurance carrier for Ewing. Approximately two years after the accident, an administrative law judge entered an award finding that (1) claimant suffered from temporomandibular joint dysfunction, and (2) the injury would not affect claimant’s ability to return to work as a cement finisher.
Claimant reapplied but was refused employment with Ewing. He then unsuccessfully sought permanent employment at other construction companies. Each company requested information regarding prior work-related injuries and then denied him employment. Claimant finally obtained a temporary position with a construction company. After this position ended, he started his own company due to his inability to find permanent employment.
Industrial Indemnity issued a notice terminating claimant’s benefits. The Industrial Commission then approved the termination by entering an award for no loss of earning capacity. Claimant requested a hearing. At the hearing, a doctor who previously examined claimant testified that he was capable of working as a cement finisher. Two vocational rehabilitation consultants also offered testimony. The first consultant testified on behalf of claimant. He stated that employers in the construction industry do not hire people with previous work injuries. The second consultant testifying on behalf of Industrial Indemnity characterized claimant as mildly disabled. He stated that employment should be available to him because the job market for cement workers is “excellent”. He also testified that employers would work with claimant to accommodate his disability. A construction company owner, the person who temporarily employed claimant, testified that it is the practice of companies for whom he worked to avoid hiring applicants who have suffered work-related injuries. He explained that an application would be discarded if it indicated such an injury. Additionally, he stated that claimant spent a considerable amount of time searching for employment.
The administrative law judge entered an award for no loss of earning capacity and for four supportive care visits per year. The award was affirmed on administrative review. Claimant then brought this special action. On appeal, claimant asserts that the administrative law judge erred by (1) finding that claimant sustained no loss of earning capacity, and (2) awarding four supportive care visits per year. Our findings regarding the first issue are disposi-tive of the entire appeal, and we therefore need not consider the second issue.
ANALYSIS
In establishing a loss of earning capacity award, the court must determine whether the claimant can sell his services in the competitive labor market and the level of compensation he could possibly attain. Davis v. Industrial Comm’n, 82 Ariz. 173, 309 P.2d 793 (1957). The burden of proof is initially upon the claimant to demonstrate a reasonable effort to secure employment. Employers Mut. Liab. Ins. Co. v. Industrial Comm’n, 25 Ariz.App. 117, 541 P.2d 580 (1975). If the claimant presents testimony that efforts have been made but were unsuccessful, the burden of presenting contrary evidence that suitable employment is reasonably available shifts to the employer and insurance carrier. Zimmerman v. Industrial Comm’n, 137 Ariz. 578, 672 P.2d 922 (1983). This burden can be met by presenting evidence of (1) the competition for available positions and (2) the extent to which claimant’s impairment affects the ability to compete for employment. Roberts v. Industrial Comm’n, 162 Ariz. 108, 781 P.2d 586 (1989).
The evidence in this case established that claimant made a good-faith effort to obtain employment. An affidavit presented to the administrative law judge listed in detail claimant’s various attempts to gain employment. His temporary employer also testified as to his efforts. This evidence is sufficient to shift the burden of proof to Ewing and Industrial Indemnity.
The evidence presented by Ewing and Industrial Indemnity does not meet the burden of establishing reasonably available work. The Supreme Court of Arizona has stated:
[Determination of the injured worker’s ability to sell his services in a competí- tive, open market requires specific evidence — not abstractions or assumptions — regarding the number of positions available, the competition for those positions, the regularity and permanency of the positions, and ‘possibly most importantly, ’ the likelihood of the prospective employer giving the injured applicant as much consideration as those who are not handicapped or have not experienced industrial injury.
Zimmerman v. Industrial Comm’n, 137 Ariz. at 584, 672 P.2d at 924 (emphasis added), quoting Jordan v. Decorative Co., 230 N.Y. 522, 525, 130 N.E. 634, 635-36 (1921). Evidence from Industrial Indemnity and Ewing consisted of generalities and abstractions which did not establish the likelihood that construction employers would hire claimant or any other prospective employee suffering a previous industrial injury. Instead, the consultant and the employer who testified that employers in the construction industry do not hire individuals with previous work-related injuries demonstrated that concrete work is not reasonably available to claimant. There is thus no support for the administrative law judge’s finding of no loss of earning capacity. We need not consider claimant’s second issue. We accordingly set aside the award and remand for a new award consistent with this opinion.
FIDEL, P.J., and EUBANK, J., concur.
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OPINION
LIVERMORE, Presiding Judge.
On October 17,1988, money belonging to appellant Gabriel Lira-Galvan was seized by Border Patrol agents. The Santa Cruz County Attorney brought a forfeiture action. Appellant contested that action by filing a petition for remission of forfeiture of the property under A.R.S. § 13-4309(2). He did not, as that statute requires, sign the petition under penalty of perjury pursuant to § 13-4311(E). After hearing, the trial court on January 20, 1989, dismissed the petition because of that defect. No appeal was taken. On June 20,1989, a new verified claim was filed; it was denied as untimely. On appeal, it is argued that the forfeiture of the money was ordered with out probable cause and that the claim was properly filed under A.R.S. § 12-504, the “saving statute.” We disagree and affirm.
A.R.S. § 12-504 provides:
If an action is commenced within the time limited for the action, and the action is terminated in any manner other than by abatement, voluntary dismissal, dismissal for lack of prosecution or a final judgment on the merits, the plaintiff, or a successor or personal representative, may commence a new action for the same cause after the expiration of the time so limited and within six months after such termination. If an action timely commenced is terminated by abatement, voluntary dismissal by order of the court or dismissal for lack of prosecution, the court in its discretion may provide a period for commencement of a new action for the same cause, although the time otherwise limited for commencement has expired. Such period shall not exceed six months from the date of termination.
Whether the additional time permitted for filing an action is available under A.R.S. § 12-504 depends on whether the ruling that the claim was insufficient was a “final judgment on the merits.” We believe on the facts of this case that it was. In finding that the failure to sign the petition required dismissal, the trial court necessarily found that a properly verified petition had to be filed within thirty days of the notice of forfeiture or the claim would be lost. If the court believed otherwise it could have allowed verification at the hearing or accepted appellant’s testimony under oath as satisfying the verification requirement. We need not decide whether the ruling was correct. That issue could have been raised on appeal but was not.
What makes this order of dismissal a final judgment on the merits is that it found no cause of action for a defect that was uncorrectable. Were we to allow a new action to be filed under A.R.S. § 12-504, we would be allowing a horizontal appeal to another judge or, as here, where the same judge entered the same ruling, an extension of the time for filing an appeal where it had been lost through inaction. There is nothing in the history of the saving statute to indicate such a result. It was aimed at allowing litigants to cure defects after the statute.of limitations had run so long as the opposing party had notice of the claim; it was not aimed at allowing another judicial interpretation of a matter of law.
Affirmed.
FERNANDEZ, C.J., and LACAGNINA, J., concur.
. Because we find that appellant was no longer a party to this action, he has no standing to contest the forfeiture.
|
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VOSS, Presiding Judge.
The issue on appeal is whether acts of public sexual indecency can be committed in a home. We conclude they can, and reverse the trial court’s dismissal of the charges brought against the defendant.
BACKGROUND
The defendant was charged in two separate indictments with seven counts of public sexual indecency to a minor, class five felonies in violation of A.R.S. § 13-1403(B), and three counts of public sexual indecency, class one misdemeanors in violation of A.R.S. § 13-1403(A). 23The indictments were later consolidated.
The indictments allege that incidents occurred in various places, including the defendant’s bedroom, living room, in front of the living room window, and in the front and back yards. The allegations in the record are that defendant knowingly masturbated and exposed himself in front of his two daughters, who were under age 15, and two other females whose relationship to the defendant is unspecified. Prior to trial, the defendant moved to dismiss the charges which related to the incidents in the living room of his home. He argued that a person’s private home was not a “public place,” and alternatively, if it were, the public sexual indecency statute was unconstitutional as vague and ambiguous because it regulated protected activity.
The state opposed the motion arguing that the statute did not regulate constitutionally protected activity, and the statute did not require the prohibited acts be committed in a “public place.” Rather, the state maintained, the term “public” in the statute referred to the presence of another person, and not the place where the act occurred.
After oral argument on the motion, the trial court entered an order dismissing count one in CR-87-08574 and counts one, three, four, five and six in CR-88-03571. These counts involved defendant’s alleged conduct in the presence of his daughters in his bedroom, living room, and in front of the living room window. The trial court held that the public sexual indecency statute could not “reasonably be construed so as to encompass activities within a private residence.”
The state dismissed the remaining counts without prejudice and prosecuted this appeal. The state argues that the trial court erred in declaring A.R.S. § 13-1403 unconstitutional. The state points out that this statute survived a constitutional attack in State ex rel. Hamilton v. Superior Court, 128 Ariz. 184, 624 P.2d 862 (1981). There, the Supreme Court stated: “The statute [A.R.S. § 13-1403] gives clear notice that if one person engages in the activities described by the statute in the presence or view of others, that person will be in violation of the statute.” Id. at 186, 624 P.2d at 864. Defendant argues that the trial court did not declare the statute unconstitutional. Rather, the trial court ruled that as a matter of law, acts committed in a private home could not be “public” and therefore dismissed the noted counts.
In reply, the state additionally asserts that dismissal was inappropriate because the defendant failed to demonstrate that the state’s evidence would not satisfy each element of the statute. We hold that dismissal was improper because the term “public”, as it is used in A.R.S. § 13-1403, refers to the presence of another person and not the place where the act occurred.
DISCUSSION
Indecent exposure and particular acts and forms of lewdness or gross indecency with respect to sexual relations constituted criminal offenses at common law. State v. Romero, 103 N.M. 532, 534, 710 P.2d 99, 101 (App.1985), cert. denied, 103 N.M. 525, 710 P.2d 92 (1985); Annot., 96 A.L.R.3d 692, 693 (1979). At common law, the elements of indecent exposure were the willful exposure of the person in a public place in the presence of others. Yauch v. State, City of Tucson, 109 Ariz. 576, 577-78, 514 P.2d 709, 710-11 (1973). Public indecency, or “lewdness” at common law has been interpreted to mean open and public indecency. The elements were conduct which amounted to a common nuisance, committed in a public place and seen by persons lawfully in that place. 96 A.L. R.3d at 693.
Under the majority English, common law view, the public place element required the presence of more than one person. American jurisdictions are split on whether more than one viewer is required in order to constitute the offense of indecent exposure. State v. Pallman, 5 Conn.Cir.Ct. 202, 248 A.2d 589 (1968); Romero, 103 N.M. at 534, 710 P.2d at 101. By statute in other jurisdictions, when the victim is a minor, commission of the offense is not restricted to a “public place.” Annot., 94 A.L.R.2d 1353, 1364-65 (1964).
Formerly, A.R.S. § 13-531 defined indecent exposure as the willful and lewd exposure of one’s person or private parts thereof in any public place or in a place where there are present other persons to be offended or annoyed thereby. In 1978, Arizona dropped the “public place” language, and made any indecent exposure a crime if committed in the presence of another person, and the actor was reckless about whether such other person, as a reasonable person, would be offended or alarmed by the act. A.R.S. § 13-1402(A). As noted in R. Gerber, Criminal Law of Arizona 197 (1978): “The language of [A.R.S. § 13-1402] implies that it is not so much the place as the purpose of the exposure and the likelihood of affront that determine criminality.”
A.R.S. § 13-1403, the criminal section under which the defendant was charged in the instant matter, was first enacted in Arizona in 1978. It states in relevant part:
A person commits public sexual indecency by intentionally or knowingly engaging in any of the following acts, if another person is present, and the defendant is reckless about whether such other person, as a reasonable person, would be offended or alarmed by the act____
A.R.S. § 13-1403(A). On the one hand, the legislature refers to the crime as public sexual indecency. Yet, the statute tracks the indecent exposure language of A.R.S. § 13-1402, in that another person must be present and that the defendant must be reckless about whether such person, as a reasonable person, would be offended or alarmed by the act.
Arizona’s statute was derived from the Oregon Criminal Code. R. Gerber, Criminal Law of Arizona 198 (1978). Oregon’s statute states that “(a) person commits the crime of public indecency if while in, or in view of, a public place he performs____” Or.Rev.Stat. § 163.465. The “public place” requirement was deleted from Arizona’s version. Therefore, although “public” is not defined in the statute, we are not persuaded that public sexual indecency must be committed in a “public place,” to wit: a place open to or frequented by the general public. We believe the use of the term “public” by the legislature is merely an archaic appendage from the common law reduced to a descriptive term of the offense and not an element of the offense. We conclude, as other courts have, that “public” or “public place” as used in public indecency statutes means a place where the actor might reasonably expect his conduct to be viewed by another.
In Greene v. State, 191 Ga.App. 149, 381 S.E.2d 310 (1989), cert, denied, No. 46969 (Ga. May 4, 1989), the defendant was convicted of public indecency based on his appearing nude in the presence of a teenage female babysitter in the bedroom and bathroom of his own home. On appeal, he argued that his bedroom and bathroom were not “public places” within the meaning of that state’s statute and that his marital bedroom was a “sacred precinct” protected by the United States Constitution. The court rejected these arguments.
The Greene court noted that “public place” was defined by statute as any place where the conduct involved may reasonably be expected to be viewed by people other than the actor’s family or household. The court concluded that a home was not necessarily circumscribed from inclusion as a “public place.” The court further noted that what constitutes a “public” place is a question of fact to be proved or disproved by the evidence presented. Under the circumstances in Greene, the court held that the defendant’s bathroom and bedroom were public places because the activity could reasonably be expected to be viewed by others.
As to the argument that the marital bedroom was a private place granted extraordinary constitutional protection, the court stated:
Greene argues that the marital bedroom has been held to be a “sacred precinct” of privacy by the United States Supreme Court and protectable as such. Griswold v. Connecticut, 381 U.S. 479, 485, 85 S.Ct. 1678, 1682, 14 L.Ed.2d 510 (1965). While that is true, Greene by his own behavior removed the barrier and converted his bedroom and bath from a private zone to a public place, where his nudity might reasonably be expected to be viewed by people other than members of his family or household. It is not necessary that the place be visible to members of the public who are outside of it, see McGee v. State, 165 Ga.App. 423, 424(2), 299 S.E.2d 573 (1983)....
Id. at 150-51, 381 S.E.2d at 311.
In McGee v. State, 165 Ga.App. 423, 299 S.E.2d 573 (1983), the court held that the victim’s apartment was a “public place” for purposes of the public indecency statute. In McGee, the defendant and the victim were inside the victim’s apartment when the defendant told the victim he wanted to masturbate in front of her. She told him to leave the apartment. The defendant refused and became agitated. Fearful for her safety, the victim told the defendant to “do what he needed to do and get out.” Id. 423, 299 S.E.2d at 574-75.
On appeal, the defendant argued that because his acts were done in the privacy of the victim’s apartment, he could not be guilty of public indecency. The court disagreed and held:
[T]he victim’s apartment would have been a “public place” as to the defendant if it were such a place where the lewd exposure might reasonably have been expected to have been viewed by [another] person or persons____ We hold, therefore, that the victim’s apartment was a “public place” as to this defendant under Code Ann. § 26-401(m).
Id. at 424, 299 S.E.2d at 575.
In People v. Legel, 24 Ill.App.3d 554, 321 N.E.2d 164 (1974), the defendant was convicted of public indecency based on conduct which occurred in his dining room. On
appeal, the defendant argued that his conviction could not stand because the interior of his dining room was not a “public place.” The court rejected the argument. The court noted that a public place was defined by statute as “any place where the conduct may reasonably be expected to be viewed by others.” Ill.Rev.Stat. ch. 38, § ll-9(b), quoted in Legel, 24 Ill.App.3d at 557-58, 321 N.E.2d at 167. As such, the court held that a room in one’s own home may be a public place under certain circumstances. The court's rationale is stated in the following:
The purpose of this section [public indecency] is to protect the public from shocking and embarrassing displays of sexual activities. A person need not be in a public place to be a member of the public. The ambit of protection afforded by this statute clearly extends to members of the public in their own homes.
Id. at 558-59, 321 N.E.2d at 168. Like Illinois, Arizona has declared that the purpose of the public sexual indecency statute is to “protect the public from shocking and embarrassing displays of sexual activities.” State v. Flores, 160 Ariz. 235, 239, 772 P.2d 589, 593 (App.1989).
In Legel, the defendant also argued that his home was his castle and therefore activities within the confines of its walls were private. The Legel court responded persuasively:
It is true that a person’s home is protected by law from intrusion by trespassers, but activities within the confines of one’s home are protected only to the extent that the individual seeks to preserve his activities as private. “What a person knowingly exposes to the public, even in his own home or office, is not a subject of Fourth Amendment protection.” (Katz v. United States, 389 U.S. 347, 351, 88 S.Ct. 507, 511, 19 L.Ed.2d 576, 582 (1967).) Such is the present case. The facts, as related, clearly show that defendant made no attempt to preserve his activities as private. A reasonable man in the position of the defendant would expect his conduct to be viewed by others____ We find that, under the instant circumstances, defendant’s dining room qualifies as a public place within the meaning of the statute.
Id. at 559, 321 N.E.2d at 168. Other courts, in the context of indecent exposure, have reached the same result with much of the same reasoning. State v. Vega, 38 Conn.Supp. 313, 444 A.2d 927 (1982); People v. Christ, 32 Ill.App.3d 1014, 337 N.E.2d 53 (1975); State v. Louis, 296 Or. 57, 672 P.2d 708 (1983).
It is therefore clear that the statute’s proscriptions can be committed in one’s own home. It is a question of fact whether an actor by his conduct knowingly exposes his activity to another and is reckless about whether such other would reasonably be offended or alarmed by such activity. Any constitutional considerations concerning the right to privacy and consensual acts in the home are guarded by the standard of reasonableness and the requirement that the actor must be reckless.
The offense parallels indecent exposure in new A.R.S. § 13-1402 in requiring that another person be present and that the defendant be reckless about whether this other person normally would be offended or alarmed. This reasonableness test presumably balances interests of free expression and privacy with a standard of public moral decency.
... [T]he defendant’s awareness of another’s presence and his disregard of the prospect of giving offense become crucial evidentiary issues.
R. Gerber, Criminal Law of Arizona 198-99 (1978). Our supreme court has already held that before criminal liability can attach under the public sexual indecency statute, “[t]he acts have to be reckless and offensive or alarming to reasonable persons and of a sexual nature.” Hamilton, 128 Ariz. at 187, 624 P.2d at 865.
The instant charges involve allegations that the defendant knowingly masturbated and exposed himself in the presence of his minor daughters. It is a question of fact whether, in light of the evidence presented, defendant’s actions amount to public sexual indecency. Therefore, the tri al court’s order dismissing the charges is reversed, and this matter is remanded for further proceedings consistent with this opinion.
JACOBSON and KLEINSCHMIDT, JJ„ concur.
. A.R.S. § 13-1403 states:
A. A person commits public sexual indecency by intentionally or knowingly engaging in any of the following acts, if another person is present, and the defendant is reckless about whether such other person, as a reasonable person, would be offended or alarmed by the act:
1. An act of sexual contact.
2. An act of oral sexual contact.
3. An act of sexual intercourse.
4. An act involving contact between the person’s mouth, vulva or genitals and the anus or genitals of an animal.
B. A person commits public sexual indecency to a minor if he intentionally or knowingly engages in any of the acts listed in subsection A and such person is reckless whether a minor under the age of fifteen years is present.
C. Public sexual indecency is a class 1 misdemeanor. Public sexual indecency to a minor is a class 5 felony.
. A.R.S. § 13-531 was declared unconstitutional in Attwood v. Purcell, 402 F.Supp. 231 (D.Ariz. 1975). Because that statute could be applied to areas such as theater and dance that have been held to represent forms of expression protected by the first amendment, the Arizona Supreme Court accepted the declaration of that statute’s unconstitutionality. State v. Gates, 118 Ariz. 357, 359, 576 P.2d 1357, 1359 (1978).
. A.R.S. § 13-1402(A) states:
A. A person commits indecent exposure if he or she exposes his or her genitals or anus or she exposes the areola or nipple of her breast or breasts and another person is present, and the defendant is reckless about whether such other person, as a reasonable person, would be offended or alarmed by the act.
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GORDON, Chief Justice.
The State Bar submitted this matter for review on the record. We have jurisdiction pursuant to Rule 53(e), Rules of the Arizona Supreme Court.
FACTS
The Disciplinary Commission of the Supreme Court of Arizona (Commission) recommends that respondent, Lee Galusha, be disbarred from the practice of law. This matter is the third disciplinary proceeding against respondent in three years. The two prior proceedings resulted in respondent receiving consecutive six-month and one-day suspensions.
The allegations against respondent in this matter are as follows: (1) respondent caused a client to lose legal rights through his failure to take action after accepting representation on two lien matters for the client, and his failure to return the client’s documents after admitting that he was not equipped to handle the lien work; and (2) respondent failed to respond to a Bar inquiry and complaint.
The conduct giving rise to the filing of this complaint against respondent began in February, 1988, when respondent accepted representation to perform lien and collection work on behalf of a client. During February and March, 1988, the client forwarded documents and asked respondent to place liens on two construction jobs. Having heard nothing by May, 1988, the client contacted respondent and requested a status report on the lien work. At that time, respondent informed the client that he had moved his office, did not have access to a microfiche, and did not do liens anymore. Due to respondent’s inaction, the client lost lien rights. Moreover, although the client asked respondent to return the documents, he has not done so to date.
The client filed a complaint with the State Bar in May, 1988. The Bar advised respondent of the complaint by three separate letters and asked for a written response each time. Respondent failed to answer the letters or respond to the complaint. After personally serving respondent with the formal complaint and notice of hearing, the allegations were deemed admitted in accordance with rule 53(c)(1), Rules of the Arizona Supreme Court.
The Disciplinary Committee (Committee) held a hearing, at which the client testified, and found respondent in violation of the Rules of Professional Conduct, rule 42, Rules of the Arizona Supreme Court, specifically ER 1.1, ER 1.3, ER 1.4(a), ER 1.15(b), ER 1.16(d), ER 8.1(b) and ER 8.4(a). The Committee recommended that respondent be disbarred. Restitution was not recommended, however, because the Committee determined that the client had received payment on one claim and had no lien rights on the other claim. The Disciplinary Commission (Commission) affirmed and adopted the Committee’s recommendation of disbarment. The Commission considered respondent’s prior sanctions for violations of the Rules of Professional Conduct and pattern of misconduct as aggravating circumstances in this matter. It found no mitigating circumstances. The Commission submitted the matter to this court for review on the record and respondent filed no objections to the recommendation with this court.
DISCUSSION
In disciplinary proceedings, we act as an independent trier of both fact and law in the exercise of our supervisory responsibility over the State Bar. In re Diettrich, 161 Ariz. 338, 339, 778 P.2d 1234, 1235 (1989). We do, however, give the reports and recommendations of the Committee and Commission serious deference and consideration. In re Pappas, 159 Ariz. 516, 518, 768 P.2d 1161, 1163 (1988).
When a properly served respondent fails to respond to the complaint as required by the rules, we deem the allegations of the complaint admitted. Rule 53(c)(1), Rules of the Arizona Supreme Court. Accordingly, with respect to Count One, we approve the Committee and Commission’s findings. An attorney’s most important ethical duties include those obligations owed to clients. Respondent’s nonresponse established that his conduct violated his duty to competently represent the client (ER 1.1), to perform client representation with reasonable promptness and diligence (ER 1.3), and to keep the client reasonably informed about the status of the matter and promptly comply with reasonable requests for information (ER 1.4(a)).
We note that respondent was involved in another disciplinary matter, involving similar misconduct, at the time he agreed to perform services for the client in this matter. We also note that respondent was aware of the Commission’s recommendation that he be suspended for six months and one day in that matter. Despite heightened awareness of his duties and responsibilities, respondent knowingly failed to fulfill his ethical obligations to his client.
Fortunately, respondent’s conduct did not damage the client although the potential injury was quite serious — the loss of the client’s rights. Despite respondent’s inaction, the client later settled one of the lien matters. The second claim involved a public works project. Although respondent failed to so inform him, the client could not file a lien against a governmental entity and the client elected not to sue on the contract.
We agree that disbarment is the proper sanction. Respondent effectively consented to this sanction by failing to object to the sanction recommendation. Rule 53(c)(5), Rules of the Arizona Supreme Court. Not only - are the infractions involved in this matter quite serious, respondent’s previous bar record demonstrates a chronic pattern of misconduct. Moreover, respondent’s failure to cooperate with bar counsel and respond to requests for information from the Bar disciplinary office in all three discipline matters demonstrates a disregard for the Rules of Professional Conduct and borders on contempt for the legal system.
Respondent is ordered disbarred effective as of the date of the mandate on this matter. We agree with the Commission’s recommendation that no restitution be assessed. The sum of $532.10 is assessed in costs to the State Bar.
FELDMAN, V.C.J., and CAMERON, MOELLER and CORCORAN, JJ., concur.
|
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OPINION
FIDEL, Judge.
A man who won the lottery before the pending dissolution of his marriage seeks to reverse the trial court’s grant of half his winnings to his wife. We hold that the winnings were community property and affirm. In the course of our decision, we reexamine the “will to union” doctrine of In re Marriage of Fong, 121 Ariz. 298, 589 P.2d 1330 (App.1978).
FACTS
Michael Lynch (husband) and Bonnie Lynch (wife) were married in 1968. Their only child was born in 1971. The couple separated in 1985, and within a year husband began living with a woman named Donna Williams. Wife filed for dissolution shortly after.
Wife’s petition was uncontested, and at a default hearing on February 10, 1987, wife testified that the marriage was irretrievably broken. See A.R.S. § 25-312(3). A decree of dissolution is ordinarily entered at the conclusion of a default hearing. However, on February 10, the trial court took the matter under advisement and, on February 19, vacated the hearing because husband had received untimely notice.
On February 21, husband and Donna Williams won a $2.2 million jackpot in the Arizona State Lottery. Each owned half a share of the winning ticket. Wife then filed an amended petition in the unconclud-ed dissolution seeking half of husband’s share. This time husband answered, the case went on to trial, and in the ultimate decree of dissolution the trial court awarded wife half of husband’s lottery share.
Husband has appealed the trial court’s ruling on three grounds. By each argument, he attempts to establish that the parties acquired no community property after February 10, 1987, when the invalid default hearing was held. First, he argues that a marital community lasts only as long as the parties’ “will to union” and that these parties’ will to union had ended by the time of wife’s testimony on February 10 that the marriage was irretrievably broken. Second, he argues that, by this testimony, wife waived her community interest in his future acquisitions. Last, he contends that, because wife’s lawyers gave untimely notice of the February 10 hearing, wife is estopped from denying that the marital community ended on that date.
We consider each argument in turn.
COMMUNITY DURATION
When an Arizona spouse acquires an asset before marital dissolution, Arizona law treats the asset as community property unless it falls within one of several statutory exceptions. This “bright line” rule is established by A.R.S. § 25-211, which provides: “All property acquired by either husband or wife during the marriage, except that which is acquired by gift, devise or descent, is the community property of the husband and wife.” (Emphasis added.) A marriage endures in Arizona — and thus the acquisition of community property continues — “until the final dissolution is ordered by the court.” Flowers v. Flowers, 118 Ariz. 577, 580, 578 P.2d 1006, 1009 (App.1978).
In some jurisdictions, acquisition of community property ceases when spouses begin to live “separate and apart.” See, e.g., Cal.Civ.Code § 5118 (Deering 1984); In re Marriage of Baragry, 73 Cal.App.3d 444, 140 Cal.Rptr. 779 (1977). See also Wash. Rev.Code Ann. § 26.16.140 (1986). In Arizona, however, demarcation by decree “avoids the factual issue of when the couple began living apart, and provides appropriate treatment for the on-again-off-again manner in which some couples try to resolve their differences and patch up their marriages.” Effland, Arizona Community Property Law: Time for Review and Revision, 1982 Ariz.St.L.J. 1, 10-11.
An Arizona couple that wishes to end the acquisition of community property before (or without) dissolution has a statutory means to do so. A.R.S. § 25-313(B) provides for entry of a decree of legal separation that terminates “community property rights and liabilities ... as to all property, income and liabilities received or incurred after [its] entry.” In the absence of a decree of legal separation, however, acquisition of community property continues in Arizona until the decree of dissolution is filed. A.R.S. § 25-211; Jurek v. Jurek, 124 Ariz. 596, 597, 606 P.2d 812, 813 (1980); Flowers v. Flowers, 118 Ariz. at 580, 578 P.2d at 1009.
WILL TO UNION
No legal separation decree was entered in this case, and the parties’ marriage had not ended when husband won the lottery. Husband’s lottery share was not “acquired by gift, devise or descent” ; thus, it qualifies as a marital community asset pursuant to A.R.S. § 25-211. Husband argues, however, that the trial court should have found that his marital community ended when the spouses’ “will to union” ended — at a point before he won the lottery and no later than wife’s testimony on February 10 that the marriage was irretrievably broken.
The will to union doctrine derives from Spanish community property law and contributed to this court’s resolution of In re Marriage of Fong, 121 Ariz. 298, 589 P.2d 1330 (App.1978). As summarized by Fong, “Spanish community property law would declare that property acquired after the ‘union of wills’ has ceased would not be considered community property____” Id. at 304, 589 P.2d at 1336.
Though Fong employed the will to union rationale to equitably resolve a hard and unusual case, Fong stopped short of importing the doctrine wholesale into Arizona law. To explain the narrow standing of the doctrine in Arizona, we review Fong’s facts and disposition in detail.
The Facts of Fong
Alfonso Fong married Ngan Woon Chow Fong in China in 1923. The couple lived together only briefly before Alfonso began a series of travels that led him eventually to the United States. During a brief reunion in China, the couple conceived a child, John Fong, who was born in 1936. When Alfonso returned to the United States, he attempted to bring his family over, but was frustrated by the onset of the Second World War. In 1946, Alfonso was misinformed that Ngan had died. The following year he married Lily Fong and brought John to live with them in Phoenix. During a 1957 trip to China, Alfonso met Ngan, but she concealed her identity and was introduced as his late wife’s sister. In 1972, John Fong brought Ngan to this country, and Alfonso finally learned that she was still alive. By then Alfonso and Lily had seven children and had accumulated considerable property. 121 Ariz. at 300-01, 589 P.2d at 1332-33.
Ngan initiated dissolution proceedings, and the trial court awarded her $800 per month in spousal maintenance, but held that she was equitably estopped from claiming a marital community share in the property Alfonso had accumulated over the years. Id. at 300, 304, 589 P.2d at 1332, 1336. The court of appeals found equitable merit in this ruling, but concluded that the theory of estoppel had not been pled or raised at trial. Id. at 302, 589 P.2d at 1334. The court pressed the will to union doctrine into service, however, to achieve a similar result. Id. at 304, 589 P.2d at 1336.
What Fong Did and Did Not Decide
The Fong court significantly chose not to decide whether the will to union concept was incorporated into Arizona’s statutory definition of community property as property “acquired ... during the marriage.” The court thus deliberately avoided holding that Alfonso and Ngan had ceased to acquire community property when their will to union ended and before their marriage was judicially dissolved. 121 Ariz. at 304 n. 1, 589 P.2d at 1336 n. 1.
Instead, the court assumed that the assets in question were community property of Alfonso and Ngan. Id. It then examined the trial court’s power to divide these assets unequally between the parties. The source of this power was A.R.S. § 25-318(A), which requires the trial court to “divide the community ... property ... equitably, though not necessarily in kind.” 121 Ariz. at 303, 589 P.2d at 1335, quoting A.R.S. § 25-318(A) (emphasis added). Equitable division normally imports an equal division. See, e.g., Hatch v. Hatch, 113 Ariz. 130, 133, 547 P.2d 1044, 1047 (1976); Styers v. Superior Court, 161 Ariz. 477, 479, 779 P.2d 352, 354 (App.1989). However, “equitable and equal allocation are not synonomous____ The court may depart from equal division ... where equity requires.” Styers, 161 Ariz. at 479, 779 P.2d at 354.
There were ample reasons for unequal division in Fong. As a law review note explains:
Alfonso’s good faith belief in Ngan’s death, combined with her perpetuation of that belief through deception and lack of contact with Alfonso, could be construed as an abandonment. Following this abandonment, approximately $250,000.00 worth of real property was accumulated through the mutual efforts of Lily and Alfonso. Since this property was not earned through the mutual efforts of the community of Alfonso and Ngan, denying Ngan an equal share of the property earned by Alfonso and Lily would have been appropriate.
Note, A New Dimension in Arizona Community Property Law, 22 Ariz.L.Rev. 131, 133-34 (1980).
The equitable claims of the juridical marital community of Alfonso and Ngan contrasted sharply with those of the putative marital community of Alfonso and Lily, and the contrast was tailor-made for the will to union rationale, described in Fong as follows:
[I]t was the mutual loyalty, the mutual sharing of the burdens of marriage, the joint industry and labor of the spouses to further and advance the success and well-being of the marriage and of the family, which entitled them to share in the profits.
121 Ariz. at 303, 589 P.2d at 1335, quoting W. de Funiak & M. Vaughn, Principles of Community Property § 57 (2d ed.1971).
The Fong court did not formally adopt the will to union doctrine into Arizona law. Yet it employed the quoted rationale to support its conclusion that the trial court had equitable power under A.R.S. § 25-318 to award Alfonso all of the property accumulated after his putative marriage to Lily. 121 Ariz. at 304, 589 P.2d at 1336.
Application of Fong
Does Fong apply to the case before us? To answer, we must first address the question reserved by Fong: Our domestic relations statute defines community property as property “acquired ... during the marriage. A.R.S. § 25-211. Does marital duration, for the purpose of this statute, depend upon the spouses’ will to union? We hold that it does not. We have previously commented in the “Community Duration” section of this opinion that a marital community endures in Arizona until a final dissolution is ordered by the court. This rule of demarcation by decree is incompatible with a doctrine that measures community duration by a standard so elusive as the spouses’ will to union.
We next consider the viability of will to union as a factor in property allocation pursuant to A.R.S. § 25-318. More particularly, we consider whether Arizona courts may base the allocation of community property upon consideration of the quality or duration of spouses’ “mutual loyalty ... [or] mutual sharing of the burdens of marriage.” Fong, 121 Ariz. at 303, 589 P.2d at 1335. We do not interpret Fong as importing these considerations into property distribution under A.R.S. § 25-318. Though not an absolute requirement, “substantial equality” of distribution is the general rule in Arizona. Sample v. Sample, 152 Ariz. 239, 242, 731 P.2d 604, 607 (App. 1986); Lee v. Lee, 133 Ariz. 118, 121, 649 P.2d 997, 1000 (App.1982). A trial court may depart from equal division to remedy financial misconduct such as “excessive or abnormal expenditures, destruction, concealment or fraudulent disposition of ... property held in common.” A.R.S. § 25-318(A). However, the court must otherwise proceed “without regard to marital misconduct.” Id. Expansive inquiry into the quality or duration of the spouses’ will to union would disrupt this statutory scheme.
The Fong court emphasized that its holding was tailored to the unusual facts before it, and no Arizona opinion has discussed the will to union doctrine in the intervening eleven years. Fong involved abandonment, assumed death, and a longstanding and productive putative marriage. It may have been appropriate under such circumstances to consider that the parties’ marriage was an empty shell, but it would be mischievous to Arizona’s statutory scheme to give the will to union doctrine wider sway. We hold that Fong is limited to its facts.
Comparable facts are not presented by this case. This marriage ended, as many do, over a period of months, while the parties talked sporadically and unsuccessfully of reconciling. There is nothing in such facts, or in husband’s contemporaneous involvement with another woman, to bring the will to union doctrine into play. Nor were will to union considerations activated by wife’s testimony on February 10 that the marriage was irretrievably broken. Whatever the parties’ feelings on that date, their marriage did not end until a court decreed that it was over. These parties were still married when husband won the lottery on February 21, and we find no basis in the will to union doctrine to deny the wife her share.
WAIVER
Husband makes the related argument that wife waived any interest in his further acquisitions on February 10 when she testified that the marriage was irretrievably broken, expecting a decree of dissolution to issue on that date. We disagree. Waiver is the “intentional relinquishment of a known right.” Northern Ariz. Gas Serv. v. Petrolane Transp., 145 Ariz. 467, 476, 702 P.2d 696, 705 (App. 1984). Wife surely waived her interest in husband’s acquisitions beyond the dissolution of their marriage, but her waiver went no further. She did not relinquish what might accrue to the marital community if the marriage lasted beyond its anticipated end.
ESTOPPEL
Husband next argues that wife is estopped from asserting an interest in his lottery winnings because he was “justified in believing that he would be divorced on February 10 and his acquisition of his interest in the winning lottery ticket must be considered in that light.” We disagree.
First, though wife’s counsel gave husband defective notice, nothing in the record suggests that they did so for tactical advantage. Wife and her counsel came to the February 10 hearing in apparent good faith, attempting to dissolve the marriage on that date. The trial court acted prudently and in husband’s best interest by withholding a decree until he had received the notice that the law required.
Second, the record does not establish that husband acquired his interest in the winning ticket in reliance on his marriage ending on February 10. To the contrary, husband played the lottery weekly for twenty years or more before his jackpot; he shared tickets weekly with Donna Williams while they lived together, though his marriage was unended at the time. An essential element of estoppel is justifiable' reliance. Heltzel v. Mecham Pontiac, 152 Ariz. 58, 61, 730 P.2d 235, 238 (1986). That element is wholly lacking in this case.
ATTORNEY’S FEES
Wife seeks attorney’s fees pursuant to A.R.S. § 12-349, claiming that husband’s appeal was unjustified or abusive. We disagree. Though the appeal is unsuccessful, the facts were unique and the law uncertain. Husband raised legitimate issues and prompted reexamination of Fong and the will to union doctrine. We must be careful in administering § 12-349 and similar statutes not to discourage the assertion of fairly debatable positions. Wife’s request for attorney’s fees is denied.
CONCLUSION
This case displays the hand of chance. Fortune favored husband with a jackpot, but, because his marriage had not ended, fortune dealt his wife a share. Though the lottery was a windfall, spouses marry for better or for worse and share no less in windfalls than in labor’s wages. Husband claims that his marriage ended equitably, though not formally, before the winning ticket was acquired. We have given our reasons for rejecting his arguments. The judgment of the trial court is affirmed.
GERBER and NELSON, JJ., concur.
NOTE: The Honorable MICHAEL C. NELSON, Apache County Superior Court Judge, was authorized to participate in the disposition of this matter by the Chief Justice of the Arizona Supreme Court pursuant to Ariz. Const, art. VI, § 3.
. Wife’s counsel had mistakenly notified husband that the default hearing was scheduled for February 9. After recognizing the mistake, counsel sent a corrected notice that February 10 was the hearing date. This second notice, however, was delivered on February 4, and did not give husband the full notice that our rules require. Written notice of a default hearing must be provided "at least three days prior to the hearing.” Rule 55(b)(2), Arizona Rules of Civil Procedure. Weekends, holidays, and the date of delivery are excluded pursuant to Rule 6, Arizona Rules of Civil Procedure. February 4 was the excluded date of delivery, the 7th and 8th were excluded weekend days, and the 9th was an excluded holiday. This left only February 5 and 6, which did not constitute the three days prior notice specified by the rules.
. Husband died on October 30, 1989, during the pendency of this appeal. Donna L. Lynch, his personal representative, was substituted as appellant pursuant to Rule 27(a), Arizona Rules of Civil Appellate Procedure. We will refer in this opinion to husband’s arguments, though they are now maintained by his personal representative.
. At trial, husband argued that his half of the winning lottery ticket was a gift from Donna Williams and, accordingly, not community property. The trial court made a factual finding to the contrary, and husband has not pursued this argument on appeal.
. The court also affirmed spousal maintenance for Ngan and instructed the trial court upon remand to award Ngan a substantially equal share of property acquired before the second marriage. 121 Ariz. at 305, 589 P.2d at 1337.
. We note, however, that even if the will to union doctrine were routinely considered in equitable division, there would be a reasonable basis for the trial court to determine that the parties’ will to union lingered through the dissolution in this case. The parties separated in early 1985, but continued to discuss reconciliation through and beyond July of 1986, when wife petitioned for dissolution of their marriage. In November of 1986, husband called on wife to arrange his release from jail. Wife posted bail, brought him clothes, and took him to her home. When asked why she would go through this, wife said: ”[B]ecause whenever he is in trouble he calls me always. And because I’ve taken care of him for 22 years.” As late as March of 1987, after the aborted default hearing and husband’s lottery win, wife assisted husband in a medical emergency, checked him into an alcoholic rehabilitation program, and agreed to join him in family counseling.
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OPINION
CECIL B. PATTERSON, Judge.
This appeal ■ presents the sole issue of whether defendant properly was required to pay two $8.00 time payment fees pursuant to A.R.S. § 12-116 for crimes committed prior to the June 28, 1989, effective date of the statute. Because there are in excess of fifty cases now pending before Division One which raise the identical issue, we choose to dispose of this case via a published opinion. We find .that the trial court properly imposed the fee, and therefore affirm.
The facts for purposes of our review are straight forward. On July 17, 1989, Elizabeth Weinbrenner (defendant) entered into two separate plea agreements in which she agreed to plead guilty to attempted sale of cocaine on December 22, 1988, and attempted sale of methamphetamine on May 19, 1989, both class 3 felonies.
Defendant was sentenced on September 8, 1989. With respect to each charge, the trial court placed defendant on intensive probation for five years, ordered that she spend one year in jail, and ordered that she pay a probation fee and $100.00 to the victim compensation fund, each at the rate of $5.00 per month. In CR-89-04103, the cocaine charge, the court further ordered that defendant pay a fine of $2740.00 at the rate of $70.00 per month and $180.00 restitution at the rate of $10.00 per month. In CR-89-05755, the methamphetamine charge, the court further ordered that defendant pay a $1370 fine at the rate of $35.00 per month. Finally, with respect to each charge, the court required defendant to pay an $8.00 time payment fee, pursuant to A.R.S. § 12-116.
Defendant argues that the trial court erred in imposing the $8.00 time payment fees because her offenses were committed before the June 28, 1989, effective date of the statute. Thus she asks that we modify her sentences by eliminating the $8.00 fees. In response, the state argues that A.R.S. § 12-116(A) is a procedural statute and that, therefore, it does not violate the prohibition against ex post facto laws. We agree with the state.
An ex post facto law is one which imposes a punishment for an act not punishable at the time it was committed, or which imposes punishment additional to that prescribed at the time the offense was committed. Weaver v. Graham, 450 U.S. 24, 28, 101 S.Ct. 960, 964, 67 L.Ed.2d 17, 22 (1981). The prohibition against ex post fac-to laws is deeply rooted in constitutional law, as the U.S. Supreme Court has held on many occasions. In Beazell v. Ohio, 269 U.S. 167, 46 S.Ct. 68, 70 L.Ed. 216 (1925), the Court explained the purpose of the prohibition: “[The constitutional prohibition against ex post facto laws] was intended to secure substantial personal rights against arbitrary and oppressive legislation, and not to limit the legislative control of remedies and modes of procedure which do not affect matters of substance.” Id. at 171, 46 S.Ct. at 69, 70 L.Ed. at 218 (citations omitted). We therefore must determine whether A.R.S. § 12-116 is a procedural or substantive statute. The Arizona Supreme Court has provided guidance on this matter: “Procedural, adjective or remedial law is that portion of the law which prescribes the method of enforcing a right or obtaining redress for the invasion of that right. Substantive law, on the other hand, is that portion of the law which creates, defines and regulates rights.” State v. Fletcher, 149 Ariz. 187, 191, 717 P.2d 866, 870 (1986) (emphasis in original).
The statute here in question is purely procedural in nature. It does not impose any penalty upon appellant which would make its application here ex post facto. An analysis of A.R.S. § 12-116(A) clearly reflects its purpose. The statute provides an $8.00 fee for any time payment of a “penalty, fine or sanction.” Of that $8.00 fee:
1) $3.00 is allocated to the judicial collection enhancement fund for the purpose of maintaining and enhancing the ability of courts to collect fines, restitution payments and other monies;
2) $2.00 is allocated to the county public defender training fund for the purpose of training public defenders;
3) The remaining $3.00 is allocated to the court imposing the penalty or fine, to improve, maintain, and enhance the ability of the court to collect and manage monies assessed or received by it, to improve court automation and to improve case processing or the administration of justice.
Because the statute merely establishes a method of enforcing the public’s right to redress (i.e., payment of fines and penalties on a time payment basis), the statute is not an ex post facto law.
Our characterization of A.R.S. § 12-116 as procedural does not, however, infringe on the supreme court’s rule-making authority.
The constitution of Arizona gives the Supreme Court the power to make rules relative to all procedural matters in any court____
That we possess the rule-making power does not imply that we will never recognize a statutory rule. We will recognize “statutory arrangements which are reasonable and workable” and which supplement the rules we have promulgated. However, when a conflict arises, or a statutory rule tends to engulf a general rule of admissibility, we must draw the line. The legislature cannot repeal the Rules of Evidence or the Rules of Civil Procedure made pursuant to the power provided us in article 6, § 5.
State ex rel. Collins v. Seidel, 142 Ariz. 587, 590-91, 691 P.2d 678, 681-82 (1984) (citations and footnote omitted).
Rule 26.12(a) of the Arizona Rules of Criminal Procedure authorizes courts to permit payment of criminal fines and restitution assessments over a period of time or in specified installments. In adopting the rule, the Arizona Supreme Court clearly recognized that not everyone assessed a fine or restitution would be able to make the full payment on the day of assessment. Arizona Revised Statutes section 12-116 furthers this reality by insuring that the financial wherewithal is provided for efficient and effective collection, processing and disbursal of the fines and restitution. It is therefore a “reasonable and workable” statutory supplement to Rule 26.12(a).
We find unpersuasive the argument that defendant’s offenses were committed before the effective date of this statute. It was not until the date of defendant’s sentencing that the trial court ordered that defendant pay restitution and fines. Therefore, it was not until that date that the time payment fees became effective as to her. Because defendant was sentenced on September 8, 1989, after the June 28, 1989, effective date of A.R.S. § 12-116, imposition of the time payment fees was proper.
Furthermore, defendant was entirely free to avoid the time payment fees by paying her fines and restitution amounts in a lump sum. We are somewhat concerned that the record fails to reflect whether the trial court imposed the fees without affording defendant a choice as to whether she could pay her. assessments on a time payment basis or whether she could pay in a lump sum. Of course, the court had previously found defendant to be indigent, and presumptively, the manner of payment would be on a time payment basis. In any event, at the plea proceeding, the court informed defendant of the agreed upon fines and restitution amounts. These figures also were specifically set forth in the plea agreement reviewed and executed by defendant. Because A.R.S. § 12-116 was in effect at that time as well, defendant had notice that if she paid on a time payment basis, the statute mandated that the $8.00 fees be assessed.
CONCLUSION
We hold that the $8.00 time payment fees assessed in CR-89-04103 and CR-89-05755 were properly imposed. The fees are administrative processing fees used as a means of effectively collecting and processing time payments to the court. As such, they actually benefit defendants such as Weinbrenner, who cannot afford to pay their penalties up front, by providing a mechanism through which the privilege of payment over time can be exercised, at minimal cost to the state.
It is ordered affirming the imposition of the $8.00 time payment fees by the trial court.
JACOBSON, P.J., and LANKFORD, J., concur.
NOTE: The Honorable CECIL B. PATTERSON of the Maricopa County Superior Court, State of Arizona, has been authorized to participate in this matter by the Chief Justice of the Arizona Supreme Court, pursuant to Ariz. Const, art. VI, § 3.
|
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OPINION
ROLL, Judge.
In this special action, petitioner Mary Mustard appeals from the administrative law judge’s (AU) denial of benefits. Because the AU incorrectly concluded that petitioner’s injuries arose from horseplay constituting a substantial deviation from her work, we set aside the award.
BACKGROUND
On February 6, 1989, Mustard sustained an injury when accidentally struck with a hammer by a fellow employee while working for R.V. City. Her claim for benefits was denied and she timely protested.
At the hearing, Mustard and three employees testified. Mustard testified that while performing her duties, she walked by Joseph Wooley, who had dropped a wrench, and she joked that Wooley had dropped his tooth caps. Mustard’s comment was a reference to the fact that Wooley had knocked some teeth out during a previous industrial injury, requiring that some teeth be capped. She testified that she continued walking at a fast pace. When she heard a noise behind her, she glanced back and saw Wooley approaching. As she tried to step out of Wooley’s way, she slowed down and Wooley ran into her, accidentally striking her coccyx area with the hammer.
Wooley testified that after Mustard made the joke about his teeth, he made a mock threatening response. She laughed and he grabbed a hammer and jumped off a trailer hitch tongue. Mustard then ran away from him, moving in the direction of her job duties. Wooley ran after her and accidentally collided with her when she abruptly stopped.
A fellow employee, Steven Powers, testified that Mustard proceeded eight to ten feet past Wooley, then started running; Wooley jumped off the trailer tongue and chased Mustard. Michael Wilson testified that neither Wooley nor Mustard ran. Wilson stated he observed the incident, although Wooley testified that Wilson had stated he never saw the incident.
Mustard, Powers, and Wilson testified that the employees often joked but did not chase each other.
The AU found that Mustard’s jestful comment to Wooley was not a substantial deviation from her job, but that her accelerated movement was a substantial, purely personal deviation from her job, which did not benefit her employer. The AU ruled that the resulting accidental injury was non-compensable. Mustard appeals from this award.
ISSUE ON APPEAL
Mustard argues that her accelerated movement was not such a substantial deviation from her employment so as to remove her from the course and scope of her employment.
DISCUSSION
An Industrial Commission award will not be set aside if there is a reasonable basis in the record to support such an award. Bill Breck Dodge, Inc. v. Industrial Comm’n, 138 Ariz. 388, 390, 675 P.2d 275, 277 (1983). The appellate court is not a trier of fact and will not disturb findings of fact unless they cannot be supported by any reasonable theory of the evidence. Nelson v. Industrial Comm’n, 134 Ariz. 369, 373, 656 P.2d 1230, 1234 (1982). The AU is the sole judge of the witness’s credibility and may reject the testimony if it is self-contradictory, inconsistent with other evidence, or directly impeached. Holding v. Industrial Comm’n, 139 Ariz. 548, 551, 679 P.2d 571, 574 (App.1984).
The AU concluded that “[njeither the applicant’s jestful comments nor her laughter thereafter were substantial deviations from the applicant’s job____” However, the AU then held that Mustard’s accelerated pace was a substantial deviation from her job, was personal and without benefit to her employers, and rendered her injury non-compensable. Anderson Clayton & Co. v. Industrial Comm’n, 125 Ariz. 39, 41-42, 607 P.2d 22, 24-25 (App.1979).
We disagree that Mustard’s conduct constituted a substantial deviation from her job. Mustard was headed toward the lot to assist a fellow employee when she passed Wooley. Her accelerated pace did not remove her from her original itinerary, only quickened her journey. The fact that her accelerated pace “provoked” Wooley to chase her is of no consequence. As Larson notes:
The substantial character of a horseplay deviation should not be judged by the seriousness of its consequences in the light of hindsight, but by the extent of the work-departure itself____ One way to test the issue of deviation ... would be to ask: ... “[Has that person] left his employment?”
******
This type of analysis is particularly important when the claimant’s act, standing alone, would have been clearly substantial, but led to the trouble because of more substantial acts then undertaken by a co-employee.
1A A. Larson, Workmen’s Compensation Law § 23.63 (1985). It is not Wooley’s conduct, but that of Mustard’s which must be examined.
We agree with the test set forth by Division One of this court in Jaimes v. Industrial Comm’n, 163 Ariz. 307, 308-10, 787 P.2d 1103, 1104-06 (Ct.App.1990) (citing 1A Larson, Workmen’s Compensation Law § 23.00 (1985)):
[W]hether initiation of horseplay is a deviation from course of employment depends on
(1) the extent and seriousness of the deviation,
(2) the completeness of the deviation (i.e., whether it is as commingled with the performance of duty or involved an abandonment of duty),
(3) the extent to which the practice of horseplay had become an accepted part of the employment, and
(4) the extent to which the nature of the employment may be expected to include some such horseplay.
The degree of deviation is but one factor to be considered in a Jaimes analysis. In Jaimes, three maintenance employees of a golf course were riding in a utility cart from one part of the golf course to another part. Two employees sat in the seats of the cart while the claimant sat on the dashboard. The claimant tickled the cart driver who let go of the steering rudder, causing the claimant to fall in front of the cart. The cart ran over the claimant and caused serious injury. The court held that this horseplay was an insubstantial deviation from the claimant’s course of employment and was therefore compensable.
Because insufficient evidence exists to support the ALJ’s finding that Mustard’s conduct was a substantial deviation from employment, the award is set aside.
HOWARD and HATHAWAY, JJ., concur.
|
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OPINION
CONTRERAS, Presiding Judge.
Following a jury trial, appellant was found guilty of manslaughter and was sentenced to a mitigated term of five years imprisonment. The primary issue on appeal is whether the trial court erred in refusing to instruct the jury on “justification” pursuant to A.R.S. § 13-411. This statute sets forth the circumstances in which there is justification for the use of deadly physical force by a household resi dent against “another” to prevent the commission of enumerated criminal offenses. See State v. Thomason, 162 Ariz. 363, 783 P.2d 809 (Ct.App.1989). In addition, there is a statutorily created specific presumption that one who is entitled to a § 13-411 defense is presumed to he acting reasonably under the statute. A.R.S. § 13-411(C). We find no error because we conclude that § 13-411 is inapplicable to a situation where one resident of a home uses deadly force to prevent the commission of a criminal offense perpetrated by another resident of the same household. Appellant also argues that the trial court erred in refusing to give other requested jury instructions. We disagree. Accordingly, the conviction and sentence are affirmed.
FACTS
It appears that, with minor inconsequential variances, the facts are undisputed. Appellant, Roberta Korzep, and her husband, David, lived together in a home in Yuma, Arizona. In the evening on February 13, 1987, appellant and her husband went to a dog racing track. They had several drinks there and went for more drinks at a local lounge. When the lounge closed, appellant and her husband went home. In their bedroom, David suddenly became angry. He grabbed appellant by the hair and threw her on the bed. After extricating herself, appellant left the bedroom and went to the kitchen. David followed her to the kitchen and began hitting her about the head. Appellant grabbed a kitchen knife from a countertop knife holder and stabbed her husband once in the stomach. Appellant pulled the knife out of David. David grabbed his side, turned and walked away toward the bedroom. Appellant followed and saw a bloodstain on David’s T-shirt. David made a threatening remark, and appellant ran to her neighbor’s house clad only in her underwear: Her neighbor, Mary Gooding, refused to believe appellant had actually stabbed David because appellant still had the knife with her and there was no blood on it. Convinced that David was alive but very angry, appellant did not call the police. Instead, appellant called for help from another neighbor. When this neighbor and his wife arrived at Gooding’s home, the four went back to appellant’s home to investigate the situation. They found David lying face down in the hallway. Emergency medical assistance failed to resuscitate David. A later autopsy showed that the single stab wound had severed major veins and arteries and that he bled to death very quickly.
At trial, appellant defended on the basis of justification. Appellant testified to earlier episodes where her husband strangled her and hit her. Defense witnesses corroborated appellant’s accounts of earlier stran-gulations and beatings. Appellant further testified that she was afraid David was going to beat her up or kill her and that she was certain she would sustain serious injury. On cross-examination, she reiterated that she thought David would strangle her and kill her.
JUSTIFICATION INSTRUCTIONS
At trial, appellant admitted stabbing her husband but defended on the basis that it was justified. When the court and counsel settled jury instructions, defense counsel requested a jury instruction under A.R.S. § 13-411. The state responded that § 13-411 did not apply to the appellant’s situation, that there was no evidence to support giving the instruction and that the self-defense instruction based upon A.R.S. §§ 13-404 and 13-405 was sufficient. The trial judge declined to give an instruction based upon § 13-411 but did give a self-defense instruction predicated upon §§ 13-404 and 13-405.
After trial, appellant filed a motion for new trial alleging in part that the trial court had erred in refusing to give an instruction based upon § 13-411. The state argued against the propriety of such an instruction. The trial judge denied the motion for new trial. Although the trial judge specifically found that the evidence at trial would have supported giving a § 13-411 instruction since there was sufficient evidence of aggravated assault, he accepted the state’s position that an in struction under §§ 13-404 and 13-405 was more appropriate.
On appeal, appellant claims that the trial judge erred in refusing her justification instruction based upon § 13-411. Appellant asserts that, at the very least, she was protecting herself from an aggravated assault when she stabbed her husband. The state argues that the trial court properly concluded that §§ 13-404 and 13-405 governed the present fact situation and correctly instructed the jury.
In State v. Thomason, 162 Ariz. 363, 783 P.2d 809 (Ct.App.1989), this court harmonized § 13-411 with the other sections in chapter 4 of the criminal code by stating:
We rely upon the strong policy statement enacted by the legislature for our construction of § 13-411. Accordingly, we restrict the application of § 13-411 to cases which would come within that policy statement. That is, the defense is available only when a home, its contents, or the residents therein are being protected by the use or threatened use of physical force or deadly physical force against another. Such a restriction ameliorates the overlap and conflict of § 13-411 with the other justification statutes and furthers the legislative objective.
With this holding we end our inquiry and leave further construction of the statute for another day.
162 Ariz. at 367, 783 P.2d at 812. The declaration of policy relied upon in interpreting A.R.S. § 13-411 is as follows:
The legislature finds that homes of Arizona residents are being burglarized and violated at an alarming and unacceptable rate that is endangering the residents’ safety, health and property, thereby depriving them of their safe and peaceful enjoyment of their homes.
It is the legislative intent to establish a policy by this law giving notice to all citizens, law enforcement personnel and the state courts that a person’s home, its contents and the residents therein shall be totally respected and protected in Arizona, and that the law enforcement officials and courts shall apply this and all other applicable criminal laws relating to the protection of the home and its residents promptly and severely so as to restore the total sanctity of the home in Arizona.
Laws 1983, Ch. 255, § 1 (emphasis added).
Specifically, the underlying question in the present case is whether § 13-411 applies where one resident of a home is criminally victimized by another resident of the same household. After considering the legislatively expressed policy along with the underlying legislative intent, we conclude that § 13-411 is not applicable under the attendant and undisputed facts and circumstances of this case.
The principal rule of statutory interpretation is to ascertain and effectuate the legislative intent behind the statute. Calvert v. Farmers Ins. Co., 144 Ariz. 291, 294, 697 P.2d 684, 687 (1985); Collins v. Stockwell, 137 Ariz. 416, 420, 671 P.2d 394, 398 (1983). To determine the intent of the legislature we may consider the policy behind the statute and the evils which caused its adoption. Calvert, 144 Ariz. at 294, 697 P.2d at 687; State v. Hendrix, 59 Ariz. 184, 124 P.2d 768 (1942).
In formulating and enacting A.R.S. § 13-411 the primary concern of the legislature as evidenced by the declaration of policy was the increasing rate of burglary of homes in Arizona. The policy statement clearly demonstrates the legislature’s concern over the protection of property as well as lives and leads us to the conclusion that the defense is only available to a resident defending the home, its contents or the residents therein from a criminal offense perpetrated by someone other than a resident of that household.
We recognize that the increasing incidences of domestic violence pose a threat to many Arizona residents and that a substantial number of criminal offenses occurring in the home are committed by residents against other residents, all of whom reside within the same household. We further note that § 13-411 not only covers criminal offenses likely to be committed by intruders, such as burglary and kidnap ping, but also includes criminal offenses likely to be committed by residents, such as child molestation and sexual conduct with minors. Nevertheless, we are persuaded by the legislative policy statement to conclude that § 13-411 does not apply when a resident of a home is criminally victimized by another resident of the same household.
We are not convinced that the legislature considered the dynamics of the scenario of resident against resident when § 13-411 was enacted. Rather, it is clear from the legislatively expressed policy that the focal point was burglary. It is likewise clear that the general intent of the legislature was to enable residents to protect themselves from non-resident intruders. Since § 13-411 does not contain any clear language to the contrary, we find that a resident of the same household is not included within the definition of “another” as used in this statute.
Our holding should not be construed as limiting the application of § 13-411 to crimes committed by “intruders”. We simply hold that § 13-411 does not apply to a resident of a household using deadly physical force against another resident residing within the sam,e household to prevent the commission of one of the enumerated criminal offenses. Under the facts and circumstances of the present case, appellant was not entitled to the requested instruction. Accordingly, we find no error in the trial court’s refusal to give a justification instruction based on § 13-411.
OTHER INSTRUCTIONS
Appellant claims it was error for the trial judge to refuse to give requested Instruction Nos. 11, 12 and 13. Proposed Instruction No. 11 read:
You should not consider how a man of equal size, weight and strength of the deceased would have reacted in similar circumstances.
Proposed Instruction No. 12 read:
The fact that the victim did not have a weapon does not prove that it was unreasonable for the defendant to believe that she was in imminent danger of death or great bodily harm. Manual strangulation and other physical abuse can result in serious bodily injury, if not death.
Proposed Instruction No. 13 read:
In connection with the defense of self-defense, you are instructed that you may consider the words and actions of David Korzep prior to the altercation, the relative size and strength of the persons involved, together with any and all factors which in your judgment may bear upon your determination as to whether the defendant reasonably believed herself to be in danger of serious physical injury at the time in question.
Counsel for appellant argued that these instructions should be given. The trial judge refused to give these three instructions at trial, and, with respect to justification, instructed the jury as follows:
A person may use deadly physical force when and to the degree a reasonable person in the same situation would believe that deadly physical force is immediately necessary to protect him or herself against the other’s use or attempted use of unlawful deadly physical force.
Actual danger is not necessary to justify the use of physical force in self-defense. Nor is there a duty to retreat before using physical force in self-defense. It is enough if a reasonable person in the defendant’s situation would have believed that she was in immediate physical danger.
The trial judge is not required to give instructions which are adequately covered by other instructions. State v. De Nistor, 143 Ariz. 407, 414, 694 P.2d 237, 244 (1985). In the present case, the jury was instructed that a defendant may use deadly physical force to the degree a reasonable person in the same situation would believe that deadly physical force was necessary. The difference between the victim and appellant and the lack of a weapon on the victim were factors that could be considered in determining the reasonableness of the appellant’s actions. Proposed Instruction Nos. 11, 12, and 13 detail the particulars of the situation and, as such, are more appropriately suited to closing argument. There was no error in rejecting Instruction Nos. 11, 12 and 13.
In accordance with A.R.S. § 13-4035, we have searched the entire record for fundamental error and have found none. Having found no error, the conviction and sentence are affirmed.
SHELLEY, J., and FROEB, Retired Judge, concur.
Note: The Honorable DONALD F. FROEB, a retired judge of the Court of Appeals, was authorized to participate in the disposition of this matter by the Chief Justice of the Arizona Supreme Court pursuant to Ariz. Const, art. VI, § 20.
. A.R.S. § 13-411 provides:
Justification; use of force in crime prevention
A. A person is justified in threatening or using both physical force and deadly physical force against another if and to the extent the person reasonably believes that physical force or deadly physical force is immediately necessary to prevent the other's commission of arson of an occupied structure under § 13-1704, burglary in the second or first degree under § 13-1507 or 13-1508, kidnapping under § 13-1304, manslaughter under § 13-1103, second or first degree murder under § 13-1104 or 13-1105, sexual conduct with a minor under § 13-1405, sexual assault under § 13-1406, child molestation under § 13-1410, armed robbery under § 13-1904, or aggravated assault under § 13-1204, subsection A, paragraphs 1 and 2.
B. There is no duty to retreat before threatening or using deadly physical force justified by subsection A of this section.
C. A person is presumed to be acting reasonably for the purposes of this section if he is acting to prevent the commission of any of the offenses listed in subsection A of this section.
. § 13-411. Justification; use of force in crime prevention
A. A person is justified in threatening or using both physical force and deadly physical force against another if and to the extent____ (emphasis added).
|
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OPINION
FERNANDEZ, Chief Judge.
o
The 14-year-old female minor appeals from the juvenile court’s acceptance, over her objection, of a stipulation between her adoptive parents and the Arizona Department of Economic Security (DES) permitting the parents to relinquish their parental rights. We vacate the court’s order accepting the stipulation.
FACTS AND PROCEDURAL HISTORY
The parents adopted the minor in August 1986 when she was ten years old. After she ran away from home in March 1989, the parents refused to allow her to return and voluntarily placed her at the Cochise County Children’s Center. The child was declared a temporary ward of the state and was adjudicated dependent on May 15, 1989, after the parents refused to attempt to reunify the family. The parents filed a petition on May 2 to terminate their parental rights.
On June 9, the minor moved to intervene in the severance, to consolidate the dependency and severance, and to have counsel appointed to represent her in the severance. The motion to consolidate was granted, and the court found the motion to appoint counsel moot because of the consolidation. The minor then filed a response to the severance petition, arguing that none of the statutory grounds for severance had been established, that severance was not in her best interests, and that in the event severance was ordered, the court should determine the appropriate amount of child support.
At the hearing on the petition, DES and the parents submitted a stipulation providing that the parents would pay DES $294.00 per month for six months “as and for support payments for the child”; the parents would be available for separation counseling with the minor, with DES to be responsible for its cost; and DES would accept the parents’ relinquishment of rights “at such time as the [parents] have made a good faith effort to fulfill the terms of this agreement.” DES’s attorneys avowed that the agreement was in the minor’s best interests. The juvenile court accepted the stipulation over the minor’s vigorous objection, executed an order in accordance with the stipulation, and set a three-month review hearing to determine whether DES had accepted the relinquishment.
This court has jurisdiction of the appeal because the signed and filed order disposing of all issues is a final and appeal-able order, see In re Yavapai County Juvenile Action No. J-8545, 140 Ariz. 10, 680 P.2d 146 (1984), and the minor is an aggrieved party. A.R.S. § 8-236(A).
On appeal, the minor argues that as a party to the severance proceeding, she was entitled to full participation and that the juvenile court’s acceptance of the stipulation over her objection deprived her of that participation. She argues that the stipulation resulted in severance without a hearing and avoided the requirement that statutory grounds for severance be established by clear and convincing evidence. Moreover, she claims that the court’s failure to hear evidence and to enter findings on her best interests violated her due process rights and deprived her of her right to claim support from her parents. Finally, she points out that the dependency and severance proceedings were “on a collision course” from the beginning and, because of the juvenile court’s acceptance of the stipulation, no efforts were or will be made to reunite the family.
MINOR’S RIGHTS IN A SEVERANCE
The minor has the right to participate in a severance proceeding involving her. Due process requires the appointment of independent counsel for the minor in some cases, particularly “where there are conflicts of interest such that a child’s best interests are not fully explored, advocated, or included in the record.” Yavapai County Juvenile No. J-8545, 140 Ariz. at 16, 680 P.2d at 152. In this case, because the positions of DES and the parents were identical and, for all practical purposes, adverse to the child’s, meaningful participation by the minor’s counsel was crucial, including an opportunity to present evidence as to the child’s best interests.
EFFECT OF STIPULATION
DES argues that it agreed to accept the parents’ consent to adoption pursuant to A.R.S. § 8-106 if the parents fulfilled the obligations of the stipulation and dismissed the severance petition, which it claims the juvenile court did. The record does not reflect that the petition was dismissed, contingently or otherwise. In any case, the court’s acceptance of the stipulation resulted, at the very least, in a de facto termination, committing the child to dependency and foster care until either her eighteenth birthday or her adoption by another family, an unlikely event. Indeed, counsel for the parents stated at the hear-. ing that the reason they would dismiss the petition is because the state’s acceptance of their relinquishment would allow them to “technically” accomplish a severance.
The effect of the acceptance of the stipulation was twofold. First, the parents were able to circumvent the statutory requirements of A.R.S. §§ 8-533 through 8-538, which deprived the minor of an opportunity to present evidence that severance would not be in her best interests. Second, it rendered the child per se dependent and ensured that no efforts would be made to reunify the family.
Although voluntary relinquishment of parental rights to an agency or consent to an adoption can be one ground for severance, A.R.S. § 8-533(B)(5), the relinquishment or consent must be attached to the petition at the time it is filed, A.R.S. § 8-534(B). Moreover, a hearing is required, no matter which statutory ground is the basis of the petition. See A.R.S. §§ 8-535 and 8-537. Finally, an order granting or denying the termination must be entered. A.R.S. § 8-538. If severance is granted, the order must state the findings on which it is based. Id. The following historical note to A.R.S. § 8-531 reveals a legislative intent that the judicial process not be circumvented as it was in this case:
The purpose of this act is to provide for voluntary and involuntary severance of the parent-child relationship and for substitution of parental care and supervision by judicial process which will safeguard the rights and interests of all parties concerned and promote their welfare and that of the state. Implicit in this act is the philosophy that, wherever possible, family life should be strengthened and preserved and that the issue of serving the parent-child relationship is of such vital importance as to require a judicial determination in place of attempts at severance by contractual arrangements, express or implied, for the surrender or relinquishment of children.
Laws 1970, Ch. 153, § 1 (emphasis added).
In this case, whether the petition was granted or dismissed, a severance was effectively accomplished simply by the court’s acceptance of the stipulation. Perhaps most significantly, however, the child was not permitted to submit evidence that severance would not be in her best interests. A.R.S. § 8-533(B) provides that in considering any of the statutory grounds for severance, “the court may also consider the needs of the child.” This permits a juvenile court to deny severance when it would not be in the best interests of the child, even though a statutory ground has been established. In re Maricopa County Juvenile Action No. JS-6831, 155 Ariz. 556, 748 P.2d 785 (App.1988); see also In re Pima County Juvenile Severance Action No. S-2710, 164 Ariz. 21, 790 P.2d 307 (App.1990). Although the court is not required to consider such evidence, in this case, the minor was not even given the opportunity to present evidence.
Additionally, the minor filed a motion requesting a social study pursuant to A.R.S. § 8-536(A). The motion was never ruled on. It appears that once the parents made it clear that they did not want the minor to return to their home, little was done to avoid severance. Parental rights should be terminated only after concerted efforts have failed to preserve the parent-child relationship. In re Maricopa County Juvenile Action No. JS-6520, 157 Ariz.
238, 756 P.2d 335 (App.1988). “Towards this end DES has an affirmative duty to make all reasonable efforts to preserve the family relationship.” Id. at 241, 756 P.2d at 338. Here, DES all but gave up on the family, concluding that the parents had abandoned the minor. Nor did the court order the parents to attend counseling geared toward reunification. The only counseling ordered pursuant to the stipulation was to ease the blow of rejection and separation. By the time the court accepted the stipulation, even the minor had apparently lost interest in reunification. The fact that the minor was adopted should have made no difference in the severance procedure. Adopted children are entitled to the same rights as natural children.
CHILD SUPPORT
We also agree with the minor that the court should have entered an order for her support. Even if the parents’ rights are terminated, their duty to provide support remains until a final order of adoption is entered. A.R.S. § 8-539. See also A.R.S. §§ 12-2451(A) and 12-2453. The stipulation only required the parents to defray the cost of providing foster care for six months. The parents had notice of the minor’s claim, which was raised in the response to the severance petition. For reasons of judicial expediency and economy, we believe that the child support issue should be determined in the proceeding below, instead of requiring that the child commence a separate action against the parents for support.
DEPENDENCY
Finally, we consider the effect of the court’s order on the dependency. In the initial report to the court, the caseworker concluded that the parents had abandoned the child because they did not want her returned to their home, noting the mother’s adamant refusal to allow the daughter to return and the father’s apparent ambivalence about it. The caseworker recommended that further efforts be made towards reunification. The child was subsequently found dependent.
The parents then filed the severance petition, alleging that because of the child’s disruptive behavior, they were no longer willing to maintain a parent-child relationship with her and that efforts at counseling had proved unsuccessful. The only family counseling noted in the record was for a brief period at the children’s center shortly after she ran away from home. The foster care review board report indicates that the minor continued in counseling after she was placed in a foster home in April and that she has not seen the parents since then. There is no indication of any specific efforts at reunification of the family. The case plan for the child is long-term foster care. The stipulation requires only that the parents make themselves available for separation counseling, an objective that is diametrically opposed to the goals in a dependency proceeding.
It appears that once the parents expressed their desire to sever, no serious efforts were made to reunify the family. The child was permitted to become dependent indefinitely. Indeed, by the time of the hearing, the minor’s counsel reported that tensions were so strong, the child no longer wanted to live with the parents. Once DES obtained an agreement it was satisfied with, it simply gave up on this family’s chance for reunification. The result might have been the same even if the court had rejected the stipulation. However, at the very least, the child should have had the opportunity to present evidence that severance would not be in her best interests. Perhaps, then, more concerted efforts would have been made by all parties to reunify the family and fulfill the primary goal of dependency proceedings. See A.R.S. § 8-515(H). By accepting the stipulation without considering what efforts had or could be made toward reunification or as to the child’s best interests, the juvenile court abdicated its responsibilities to the child.
The court’s formal order and minute entry dated November 30, 1989 are vacated. This matter is remanded for further proceedings consistent with this decision.
LIVERMORE, P.J., and LACAGNINA, J., concur.
. Even if the child remains dependent and is cared for by DES, child support may still be ordered. See A.R.S. § 41 — 1954(B).
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OPINION
GRANT, Chief Judge.
Appellant Tom Dean Stidham (defendant) was charged by indictment with driving under the influence (DUI) while his license was suspended, cancelled, revoked or refused. The jury found him guilty as charged. He received a mitigated sentence of 1.5 years. Defendant timely appealed.
The facts may be summarized as follows, viewed in the light most favorable to sustaining the conviction. State v. Villafuente, 142 Ariz. 323, 327, 690 P.2d 42, 46 (1984), cert. denied, 469 U.S. 1230, 105 S.Ct. 1234* 84 L.Ed.2d 371 (1985). On December 25, 1987, Officer John Allen (Allen) stopped the defendant after he observed the defendant’s poor driving. When Allen asked for identification, defendant produced an Arizona Motor Vehicle Department (MVD) issued identification-only card. Allen smelled a strong odor of alcohol on the defendant, and the defendant admitted he had consumed one drink. The officer arrested defendant. Inside the car, the officer found a jar containing the alcoholic drink commonly known as a “screwdriver”. Defendant refused both the field sobriety and breath analysis tests. Allen was the only witness who testified at trial.
The defendant moved for a directed verdict on three grounds, one of which was that there was no evidence that defendant’s license was revoked as of December 25, 1987. The court found that there was sufficient evidence of revocation and submitted the charge to the jury. ■
Defendant also objected to a proposed instruction on revocation on the grounds that it was a comment on the evidence and that it shifted the burden of proof to the defendant. The court overruled the objection to the instruction. In closing arguments, both counsel discussed whether there was sufficient evidence of revocation at the time of the offense.
Defendant’s first argument on appeal is that the court should have granted the motion for acquittal because there was in-sufficent evidence that his license was revoked on December 25, 1987. Defendant does not contest that he was driving a motor vehicle while under the influence on that date. The state argues that the jury could infer from the evidence that the defendant’s license was revoked on the relevant date. We agree with the state’s position.
As noted previously, we must view all the facts in the light most favorable to sustaining the conviction. Exhibit 1, a record of defendant’s moving violations as of January 5, 1988, shows a revocation as of June 26, 1985. There is no indication on the document that the license had been reissued. Page 2 of Exhibit 1, a form signed by defendant, states, in relevant part, that:
In accordance with Section 28-445A6, Arizona Revised Statutes, my right to drive in Arizona is revoked for a minimum period of 1 year. From 6-26-85 to 6-26-86.
The third page of Exhibit 1 is an application, dated July 27, 1986, by defendant, requesting an investigation to determine his eligibility to regain his license. Lastly, when stopped the defendant produced an MVD identification-only card, not a driver’s license.
Obviously, the license revocation did not automatically terminate as of June 26, 1986. The issue then is how the state may prove that the revocation remained in effect until the date of the offense. It is a principle of evidence law that the existence of a particular fact before or after the act in question may be shown to indicate the existence of that same condition at the time of the act. E.g., Day v. Frazier, 51 Ariz. 474, 78 P.2d 140 (1938); State v. Miranda, 3 Ariz.App. 550, 416 P.2d 444 (1966); City of Phoenix v. Boggs, 1 Ariz.App. 370, 403 P.2d 305 (1965). As discussed hereafter, a revocation is of indefinite duration. We believe that the jury could reasonably infer, on the basis of the evidence produced, that the revocation remained in effect as of the date of the offense.
We find that the trial court properly denied defendant’s motion for a directed verdict on the issue of revocation. There was sufficient evidence for the jury to decide the point.
Defendant’s next argument is that the court improperly gave an instruction regarding revocation. His argument has three sub-parts. Defendant complains that the instruction misstates the law because reapplication alone ends the revocation pursuant to A.R.S. § 28-692.02(A)(3), and that, even if § 28-692.02(A)(3) does not apply to this case, it is illogical not to extend the effect of reapplication to subsection (A)(1). Lastly, he argues that the instruction shifted the burden of proof to the defendant, contrary to the holdings of Sandstrom v. Montana, 442 U.S. 510, 99 S.Ct. 2450, 61 L.Ed.2d 39 (1979), and State v. Mincey, 130 Ariz. 389, 636 P.2d 637 (1981), cert. denied, 455 U.S. 1003, 102 S.Ct. 1638, 71 L.Ed.2d 871 (1982). The allegedly erroneous instruction was as follows:
After a driver’s license is revoked by the State it remains revoked until the licensee makes application for a new license, and a new license has been issued.
We reject defendant’s arguments.
First, the charge here was clearly under subsection (A)(1), so the now deleted reapplication language of subsection (A)(3) is not applicable. Subsection (A)(3) requires proof of a second violation. There was no proof whatever given to the jury of a second violation. The prosecutor argued only that the DUI was committed while the license was revoked.
As stated in State v. Gin, 158 Ariz. 202, 761 P.2d 1106 (App.1988), under § 28-692.02(A)(l), it is the suspension (revocation) which is the substantive element of the offense. Id. at 204, 761 P.2d at 1108. The reason for the suspension is irrelevant under subsection (A)(1). See also O'Hara v. Superior Court, 138 Ariz. 247, 674 P.2d 310 (1983).
Secondly, reapplication is not a defense to a charge under § 28-692.02(A)(l). The fact that the legislature included language regarding reapplication in subsection (A)(3), but not in subsection (A)(1) shows that it knew the importance of the term and consciously omitted it in subsection (A)(1). If the former language of subsection (A)(3) regarding reapplication created an absurdity, as defendant suggests, that absurdity was corrected by the deletion of the language from the statute. The Arizona Supreme Court discussed the relationship of the three subsections of § 28-692.02 in O’Hara. It is not this court’s job to offer literary critiques of the legislature’s efforts. State v. Bly, 127 Ariz. 370, 373, 621 P.2d 279, 232 (1980).
Finally, the instruction does not unconstitutionally shift the burden of proof to the defendant. The due process clause places the burden on the prosecution to prove every element of the crime beyond a reasonable doubt. In re Winship, 397 U.S. 358, 90 S.Ct. 1068, 25 L.Ed.2d 368 (1970). One element of the crime here is that the defendant drove under the influence while his license was revoked.
The instruction given here is a correct statement of the law as set forth in A.R.S. § 28-448(B). While § 28-448(B) is less than clear, we believe it says that a license remains revoked until renewed or restored. This conclusion is in accord with the language in Exhibit 1, page 2, that defendant’s revocation was to last “for a minimum period of 1 year.” Also, we note that A.R.S. § 28-454 states that the department shall not terminate a suspension or revocation until the person provides proof of financial responsibility. The instruction does not shift the burden of proving reissuance to the defendant. Assuming, arguendo, it did, because the duration of a license revocation is indefinite, we do not think it unfair to require defendant to bear the burden of proving that the revocation has ended by restoration of his license. If reappli-eation, for instance, is a defense, it is not the state’s burden to show that the defendant has not reapplied. The state’s only burden is to establish the substantive elements of the charged crime. Patterson v. New York, 432 U.S. 197, 97 S.Ct. 2319, 53 L.Ed.2d 281 (1977); State v. Fletcher, 149 Ariz. 187, 192, 717 P.2d 866, 871 (1986). Here the state established that defendant’s license had been revoked.
We believe it was necessary to give the instruction so that the jury would know, as a matter of law, that the revocation did not just last for one year. The instruction left it open for the jury to find whether the license had been reissued as of December 25, 1987. It remained for the state to
prove that the license had not been reissued. If the court had instructed the jury to the effect that: “You are to presume from the fact that the defendant’s license was revoked on June 26, 1985, that it had not been reissued as of December 25, 1987,” that would have been an improper burden-shifting instruction. See, e.g., State v. Jensen, 153 Ariz. 171, 176, 735 P.2d 781, 786 (1987); Mincey, 130 Ariz. at 396-98, 636 P.2d at 644-47. Pursuant to A.R.S. § 13-4035, we have reviewed the record for fundamental error and we have found none. For the above reasons, the conviction and sentence are affirmed.
JACOBSON, P.J., and LANKFORD, J., concur.
. Section 28-448(B) provides:
A person whose license or privilege to drive a motor vehicle on the public highways has been revoked shall not be entitled to have the license or privilege renewed or restored unless the revocation was for a cause which has been removed, except that after the expiration of one year from the date on which the revoked license was surrendered to and received by the department the person may make application for a new license as provided by law, but the department shall not then issue a new license unless and until it is satisfied after investigation of the character, habits and driving ability of the person that it will be safe to grant the privilege of driving a motor vehicle on the public highways.
|
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OPINION
LACAGNINA, Judge.
This appeal is taken from the order of the juvenile court transferring the minor to superior court for prosecution as an adult. The minor argues that the juvenile court erred in allowing the juvenile probation officer to testify and in admitting the officer’s transfer investigation report. He further requests this court to review the entire record for fundamental error, pursuant to Anders v. California, 386 U.S. 738, 87 S.Ct. 1396,18 L.Ed.2d 493 (1967), and Maricopa County Juvenile Action No. JV117258, 163 Ariz. 484, 788 P.2d 1235 (App. 1989).
The minor had a prior history of delinquency adjudications, had previously been placed on intensive probation and was committed to the Department of Corrections on May 20, 1989. He was paroled on October 11, 1989. The transfer petition, filed February 5, 1990, was accompanied by an amended delinquency petition alleging 86 delinquent acts, including burglaries, thefts and criminal damage. Four were alleged to have been committed prior to the minor’s incarceration. The remainder occurred between October 18, 1989, and January 3, 1990.
At the combined probable cause/transfer hearing, in addition to testimony concerning the alleged offenses, the juvenile court heard testimony from the minor’s probation officer, Natalio Sabal, and admitted into evidence his report prepared pursuant to Ariz.R.PJuv.Ct. 12(b), 17B A.R.S. The minor objected both to the testimony and to the admission of the report on foundational grounds, because Sabal had done no investigation in preparation of the report other than to review the minor’s file and discuss the matter with the minor’s prior probation officers. Sabal testified that he had served as the minor’s probation officer over a year earlier and had been reassigned to him to prepare the transfer investigation report. In the course of preparing the report, he spoke to neither the minor nor his mother, nor any of the minor’s counselors or other Department of Corrections personnel. The juvenile court overruled the minor’s objections, concluding that counsel could bring out the deficiencies in the report on cross-examination. The court also heard testimony on behalf of the minor from two of his counselors at the Department of Corrections, neither of whom could testify that the minor could be successfully rehabilitated within the six months remaining before his eighteenth birthday.
At the conclusion of the hearing, the juvenile court found tha.t the state had shown probable cause as to all but seven of the allegations. The court further ordered that the minor be transferred, based on the following findings:
(1) This Court FINDS that the allegations to which this Court has found there to be probable cause are serious in nature and were committed in a premeditated and willful manner by the Juvenile.
(2) The alleged offenses are in the nature of crimes against the property of the citizens of the County of Cochise, State of Arizona.
(3) The Juvenile has demonstrated that his conduct is in conformity with a pattern of crime which is sophisticated and establishes a level of maturity in that the Juvenile did willingly and voluntarily associate with adults in the commission of these crimes, and did engage in such conduct and commission of crimes immediately following
release on parole from the Department Of Corrections and after having progressed with the Department Of Corrections treatment plan prior to that date of release on October 11, 1989.
(4) This Court has considered the Juvenile’s age, intelligence, education, environment, emotional attitude, and' pattern of living, and FINDS that each of those are consistent with the Court’s Adjudication and Order concerning the trans[f]er of this matter to Superior Court, Adult Division.
(5) The Court FINDS that the Juvenile is not committable to an institute for the mentally deficient, me[n]tally defective or mentally ill persons, and that he does know right from wrong.
(6) The Court has considered and has reviewed and does take Judicial Notice of the official Court files of the record, and the previous history of the Juvenile, including contacts with this Court and the various law enforcement agencies during his prior period of Probation and Juvenile Intensive Probation, his commitment to the Department Of Corrections, his parole from the Department Of Corrections, as well as his current and testified-to treatment plan with the Department Of Corrections.
(7) The Court does not Find that the Juvenile has previously been transferred for trial as an adult from the Juvenile system prior to the entry of this Order.
(8) The Court specifically considering the testimony of witnesses for the Juvenile, Messrs. Vhishm Naraine and Stanley Miller, does FIND that the Juvenile has made simply minimal and adequate progress pursuant to a treatment plan, of which each of the witnesses could not state that the Juvenile could successfully complete prior to his eighteenth birthday.
IT IS THE FURTHER FINDING OF THE COURT that the Juvenile has had made available to him the use of all services and facilities currently available to this Juvenile Court, and that the Juvenile was paroled from the Department Of Corrections and immediately engaged in criminal conduct which as stated by Mr. Naraine indicates that, if proven, the Juvenile represents a “menace to society”.
IT IS THE FURTHER FINDING OF THE COURT that the safety and interest of the Public, in light of the allegations contained in the subject Amended Petition to which this Court has found there to be probable cause, is in great jeopardy if in fact the Juvenile has committed said acts.
IT IS THE FURTHER FINDING OF THE COURT specifically that the Juvenile is not amendable [sic] to treatment or rehabilitation as a delinquent person through the available facilities and, further, that it is in the best interest of the Public and it is for the protection of the citizens of the County of Cochise that this Juvenile should be REMANDED based on the record presented to the Court.
We reject the minor’s contention that the probation officer’s opinion testimony was inadmissible because he lacked personal knowledge of the facts. Sabal had previously served as the minor’s probation officer and was familiar with his juvenile record. That he may have failed to conduct an adequate investigation prior to preparing his report is a matter which goes to the weight of his testimony, not its admissibility. The minor had the opportunity to, and did, bring out the deficiencies in the investigation on cross-examination.
We also find no error in the admission of the report itself. We agree with the opinion of Division One of this court in Romley v. Superior Court, 163 Ariz. 278, 787 P.2d 1074 (App.1989), that the report is prepared pursuant to Rule 12(b) for the court’s consideration in determining whether transfer is appropriate and need not be introduced into evidence by either party. See also Maricopa County, Juvenile Action No. J-94-518, 138 Ariz. 287, 674 P.2d 841 (1983). Again, the minor has ample opportunity to bring any errors or deficiencies in the report to the court’s attention by examination of the probation officer or other witnesses.
The minor has also requested that we review the entire record for fundamental error. Overruling its prior decisions, Division One has held that equal protection requires that Ariz.R.P.Juv.Ct. 25(b) be construed to permit Anders appeals in juvenile cases and that in such cases the court will review the entire record for fundamental error. Maricopa County Juvenile Action No. JV-117258, supra. Although that case involved an appeal from a delinquency adjudication, we believe that the rationale applies with equal force to appeals from transfer orders. Such orders are appeal-able, Maricopa County, Juvenile Action No. J-73355, 110 Ariz. 207, 516 P.2d 580 (1973), and we do not believe that the issue of the propriety of a transfer order is properly the subject of an appeal from a conviction in superior court. But see State v. Alaffa, 126 Ariz. 573, 617 P.2d 525 (1980); State v. Taylor, 112 Ariz. 68, 537 P.2d 938 (1975), cert. denied, 424 U.S. 921, 96 S.Ct. 1127, 47 L.Ed.2d 328 (1976). In any event, given the limited duration of the juvenile court’s jurisdiction, the opportunity for effective appellate review must be provided as soon as possible after the issuance of the order.
Although not raised by the parties and not addressed by Division One in JV-117258, supra, we have considered whether application of Anders to juvenile appeals also requires that the minor be furnished with a copy of counsel’s brief and the opportunity to file a supplemental brief. An-ders, 386 U.S. at 744, 87 S.Ct. at 1400, 18 L.Ed.2d at 498. While we agree with Division One that no rational basis exists for appellate courts to decline to examine the entire record for fundamental error in juvenile cases where appellate counsel finds no merit to the appeal, we do not believe that equal protection requires full application of the procedures required by Anders in criminal appeals. The purpose of permitting an adult defendant to file a supplemental brief is to permit him “to raise any points he chooses” in furtherance of his appeal. Id. This presupposes a level of maturity and sophistication which a juvenile presumptively lacks. Moreover, the resulting delay in the appellate process undermines the goal of expeditious review of juvenile cases in light of the juvenile court’s limited jurisdiction over the minor. These considerations lead us to conclude that a rational basis exists for limiting the application of Anders in juvenile appeals to the requirement that appellate courts conduct an independent review of the record for fundamental error.
In the present case, our review reveals no basis for reversal of the transfer order. As noted above, the juvenile has had a lengthy history of prior involvement with the juvenile system, and numerous attempts have been made to rehabilitate him within that system. He has nevertheless persistently engaged in serious criminal conduct, together with another juvenile and two adults. The most telling evidence is the fact that the latest spree of offenses commenced less than two weeks after his parole from the Department of Corrections. During that incarceration, his progress in therapy was described as minimally adequate, and neither his counselors nor any other witnesses were able to opine that he could be successfully rehabilitated within the six months remaining of juvenile court jurisdiction. The record fully supports the juvenile court’s findings as to probable cause and its order transferring the minor to superior court for prosecution as an adult.
Affirmed.
FERNANDEZ, C.J., and LIVERMORE, P.J., concur.
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OPINION
KLEINSCHMIDT, Judge.
We accept jurisdiction in this special action to settle whether the trial court improperly dismissed one of the plaintiff’s claims as a sanction for abusing discovery. We hold that the trial court erred, and we vacate its order of dismissal without prejudice to reconsider appropriate sanctions upon a proper consideration of fact and proper application of law.
This case presented the trial judge with a frustrating dilemma that is typical of dis- eovery difficulties. While the plaintiffs counsel has conceded that he was dilatory in some respects, many of the defendant’s accusations about the misconduct of the plaintiff and plaintiff’s counsel are conclu-sory, disputed, and at the very least relate to behavior that is subject to more than one interpretation. Both sides presented all this to the judge in the form of assertion and argument, and it would have been very difficult for any judge to have made an informed decision on the matter. It is not surprising that matters went awry. What happened follows.
Phillip Nesmith sued to recover for injuries allegedly received as the result of having swallowed a piece of glass while dining at Chives, a Phoenix restaurant. One of Nesmith’s claims, his major claim in fact, is for lost earning capacity.
As the litigation in this case ground on, counsel for the parties became involved in a number of discovery problems. One of the more serious of these involved voluminous business records, the originals of which the plaintiff had made available to the defendant for inspection and copying at the office of plaintiff’s counsel. The plaintiff personally, after consultation with his attorneys, refused to turn over custody of the original documents to counsel for the defendant.
After hearing argument on the defendant’s Motion to Compel and Request for Sanctions, the trial court entered the following order:
THE COURT FINDS that Mr. Marbur-ger’s [counsel for plaintiff] tactics with regard to these issues are obstructionist. The Court feels that there is absolutely no reason to refuse to turn over to another lawyer original documents.
THE COURT FURTHER FINDS that the failure to timely respond to the request for production originally and since then has led to a great deal of difficulty on the part of the Defendant to defend the issues of lost earning capacity.
IT IS THEREFORE ORDERED that the claim of the Plaintiff for loss of earning capacity is stricken from this case.
The plaintiffs [sic] lawyers are Ordered to pay to the Defendants [sic] lawyers, and not the plaintiff but Plaintiffs [sic] lawyers, the sum of $750.00 pursuant to Rule 37, within 30 days from the date of this Order.
We believe the trial judge erred in four respects. First, Rule 34 of the Arizona Rules of Civil Procedure, 16 A.R.S., provides for the inspection and copying of discoverable documents. It does not say that original documents have to be turned over to opposing counsel. While there might be some reason to turn over original documents in some cases, and the court probably has the power to enter such an order, certainly that is not the norm. Nor, given considerations of both convenience and concerns about the safety and integrity of original documents, should it be. We do not foreclose the possibility that upon remand, and upon further development and consideration of the facts and considerations which bear upon the question, the trial court may, acting within its sound discretion, order the plaintiff to turn over the original business records to the defendant. We do not encourage this practice, and we think it incumbent on the party seeking custody of the originals to make a strong showing of need. The most cogent point is, however, that the plaintiff was not required by the rule to turn over the original records and did not violate a court order to do so. No sanction can rest on this foundation.
The second reason we believe the trial judge erred is that he imposed the ultimate sanction of dismissal without expressly finding that the plaintiff personally, as opposed to the plaintiff’s attorney, obstructed discovery. Dismissal is warranted only when the plaintiff personally shares complicity in the abusive behavior. Treadaway v. Meador, 103 Ariz. 83, 436 P.2d 902 (1968); Robinson v. Higuera, 157 Ariz. 622, 623, 760 P.2d 622, 623 (App. 1988). The defendant, in argument before the trial judge and in its response filed in this court, suggests that the facts support the conclusion that Nesmith personally impeded the discovery. The judge certainly made no such finding. Indeed, the judge seems to have settled on the one thing that Nesmith admitted to, a refusal to turn over original documents, as a particularly egregious abuse. As we noted above, this is no abuse at all.
Third, we can not tell from this record whether the judge thoroughly considered other, less severe, sanctions before resorting to the most extreme. In fact, it appears as if he did not. Dismissal as a sanction is to be exercised with great caution. There are constitutional limitations on the power of the courts to dismiss an action, even in aid of their own valid processes. Societe Internationale, etc. v. Rogers, 357 U.S. 197, 209, 78 S.Ct. 1087, 1094, 2 L.Ed.2d 1255, 1264-65 (1958); AG Rancho Equipment v. Massey-Ferguson, Inc., 123 Ariz. 122, 598 P.2d 100 (1979); Birds Int’l Corp. v. Arizona Maintenance Co., 135 Ariz. 545, 662 P.2d 1052 (App. 1983). Our supreme court in AG Rancho Equipment quoted with approval from Edgar v. Slaughter, 548 F.2d 770, 772 (8th Cir.1977):
Prior to dismissal or entering a default judgment, fundamental fairness should require a district court to enter an order to show cause and hold a hearing, if deemed necessary, to determine whether assessment of costs and attorney fees or even an attorney’s citation for contempt would be a more just and effective sanction.
AG Rancho Equipment, 123 Ariz. at 124, 598 P.2d at 102.
From all we can tell from the transcript, no consideration was given to alternative sanctions. As we have already observed, the accusations and defenses were confusing and rested on assertions. Without express findings, and in the face of what we believe to be the trial judge’s misapprehension of the law, we are unwilling to indulge the presumption that the ruling is supported by the evidence.
The fourth reason we believe the trial judge erred is that there is no clear evidence, and no clear finding, that the plaintiff or his counsel engaged in any conduct that would bring the rules that authorize dismissal into play. Rule 37(b)(2), Arizona Rules of Civil Procedure, 16 A.R.S., permits striking a claim when a “party fails to obey an order to provide or permit discovery.” Since no orders as to discovery were ever entered in this case, that rule simply does not come into play. Rule 37(d), Arizona Rules of Civil Procedure, 16 A.R.S., permits a court to make such orders as are just, including striking a claim, for a failure to serve written responses or objections to interrogatories or requests for production. Although the record is very confusing on this point, the only conduct of the plaintiff that could bring this rule into play was a tardy response to discovery requests. The plaintiff insists that it had, with the exception of relinquishing custody of its original records and providing access to certain sensitive files, the relevance of which remains in hot dispute, cured any failure to make discovery before the defendant filed its motion to compel. Assuming that Rule 37(d) can be invoked retroactively, and we doubt that it can, it is not clear on this record that is what the trial judge intended to do.
For the reasons stated above, we vacate the order of the trial court dismissing the plaintiff’s claim. We also vacate the order imposing a monetary sanction on plaintiff’s counsel because it is impossible to tell whether that sanction rested in part upon conduct of the attorneys which the judge mistakenly believed improper. Upon remand, should the defendant pursue the matter, the court may reconsider the issue of sanctions. We do not condone the way the plaintiff handled discovery in this case. The record, as it now stands, however, is hardly sufficient to support any reasoned conclusion about the defendant’s most serious allegations of discovery abuse, and whether the plaintiff himself was guilty of any misconduct. See Birds Int’l. Corp., 135 Ariz. at 547, 662 P.2d at 1054.
We do not wish, by this opinion, to discourage trial judges from employing sanctions to deter discovery abuse. To the contrary, as we interpret Rule 37, fee shifting should be the rule, not the exception, when the court must intervene to resolve a discovery contest.
' It is ordered accepting jurisdiction and granting the relief requested without prejudice to the trial court’s reconsideration of appropriate sanctions.
CLABORNE, P.J., and EHRLICH, J., concur.
|
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OPINION
HATHAWAY, Judge.
This appeal is brought by the father of a minor child from a modified custody decree.
The parties were divorced in Tucson, Arizona, in November 1976, with custody of their fifteen-month-old daughter being awarded to the father. Shortly after the divorce, father and daughter moved to New Jersey to live with his parents. There was no provision in the original decree of dissolution for visitation by the mother who continued to reside in Arizona. In June 1977, the original decree was modified to permit the minor child to visit her mother for two weeks each summer.
In May 1978, the mother filed suit in the New Jersey Superior Court alleging, in some detail, failings on the part of the father which allegedly rendered him unfit to retain custody. She requested custody of the child, or, in the alternative, increased visitation rights. The court ordered the probation department to investigate both parties to determine the custody and increased visitation requests. After receiving the probation department report which included psychologists’ reports, the New Jersey court ordered the petition for custody and increased visitation dismissed. New Jersey has adopted the Uniform Child Custody Jurisdiction Act.
In 1979 and 1980, the mother exercised her two week visitation right. In 1981, she picked up her daughter in New Jersey on July 31 and returned with her to Tucson. At the end of the two-week period she kept her daughter in Arizona, consulted an attorney and commenced proceedings in Arizona for change of custody. After five days of hearings in November and December 1981, the court awarded custody to the mother.
In child custody cases an initial determination must be made as to whether an Arizona court has jurisdiction to hear the matter. Sholty v. Carruth, 126 Ariz. 458, 616 P.2d 918 (App.1980). If jurisdiction is found to exist, then a determination must be made as to whether that jurisdiction should be exercised. Here the trial judge decided, on the basis of evidence, that Arizona had jurisdiction under A.R.S. § 8-403 A.3, which states:
“A. The superior court of the state of Arizona is vested with jurisdiction to make a child custody determination by initial or modification decree if any of the following apply:
* * * * * *
3. The child is physically present in this state and the child has been abandoned or it is necessary in an emergency to protect the child because he has been subjected to or threatened with mistreatment or abuse or is otherwise neglected or dependent.”
The court heard conflicting testimony from psychologists concerning the mental and emotional state of the child. The mother’s expert testified that the child was “on an emotional precipice.” According to him, “any more stress was going to destroy her emotionally and intellectually.” He found her to be very distressed, anxious and almost retarded. He opined that the child’s environment in New Jersey was the cause of the problem. He found that the father was “doing nothing to solve this youngster’s plethora of serious problems.” The father’s expert testified that while the child might be described as anxious, socially inhibited and withdrawn, he saw no signs of imminent psychological disaster. He stated that it would not be damaging to the child to be returned to her father. There was additional self-serving testimony by both parties.
The trial court weighed the evidence before it and determined that an emergency existed thereby vesting it with jurisdiction under A.R.S. § 8-403 A.3. When there is a conflict in the evidence, the appellate court will not overturn the trial court’s decision unless it is clearly erroneous. O’Hern v. Bowling, 109 Ariz. 90, 505 P.2d 550 (1973). If there is any evidence to support the judgment of the trier of fact, it will not be disturbed on appeal. Sandblom v. Corbin, 125 Ariz. 178, 608 P.2d 317 (App.1980). We must view the evidence in a light most favorable to support the judgment of the trial court. State v. Veatch, 132 Ariz. 394, 646 P.2d 279 (1982). We therefore affirm the trial court’s finding that an emergency existed and that the court had jurisdiction under A.R.S. § 8-403 A.3.
We now must turn to the more difficult question of whether, having found that it had jurisdiction, the trial court should have exercised that jurisdiction in the manner that it did. We find no Arizona cases dealing with A.R.S. § 8-403 A.3, and the exercise of jurisdiction thereunder.
Looking to decisions from other jurisdictions, we find support for what we believe to be the proper resolution of actions based on A.R.S. § 8 — 403 A.3. We believe the trial court should have awarded temporary custody to the mother and directed her to proceed in the courts of New Jersey in her attempt to gain permanent custody of her daughter.
In a case cited to us by appellee, Vorpahl v. Lee, 99 Wis.2d 7, 298 N.W.2d 222 (1980), a fact situation almost exactly as we have here was present. [Wisconsin had adopted the Uniform Child Custody Jurisdiction Act]. There, the custodial father and the children resided in Washington. The mother lived in Wisconsin. She went to Washington to visit the children, abducted them, returned to Wisconsin and filed an action to have custody changed from the father to herself. Her contention was that the children had been mistreated by the father.
The trial court found jurisdiction under the Wisconsin counterpart of A.R.S. § 8— 403 A.3 and granted custody to the mother. On appeal, the jurisdiction question was affirmed, however, the court stated:
“We conclude the trial court correctly exercised emergency jurisdiction but erred in failing to stay its action in order to allow a custody action to be commenced in the State of Washington, which is a more convenient forum.” 298 N.W.2d at 224.
The reviewing court held that the trial court erred in its consideration of the factors contained in the parallel statute to A.R.S. § 8 — 407 C, dealing with an inconvenient forum. It found this error to be a mistake in law and an abuse of discretion.
Here the trial court made the following conclusion of law:
“... [T]here is available in this state substantial evidence concerning the child’s present or future care, protection, training, and personal relationships.”
We believe this to be unsupported by the evidence and error. At the time the motion to change custody was filed, New Jersey was the home state of the child. She was in Arizona at that time only as a result of the mother’s improper act of retaining her. New Jersey had a close connection with the child and her family, i.e., the father and his parents. The child had lived in New Jersey for five years and more evidence of her present, past and future care was and is available there as is information concerning her relationship to the community and her education. The father’s fitness to retain custody and the child’s environment were in question before the trial court and these issues clearly could have been better explored by the courts of New Jersey. It is true that the mother’s suitability to be the custodial parent is an important consideration, evidence of which is more easily obtained in Arizona. However, the bulk of the evidence regarding the best interests of the child was more readily available in New Jersey. The final factor in A.R.S. § 8-407 C to be considered is whether the exercise of jurisdiction by Arizona would contravene any of the purposes stated in § 8-401. One of the purposes of the Uniform Act is to deter unilateral removal of a child to another state to obtain custody awards. That is exactly what occurred here.
Other courts that have addressed this issue have reached similar conclusions. In Ferreira v. Ferreira, 3 Cal.3d 824, 512 P.2d 304, 109 Cal.Rptr. 80 (1973), the court, in discussing the very problem presented here, stated:
“We have neither been able to find a perfect answer to the dilemma nor to invent a solution of our own. We can do no better than submit a realistic resolution: the court of the forum should ordinarily refuse to reopen the question of the custody of a child whose custody is vested under an existing decree in a nonresident parent. If faced with charges supported by competent proof, as distinguished from conclusory assertions by the party seeking modification of an existing decree, that the return of the child to the nonresident parent will jeopardize or seriously endanger the child’s health or safety, however, the court should inquire into these charges and make whatever temporary custody order it finds necessary to protect the child. But even in cases in which the court grants temporary custody to the resident parent, it should not ordinarily resolve the merits of the controversy as to permanent custody; it may, on motion of the nonresident or on its own motion, stay those proceedings to await the determination of that matter by the court of the nonresident parent’s domicile.” 3 Cal.3d at 829, 109 Cal.Rptr. 80, 512 P.2d 304.
See also, Schlumpf v. Superior Court of County of Trinity, 79 Cal.App.3d 892, 145 Cal.Rptr. 190 (1978). A similar result was reached in Colorado in Brock v. District Court of County of Boulder, Colo., 620 P.2d 11 (1980). Finally, we note that in Priscilla S. v. Albert B., 102 Misc.2d 650, 424 N.Y.S.2d 613 (1980), cited by appellee in her argument against the convenient forum doctrine, the New York court assumed jurisdiction and stayed the proceedings on the grounds that Vermont, the home state of the child and the adoptive father, was a more convenient forum in which to litigate the custody dispute. New York exercised its jurisdiction only when it became apparent that Vermont could not resolve the issue because the petitioner, as a second cousin to the child, had no standing to petition Vermont’s courts for custody.
Here the courts of New Jersey are available to the mother. Any concern which the mother may have about providing evidence to the New Jersey court regarding Arizona proceedings should be allayed by A.R.S. §§ 8-421 and 422 which provide for interstate cooperation in child custody matters.
The order awarding permanent custody of the child to the mother is vacated. The trial court is directed to award her temporary custody and stay further proceedings upon condition that a custody proceeding be commenced in New Jersey within a period to be set by the court. In all other respects, the judgment of the court is affirmed.
HOWARD, C.J., and BIRDSALL, J., concur.
|
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OPINION
BIRDS ALL, Judge.
This appeal involves a default judgment entered against the appellants Denton in a deed of trust foreclosure action instituted by the appellees Darnell. The appellants appeal from the denial of their motion to modify the default judgment and their motion to quash writs of garnishment. We reverse.
The appellants purchased some residential property from the appellees consisting of less than one acre and two mobile homes which were not readily movable. They executed a purchase money promissory note in favor of the appellees secured by a deed of trust on the property. The mobile homes were subsequently sold by the appellants after they had sustained extensive damage from vandalism. After the appellants’ default in making installment payments, the appellees filed a complaint seeking foreclosure under the deed of trust. The complaint prayed for “[jjudgment against the Defendants DENTON in the amount of $15,995.38”, interest at a specified rate, attorney’s fees in an amount equal to 20% of the amount due, costs, foreclosure sale, “and that out of the proceeds of said sale, Plaintiffs be paid the amounts due”, and “[for] such other and further relief as may be just, equitable and proper in the premises.” Nowhere did the appellees specifically request a deficiency judgment.
Under advice from an attorney that no deficiency judgment could be obtained un der the complaint as worded, the appellants allowed a default judgment to be taken. The trial court, in that judgment, entered February 17, 1982, stated in pertinent part that:
“Plaintiffs have judgment against the Defendants ... for any deficiencies that might remain after applying all of the proceeds of said sale property ...”
■The property sold for less than the amount of judgment, leaving a deficiency of over $6,000, and the appellees garnished the appellants’ wages and bank account. On June 1, 1982, the appellants moved to modify the judgment by deleting the provision for deficiencies and to quash the writs of garnishment. The trial court denied these motions.
The appellants argue on appeal that under Rule 54(d), Rules of Civil Procedure, 16 A.R.S., a default judgment may not differ in kind or exceed in amount the demand for judgment contained in the complaint. See Southern Arizona School for Boys, Inc. v. Chery, 119 Ariz. 277, 580 P.2d 738 (App.1978). Such a judgment would be null and void at least to the extent that it exceeded the demand.
The appellants contend that since Rule 60(c)(4), Rules of Civil Procedure, 16 A.R.S. allows a court to relieve a party from a void judgment, they are entitled to such relief. We agree. Further, the appellants do not need to show all of the elements necessary for relief under Rule 60(c); (1) that they acted promptly in seeking relief from the default judgment, (2) that their failure to file a timely answer was excusable under one of the six subdivisions of Rule 60(c), and (3) that they had a meritorious defense. Dehoney v. Hernandez, 122 Ariz. 367, 595 P.2d 159 (1979). A void judgment may be set aside without such a showing. Gila Valley Electric, Gas & Water Co. v. Arizona Trust & Savings Bank, 25 Ariz. 177, 215 P. 159 (1923); Price v. Sunmaster, 27 Ariz.App. 771, 558 P.2d 966 (1976); Walls v. Stewart Bldg. & Roofing Supply, Inc., 23 Ariz.App. 123, 531 P.2d 168 (1975).
The default judgment entered exceeded the relief requested in the prayer of the complaint. Although the complaint prayed for judgment in an amount which was readily ascertainable, it did not pray for a deficiency judgment in the event the proceeds of the foreclosure sale were insufficient to pay that amount. The judgment was clearly void insofar as it contained the provision for deficiencies. Oaks v. Grocers Wholesale, Inc., 377 P.2d 1001 (Alaska 1963).
The purpose of Rule 54(d) is to assure the defendant who consciously allows a default judgment to be taken against him that he may rest secure in the knowledge that the judgment will not exceed the relief requested in the complaint. Rippe v. Doran, 4 Wash.App. 952, 486 P.2d 107 (1971); 10 C. Wright & A. Miller, Federal Practice & Procedure § 2663. This guarantees the defendant due process. Rippe, supra.
A mortgagee has two basic methods of collecting his debt: he may sue and get a judgment at law upon the personal obligation and enforce it by levy upon any property of the debtor (in personam remedy) or he may foreclose upon the property (in rem remedy). Osborne, Mortgages § 333. In Arizona, separate actions on the debt and to foreclose cannot be maintained simultaneously. A.R.S. § 33-722; and see Smith v. Mangels, 73 Ariz. 203, 240 P.2d 168 (1952).
A.R.S. § 33-725 authorizes the court to include in the decree of foreclosure a provi sion ordering the payment of the deficiency if any should arise after the foreclosure sale. The purpose of this statute is to grant relief by way of foreclosure and a personal judgment in one suit, thereby eliminating multiplicity of suits. 59 C.J.S. Mortgages § 777. It authorizes the court in an equitable proceeding, i.e., foreclosure, to administer full equitable and legal relief. 55 Am. Jur.2d Mortgages § 909.
The chief purposes of a judgment of foreclosure are to (1) determine that there is a default and the right of the mortgagee to realize upon the security; (2) to establish the sum to which he is entitled out of the amount realized from the sale of the security; (3) to order the sale of the mortgaged premises; and (4) to conclude all parties to the record. 55 Am.Jur.2d Mortgages § 618. Thus the provision in A.R.S. § 33-725(A) that the court give judgment for the amount determined to be due merely satisfies the first two purposes. It is not a personal judgment for debt, as the appellee argues. The only part of a foreclosure decree which may be an in personam judgment is a provision for a deficiency judgment which provides a remedy against the debtor for the residuum of the debt remaining unsatisfied from the proceeds of the sale of the mortgaged property. 55 Am. Jur.2d Mortgages § 905.
The appellees argue that they were entitled to a deficiency judgment under their note and deed of trust and pursuant to A.R.S. § 33-727(A). No doubt they were so entitled if they had prayed for that kind of relief but they did not. They cannot secure default judgment for the deficiency unless they ask for it. Oaks, supra; Rule 54(d).
In view of our disposition of this issue, we need not consider the appellants’ argument that a deficiency judgment was prohibited under the facts of this case by A.R.S. § 33-729(A).
We set aside that part of the judgment providing for deficiencies and quash the writs of garnishment issued in the trial court. The appellants having sought attorney’s fees both on appeal and for services rendered in the trial court are directed to include these fees in their costs bill. Rule 21(c), Rules of Civil Appellate Procedure, 17A A.R.S.
HOWARD, C.J., and HATHAWAY, J., concur.
. Rule 54(d) states: “Demand for judgment. A judgment by default shall not be different in kind from or exceed in amount that prayed for in the demand for judgment. Except as to a party against whom a judgment is entered by default, every final judgment shall grant the relief to which the party in whose favor it is rendered is entitled, even if the party has not demanded such relief in his pleadings.”
. Rule 60(c), in pertinent part, states: “On motion and upon such terms as are just the court may relieve a party or his legal representative from a final judgment, order or proceeding for the following reasons: ... (4) the judgment is void: .... ”
. “Except as provided in §§ 33-729 and 33-730, if the mortgaged property does not sell for an amount sufficient to satisfy the judgment, an execution may be issued for the balance against the mortgagor where there has been personal service, or the defendant has appeared in the action.”
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OPINION
BROOKS, Judge.
Appellant (defendant) was charged by information with sexual assault in violation of A.R.S. § 13-1406 with a prior felony conviction. Following a jury verdict of guilty of the lesser included offense of attempted sexual assault, defendant admitted the prior felony conviction and was thereafter sentenced to seven and one-half years imprisonment.
The dispositive issue in this appeal is whether the trial court erred by refusing to instruct the jury on the lesser offense of sexual abuse. While defendant raises a number of other issues, essentially dealing with communications between the court and the jury, we find that the nature of those alleged errors are such that they would not necessarily occur on retrial. In light of our disposition reversing the judgment of conviction, we do not deem it necessary to reach these issues.
The testimony at trial established that defendant and two companions, Calvin Jones and Paul Moss, picked up the victim and her two friends after a concert and offered to give them a ride home. Instead of taking the girls home, however, defendant drove his vehicle to an isolated area where two of the girls were eventually let out of the car to walk home and the other was driven to another nearby location. At this time, the three males and the victim got out of the vehicle.
The victim testified that Paul Moss forced her to lay down on the ground and removed her slacks and pulled her panties to her knees. She further testified that each of the three men then laid down on top of her and attempted sexual intercourse. She testified that there was no doubt in her mind that each of the three males had inserted his penis at least past the vulva. A physician testified that the injuries he observed on the morning after the assault were consistent with injuries following an attempted penetration of the vagina and that there had been trauma to the victim’s vulva and hymenal ring. Due to the fact that the hymen was still present, however, he was unable to examine the vagina.
During cross-examination of the victim, her testimony at the preliminary hearing was offered for impeachment. At the preliminary hearing, she was asked, with respect to the defendant, “could you feel his penis inside of you?” and she replied, “no”. She also testified at the preliminary hearing that the defendant had only been on top of her for a few seconds.
Although defendant chose not to testify at trial, his written statement to the investigating officer was received in evidence which, in part, stated:
So I tried to lay down but she said she was a virgin and I couldn’t get it in so when I got up Calvin [Jones] tried....
On appeal, defendant argues that the trial court erred by refusing to instruct the jury on the lesser offense of sexual abuse. Both parties, with little discussion and no citation to authority, have assumed that sexual abuse is a lesser included offense of sexual assault. The state, however, argues that defendant failed to request an instruction on sexual abuse and, assuming the request was made, defendant was not entitled to such an instruction because there was no evidence to support it.
We first note that the instruction on sexual abuse was, in fact, requested by defendant and refused by the trial court. Secondly, while both parties to this appeal have assumed that sexual abuse is a lesser included offense of sexual assault, we believe that a closer examination of that issue is required.
The test to determine if an offense is a lesser included one is whether the greater offense cannot be committed without necessarily committing the lesser. State v. Cau-dillo, 124 Ariz. 410, 604 P.2d 1121 (1979); State v. Teran, 130 Ariz. 277, 635 P.2d 870 (App.1981).
In Arizona, sexual assault is committed by a person “intentionally or knowingly engaging in sexual intercourse or oral sexual contact with any person not his or her spouse without consent of such person.” A.R.S. § 13-1406(A). Sexual abuse is committed by a person “intentionally or knowingly engaging in sexual contact with any person not his or her spouse without consent of that person or with any person who is under 15 years of age and who is not his or her spouse.” A.R.S. § 13-1404(A). Obviously, the definitions of “sexual contact” and “sexual intercourse” are of pivotal importance in resolving this issue. Both of these terms are defined in A.R.S. § 13-1401. The definitions, in pertinent part, are as follows:
1. “Oral sexual contact” means oral contact with the penis, vulva or anus.
2. “Sexual contact” means any direct or indirect fondling or manipulating of any part of the genitals, anus or female breast.
3. “Sexual intercourse” means penetration into the penis, vulva or anus by any part of the body or by any object or manual masterbatory contact with the penis or vulva.
Thus, it can be seen that the offense of sexual assault can be committed in three distinct ways: 1) by oral contact with the penis, vulva or anus, 2) by penetration into the penis, vulva or anus by any part of the body or by any object, or 3) by manual masterbatory contact with the penis or vulva. In committing these acts, the question becomes whether they can be committed without necessarily committing the crime of sexual abuse, defined in terms of “sexual contact.”
Sexual contact, as noted above, means the direct or indirect “fondling or manipulating” of the genitals, anus, or female breasts. Thus, the legal question, reduced to its basic component, is whether or not a person necessarily directly or indirectly “fondles or manipulates” the genitals or anus in committing the crime of sexual assault. We believe that common sense clearly dictates an affirmative answer.
Having concluded that sexual abuse is a lesser included offense of sexual assault, was it necessary to instruct on it in this case?
Rule 23.3, Rules of Criminal Procedure, 17 A.R.S. states:
Forms of verdicts shall be submitted to the jury for all offenses necessarily included in the offense charged....
In State v. Dugan, 125 Ariz. 194, 195, 608 P.2d 771, 772 (1980), our Supreme Court made it clear that the words “necessarily included” found in Rule 23.3 are not synonymous with the words “lesser included.” The court observed that an offense may be the lesser included of another offense, but factually, dependent upon the evidence, may or may not be “necessarily included in the greater offense.” Id. The court, quoting from Sansone v. United States, 380 U.S. 343, 85 S.Ct. 1004, 13 L.Ed.2d 882 (1965), noted that:
[I]f on the facts of a given case there are disputed issues of fact which would enable the jury rationally to find that, although the elements of [the crime charged] have not been proved, all the elements of one or more lesser offenses have been, it is clear that the defendant is entitled to a lesser-included offense charge as to such lesser offenses.
125 Ariz. at 195, 608 P.2d at 772.
The court went on to hold that “[t]he determination which must be made before the lesser included instruction is proper is whether on the evidence the jury could rationally find that the state failed to prove an element of the greater offense.” Id. at 195-96, 608 P.2d at 772-73. See also, State v. Clovis, 127 Ariz. 75, 81, 618 P.2d 245, 251 (App.1980) (where the evidence precludes the jury from reasonably finding that the state failed to prove the distinguishing element of the higher offense, it is not necessary to instruct on a lesser offense, therefore it was not error to deny an instruction on theft where the evidence clearly showed money was taken at gunpoint); State v. Wilson, 113 Ariz. 363, 367, 555 P.2d 321, 325 (1976) (defendant entitled to instructions on the lesser offense if a reasonable interpretation of the evidence indicates that he could be guilty of these offenses; however, defendant not entitled to instruction on lesser included offense of “attempt” where evidence only supported commission of crime).
After a careful review of the record in the case at hand, and noting that there was enough of an issue on the fact of penetration that the trial judge instructed on attempted sexual assault and the jury convicted defendant for attempted sexual assault rather than sexual assault, we find that there was sufficient evidence to support the giving of a lesser included offense instruction on sexual abuse. Our Supreme Court has recently noted in State v. Celaya, 135 Ariz. 248 at 253, 660 P.2d 849 (1983):
The option of convicting on a lesser-included offense affords the jury a less drastic alternative than the choice between conviction of the offense charged and acquittal and ensures the defendant the full benefit of the reasonable-doubt standard. Where a defense theory is reasonably supported by the evidence, it is reversible error not to give it.... [citations omitted].
We find that there was reasonable evidence to support the defense theory that there may have been only an unlawful manipulation of the victim’s genitals, without penetration and, therefore, an instruction on the lesser included offense of sexual abuse should have been given at his request.
The judgment of conviction is reversed and the case is remanded.
JACOBSON, P.J., and OGG, J, concur.
|
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GORDON, Vice Chief Justice:
On December 10, 1981, a jury found appellant guilty of one count of conspiracy to commit first degree murder, two counts of first degree murder, one count of attempted first degree murder, three counts of kidnapping, three counts of armed robbery and one count of first degree burglary. On January 11, 1982, appellant was sentenced to life imprisonment for conspiracy to commit first degree murder, death for each count of first degree murder, twenty-one years imprisonment for attempted first degree murder, twenty-one years imprisonment for each count of kidnapping, twenty-one years imprisonment for each count of armed robbery, and twenty-one years imprisonment for first degree burglary. This Court has jurisdiction under Ariz. Const, art. 6, § 5(3) and A.R.S. § 13-4031. The judgments of conviction and sentences as to all counts are reversed.
The evidence adduced at trial, viewed in the light most favorable to upholding the verdict, indicated that Pat Redmond and Ron Lukezic were partners in a successful printing business called Graphic Dimensions. In the summer of 1980 Graphic Dimensions was presented with the possibility of some lucrative printing contracts with certain Las Vegas hotels.
In September of 1980 appellant asked Arnold Merrill if he would be willing to kill Pat Redmond for $10,000. Merrill declined. Appellant wanted Pat Redmond killed in order to get Redmond’s interest in Graphic Dimensions. Appellant ultimately planned to have Ron Lukezic killed as well and take complete control of Graphic Dimensions.
In early December of 1980 appellant and Merrill went to the Phoenix Airport and picked up William Bracey and Murray Hooper who arrived on a flight from Chicago. After staying in a motel for a day or two Bracey and Hooper moved into Merrill’s house where they were introduced to Ed McCall. A few days later Bracey, Hooper and Merrill followed Pat Redmond’s car as Redmond left a bar. When they neared Redmond’s car Hooper attempted to shoot Redmond. The attempt failed when Merrill, who was driving, swerved the car. After the failed attempt Bracey and Hooper moved out of Merrill’s home. On December 8, 1980, McCall told Merrill he was joining up with Bracey and Hooper. Bracey and Hooper returned to Chicago shortly thereafter.
Bracey and Hooper came to Phoenix again on December 30, 1980. On the evening of December 31, Bracey, Hooper and McCall went to the Redmond home and forced their way in at gunpoint. Pat Redmond, his wife Marilyn, and Marilyn Redmond’s mother Helen Phelps were present. The Redmonds and Mrs. Phelps were herded into the master bedroom where they were relieved of their valuables, bound with surgical tape, and gagged. They were then forced to lie on the bed where they were each shot in the head. Pat Redmond’s throat was also cut. Pat Redmond and Mrs. Phelps died from their wounds but Marilyn Redmond lived.
Appellant was tried with McCall. Merrill was the state’s key witness. The state’s theory of the case was that appellant hired Bracey, Hooper and McCall to kill Pat Redmond. Appellant argued that the killings were the result of a robbery committed by Bracey, Hooper and McCall. McCall, along with the state, argued that the killings were a paid gangland-style execution ordered by appellant. McCall, however, claimed he was not involved. Both defendants were convicted. Appellant raises a number of issues on appeal.
DENIAL OF MOTION TO SEVER
Prior to trial appellant moved to sever his trial from co-defendant McCall’s arguing that McCall’s defense was so antagonistic to his that he could not get a fair trial if they were tried together. The motion was denied. Appellant re-urged the motion numerous times during the trial without success. He now claims the denial of the motion to sever was reversible error. We agree.
A trial court is required to grant a defendant’s motion to sever if necessary to promote a fair determination of guilt or innocence of any defendant, or if the court detects the presence or absence of unusual features of the crime or case that might prejudice the defendant. State v. McGill, 119 Ariz. 329, 580 P.2d 1183 (1978); State v. Dale, 113 Ariz. 212, 550 P.2d 83 (1976); State v. Druke, 115 Ariz. 224, 564 P.2d 913 (App.1977). The decision to grant or deny a motion to sever is within the sound discretion of the trial court and will be reversed only if that discretion is abused. State v. Johnson, 122 Ariz. 260, 594 P.2d 514 (1979); State v. McGill, supra; see United States v. Badolato, 701 F.2d 915 (11th Cir.1983); United States v. Riola, 694 F.2d 670 (11th Cir.), cert. denied, - U.S. -, 103 S.Ct. 1532, 75 L.Ed.2d 953 (1983). In deciding whether to grant a severance the court must balance the possible prejudice to the defendant against interests of judicial economy. United States v. Sheikh, 654 F.2d 1057 (5th Cir.1981), cert. denied, 455 U.S. 991, 102 S.Ct. 1617, 71 L.Ed.2d 852 (1982); State v. Druke, supra. In challenging a trial court’s failure to sever, a defendant must demonstrate compelling prejudice against which the trial court was unable to protect. United States v. Bovain, 708 F.2d 606 (11th Cir.1983); United States v. Riola, supra; United States v. Madison, 689 F.2d 1300 (7th Cir.1982), cert. denied, - U.S. -, 103 S.Ct. 754, 74 L.Ed.2d 971 (1983).
This Court has not specifically addressed the question of when the existence of antagonistic defenses becomes so prejudicial that severance is required. There is, however, much authority on the question from the United States Courts of Appeal. It appears well settled that the mere presence of hostility between co-defendants, or the desire of each co-defendant to avoid conviction by placing the blame on the other does not require severance. United States v. Riola, supra; United States v. Nichols, 695 F.2d 86 (5th Cir.1982); United States v. Berkowitz, 662 F.2d 1127 (5th Cir.1981); United States v. Lutz, 621 F.2d 940 (9th Cir.), cert. denied, 449 U.S. 859, 101 S.Ct. 160, 66 L.Ed.2d 75 (1980); United States v. Boyd, 610 F.2d 521 (8th Cir.1979), cert. denied sub nom. Clark v. United States, 444 U.S. 1089, 100 S.Ct. 1052, 62 L.Ed.2d 777 (1980); United States v. Haldeman, 559 F.2d 31 (D.C.Cir.1976), cert. denied sub nom. Ehrlichman v. United States, 431 U.S. 933, 97 S.Ct. 2641, 53 L.Ed.2d 250 (1977); United States v. Ehrlichman, 546 F.2d 910 (D.C.Cir.1976), cert. denied, 429 U.S. 1120, 97 S.Ct. 1155, 51 L.Ed.2d 570 (1977). Before severance is required, defenses must be irreconcilable; they must be antagonistic to the point of being mutually exclusive. United States v. Bovain, supra; United States v. Badolato, supra; United States v. Riola, supra; United States v. Madison, supra; United States v. Nichols, supra; United States v. Barnes, 681 F.2d 717 (11th Cir.), modified on other grounds, 694 F.2d 233 (11th Cir.1982), cert. denied sub nom. Riddle v. United States, - U.S. -, 103 S.Ct. 1447, 75 L.Ed.2d 802 (1983); United States v. Berkowitz, supra; United States v. Boyd, supra; United States v. Haldeman, supra.
The most complete discussion of what it means for defenses to be mutually exclusive appears in United States v. Berkowitz, supra. In Berkowitz, the court analyzed and attempted to synthesize prior decisions dealing with the question of severance on the grounds of mutually exclusive defenses. The Berkowitz court concluded that defenses are mutually exclusive and, therefore, severance is required “if the jury, in order to believe the core of testimony offered on behalf of [one] defendant, must necessarily disbelieve the testimony offered on behalf of his co-defendant.” 662 F.2d at 1134. See United States v. Badolato, supra; United States v. Riola, supra; United States v. Moschiano, 695 F.2d 236 (7th Cir.1982); United States v. Banks, 687 F.2d 967 (7th Cir.1982), cert. denied sub nom. McCruiston v. United States, - U.S. -, 103 S.Ct. 1208, 75 L.Ed.2d 448 (1983); United States v. Ziperstein, 601 F.2d 281 (7th Cir.1979), cert. denied, 444 U.S. 1031, 100 S.Ct. 701, 62 L.Ed.2d 667 (1980).
We believe the approach adopted by the above-cited decisions strikes a proper balance between a defendant’s interest in a fair trial and considerations of judicial economy. It is natural that defendants accused of the same crime and tried together will attempt to escape conviction by pointing the finger at each other. Whenever this occurs the co-defendants are, to some extent, forced to defend against their co-defendant as well as the government. This situation results in the sort of compelling prejudice requiring reversal, however, only when the competing defenses are so antagonistic at their cores that both cannot be believed. Consequently, we hold that a defendant seeking severance based on antagonistic defenses must demonstrate that his or her defense is so antagonistic to the co-defendants that the defenses are mutually exclusive. Moreover, defenses are mutually exclusive within the meaning of this rule if the jury, in order to believe the core of the evidence offered on behalf of one defendant, must disbelieve the core of the evidence offered on behalf of the co-defendant.
Applying this test to the instant case, we find that, the defenses advanced by appellant and his co-defendant did not require severance. The core of appellant’s defense was that he was not involved in the killings. In support of that theory appellant attacked the credibility of the state’s key witness, Arnold Merrill, and presented evidence in an effort to minimize his own association with the killers from Chicago. He also presented evidence attacking the state’s theory that he ordered the killings to obtain an interest in Graphic Dimensions and thereby participate in the profits from lucrative printing contracts with Las Vegas hotels. As a further defense tactic, he argued that the killings were the result of a robbery in which McCall and others had participated.
Similarly, the core of McCall’s defense was that he was not involved in the killings. In support of that theory, McCall attacked Marilyn Redmond’s identification of him and challenged the credibility of Merrill. He admitted that he had taken part in some burglaries but claimed he was not a killer. He also argued that the manner in which the victims were killed indicated that the motive for the killing was not robbery. The killings were, he argued, executions which someone else, possibly appellant, had ordered.
While the alternative motives offered by the co-defendants — robbery as opposed to execution — were mutually exclusive, the core of each defense was not. The core of each defendant’s defense was his own non-involvement; the “I didn’t do it; he did it” stance of each defendant was peripheral to this core. Thus, the jury could have believed the core of the evidence offered by either defendant without disbelieving the core of the evidence offered by the other. Both defendants could have been found innocent. The jury could have believed McCall’s claim that the killing was a hired execution in which he was not involved and, at the same time, believed appellant’s claim that, he, appellant, had no motive to and did not order the execution. On the other hand, the jury could have believed appellant’s claim that the motive for the killing was robbery and, at the same time, believed McCall’s claim that Marilyn Redmond’s identification of him was unreliable and that he, McCall, was not involved. Indeed, the jury could have rationally accepted the defense theory of both, or only one, or of neither defendant. The defenses were not mutually exclusive. Consequently, the nature of the defenses did not require severance.
Even in a case where the nature of the defenses do not compel a severance, a defendant may be prejudiced by the actual conduct of his or her co-defendant’s defense. United States v. Ziperstein, supra. We are convinced that this occurred in the instant case.
In the course of cross-examining Merrill, McCall elicited testimony indicating that appellant had been involved in other criminal activity. In response to questions by McCall’s counsel Merrill stated that he had heard that appellant had affiliations with organized crime, that he heard that appellant had once hired two people from Chicago to kill him, Merrill, that appellant had asked him, Merrill, to break someone’s legs, and that he, Merrill, had arranged for someone to burn a building at appellant’s request.
The line of questioning that resulted in this testimony was designed to test Merrill’s direct testimony that he was afraid of appellant. The testimony concerning affiliations with organized crime and appellant hiring someone to kill Merrill was admitted with an admonition that it was to be considered only for the purpose of evaluating Merrill’s state of mind. The testimony concerning appellant arranging to have someone’s legs broken was not accompanied by such an admonition. The testimony concerning appellant arranging to burn a building was ruled to be irrelevant and stricken from the record.
The questioning by McCall’s counsel was proper cross-examination. He had every right to explore Merrill’s purported fear of appellant. See State v. Dunlap, 125 Ariz. 104, 608 P.2d 41 (1980). The result, however, was the admission of testimony suggesting that appellant was linked with organized crime and that he had, in the past, hired people to commit crimes, including murder. This evidence would not have come out if appellant had not been tried with McCall and it would not have been admissible in the state’s case at a separate trial. The potential prejudice to appellant, who stood accused of ordering a gangland-style murder, was great. Furthermore, the trial judge’s admonitions were not sufficient to protect against the prejudice because they were incomplete. They were incomplete in that none of them covered the testimony concerning appellant arranging to have someone’s legs broken.
When this testimony was elicited the trial judge should have either ordered a mistrial as to appellant and severed him from McCall, as appellant’s counsel requested, or taken sufficient measures to protect against the prejudice. Because the trial court did not sever appellant from McCall, appellant suffered prejudice against which the trial court did not provide sufficient protection. Consequently, his convictions and sentences must be reversed. Cf. State v. Robison, 125 Ariz. 107, 608 P.2d 44 (1980) (where cross-examination of key witness by co-defendant at joint trial may result in admission of evidence of other crimes by defendant, separate trials may be necessary to promote a fair determination of guilt or innocence).
Because a retrial is likely we feel it necessary to address several other issues raised by appellant.
EVIDENCE OF BAD CHARACTER
Appellant argues that evidence of other crimes or bad acts was improperly admitted at his trial. Much of this evidence was introduced through McCall’s cross-examination of Merrill and was discussed above. Part of this evidence came out in non-responsive answers to prosecution questions or on re-direct examination by the prosecutor after appellant opened the door to the subject. This evidence is unlikely to come out in the event of a retrial and need not be discussed. Two pieces of evidence suggesting appellant’s involvement in other criminal activity do require discussion.
Merrill testified that in a conversation between them, appellant said he was going to take over half of Graphic Dimensions by killing Pat Redmond, then, six months later, take over the rest of the business by killing Ron Lukezic. Later Merrill testified about a conversation involving himself, Bracey, Hooper, McCall and a friend of theirs. During that conversation Bracey and Hooper indicated that they were interested in setting up a drug business in south Phoenix. Bracey said that they would need appellant’s permission for a move like that. During cross-examination by McCall, Merrill testified that Bracey and Hooper could not take any action, including setting up a drug business, without appellant’s permission. We hold that this evidence was properly admitted.
Evidence linking a defendant to criminal activity other than that for which he or she is on trial is not admissible to prove that the defendant is of bad character. State v. Sullivan, 130 Ariz. 213, 635 P.2d 501 (1981); Ariz.R.Evid. 404(b). Such evidence is admissible to show the defend ant’s plan, State v. Jackson, 124 Ariz. 202, 603 P.2d 94 (1979); State v. Rose, 121 Ariz. 131, 589 P.2d 5 (1978), or to show the complete story of the crime. State v. Mincey, 130 Ariz. 389, 636 P.2d 637 (1981), cert. denied 455 U.S. 1003, 102 S.Ct. 1638, 71 L.Ed.2d 871 (1982). State v. Price, 123 Ariz. 166, 598 P.2d 985 (1979); see United States v. White, 645 F.2d 599 (8th Cir.) cert. denied, 452 U.S. 943, 101 S.Ct. 3092, 69 L.Ed.2d 959 (1981).
We find that the evidence at issue falls within one or both of these exceptions. The evidence concerning appellant’s plan to kill Ron Lukezic and obtain control of Graphic Dimensions is proof of appellant’s plan and helps complete the story of the crime by indicating appellant’s ultimate goal in the conspiracy. With respect to the evidence indicating that Bracey and Hooper needed appellant’s permission to do anything, including set up a drug business in Phoenix, we note that in context it did not tend to paint appellant as controlling or involved in drug traffic. Rather, it painted him as controlling Bracey and Hooper. As such it helped complete the story of the crime in that it helped establish and explain the nature of the relationship between appellant and two of his co-conspirators. See State v. Wilson, 134 Ariz. 551, 658 P.2d 204 (App.1982).
PHOTOGRAPHS
Appellant argues that the admission of seven specified photographs was error because their prejudicial effect outweighed their probative value. As the matter is being remanded for a new trial, we need not determine whether any actual prejudice resulted from their admission. We do note that some of these particular photographs are arguably gruesome and could, therefore, be properly excluded. State v. Steele, 120 Ariz. 462, 586 P.2d 1274 (1978). Depending on what other photographs are admitted at appellant’s new trial, some of these photographs may be cumulative and may be properly excluded on that ground. State v. Altamirano, 116 Ariz. 291, 569 P.2d 233 (1977). It will be for the trial court on remand to consider not only the possible prejudicial or inflammatory effect of these pictures but also their probative value.
CO-CONSPIRATOR’S ADMISSIONS
At appellant’s trial Morris Nellum, an associate of Bracey and Hooper, was allowed to testify about statements made by Bracey and Hooper in early January of 1981. The trial court allowed the statements to be admitted finding that they were not hearsay by virtue of Ariz.R.Evid. 801(d)(2)(E).
Under Ariz.R.Evid. 801(d)(2)(E) a statement is not hearsay if it “is offered against a party and is * * * a statement by a co-conspirator of a party during the course and in furtherance of the conspiracy.” Appellant argues that the statements at issue are not within 801(d)(2)(E) because they were not made in the course of the conspiracy. They were not made in the course of the conspiracy, he argues, because they were made after the commission of the substantive crime that was the object of the conspiracy, the murder of Pat Redmond. A conspiracy usually ends when the substantive crime that is the object of the conspiracy is either committed or threatened. State v. Darby, 123 Ariz. 368, 599 P.2d 821 (App.1979); State v. Howard, 324 N.W.2d 216 (Minn.1982), cert. denied, - U.S. -, 103 S.Ct. 818, 74 L.Ed.2d 1016 (1983). In some cases, however, the object of the conspiracy includes more than the commission of a substantive offense. In such cases the conspiracy may continue after the commission of the substantive offense. State v. Darby, supra. See, United States v. Testa, 548 F.2d 847 (9th Cir.1977); Atkins v. United States, 307 F.2d 937 (9th Cir.1962). For example, where a conspiracy embraces payment as its last term, it is “too easy to argue that the conspiracy was at an end when the object of the conspiracy * * * was realized,” United States v. Kahan, 572 F.2d 923, 935 (2d Cir.), cert. denied 439 U.S. 833, 99 S.Ct. 112, 58 L.Ed.2d 128 (1978). Reaching the same conclusion in a murder-for-hire case, the Texas Court of Criminal Appeals held that:
“The conspiracy in the instant case did not terminate upon the completion of the murder. It was contemplated by the conspirators that Smith would receive compensation for the job. [At the time the complained of statements were made], Smith had not yet received all the compensation agreed upon * * *. We find that the object of the conspiracy had not been completed. [Citations omitted].”
May v. State, 618 S.W.2d 333, 346 (Tex.Cr.App.), vacated on other grounds, 454 U.S. 959, 102 S.Ct. 497, 70 L.Ed.2d 374 (1981). See also State v. Howard, supra (conspiracy in murder-for-hire situation uncompleted while part of fee was traveling in the mails); People v. Saling, 7 Cal.3d 844, 500 P.2d 610, 103 Cal.Rptr. 698 (1972) (as payment for murder-for-hire had not yet occurred, the conspiracy continued and statements made were admissible). We believe this to be a wise approach and find it applicable to the case at hand. According to the state’s theory, Bracey’s and Hooper’s primary purpose for killing Pat Redmond was the money offered by appellant. The transfer of the money by appellant to them was one of the main objectives of the conspiracy as far as they were concerned. At the time the statements at issue were made, the transfer had not been accomplished and the parties, including appellant, were still attempting to accomplish the transfer. Consequently, the conspiracy had not terminated and the statements were made in the course of the conspiracy.
NON-PARTICIPATION OF DEFENSE COUNSEL
Though it is unlikely to recur we feel compelled to discuss an incident that took place at appellant’s trial. Approximately three weeks after the trial began, after the state had rested and appellant began presenting his case, appellant’s trial counsel became convinced that the trial judge was prejudiced against appellant. He indicated in chambers that he intended to file a motion for change of judge for cause under Ariz.R.Crim.P. 10.1. He also stated that he did not feel it was appropriate to proceed with the trial until the matter was resolved. The trial judge stated that he was not sure whether the filing of the motion deprived him of jurisdiction or not and he ordered a recess to allow defense counsel an opportunity to prepare and file a motion. After the recess, during which trial counsel filed the motion, the following exchange occurred.
“THE COURT:
if: * sfc ‡
“Record may also show Mr. Feldhacker has a few moments ago filed with the courtroom Clerk of this Court the document entitled Notice of Change of Judge for Cause. Attached thereto is his affidavit.
“Since counsel advised the Court about an hour ago of his intentions to so file, the Court has had a full and complete opportunity to review the authorities cited by counsel and Rule 10.1 of the Rules of Criminal Procedure as amended effective December 15, 1977, in particular the amendment goes to Rule 10.1(B) under procedure where the Supreme Court of Arizona amended that rule at the request of the Superior Court of Maricopa County wherein the words: ‘Except for the commencement of a hearing of trial,’ were inserted.
“The events which gave rise to the request for the amendment and the Supreme Court’s adoption of the amendment was precisely as this Court is presented with here today. The amendment also added the last sentence of sub-paragraph B, quote, Allegations of interest or prejudice which prevent a fair and impartial hearing or trial may be preserved for appeal.
“The obvious intent of the Supreme Court and our intent in requesting the changed amendment to the rule was to avoid delays of trial by the filing of such documents during trial.
“I have determined that it is my responsibility to make the decision to proceed with this trial and it is so ordered.
“The defense may proceed.
“MR. FELDHACKER: Your Honor, on behalf of Mr. Cruz, I don’t believe you have jurisdiction to proceed with the trial and Mr. Cruz and I no longer intend to participate in the trial.
“THE COURT:
******
“The Court rejects your statement that you do not intend to proceed. You will, as an officer of this Court, proceed to represent your client and present his case or failing which I will assume that you do not intend to offer any evidence in behalf of your client; is that my correct assumption?
“MR. FELDHACKER: (No response.)
“THE COURT: Counsel.
“MR. FELDHACKER: I have no further record to make, your honor.
“THE COURT: Very well.
“You may proceed with the presentation of defendant McCall’s defense.”
The trial court went on to state:
“THE COURT: Well, I have already ruled on what I believe to be a correct interpretation of the law, that under Rule 10.1, the defendant had an absolute right to file a Notice of Change of Judge for Cause and his record is preserved for review on appeal at a later time.
“That is why the rule was amended, so that proceedings of this sort would not be, get bogged down in internal delays on collateral issues.
“I am positively certain I’m correct in that regard. I am proceeding with jurisdiction, not without jurisdiction.
“Had such a motion been filed prior to this trial commencing, it would be jurisdictional and it would be necessary that this matter be assigned to the Presiding Judge for hearing either by the Presiding Judge or some other assigned Judge.”
For the rest of that day and the next day appellant’s counsel refused to participate in the trial. He did not call any more witnesses on appellant’s behalf and did not cross-examine those witnesses called by McCall. At the end of the second day the trial court granted a continuance to allow the defense to investigate certain matters. The request for a continuance was made by McCall with appellant, through his counsel, joining in. When the trial recommenced several days later appellant’s counsel resumed active participation.
Based on the record before us it appears that trial counsel’s conduct was indefensible. It is clear from the most superficial reading of Rule 10.1 that a motion for change of judge for cause need not be referred to a different judge for a hearing unless filed prior to the commencement of a hearing or trial. It is equally clear that counsel did not have to refuse to participate in the trial in order to preserve the issue for appeal. The rule plainly provides that “[ajllegations of interest or prejudice which prevent a fair and impartial hearing or trial may be preserved for appeal.” Further more, the above-quoted passage from the trial transcript demonstrates that the trial judge made it abundantly clear to appellant’s counsel that the claim of prejudice was preserved for appeal. Counsel’s attempt to justify his conduct by citing cases decided under Rule 10.1 before its amendment in 1977 is, to put it kindly, weak.
As a result of the trial counsel’s conduct the trial judge was presented with a difficult dilemma. He should not, however, have allowed the trial to continue with appellant’s counsel refusing to participate. In a case where counsel refuses to participate, even after it is made clear that the claim of prejudice is preserved for appeal, the court should order counsel to proceed, on pain of contempt, fine and/or bearing the cost of a mistrial. If this succeeds in changing counsel’s mind the Court must then closely monitor counsel’s coerced participation for its effectiveness. If counsel still refuses to participate, or if counsel’s participation is not effective or not in good faith then the judge should declare a mistrial, hold counsel in contempt, and report the case to the State Bar of Arizona. We believe this approach will best ensure that a criminal defendant’s right to counsel is not compromised, while at the same time deterring unscrupulous counsel from creating error to secure a mistrial or reversal on appeal.
For the foregoing reasons, the judgments of conviction and sentences are reversed and the case is remanded for a new trial.
HOLOHAN, C.J., and HAYS, CAMERON and FELDMAN, JJ., concur.
. In the process of attacking Merrill’s credibility, McCall elicited some evidence highly favorable to appellant. Merrill testified on direct examination that he and Mike Gill went to appellant’s home and appellant tried to hire Merrill to kill Pat Redmond. McCall called Mike Gill as a witness and Gill testified that no such meeting ever occurred.
. The parties do not raise and we express no opinion with respect to the question of whether the statements were made in furtherance of the conspiracy.
. Rule 10.1 provides:
“Change of judge for cause
“a. Grounds. In any criminal case prior to the commencement of a hearing or trial the state or any defendant shall be entitled to a change of judge if a fair and impartial hearing or trial cannot be had by reason of the interest of procedure of the assigned judge.
“b. Procedure. Within 10 days after discovery that grounds exist for change of judge, but not after commencement of a hearing or trial, a party may file a motion verified by affidavit of the moving party and alleging specifically the grounds for the change. Except for the commencement of a hearing or trial, no event occurring before the discovery shall constitute a waiver of rights to change of judge for cause. Allegations of interest or prejudice which prevent a fair and impartial hearing or trial may be preserved for appeal.
“c. Hearing. Promptly after the filing of the ■motion, the presiding judge shall provide for a hearing on the matter before a judge other than the judge challenged. The hearing judge shall decide the issues by the preponderance of the evidence and following the hearing, shall return the matter to the presiding judge who shall as quickly as possible assign the action back to the original judge or make a new assignment, depending on the findings of the hearing judge. If a new assignment is to be made it shall be made in accordance with the provisions of this rule.”
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OPINION
HATHAWAY, Judge.
Appellant condominium complex brought this lawsuit to collect sums from the appel-lees for their pro rata share of an insurance premium on a blanket policy of insurance on the condominium complex in which ap-pellees lived. The case was tried to the court and judgment was entered for appel-lees.
The court found as “facts” that the Declaration of Horizontal Regime was binding and that paragraph G-8 of the declaration requires 100% of the owners to agree to any amendment and 100% did not do so in this case. The court also found as a fact that paragraph K is ambiguous. That paragraph reads:
“It shall be the responsibility of each of the respective owners ... to obtain fire insurance and liability insurance on the apartment units and the respective common elements and facilities which are owned or occupied by such owners.”
The court found that it was reasonable to conclude that the appellees had the right to obtain their own insurance separate and apart from the blanket policy. Additionally, it was found that the proposed bylaw that required the owners to participate in the blanket policy was invalid because it was adopted by less than 100% of the owners. We believe the court erred in finding a violation of paragraph G-8 and an ambiguity in paragraph K and we find the bylaw change is in compliance with the declaration and is valid and enforceable.
Whether terms of an agreement are ambiguous is a question of law and the mere fact that the parties disagree as to the meaning of the terms does not, in and of itself, establish an ambiguity. Grossman v. Hatley, 21 Ariz.App. 581, 522 P.2d 46 (1974). We are able to read the documents themselves and decide whether they are ambiguous and need to be interpreted since the “facts” as found by the trial court are legal conclusions and we are free to evaluate the evidence unrestricted by the rule compelling us to construe evidence most favorably to support the judgment. Tovrea Land and Cattle Company v. Linsenmeyer, 100 Ariz. 107, 412 P.2d 47 (1966).
Under A.R.S. § 33-561, the condominium board is required to make provisions for the maintenance of the common elements, including the assessment of expenses and the disposition of hazard insurance proceeds, and is required to adopt bylaws and rules and regulations. The declaration was recorded in 1972 and included paragraph K which states:
“It shall be the responsibility of each of the respective owners ... to obtain fire insurance and liability insurance on the ... units and the respective common elements and facilities which are owned or occupied by such owners.”
Pursuant to the authority granted by statute and its declaration, appellant adopted bylaws in 1975 which, in pertinent part, read:
“1.10 A quorum for the transaction of business ... shall require fifty percent (50%) of all owners to be present in person or by proxy. A vote of sixty percent (60%) of those present in person or by proxy shall constitute a legal majority for the transaction of business.
******
1.19 These By-laws may be modified or amended by the vote of sixty percent (60%) of the members present in person or by proxy.... Voting shall be by secret ballot .... ”
At the annual meeting on April 3, 1979, the following motion was adopted by a voice vote:
“... that the members accept the Blanket Condominium Insurance from State Farm Insurance Company, in the amount of $48 per unit per year.”
The board thereafter notified all owners to cancel outside property insurance as of July 1,1979, as the blanket policy would then be in effect but to retain their own personal property insurance for the contents of their individual condominiums. A complaint was received from one of the appellees regarding the procedure used to assess the owners for the blanket policy and in February 1980, a special meeting of the owners was held to incorporate a blanket insurance amendment into the bylaws. At this meeting, a vote by secret ballot passed by a 100-1 margin. The amendment reads:
“2.12 Insurance. A blanket insurance policy for the condominium for full value of property ... is a mandatory requirement of all members ... Insurance to cover all dwellings, liability on all common areas ...
Insurance premiums to be assessed and paid as part of monthly dues from condominium fees. Board of directors to hold master policys, [sic] and insurance certificates are provided for all condominium members.
Each member is responsible to obtain insurance on personal property, interior contents and inside liability as they deem necessary and at their own expense.”
Each section of an agreement must be read in relation to each other to bring harmony, if possible, between all the parts of the writing. Brisco v. Meritplan Insurance Co., 132 Ariz. 72, 643 P.2d 1042 (1982). The same principle applies here where the bylaws should be read in conjunction with the declaration. When we do that, there is no ambiguity. Paragraph K of the declaration merely assigned to the owners the responsibility of adequately insuring the common area of the complex. It does not state, as appellee Flaherty maintained in court “... all owners will carry their own insurance.” The responsibility in paragraph K could have been borne individually as was done prior to the motion of April 3, 1979, which was subsequently incorporated as an amendment to the bylaws by the necessary margin and by the necessary secret ballot in February 1980. To read the documents so as to require the 160-plus owners to carry 160-plus insurance policies on the complex’s common areas not only creates an ambiguity where none exists but creates an insurance nightmare in the case of a claim where coverage might overlap. By reading the documents as we have, a claim for coverage involving a common area would involve but one policy and is certainly what the drafters of the declaration intended. The language quoted in Makeever v. Lyle, 125 Ariz. 384, 609 P.2d 1084 (App.1980) is apropos:
“ ‘It appears to us that inherent in the condominium concept is the principle that to promote the health, happiness and peace of mind of the majority of the unit owners since they are living in such close proximity and using facilities in common ...’” 125 Ariz. at 387, 609 P.2d 1084.
The bylaw providing for the blanket policy was passed according to the required procedure and complies with the declaration and the applicable statute. There was no amendment to the declaration and the court’s “finding” that such amendment lacked the necessary 100% vote is of no moment.
The judgment is reversed and the case remanded to allow for entry of judgment in favor of appellant and to allow the court to award costs and fees as it deems just.
HOWARD, C.J., and BIRDSALL, J., concur.
NOTE: This case was decided by the Judges of Division Two as authorized by A.R.S. § 12-120(E).
|
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OPINION
HOWARD, Chief Judge.
This is a suit for declaratory judgment and for partition of real property. Appellants contend the trial court erred in refusing the admittance of certain evidence as being violative of the parol evidence rule and in not distributing certain of the realty in kind rather than mandating a sale. We affirm.
Vivian Arnold is Susan Cesare’s mother and Susan married Joseph Cesare in 1957. Vivian Arnold is a real estate broker as is Joseph Cesare. They formed a partnership to carry on a real estate business and various properties were acquired in the name of one or more of the parties to this suit.
In 1971 Joseph Cesare withdrew from the business with Vivian Arnold and started his own. This prompted litigation between the former partners with respect to the entitlement to various commissions earned on real estate transactions during the period before 1972. Between 1971 and 1977, other actions were commenced in Pima County Superior Court against Joseph Cesare and Vivian Arnold by John and Raymond Cardi, asserting claims against Vivian Arnold and Joseph Cesare and seeking ownership interest in. some of the properties of the parties to this case.
In 1974 Joseph Cesare and Susan Cesare were getting a divorce. Because of all the pending litigation, their community assets were tied up in various claims and disputes at the time. They entered into a separation agreement which was ultimately approved by the court. Paragraph 32 of this agreement pertained to the community property as to which “various claims have been made.” Such claims included those of Vivian Arnold involving the dissolution of the partnership as well as the Cardi claims. This paragraph stated in part:
“The parties agree that husband shall have the sole and exclusive right and authority to litigate, compromise, settle or otherwise resolve these various claims and disputes and wife does hereby appoint husband her special attorney in fact to take all such action and to execute any and all instruments on her behalf as may be necessary or convenient to litigate, compromise, settle or otherwise resolve these various claims and disputes as he, in his judgment, may deem fit and proper.
Except as is otherwise provided herein, the parties hereto agree to divide all property or monies ultimately distributed to them as a result of the resolution of the claims and litigation on an equal basis, 50% to wife and.50% to husband. However, it is agreed that all legal fees and expenses incurred in connection with said claims and litigation shall be first deducted and paid prior to any 50%-50% distribution to husband and wife. In addition, the parties further agree that if any taxes or expenses on said property in dispute is [sic] not paid as a result of any settlement or judgment in said litigation, that such taxes and expenses owing at the time of any. such settlement or judgment shall also be first deducted and paid prior to any 50%-50% distribution to husband and wife.” (Emphasis added)
Two years later, on March 15, 1976, Joseph and Susan entered into a stipulation regarding the original property settlement agreement in which the arrangement as to the payment of fees and division of proceeds was expressly reaffirmed. The only difference was that Joseph should account to Susan for the legal expenses and provide her with evidence of payment of the fees. He complied with the stipulation and sent Susan various receipts and statements of account.
The litigation surrounding the Cesare community assets continued in 1977 when Joseph Cesare, Vivian Arnold and the Car-dis began to negotiate an agreement to compromise their differences. A settlement agreement was finally signed by Vivian Arnold, Susan Cesare, Joseph Cesare and the Cardis on May 3, 1977.
Paragraph 21 of the 1977 agreement states:
“The parties hereto all agree to be responsible for their own legal fees which may have been incurred in any of the aforesaid actions or otherwise and none of the parties herein shall have any obligation or responsibility to pay the legal fees of the other.”
The 1977 agreement identified various real properties and called for the joint ownership of these properties to be placed in trust and then divided between the parties. In the case of property where one-half was to go to Vivian Arnold, the remaining half was to be divided between Joseph and Susan in accordance with the community property provisions of the original property settlement agreement. Susan’s one-fourth of the proceeds of the land sales was largely absorbed by the payment of legal fees and other joint obligations by Joseph in accordance with the parties’ contractual agreement. Susan, upset by how things had turned out, sought this declaratory judgment, asking the court to establish her right to receive one-fourth of the land sale proceeds without any deductions for legal costs. Vivian Arnold joined as a plaintiff and also sought partition of certain parcels of real property jointly owned by the parties.
The trial court, sitting without a jury, concluded that the 1977 agreement was unambiguous and that Paragraph 21 allowed Joseph to offset the attorney’s fees. The court allowed $66,026.85 as a proper offset for attorney’s fees pursuant to the agreement between the parties, one-half of this amount chargeable to Susan’s share in the sum of $38,013.42.
In addition, the trial court offset from Susan’s share of the land sale proceeds the sum of $13,000, representing one-half of the distribution from the assets of the partnership. This distribution, in the amount of $26,000, had been recovered by Joseph as a community recovery and was used by him to pay joint obligations of the parties as was agreed to in their property settlement agreement.
Susan’s share of the distributions would have been $35,400 but for the allowed offsets. The allowed offsets totaled $46,-013.42. After they were deducted from Susan’s share, she was left with a deficit of $10,613.42. This was the amount the trial court awarded as judgment against Susan and in favor of Joseph, to be satisfied by trust disbursements to Joseph before Susan was entitled to her share of the distribution of the trust proceeds of certain land contracts. The trial court also ordered that four parcels of property be sold and the proceeds be divided between the parties to this suit, 50 per cent to Vivian Arnold and 25 per cent each to Joseph and Susan. Appellants contended that the property known as the Deran property and the property consisting of 100 acres located at Los Reales Road should have been divided in kind rather than sold.
Appellants contend the trial court erred in rejecting an offer of proof and testimony which would have shown that Joseph told Susan before she executed the 1977 agreement that Paragraph 21 did not apply to her and that her share of the property recovered was not subject to any deduction for attorney’s fees. We do not agree. There is no legal theory under which such testimony can be used to contradict a clear, unambiguous and specific provision.
There are three situations in which it is said that the parol evidence rule does not apply and that parol evidence is admissible: (1) To show that no contract was in fact made (e.g., because of nondelivery or conditional delivery), or that the contract is voidable for fraud, mistake, duress, undue influence, incapacity or illegality; (2) to demonstrate that the parties intended the writing to be only a partial integration of their agreement, thereby permitting the existence of contradictory collateral agreements to be proved, and (3) to assist in the interpretation of the contract, or to prove the usages and customs in relation to which the parties contracted, thus allowing the addition of consistent terms of performance or the definition of words used in the contract. Pinnacle Peak Developers v. TRW Investment Corp., 129 Ariz. 385, 631 P.2d 540 (App.1980). There is nothing to interpret in the contract of May 1977. There is nothing that shows that the parties intended the writing to be only a partial integration of their agreement, and there was no evidence of mutual mistake of fact, duress, undue influence, incapacity or illegality. At most, the excluded testimony would have shown, according to appellants, that there was a misrepresentation. However, such evidence is not admissible in a situation such as this to cause, the express terms of the agreement to be read just the opposite. Sun Lodge, Inc. v. Ramada Development Co., 124 Ariz. 540, 606 P.2d 30 (App.1979). The agreement states that all parties are to pay their own legal fees. This provision is consistent with the property settlement agreement of Joseph and Susan which made Susan liable for her share of the attorney’s fees. Appellants now want to make the agreement read that all parties except Susan are to pay their own attorney’s fees. This is not like Lusk Corporation v. Burgess, 85 Ariz. 90, 332 P.2d 493 (1958). There, the agreement contained a provision stating that the writing covered all the agreements expressed or implied between the parties. The court held that in the case of fraud in the inducement, parol evidence could be admitted in spite of the general provision in the contract concerning prior agreements. Here we do not have an attack on such general contract language but, instead, an attempt to make a provision of a contract dealing with a specific subject matter to read just the opposite. Sun Lodge applies.
Appellants argue that the trial court should have reformed the May 1977 agreement based upon the fraudulent representations of Joseph Cesare. Since this remedy was not sought in the trial court, appellants have waived any right to assert the issue on appeal.
Appellants also argue that the trial court erred in charging Susan with the $13,000 of the distribution from the partnership because there was nothing that showed she ever received such distributions. Appellants’ argument is misconceived since the record shows that the $26,000 from the partnership was used by Joseph Cesare to pay joint tax obligations of both Joseph and Susan. Therefore, Susan was in constructive receipt of her share.
A.R.S. § 12-1218(B) states:
“If on the trial of the action, it appears to the court that fair partition of the property cannot be made without depreciating the value thereof, or that for any reason a sale is more beneficial to the parties or any of them, it shall in the first instance, enter a judgment directing that the real property be sold.”
Appellants contend that as to the 27-acre parcel known as the Deran property and the 100-acre parcel in the proximity of Jeffrey and Los Reales roads, the court erred in not dividing it in kind. We do not agree. Joseph Cesare testified that the value of the 27 acres, which had frontage on both Cami-no de Oeste and the Tucson-Ajo Highway, would be destroyed if divided because it might prejudice a pending zoning application. Furthermore, it was his opinion that the value of the property would be diminished because most its value was in the east half which fronted on Camino de Oeste and the Tucson-Ajo Highway. This evidence showed that the property could not be partitioned in kind without depreciating its value.
As for the 100 acres, it was zoned for residential use. Because of a slope ordinance, residential units could be built on approximately 45 acres out of the 100. While the remaining acres could not be built upon, their area could be counted in aggregating the number of units that could be built on the 45 buildable acres. There was testimony that a great deal of engineering work would have to be done on all the property in order to properly divide the property. The trial court found that the parties were unable to deal with each other in their best interests, which was quite evident from the attitude of the parties towards each other at the trial. Furthermore, the trial court found that there was a problem with access to a portion of the property and that partition of the property would destroy the value of the whole.
The findings of the trial court relative to the 100 acres is supported by the evidence and falls within that part of A.R.S. § 12-1218(B) that states that the court can de cree a sale if for any reason a sale is more beneficial to the parties or any of them. The court was obviously of the opinion that there might be problems as far as getting the parties to cooperate in the division of property and in providing access to portions of it and it did not err in ordering the sale of the property.
Affirmed.
HATHAWAY and BIRDSALL, JJ., concur.
. Appellants raised another theory in their reply brief as to why the amount should not have been charged to Susan. It is improper to raise new issues in the reply brief. Cathemer v. Hunter, 27 Ariz.App. 780, 558 P.2d 975 (1976). We decline to consider the new issue.
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OPINION
JACOBSON, Presiding Judge.
Under what circumstances may the Arizona Corporation Commission delete a portion of the certificated area held by a public service corporation? This is the narrow issue presented by this appeal.
Appellant, the James P. Paul Water Company (Paul) is the holder of a certificate of convenience and necessity to supply domestic water within a certificated area which includes approximately 240 acres situated in the area of Pinnacle Peak Road and Hayden Road in Maricopa County, Arizona. At the time Paul obtained its certificate and at the time of hearing, this area was undeveloped.
On August 31, 1976, appellee-intervenor, Pinnacle Paradise Water Company (Pinnacle), which holds a certificate of convenience to supply domestic water to an area adjoining the 240 acres in question (hereinafter referred to as the subject property), filed a petition with the Arizona Corporation Commission seeking to delete the subject property from the certificated area served by Paul and add the subject property to the certificated area of Pinnacle.
These petitions gave rise to an order to show cause issued to Paul, requiring Paul to appear and show cause why the requested deletion should not occur. Hearings were held before the Commission on December 9, 1976, which resulted in a majority opinion and order deleting the subject property from Paul’s certificate of convenience and necessity.
Following the denial of a motion for rehearing, Paul filed a complaint in the Superior Court of Maricopa County on April 4, 1977, seeking to set aside the Commission’s order. Pinnacle was allowed to intervene in that action and is the principal litigant in these proceedings. The superior court on October 9,1979, entered judgment upholding the Commission’s order and Paul has appealed.
The facts necessary to dispose of the legal issues presented are not in material dispute. Paul was certified to serve the disputed area in 1969 or 1970. At the time of the hearing, Paul was supplying water to the Rawhide Complex, several households in the area and two riding stables. Water for this purpose was supplied from a relatively small well, in which Paul had installed 8" pipes in anticipation of expansion to serve the entire certificated area. Paul has the necessary financial resources for expansion into the subject property and has stood ready, willing and able to service the area upon demand.
Jerry Nelson is the sole owner of Pinnacle and a 50% owner in a joint venture known as North Valley Investors, which has extensive plans to develop the subject property. These include developing residential homes and a resort. As a result of this projected development, Pinnacle increased its water service capacity. Thus, the Commission was able to find that Pinnacle had “facilities and water plant highly developed in an area contiguous to the area in question”; “there is sufficient water from the present facilities of [Pinnacle] to service the present certificated area of Pinnacle Paradise as well as the area presently in question”; and that “the facilities of [Pinnacle] could be extended into the area in question at a relatively low cost.”
In contrast the Commission found that “the well presently operated by [Paul] has insufficient water supply to service the area in question”; and the Commission was “not in any way convinced that the facilities of [Paul] could be extended at a reasonable cost, nor that service could be provided to the area in question by [Paul], except upon the building of an entirely new system.”
It appears that prior to Pinnacle’s petition to delete, no demand had been made upon Paul to supply service to the subject property. Approximately one month prior to the hearing, North Valley Investors informed Paul of its anticipated water needs. A request by Paul for engineering plans and specifications to verify these needs apparently went unheeded.
As previously indicated, Paul presented evidence that it was financially capable of providing the needed service to the subject property and was ready, willing and able to so provide this service.
It is Paul’s basic position on appeal that being a holder of a certificate of convenience and necessity for the subject property, the subject property could not be deleted from its franchise area absent a finding that Paul was either unwilling or unable to provide the franchise service required. Accordingly, Paul contends that since no such finding was made, or was capable of being made under the evidence, the Commission’s order of deletion is unlawful.
Pinnacle on the other hand contends that the Commission has lawful authority to delete an area from a certificate of convenience and necessity any time the Commission finds that the “public interest” so requires. Pinnacle then argues that the “public interest” would best be served by having it, with its present capacity in place, provide that service.
These contrasting contentions put in sharp focus the policy considerations underlying the rights flowing from the issuance of a certificate of convenience and necessity by the Corporation Commission.
In order to isolate these policy considerations, a brief historical review of the development of the law in this area is in order.
We start with the major policy decision enunciated in Corporation Commission v. Peoples Freight Line, Inc., 41 Ariz. 158, 16 P.2d 420 (1932), that the issuance of certificates of convenience and necessity under the statutory system adopted in Arizona gave the certificate holder a monopoly (regulated by the Commission as to rates, etc.) to supply the service within the certificated area. Tangentially to the protection of this monopoly, the Corporation Commission lacked lawful authority to allow another private public service company to provide competing services in that certificated area, without a showing that the service provided by the certificate holder was not ample in quantity, unsatisfactory in character, or unreasonable in price.
In order to give effect to this policy, the Commission is statutorily required in the first instance to investigate all applicants for certification, see, A.R.S. §§ 40-281 to 285 and to issue such a certificate only when there has been an adequate showing that the issuance will serve the “public interest.” Pacific Greyhound Lines v. Sun Valley Bus Lines, 70 Ariz. 65, 216 P.2d 404 (1950).
Thus, the Commission in issuing the certificate of convenience and necessity is performing a judicial function, and when issuance is final, it is accorded res judicata effect, that is, that the issuance of the certificate is in the “public interest.” Pacific Greyhound Lines v. Sun Valley Bus Lines, supra; Arizona Corporation Commission v. Tucson Insurance and Bonding Agency, 3 Ariz.App. 458, 415 P.2d 472 (1966).
At this point, it is clear that a holder of a certificate of convenience and necessity occupies the following legal position:
(1) That the service provided in the area certificated is in the public interest; and
(2) That as long as satisfactory service is supplied, it holds the exclusive right to supply the service.
However, as part and parcel of the regulatory authority of the Commission over public service corporations, A.R.S. § 40-252 provides, in part, that:
The Commission may at any time, upon notice to the corporation affected, and after opportunity to be heard as upon a complaint, rescind, alter or amend any order or decision made by it.
This appeal squarely puts in issue, given the rights of a certificate holder, what legal basis must exist before the Commission may exercise the authority granted by A.R.S. § 40-252 by deleting service areas from an existing certificate of convenience and necessity.
This issue appears to have been fully answered in Application of Trico Electric Cooperative Inc., 92 Ariz. 373, 377 P.2d 309 (1962). In Trico, at issue was the validity of a Commission order which removed a portion of the area serviced by Trico and included that area in a certificate of convenience and necessity held by Tucson Gas & Electric. The Arizona Supreme Court framed the issue thusly:
Whether this court will apply the principle of regulated monopoly in favor of Trico is now squarely presented for decision.
92 Ariz. at 384, 377 P.2d at 317. The Supreme Court resolved this issue by holding:
We hold that the Corporation Commission was under a duty to Trico to protect it in the exclusive right to serve electricity in the region where it rendered service, under its certificate. The Commission was under [a] duty to prohibit a private utility under its jurisdiction from competing in that area, unless, after notice and an opportunity to be heard, it shall have been made to appear that Trico failed or refused to render satisfactory and adequate service therein, at reasonable rates.
92 Ariz. at 387, 377 P.2d at 319. (Emphasis added).
Pinnacle argues that the regulated monopoly premise upon which Trico was decided has been eroded by a subsequent Supreme Court decision in Davis v. Corporation Commission, 96 Ariz. 215, 393 P.2d 909 (1964), which substituted a “public interest” test to be applied in determining whether a certificate of convenience and necessity may be amended by the Commission. This argument is based upon the following language of Davis:
Appellant misconceives the fundamental nature of the Certificate of Public Convenience and Necessity, and the implications of the theory of regulated monopoly which has been adopted in Arizona. The monopoly is tolerated only because it is to be subject to vigilant and continuous regulation by the Corporation Commission, and is subject to rescission, alteration or amendment at any time upon proper notice when the public interest would be served by such action.
96 Ariz. at 218, 393 P.2d at 911. (Emphasis added).
In our opinion, in order to determine what is the “public interest” referred to in Davis, it is necessary to place Davis in its proper factual context. Davis involved litigation to determine which entity would supply water to the Apache Junction area of Pinal County, Superstition Water Company or Davis Water Company. This issue was the subject of four Commission orders which transferred the disputed area back and forth between Davis and Superstition. Finally, the Commission determined that its previous orders which gave the area to Davis were based upon an erroneous conclusion and testimony. Specifically, the Commission found that Davis had not undertaken to supply water to the disputed area; that it lacked facilities to do so; and that Superstition could supply the area at lower rates to consumers.
It does not appear that Davis contested these findings, but rather contended that once an area was certificated, the Commission lacked authority to delete it and that the Commission was “estopped” to revoke its previous order. The Supreme Court properly rejected both arguments based upon A.R.S. § 40-252 and upon the well-founded principle that:
While the Commission may not act arbitrarily, it has the same power to revoke a certificate as it has to issue it, upon due cause being shown. (Quoting from Paradise v. Pennsylvania Public Utility Commission, 184 Pa.Super 8, 17, 132 A.2d 754, 759 (1957).)
96 Ariz. at 219, 393 P.2d at 911.
However, the “public interest” that existed in Davis to delete the certificated area from Davis’ certificate (inadequate service at unreasonable rates) is the same “public interest” referred to in Trico which protects the monopolistic character of a certificate of convenience and necessity as long as the certificate holder continues to “render satisfactory and adequate service therein, at reasonable rates.”
Pinnacle also cites Arizona Corporation Commission v. Arizona Water Company, 111 Ariz. 74, 523 P.2d 505 (1974), for the proposition that the “public interest” should control whether certificates of convenience can be amended by deleting territory from a certificated area. In Arizona Water Company, the Commission deleted a portion of the area formerly held by the Arizona Water Company under its certificate. The Arizona Water Company appealed and the Arizona Supreme Court affirmed a trial court ruling that rescinded the Commission’s order of deletion. In doing so, the Court noted that Arizona Water Company was ready, willing and able to supply water to the disputed area; that it had made substantial investments in anticipation of supplying the area; and that it appeared Arizona Water Company could supply water at a more reasonable rate than a competitor.
Thus the Arizona Supreme Court upheld the trial court’s determination that the Corporation Commission lacked evidence:
... which would justify deleting the area in dispute from Arizona Water Company’s certificate of convenience and necessity and that to delete the area from Arizona Water Company’s certificate would cause a duplication of facilities and be costly and detrimental to water consumers in the area.
111 Ariz. at 77, 523 P.2d at 508.
The “public interest” spoken of in Arizona Water Company was the right of the certificate holder to supply the area as long as the service was satisfactory and the rate reasonable.
We therefore conclude from this review that the basic principles enunciated in Trico are still applicable in Arizona, that is, that .in the first instance, it is in the “public interest” that a certificate holder enjoys a monopoly to supply the certificated service to the area designated by the certificate of convenience and necessity and that the public interest in maintaining that monopoly is overcome only upon a showing that the certificate holder is either unwilling or unable to provide the service or that the service provided would result in unreasonable charges to the consumer of the service.
In our opinion, the underlying rationale of the public interest in maintaining a monopoly is well illustrated in this case. Paul was willing, at a time when it was marginally economical to supply water to a sparsely populated area, to undertake that responsibility upon the expectation of a financially rewarding future need for its service. If a competitor, based upon “insider” information is able to upgrade its system and based solely upon that consideration, defeat Paul’s reasonable expectations, future “Paul Water Companies” will not be willing to provide the service in the first instance, thus the public will suffer.
We therefore hold that absent an evidentiary showing that Paul was unable or unwilling to supply water to the subject property or that the rate for such service would be unreasonable, the Commission was without legal authority to delete the subject property from Paul’s certificate of convenience and necessity.
We find that the Commission’s conclusion that Paul’s present system is “inadequate” does not completely answer the question. Rather, the issue was whether Paul could provide service to the area at a reasonable cost, not whether its present capacity is inadequate. This issue was simply not addressed by the Commission. We further find that the Commission’s conclusion that it was not “convinced” Paul could supply the needed service at a reasonable cost is not supported by the evidence presented at the hearing.
Since we decide this issue on the merits, we do not reach the issue raised by Paul that it was denied due process under the notice given by the order to show cause issued in this matter.
The judgment of the trial court is reversed and the matter remanded with directions to the superior court to order the matter remanded to the Commission for further proceedings consistent with this opinion.
GRANT, J., and RICHARD M. DAVIS, Judge Pro Tern., concur.
NOTE: The Honorable Richard M. Davis, a Judge pro tempore of a court of record, has been authorized to participate in this matter by the Chief Justice of the Arizona Supreme Court, pursuant to Arizona Const, art. VI, § 20.
|
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CAMERON, Justice.
Defendant was convicted of one count of burglary, second degree, former A.R.S. § 13-302, and one count of grand theft, former A.R.S. § 13-661, and received concurrent sentences of twenty years to life for the burglary, and nine to ten years for the grand theft. The defendant unsuccessfully appealed the convictions and sentences to the Court of Appeals, Division Two, 125 Ariz. 51, 607 P.2d 34 (App.1980). Defendant petitioned this court for a delayed appeal, and for review of his post conviction petition pursuant to Rule 32, Arizona Rules of Criminal Procedure, 17 A.R.S. We granted defendant’s petition because the Court of Appeals lacked jurisdiction to consider the appeal since the penalty actually imposed was life imprisonment, and exclusive appellate jurisdiction lies in this court. A.R.S. §§ 12-120.21(A)(1) and 13-4031. See also Arizona Constitution, Article 6, Section 5(3).
We must resolve the following issues:
1. Did the trial court comply with Rule 17, Rules of Criminal Procedure, 17 A.R.S., in accepting defendant’s admission of a prior felony conviction?
2. Was defendant denied effective assistance of counsel?
3. Was defendant’s right to trial by an impartial jury violated?
The facts necessary for a resolution of these issues are as follows. The defendant was charged with three counts of burglary and three counts of grand theft. Less than 20 days before trial, the State filed two motions for leave to add two allegations of prior convictions. These motions were granted by the trial court. Defendant personally denied the prior conviction in Graham County, but admitted, through his attorney, a prior conviction in Cochise County.
After returning guilty verdicts in the present case, the jury heard the State’s evidence concerning the allegation of the defendant’s prior conviction in Graham County, and found this allegation to be true. The trial court sentenced defendant to a minimum of twenty years and maximum of life imprisonment for second-degree burglary, and a minimum of nine years and maximum of ten years for theft, both sentences to be served concurrently. The sentences were enhanced by the prior convictions, pursuant to former A.R.S. § 13-1649 (now § 13-604).
Defendant appealed to the Court of Appeals, Division Two, and briefs were filed by both parties. The Court of Appeals, which was without jurisdiction under A.R.S. § 13-4031 and § 12-120.21(A)(1) to hear this case, nevertheless issued an opinion on 8 February 1980 upholding the trial court’s decision. State v. Bernal, 125 Ariz. 51, 607 P.2d 34 (App.1980).
Numerous post-conviction petitions were filed by defendant in the trial court without success. A petition for special action was filed with this court on 10 September 1982. Noting the jurisdictional defect, we vacated by order the Court of Appeals decision granting defendant a delayed appeal to this court. On 7 January 1983 defendant additionally filed a petition for post-conviction relief in the trial court. Defendant requested, and we granted, a stay of his appeal pending resolution of this petition. The trial court dismissed defendant’s petition, and we consolidated his delayed appeal with a review of the dismissal of his petition for Rule 32 relief.
PRIOR CONVICTION
First, defendant argues that the trial court did not comply with Rule 17.6, Arizona Rules of Criminal Procedure, 17 A.R.S., in accepting defendant’s plea of guilty to the prior conviction in Graham County. The Rule states:
Whenever a prior conviction is charged, an admission thereto by defendant shall be accepted only under the procedures of [Rule 17], unless admitted by the defendant while testifying at trial.
Under Rule 17 the trial court must:
determine that [defendant] understands the following:
a. The nature of the charge to which the plea is offered * * *;
b. The nature and range of possible sentence for the offense to which the plea is offered;
c. The constitutional rights which he foregoes by pleading guilty or no contest, including his right to counsel if he is not represented by counsel; and
d. His right to plead not guilty. Rule 17.2, Arizona Rules of Criminal Procedure, 17 A.R.S.
Thus the court must “advise a defendant of his rights and of the consequences of pleading guilty * * *.” State v. Canaday, 119 Ariz. 335, 336, 580 P.2d 1189, 1190 (1978). Our rules and case law comply with the United States Supreme Court in this area. Boykin v. Alabama, 395 U.S. 238, 243, 89 S.Ct. 1709, 1712, 23 L.Ed.2d 274, 279 (1969). See also State v. Ellis, 117 Ariz. 329, 333, 572 P.2d 791, 795 (1977); State v. Cuthbert-son, 117 Ariz. 62, 64, 570 P.2d 1075, 1077 (1977).
In the instant case, the court addressed the defendant through an interpreter. Although the court informed the defendant of the possible results of the plea, there was no dialogue whatsoever between the defendant and the judge concerning defendant’s understanding of the statement of the court and the various rights he was forgoing by admitting the prior conviction. The only question asked of the defendant was:
THE COURT: * * * Now, having advised you of these rights, do you wish to admit or deny the allegation of the prior conviction in Cochise County?
MR. DeFRANCESCO [defendant’s attorney]: He admits the allegation of the prior conviction in Cochise County.
We do not believe this procedure complies with our rule or federal and state case law. The admission was made by defendant’s attorney rather than by defendant personally, and the record does not show that the defendant understood the procedure, the rights he was waiving, or did in fact agree with his counsel. Admittedly, we have held under former Rule 180, Rules of Criminal Procedure, 17 A.R.S.:
It is commonplace for an accused to speak and act through his attorney. The attorney-client relationship has been described as one of agency and general laws of agency apply, [citation omitted] When an accused is present in a courtroom, the trial judge is entitled to rely on, and the accused is bound by, the actions and concessions of his attorney. State v. Brown, 107 Ariz. 252, 255, 485 P.2d 822, 825 (1971).
We might be persuaded to hold the same in this case if the defendant spoke English and we could assume he understood the admonition of the judge, the statements of his attorney, and the dialogue between the two. Here the defendant remained silent throughout the entire proceeding concerning admission of the alleged prior conviction. The admission is therefore set aside.
This does not mean, however, that the enhanced punishment must also be set aside. The jury also found the defendant had a second prior conviction, and if that is valid, the enhanced punishment was properly imposed by the court.
As to the second prior conviction, defendant challenges the introduction of “mug shots” and certified records of fingerprints to prove the prior conviction in Graham County. This hearing took place before the jury, after the defendant had been found guilty of the crime charged, as provided by Rule 19.1(b), Arizona Rules of Criminal Procedure, 17 A.R.S.. Introducing mug shots in an effort to prove a prior conviction is not impermissible, and we have allowed such an introduction in previous cases. State v. McGonigle, 103 Ariz. 267, 272, 440 P.2d 100, 105 (1968), rehearing on different grounds sub. nom, State v. Allen, 105 Ariz. 267, 463 P.2d 65 (1969); State v. Baca, 102 Ariz. 83, 87, 425 P.2d 108, 112 (1967). The introduction of a certified copy of defendant’s fingerprints is also permissible. See Rule 902(4), Arizona Rules of Evidence, 17A A.R.S. (Supp.1982-83); State v. Piedra, 120 Ariz. 53, 58, 583 P.2d 1373, 1378 (App.1978). We find no error.
The defendant also contends that the State did not file the allegation of defendant’s prior convictions in accordance with the Arizona Rules of Criminal Procedure and former A.R.S. § 13-1649(C). Defendant refers us to two rules of criminal procedure: Rule 13.5 and Rule 16.1. Rule 13.5 allows a prosecutor to amend an indictment to add an allegation of prior conviction, and Rule 16.1 states that “all motions shall be made no later than 20 days prior to the date set for trial.” Rule 16.1, Arizona Rules of Criminal Procedure, 17 A.R.S. The state admitted that both motions were filed less than 20 days prior to trial.
Rule 16.1(b), however, must be read with Rule 16.1(a), which provides that the Rule 16.1(b) time period is applicable to the present case, unless another rule (or statute) specifically governs the situation. Former A.R.S. § 13-1649(C) specifically provided:
The Court in its discretion may allow the allegation of a prior conviction at any time prior to trial, provided that when the allegation is filed, the state must make available to the defendant a copy of any material or information concerning the prior conviction.
We have stated in interpreting this statute:
During the time period set forth in [Rule 16.1], the filing of the allegation of prior conviction is solely within the discretion of the prosecutor. Thereafter, when an allegation of prior conviction is filed, the court may exercise its discretion as set forth in A.R.S. § 13-1649(C). State v. Birdsall, 116 Ariz. 112, 114, 568 P.2d 419, 421 (1977).
In the instant case the State alleges that the defendant was notified through discovery material, provided defendant over two months before trial, that the prosecutor intended to allege the defendant’s prior conviction when the State obtained sufficient information to do so. Although the record before us does not contain this material, the statement was not contested by the defendant in his reply brief.
Under the circumstances, we do not believe the trial court abused its discretion by allowing a late filing of the allegation of a prior conviction. A.R.S. § 13-1649(C) also required that the State “make available to the defendant a copy of any material or information obtained concerning the prior conviction.” It is evident from the record that the State complied with this requirement. We find no error.
EFFECTIVE ASSISTANCE OF COUNSEL
We note that this allegation was the subject of a Rule 32 petition by the defendant, which was dismissed by the trial court. We do not find that the defendant was inadequately represented by counsel. The defendant has not, however, been afforded the opportunity to have a hearing on this allegation, as his attempt to have such a hearing was foreclosed by the dismissal of his petition for a Rule 32 hearing. See State v. Watson, 134 Ariz. 1, 653 P.2d 351 (1982).
We therefore hold that the matter must be remanded to the trial court for a Rule 32 hearing on defendant’s allegation of ineffective assistance of counsel.
JURY SELECTION AND POSSIBLE DISCRIMINATION
Defendant further alleges that the jury was neither properly selected, nor impartial.
A.R.S. § 21-312 requires that jurors names be “publicly drawn from the master jury box or master jury wheel * * *.” In the present case, an employee in the court clerk’s office drew the prospective jurors’ names from a qualified jury box while seated at her desk in the clerk’s office. The employee’s desk was behind a counter, and this desk was in plain view of anyone standing in front of the counter. The public was allowed to stand in front of the counter and view the drawing of the jurors’ names. Defendant argues that since the names were not actually “called out loud,” the drawing was not a public drawing. We disagree. Although announcing “out loud” the names drawn is obviously the better practice, it is not required by A.R.S. § 21-312. According to the record, the drawing was held in plain view of any person who wished to observe the drawing, and was therefore a public drawing.
Defendant also contends that his right to an impartial jury was violated because of the thirty-eight names drawn for his jury list, only two were Hispanic, and only one Hispanic juror actually sat on the jury panel. At the time of trial, juries in this state were compiled through the use of voter registration lists.
To prove a prima facie case of lack of impartial jury selection, defendant must meet a three-pronged test. First, defendant must prove that the group allegedly excluded is a distinct class. Duren v. Missouri, 439 U.S. 357, 364, 99 S.Ct. 664, 668, 58 L.Ed.2d 579, 587 (1979); Castaneda v. Partida, 430 U.S. 482, 494, 97 S.Ct. 1272, 1280, 51 L.Ed.2d 498, 510 (1977). Second, the defendant must demonstrate through statistical analysis, “the percentage of the community made up of the group alleged to be underrepresented, for this is the conceptual benchmark for the Sixth Amendment fair cross-section requirement.” Duren v. Missouri, supra, 439 U.S. at 364, 99 S.Ct. at 668, 58 L.Ed.2d at 587; see also Castaneda v. Partida, supra, 430 U.S. at 494, 97 S.Ct. at 1280, 51 L.Ed.2d at 510. Third, defendant must show that the group was “systematically excluded” during the selection process. Duren v. Missouri, supra, 439 U.S. at 364, 99 S.Ct. at 668, 58 L.Ed.2d at 587; Castaneda v. Partida, supra, 430 U.S. at 494, 97 S.Ct. at 1280, 51 L.Ed.2d at 570-71.
Whether defendant met the first two prongs of this test is questionable. Defendant never asked the trial court to take judicial notice of the fact that Hispanics are a distinct group, which the court easily could have done. Neither did defendant present any statistical evidence demonstrating the percentage of Hispanics in Cochise County, the place of trial. It is arguable, however, that the court took judicial notice of a particular percentage:
MR. DeFRANCESCO: I received the [jury] list this morning, and what disturbs me is that I note one Hispanic name on the entire list.
In a county with the nature of Cochise County, the City of Douglas, the City of Bisbee,- and other parts of the county, with a heavy Mexican-American population, this county is, and the Court can almost take judicial notice—
THE COURT: 30 to 40 percent [Hispanic],
But even if we could say that defendant carried his burden concerning the first two prongs of the test, defendant clearly did not carry his burden concerning the third prong, as he failed to prove sys tematic exclusion of Hispanics from the jury list:
Mere observation that a particular group is underrepresented on a particular panel does not support a constitutional challenge. [citation omitted] One is not entitled to a jury composed of the exact proportion of one’s race which exists in the general population.
* * * * * *
Jurors in Arizona are selected at random from voter registration lists. * * * The use of voter registration lists as the sole source of the names of potential jurors is not constitutionally invalid, absent a showing of discrimination in the compiling of such voter registration lists, [citations omitted] Those who do not choose to register to vote cannot be considered a “cognizable group.” Their nonregistration is a result of their own inaction; not a result of affirmative conduct by others to bar their registration, [citations omitted] State v. Lee, 114 Ariz. 101, 103, 559 P.2d 657, 659 (1976). Accord, State v. Lujan, 124 Ariz. 365, 369, 604 P.2d 629, 633 (1979).
Since defendant did not prove systematic exclusion, we find no violation of defendant’s constitutional right to an impartial jury.
We have examined the record for fundamental error as required by A.R.S. § 13-4035 and find none.
The defendant’s convictions and sentences are affirmed. The matter is remanded to the trial court for a hearing pursuant to Rule 32, Arizona Rules of Criminal Procedure, 17 A.R.S., to consider defendant’s allegation on ineffective assistance of counsel.
HOLOHAN, C.J., GORDON, Y.C.J., and HAYS and FELDMAN, JJ., concur.
|
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OPINION
BIRDSALL, Judge.
The appellant was found guilty of conspiracy, transportation of cocaine and possession of cocaine for sale, the cocaine having a value over $250. He was given concurrent presumptive prison sentences of seven years on each count.
The case against the appellant arose out of an authorized wire tap of a Tucson phone. Over 1,000 calls were intercepted, 24 of which pertained to the appellant. The tapes and transcripts of these calls, made during a period from August 29 through September 19, 1979, were admitted in evidence. Since narcotics dealers have a language of their own, it was necessary that a trained police officer translate the taped conversations.
The evidence established that the appellant agreed to supply cocaine to co-conspirators Thomas Lowe and Nancy Sweat in Tucson. It was the Lowe-Sweat telephone which was the subject of the electronic surveillance. Cindy and Mary Martin were minor co-conspirators, acting, more or less, as go-betweens in the transaction. Cindy Martin, under a grant of use immunity, was the only witness to testify other than the officers. She identified the appellant as the person who agreed to supply cocaine for resale to one Larry Anderson and who brought the narcotic to Tucson on September 18, the date of the sale to Anderson. The Martin apartment on East Seneca in the city was used for the transaction rather than the Lowe-Sweat foothills residence. The apartment became the subject of a visual surveillance. Detective Eugene Ana-ya saw the appellant come to the apartment on the 18th and also saw him leave. The police attempted to follow his car when he left, but he successfully shook them. However, while he was at the residence, Anaya was able to see him clearly with binoculars. When Anaya recognized him about a month later, he was arrested.
The opening brief in this appeal urges that 1) the admission of four intercepted calls of September 19 was error since the delivery of the cocaine occurred on the 18th, ending the conspiracy;
2) the admission of any of the tapes violated the appellant’s Sixth Amendment right to confront and cross examine witnesses;
3) there was no independent proof of the conspiracy as to at least one of the co-conspirators;
4) the evidence was insufficient to support a conviction;
5) the officer-expert witness should not have been allowed to decode the conversations; and
6) the court erred in giving an instruction.
The state’s answering brief responds that the appellant had waived any error as to issues 1, 2 and 6. The appellant, represented by different counsel on appeal than at trial, then moved our court to suspend this appeal to permit him to pursue post-conviction relief in the trial court on the issue of ineffective assistance of counsel. The trial court denied any relief. Judge Meehan in fact found, after an evidentiary hearing, that not only did trial counsel's representation satisfy the former Arizona standard of “farce, sham or mockery”, State v. Alaffa, 126 Ariz. 573, 617 P.2d 525 (1980), trial counsel was reasonably competent and effectively represented the defendant, see Cooper v. Fitzharris, 586 F.2d 1325 (9th Cir.1978), cert. denied, 440 U.S. 974, 99 S.Ct. 1542, 59 L.Ed.2d 793 (1979). Since this appeal was still pending as of October 18, 1982, the effectiveness of counsel must be tested by the new Arizona standard pronounced in State v. Watson, 134 Ariz. 1, 653 P.2d 351 (1982); State v. Nunez, 135 Ariz. 257, 660 P.2d 858 (1983). This standard requires that the record demonstrate that counsel showed at least minimal competence in representing the criminal defendant. The burden is on the defendant to prove by a preponderance of the evidence that counsel’s representation did not meet the minimal competence standard. Watson, supra.
We believe this is an area in which we should give great weight to the conclusions of the trial judge. Here, the judge had no opportunity to consider the quality of counsel’s performance under the new standard since Watson had not been decided and is cited to us only in the appellant’s reply brief filed after the decision denying post-conviction relief. The Watson court does not address the question of whether the new Arizona standard is more, or less, demanding than the Cooper v. Fitzharris, supra, standard. Watson places the focus of review on standards rather than effectiveness. However, Cooper really involved a dual test, competence and effectiveness. The test for competency was reasonableness, i.e., was counsel reasonably competent? We believe any representation which was reasonably competent would also satisfy the test of minimal competence. Therefore we place great weight on that part of the finding of the trial court here that trial counsel was “reasonably competent.”
We will consider all the issues presented both with regard to the ineffective assistance argument as to issues 1, 2 and 6 and substantively.
Appellate counsel argues that trial counsel was “ineffective” because he failed to object to the admission of the phone conversations including those after the transaction on September 18 and the instruction. The appellant agrees that these alleged errors were waived. We do not believe either the admission of the evidence or the instruction was error and therefore cannot agree that any lack of minimal competence is shown.
Since we do agree with both parties that any objection to the admission of the intercepted calls was waived, we next con sider whether the admission was fundamental error. State v. Viertel, 130 Ariz. 364, 636 P.2d 142 (App.1981).
The taped conversations were admissible as statements of a co-conspirator during the course and in furtherance of the conspiracy. Rule 801(d)(2)(E), Arizona Rules of Evidence, 17A A.R.S.; State v. Politte and Zucker, 136 Ariz. 117, 664 P.2d 661 (App.1982); State v. Ferrari, 112 Ariz. 324, 541 P.2d 921 (1975). If the conversations were offered to prove the truth of any material fact asserted therein, then they would be hearsay and might not come within the Rule. They were not. Neither a hearsay nor a confrontation question arises when evidence has been admitted solely for the purpose of proving that certain words were spoken. Dutton v. Evans, 400 U.S. 74, 91 S.Ct. 210, 27 L.Ed.2d 213 (1970). It is next to impossible to question whether recorded words were spoken. Other questions, such as their meaning, who was speaking, and when and why the words were spoken, are all subject to other proof. Generally, one cannot confront and cross-examine a tape recorder. All of the voices were identified by Cindy Martin. Her voice was one of those recorded. She also testified concerning when and why the words were spoken and, together with detective Bustamante, explained the meaning of some of the words. She was confronted and cross-examined. Under these facts we find no fundamental error in the admission of the tapes.
We believe we should address the appellant’s argument that the tapes are inadmissible under State v. Speerschneider, 25 Ariz.App. 340, 543 P.2d 461 (1975). Initially, we note that Speerschneider was decided prior to the adoption of the Arizona Rules of Evidence in 1977. We next note as more important to our analysis here that Speerschneider involved the responses to two questions asked by an undercover narcotics officer. The conspirator told the officer that his “connection” was John and his phone number was 266-1101. This evidence was offered to prove that John Speerschneider was the connection. We believe for this reason the reliability analysis in Speerschneider was made. Speerschneider does not hold that statements of co-conspirators are inadmissible unless the declarant is available to testify. It does hold that given those circumstances the court must determine whether other indicia of reliability are present before admitting eo-conspirator statements. As we have indicated, we believe this qualification of Rule 801(d)(2)(E), Arizona Rules of Evidence, 17A A.R.S., applies only when the statements are truly hearsay. See Ohio v. Roberts, 448 U.S. 56, 100 S.Ct. 2531, 65 L.Ed.2d 597 (1980).
The four conversations on September 19 referred to an object of the conspiracy, the re-sale to Anderson. He was apparently complaining about the quality of the cocaine. We believe these conversations were in furtherance of the conspiracy, and there was no error in their admission. See State v. Darby, 123 Ariz. 368, 599 P.2d 821 (App.1979). See also State v. Lockner, 20 Ariz.App. 367, 513 P.2d 374 (1973); State v. Gretzler, 126 Ariz. 60, 612 P.2d 1023 (1980).
There is also no merit in the appellant’s argument that no evidence independent of the co-conspirator’s statements shows .the conspiracy. The testimony of Cindy Martin established the conspiracy. It does not matter that she testified after the tapes were admitted. Independent proof of the conspiracy can be shown after the statements are admitted. State v. Ferrari, supra. The trial judge has discretion in the order of proof. The appellant specifically argues that no evidence other than that on the tapes shows that Anderson was involved. Yet taped conversations with him were admitted. This is not unusual, nor does it mean the admission of the tapes was error. What Anderson said about buying the cocaine was not offered for the truth of the words spoken but rather to prove that the words were spoken. The words had independent legal significance. M. Udall & J. Livermore, Law of Evidence, § 122 (1982).
The instruction properly informed the jury of one facet of the law of conspiracy and was not objectionable. The instruction was:
“A person may be guilty of conspiracy, even though he has a limited knowledge as to the scope of the conspiracy and no knowledge or details of the plan of operation in furtherance thereof, or the membership in the conspiracy or part played by each member and division of the spoils. However to sustain a conviction the defendant must know the general purpose of the conspiracy.”
See United States v. Knight, 416 F.2d 1181 (9th Cir.1969); Miller v. United States, 382 F.2d 583 (9th Cir.1967), cert. denied, 390 U.S. 984, 88 S.Ct. 1108, 19 L.Ed.2d 1285 (1968), reh’g denied, 391 U.S. 971, 88 S.Ct. 2037, 20 L.Ed.2d 1378 (1968).
From what we have already said it is obvious that the evidence was sufficient to support the convictions. The only arguable question is whether the substance involved was actually cocaine. None of the substance involved was seized and therefore there were no chemical tests. The nature of the drug was shown only through circumstantial .evidence. We believe this is sufficient. The record shows that cocaine was the narcotic to be furnished, co-conspirator Lowe paid $2,300 an ounce for it, the purchaser, Anderson, complained of its quality but not whether it was or was not cocaine, and he used it.
The expert testimony interpreting the drug language was properly admitted. It assisted the jury in understanding the evidence. See State v. Salazar, 27 Ariz.App. 620, 557 P.2d 552 (1976); State v. Williams, 132 Ariz. 153, 644 P.2d 889 (1982).
Affirmed.
HOWARD, C.J., and HATHAWAY, J., concur.
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OPINION
MARONEY, Judge.
On March 28, 1989, the United States Supreme Court rendered its decision in Davis v. Michigan Department of Treasury, 489 U.S. 803, 109 S.Ct. 1500, 103 L.Ed.2d 891 (1989). The Davis decision held, as contrary to federal law, certain provisions of Michigan law governing state taxation of income. Michigan imposed a tax on the pension benefits of federal retirees, while exempting from tax similar benefits enjoyed by State of Michigan pensioners.
There are five Plaintiffs herein. Two are retired United States military pensioners, one is a retired United States civil service pensioner, and two are spouses of the military retirees.
On May 1, 1989, Plaintiffs filed suit against the Director of the Department of Revenue, and all former Directors back through 1985. Plaintiffs alleged violations of 42 U.S.C. § 1983, and sought certification of a Plaintiff class of all federal pensioners who paid income tax to Arizona since 1985. The complaint sought a declaration of unconstitutionality, injunctive relief, and damages measured by taxes paid to Arizona on federal pensions. The complaint, as first filed, did not name the State as a Defendant, nor did it make a claim for a tax refund.
Later, the complaint was amended to add a second count alleging as unconstitutional the statute by which Arizona taxed the Plaintiffs’ federal pensions. The Department of Revenue was named as a Defendant. On the basis of this count, the Plaintiffs continue to press for a declaration of unconstitutionality, class certification, and injunctive relief. They also seek a refund of all taxes paid on federal pensions from 1984 on. In the amended complaint, the original complaint is repeated as Count 1. Both the original complaint, and the amended complaint are based on the Davis decision.
For all of the tax years material to the issues before the bench, Arizona gross income is equal to federal adjusted gross income. To determine Arizona adjusted gross income, subtractions authorized in A.R.S. § 43-1022 are made to Arizona gross income. Arizona adjusted gross income is further refined into Arizona taxable income, upon which Arizona income tax is assessed. As a result of the foregoing scheme, subtractions taken pursuant to A.R.S. § 43-1022 are exemptions from Arizona State income tax.
When the Davis decision was announced, A.R.S. § 43-1022(3) provided for a subtraction for all benefits from Arizona State retirement systems, and A.R.S. § 43-1022(4) provided for a subtraction for up to $2,500 of income from United States civil service retirement. There was no subtraction provided for pension benefits from any federal retirement program other than civil service. Military retirement income was not exempted from Arizona income tax, neither in whole nor in part.
Shortly after the Davis decision was announced, the Arizona legislature amended A.R.S. § 43-1022 to provide a subtraction for up to $2,500 of income from all federal pensions and all state pensions. Laws, 1989, ch. 312 § 12, 1989 Ariz.Legis.Serv. 1604 (West). The subtraction previously allowed in A.R.S. § 43-1022(3) was repealed. This legislative change reduced the subtraction for state pensions and instituted a subtraction for non-civil service federal pensions so that all federal and state pensions are now treated the same. The amendment to A.R.S. § 43-1022 is effective for the tax year 1989 and subsequent years.
It is safe to say that the legislature was motivated by the Davis decision to make the change that it made to A.R.S. § 43-1022. It was the intent of the amendment to reform Arizona law so that it would comply with what was mandated by Davis: that is, that both federal and state pensions be treated the same.
The Court declares that the scheme for taxing federal and state pensions, as existed before the recent amendment to A.R.S. § 43-1022, was in violation of federal law, and further, was in violation of the federal constitutional doctrine of intergovernmental tax immunity.
The Court grants summary judgment to all Defendants on Count 1, holding such Defendants have an immunity from suit under 42 U.S.C. § 1983 because the acts complained of were all done in the performance of official duty, and the Plaintiffs’ rights were not clearly established before the Davis decision.
The Court grants summary judgment to the Plaintiffs and against the Department of Revenue on Count 2 and makes such further orders in resolution of the Plaintiffs’ suit as are reflected in this decision and in the Court’s minute order of the same date.
The Court further holds that the Plaintiffs need not exhaust administrative remedies before bringing suit in this Court, and that Plaintiffs have failed to demonstrate the need for injunctive relief.
Pursuant to A.R.S. § 12-1841 and the doctrine of virtual representation, the Court directs the Department of Revenue to treat all persons who paid Arizona income tax on federal pensions for tax years 1984 through 1988 as though each such person were a Plaintiff herein. Because of the foregoing, the Court holds that certification of a Plaintiff class is neither necessary nor expedient.
The Department of Revenue is directed to refund a portion of Arizona income taxes paid by each Plaintiff, and all persons similarly situated, according to the following formula. In addition to the tax refund directed herein, the Department is to pay interest to each taxpayer at such rates as the Department pays when income tax overpayments are refunded.
To determine the amount of the refund due the taxpayer, two computations must be made. The first step is to multiply .0275 times the highest Arizona tax rate paid, times the taxpayer’s federal pension income. If income has been subtracted pursuant to A.R.S. § 43-1022(4), the amount of such income multiplied by the taxpayer’s highest Arizona rate must be subtracted from the amount determined in step one. No more tax can be refunded than was paid.
Refunds are to be made for tax years 1984 through 1988. Applications for such refunds may be made up until the first April 15th two years after this decision becomes final or until the expiration of the term provided in A.R.S. § 42-115, whichever is later.
In the balance of this opinion, the Court will discuss in detail the facts determined, and the law which applies.
Application of the Decision in Davis to the Arizona Scheme
Paul Davis, a resident of Michigan, received retirement benefits pursuant to the United States Civil Service Retirement Act. Michigan defined taxable income in a manner that excluded all retirement benefits received from the state or its political subdivisions, but included federal retirement benefits. Davis sued the Michigan Department of the Treasury for “refunds of state taxes paid on his federal retirement benefits.” Davis, 109 S.Ct. at 1503.
Davis claimed that the state’s inconsistent treatment of state and federal retirement benefits discriminated against federal retirees in violation of 4 U.S.C. § 111. The United States Supreme Court, in an opinion written by Justice Kennedy agreed with Davis.
4 U.S.C. § 111 was enacted as part of the Public Salary Tax Act of 1939. The purpose of the Public Salary Tax Act was to provide for federal income taxation of the salaries of state and local government employees. 4 U.S.C. § 111 states: .
The United States consents to the taxation of pay or compensation for personal service as an officer or employee of the United States, a territory or possession or political subdivision thereof, the government of the District of Columbia, or an agency or instrumentality of one or more of the foregoing, by a duly constituted taxing authority having jurisdiction, if the taxation does not discriminate against the officer or employee because of the source of the pay or compensation.
Justice Kennedy said the meaning of 4 U.S.C. § 111 is “unmistakable.”
It waives whatever immunity past and present federal employees would otherwise enjoy from state taxation of salaries, retirement benefits, and other forms of compensation paid on account of their employment with the Federal Government, except to the extent that such taxation discriminates on account of the source of the compensation.
Davis, 109 S.Ct. at 1505.
In analyzing the Davis opinion, one needs to consider that the typical American wage earner is subject to two governments, one the state, and one the United States. The immunity to which Justice Kennedy refers is an immunity from taxation by one government once enjoyed by the employees of the other government. This immunity was established as a corollary of the doctrine of intergovernmental tax immunity, a doctrine first advanced in McCulloch v. Maryland, 17 U.S. (4 Wheat.) 316, 4 L.Ed. 579 (1819).
The tax immunity enjoyed by state and federal employees met its virtual demise in the late 1930’s with decisions in Helvering v. Gerhardt, 304 U.S. 405, 58 S.Ct. 969, 82 L.Ed. 1427 (1938), and Graves v. New York ex rel. O’Keefe, 306 U.S. 466, 59 S.Ct. 595, 83 L.Ed. 927 (1939). Helvering held that the United States could impose a tax on the salaries of state employees, and Graves held that states could impose a tax on the incomes of federal employees.
Most of the legislative process which resulted in the passage of the Public Salary Tax Act took place after Helvering, but before Graves. According to Justice Kennedy, Congress was uncertain just what immunity might still have been available to federal employees from state taxation of their income. 4 U.S.C. § 111 was enacted to expressly waive, on behalf of the United States, whatever immunity there was to non-discriminatory taxation.
4 U.S.C. § 111 did not, however, waive all immunity from state taxation of the income of federal employees. The final clause of the statute excepts from such waiver state income taxes which discriminate on the basis of the source of the federal employee’s compensation.
In the Davis decision, the Supreme Court made three determinations that are important in applying the case to the Arizona income tax scheme. These determinations are:
[One] The retention of immunity in § 111 is coextensive with the prohibition against discriminatory taxes embodied in the modern constitutional doctrine of intergovernmental tax immunity.
Davis, 109 S.Ct. at 1506.
[Two] Michigan’s tax system discriminates in favor of retired state employees and against retired federal employees. Id. at 1507.
[Three] The Michigan Income Tax Act violates principles of intergovernmental tax immunity by favoring retired state and local government employees over retired federal employees.
Id. at 1508.
Davis suggests that the doctrine of intergovernmental tax immunity will not be violated if inconsistent tax treatment can be justified by “significant differences” between those favored and those not favored. Id. (citing Phillips Chemical Co. v. Dumas Independent School Dist., 361 U.S. 376, 80 S.Ct. 474, 4 L.Ed.2d 384 (I960)). The opinion, however, does not identify any justifiable differences.
Michigan advanced as significant differences two circumstances. First, Michigan used the promise of income tax exemption of state pensions as an inducement to obtain and keep qualified civil servants. Second, federal pay and retirement benefits were substantially better than those of Michigan. The Davis Court rejected both of these arguments. Both of these arguments were made in the present case by the Department of Revenue.
The Davis opinion does not furnish a defined standard by which to determine what relationships need exist between classes of taxpayers in order for a state tax system to be discriminatory, and therefore violative of intergovernmental tax immunity. If the Michigan and Arizona schemes were the same, the similarity would be enough to declare the Arizona system flawed.
They are not the same, however. Michigan, as far as can be told from Davis, has only two classes of taxpayers whose benefits and liabilities have to be considered. Arizona has three.
“It is undisputed that Michigan’s tax system discriminates in favor of retired state employees and against retired federal employees.” Davis, 109 S.Ct. at 1507.
The foregoing statement contains all the rationale and all of the authority to be found in the Davis opinion for its affirmative holding that the Michigan system discriminates. Such an assertive pronouncement without further explanation shouts the obvious. Any difference in the tax treatment of government service retirees is a discrimination for purposes of 4 U.S.C. § HI-
The Davis opinion defines an appropriate remedy for Michigan to be “a mandate of equal treatment.” Id. at 1509.
The income tax treatment of state and federal pensions cannot be equal if the treatment of all federal pensions is not the same. The Court finds that A.R.S. § 43-1022, subsections 3 and 4, discriminates in favor of Arizona State retirees, and against federal retirees. It also discriminates in favor of federal civil service retirees, and against other federal retirees.
Pursuant to the Arizona Uniform Declaratory Judgment Act, A.R.S. § 12-1831 et seq., the Court declares that so much of the Arizona State income tax system as was implemented by A.R.S. § 43-1022, subsections 3 and 4, as such statute existed prior to the tax year 1989, to have been in violation of 4 U.S.C. § 111, and in violation of the federal constitutional doctrine of intergovernmental tax immunity.
Motions for Summary Judgment
Count 1 of the amended complaint alleges claims against the individual Defendants based on a violation of 42 U.S.C. § 1983. According to the complaint, the individual Defendants, acting under color of state law and by dint of the enforcement power of the Arizona State income tax law, have imposed a tax on the Plaintiffs’ federal pensions. Furthermore, say the Plaintiffs, these Defendants will continue to impose such a tax. The Plaintiffs claim such acts violate rights, privileges, and immunities guaranteed the Plaintiffs under the federal Constitution.
The Defendants filed a motion to dismiss the complaint, or in the alternative, for summary judgment. The motion was supported by affidavits. The motion was filed before the complaint was amended, when the only claim pressed by Plaintiffs was a § 1983 claim.
Plaintiffs responded to the Defendants’ motion with a cross-motion for summary judgment. Plaintiffs also sought to amend the complaint, as indicated above. The motion to amend was granted. The Plaintiffs’ cross-motion for summary judgment was also supported by affidavits. Additional motions for summary relief were filed. In the course of further proceedings, much argument and authority on all issues were presented to the Court. Both parties had adequate opportunity to bring to the bench any matter they might have wished to present on the issues framed in the complaint. The Court considered the affidavits of the parties in deciding the motion and cross-motion. The Court therefore considers the motions to be cross-motions for summary judgment encompassing all claims set out in the amended complaint. Rule 12(b), A.R.C.P.; Parks v. Macro-Dynamics, Inc., 121 Ariz. 517, 519-20, 591 P.2d 1005, 1007-08 (App.1979).
The Plaintiffs’ Section 1983 Claim
There are two considerations which bear upon an evaluation of the Plaintiffs’ § 1983 claim. The legislative change in A.R.S. § 43-1022, which took place shortly after the Supreme Court opinion in Davis was published, removed as an issue in this litigation any purported civil rights violations for acts relative to tax years 1989 and after.
In addition, in all of their allegations claiming outrageous conduct by the Defendants, the Plaintiffs assume a right to total exemption from taxation of their pension income. The Court does not find that such a right exists.
In support of their motion, the Defendants argue the Court lacks jurisdiction because the Plaintiffs have failed to exhaust their administrative remedies. More will be said later about whether the Plaintiffs must exhaust administrative remedies as a pre-condition to their suit for a refund of an illegally collected tax. The Defendants’ motion, however, was directed to Plaintiffs’ § 1983 claim against the individual Defendants.
The recent decision of the Arizona Court of Appeals in Zeigler v. Kirschner, 162 Ariz. 77, 79, 781 P.2d 54, 55 (App.1989) is dispositive of Defendants’ argument. In Zeigler, the Court said, “... a state court may not condition a plaintiff’s § 1983 rights upon the exhaustion of state administrative remedies.”
In so ruling, the Court of Appeals relied on Felder v. Casey, 487 U.S. 131, 108 S.Ct. 2302, 101 L.Ed.2d 123 (1988); and Patsy v. Board of Regents of Florida, 457 U.S. 496, 102 S.Ct. 2557, 73 L.Ed.2d 172 (1982). Based on the foregoing authorities, this Court holds that the Plaintiffs need not exhaust administrative remedies before pursuing a claim against the individual Defendants premised on 42 U.S.C. § 1983.
In reviewing the original complaint, the one to which the Defendants’ motion is addressed, this Court concludes that it is directed at the individual Defendants in their individual capacities. The Department was not named as a Defendant, nor are allegations made which suggest that the thrust of Plaintiffs’ claim for relief is directed at Defendants in their “official” capacity. Plaintiffs’ memoranda in opposition to the Defendants’ motion, and in support of their own motion for judgment is consistent with the Court’s conclusion.
Nevertheless, certain allegations in the Plaintiffs’ amended complaint might leave open the issue of whether the Plaintiffs make a claim against the state, or against the individual Defendants in their official capacity. Having thus waved at these issues in passing, the Court can now quickly put them to rest.
Throughout its long meandering course, federal civil rights law has struggled with whether a state is a person and thus subject to suit under § 1983. It has also wrestled with the dichotomy of official and individual capacities. Monroe v. Pape, 365 U.S. 167, 81 S.Ct. 473, 5 L.Ed.2d 492 (1961); Fitzpatrick v. Bitzer, 427 U.S. 445, 96 S.Ct. 2666, 49 L.Ed.2d 614 (1976); Monell v. New York City Dep’t of Social Servs., 436 U.S. 658, 98 S.Ct. 2018, 56 L.Ed.2d 611 (1978); Kentucky v. Graham, 473 U.S. 159, 105 S.Ct. 3099, 87 L.Ed.2d 114 (1985). See also the differing views of the justices in concurring and dissenting opinions in Hutto v. Finney, 437 U.S. 678, 98 S.Ct. 2565, 57 L.Ed.2d 522 (1978), and Brandon v. Holt, 469 U.S. 464, 105 S.Ct. 873, 83 L.Ed.2d 878 (1985).
A recent case from the United States Supreme Court, however, has settled both of these issues, at least for the time being. “Neither a state nor its officials acting in their official capacities are ‘persons’ under § 1983.” Will v. Michigan Dep’t of State Police, — U.S. —, 109 S.Ct. 2304, 105 L.Ed.2d 45 (1989). Based on Will, this Court holds that the Plaintiffs have no claim based on 42 U.S.C. § 1983 against the State or against the individual Defendants in their official capacities.
The Court now considers the Plaintiffs’ claim for money damages against the indi vidual Defendants. These Defendants have raised the defense of a qualified immunity.
In Scheuer v. Rhodes, 416 U.S. 232, 94 S.Ct. 1683, 40 L.Ed.2d 90 (1974), the United States Supreme Court was faced with the issue of whether state officials were immune as individuals from suits for damages pursuant to 42 U.S.C. § 1983. The officials in Scheuer claimed immunity as to all acts performed within the scope of their official duties. The Supreme Court held that state officials in the executive branch of government did not have absolute immunity from suit in such a circumstance. The Court further held that such officials did have a qualified immunity from such suits, however.
The Scheuer Court elected not to define “qualified immunity”, but did suggest that it was based on a reasonable good faith belief that would justify the acts upon which the complaint was based. Scheuer, 416 U.S. at 247-48, 94 S.Ct. at 1692.
42 U.S.C. § 1983 provides for a cause of action against officials of state government for alleged civil rights violations. In Bivens v. Six Unknown Federal Narcotics Agents, 403 U.S. 388, 91 S.Ct. 1999, 29 L.Ed.2d 619 (1971), the United States Supreme Court defined a cause of action against federal officials for the same conduct proscribed to state officials by § 1983.
In determining whether a qualified immunity exists, federal law does not distinguish between a § 1983 claim against state officials, or a Bivens type claim against federal officials. Butz v. Economou, 438 U.S. 478, 98 S.Ct. 2894, 57 L.Ed.2d 895 (1978); Nixon v. Fitzgerald, 457 U.S. 731,102 S.Ct. 2690, 73 L.Ed.2d 349 (1982).
Immunity defenses made in § 1983 claims are controlled by federal law. Hampton v. City of Chicago, 484 F.2d 602 (1973). The defense is an affirmative one that must be pleaded. Gomez v. Toledo, 446 U.S. 635,100 S.Ct. 1920, 64 L.Ed.2d 572 (1980).
The standard for deciding whether a sued official is entitled to effectively assert a qualified immunity defense is an objective one. Government officials in the exercise of their official duties are shielded from liability for civil damages if their conduct does not violate clearly established statutory or constitutional rights of which a reasonable person would have known. Harlow v. Fitzgerald, 457 U.S. 800, 815, 102 S.Ct. 2727, 2736, 73 L.Ed.2d 396 (1982). See also Procunier v. Navar-ette, 434 U.S. 555, 98 S.Ct. 855, 55 L.Ed.2d 24 (1978).
In Davis v. Scherer, 468 U.S. 183, 104 S.Ct. 3012, 82 L.Ed.2d 139 (1984), decided after Harlow, the United States Supreme Court stated: “A plaintiff who seeks damages for violation of constitutional and statutory rights may overcome the defendant official’s qualified immunity only by showing that those rights were clearly established at the time of the conduct at issue.” Scherer, 468 U.S. at 197, 104 S.Ct. at 3021.
The Court interprets this language to place the burden on the Plaintiff to establish that the rights which the Plaintiff claims were violated were rights that were clearly established at the time of the alleged violations.
In further defining qualified immunity, the Supreme Court said: “[t]he entitlement is an immunity from suit rather than a mere defense to liability; and like an absolute immunity, it is effectively lost if a case is permitted to go to trial.” Mitchell v. Forsyth, 472 U.S. 511, 526, 105 S.Ct. 2806, 2815, 86 L.Ed.2d 411 (1985) (emphasis in original).
Defendants have pled the defense of a qualified immunity. All of the conduct of the Defendants of which the Plaintiffs complain was committed by the Defendants in the performance of their official duties as Directors of the State Department of Revenue. Indeed, all acts complained of were acts dictated by the then law of the State. Therefore, unless the allegedly violated rights of the Plaintiffs were clearly established at the time the alleged violations occurred, the Defendants are entitled to rely on their immunity defense.
Defendants are also entitled to an early resolution of the issue. Mitchell, supra. Plaintiffs have properly pled their § 1983 claim. Gomez, 446 U.S. at 640, 100 S.Ct. at 1923. Therefore whether Defendants’ immunity defense is dispositive of Plaintiffs’ § 1983 claim for damages cannot be resolved in a Motion to Dismiss. As previously indicated, however, the Court considers Defendants’ motion as one for summary judgment.
The Plaintiffs bear the burden of demonstrating that the rights they claim were violated were rights clearly established at the time that the violations occurred. They have been given an adequate opportunity to advance whatever evidence on this point they deem to be appropriate.
Having properly raised a defense of qualified immunity, Defendants have a right to have the viability of the claimed defense determined at an early stage in the proceedings. Defendants have a right to have it determined before discovery on the merits. Harlow, 457 U.S. at 818, 102 S.Ct. at 2738.
Before a determination can be made whether rights were clearly established, the rights in issue must be identified. Actually, there is only one right involved here. Plaintiffs base their § 1983 claim on Davis v. Michigan. The only right which the Plaintiffs could claim Davis defined for them was a right to have their federal pension benefits taxed the same as were state pension benefits.
Plaintiffs claim that Defendants knew, or should have known, that such a right was clearly established during the relevant tax years. In support of this position, Plaintiffs cite a report by a State Tax Commission accountant written in 1939, and a more recent expression of opinion by a State legislator. The report is too remote in time, and the legislator’s opinion too removed from a Department director’s employment universe, to be imputable to these Defendants. More importantly, such data is not relevant.
The determination of whether the right defined above was clearly established at the time the right was said to be violated is a matter of law to be determined by the Court. It is to be gauged on an objective standard. Harlow, 457 U.S. at 818, 102 S.Ct. at 2738.
The Arizona tax scheme, which the Court herein has declared to be in violation of federal law, was in place for a minimum of 25 years before Davis. There is no record that it ever was, before this lawsuit, attacked in any court. Justice Stevens, in his dissent in Davis, indicated that there were at least 14 states other than Michigan that granted tax benefits to state and local pensioners not granted to federal pensioners. Davis, 109 S.Ct. at 1511. Information supplied to the Supreme Court of Missouri indicates at least 21 states have similar provisions. Hackman v. Director of Revenue, 771 S.W.2d 77 (Mo. banc 1989) (Welliver, J., dissenting). The Plaintiffs provided an exhibit that suggests that as many as 23 states may be affected by the Davis decision.
The pervasiveness of the scheme, as well as its long life without challenge, are indications that the law which creates the right was not clearly established before Davis. These characteristics do not dispose of the issue, however.
If the language of the statute violated is unequivocal, considered in light of existent authority, and the impermissible act a plain violation, the prevalence of the wrong is not enough to overcome the certainty of the statutory language.
This Court must therefore consider, whether, as a matter of law, the plain language of 4 U.S.C. § 111 was such that a reasonable person would have known that the statute proscribed the disparate Arizona income tax treatment of state and federal pensions. The Court holds that it was not.
The statute reads, in relevant part:
The United States consents to the taxation of pay or compensation for personal service as an officer or employee of the United States ... if the taxation does not discriminate against the officer or employee because of the source of the pay or compensation.
The statute does not address retirement income. It speaks of “pay” and “compensation for personal services” for “officers” and “employees,” but does not specifically refer to income received by retired federal employees. The language of the non-discrimination clause is conditional, but it is not prohibitory. On its face, the statute does not conflict with pre-Davis A.R.S. § 43-1022.
Justice Kennedy, in writing for the Supreme Court in Davis, felt differently. He wrote, “the plain language of the statute dictates” that it applies to retired pay. Davis, 109 S.Ct. at 1504. Even so, this Court is of the view that, on this score, the statutory language leaves room for argument. Justice Kennedy acknowledged that Michigan’s contention (that § 111 did not address retirement income), while hyper-technical, “was not inconsistent with the language” of the statute. Id.
Even if it were to have been clearly established before Davis that 4 U.S.C. § ill included within its ambit retired pay, it was not clear that the Michigan scheme was an unconstitutional discrimination. The Supreme Court cites no precedent for its holding that virtually any difference is a discrimination under the statute. The Court further points out that discrimination under 4 U.S.C. § 111 is defined by a stricter standard than discrimination under the equal protection clause, from which most of the federal law interpreting discrimination has come. Id. at 1508. The justification for giving favorable tax treatment to state pensioners offered by Michigan in Davis, and the Department here (see page 779, ante), is sustainable under equal protection standards. J. C. Penney Co. v. Arizona Dep’t of Revenue, 125 Ariz. 469, 610 P.2d 471 (App.1980); Flagstaff Vending Co. v. City of Flagstaff, 118 Ariz. 556, 578 P.2d 985 (1978).
The Davis Court based its holding on “principles of intergovernmental tax immunity,” a most esoteric of constitutional philosophies. As the Supreme Court points out in its detailed opinion, the direction taken by the clearly established law of intergovernmental tax immunity, from McCulloch v. Maryland to Davis v. Michigan, has hardly been a straight line. See Davis v. Michigan, supra; Davis v. Michigan, 109 S.Ct. 1509 (Stevens, J., dissenting). See also Graves v. New York ex rel. O’Keefe, 306 U.S. 466, 59 S.Ct. 595, 83 L.Ed. 927 (1939); Helvering v. Gerhardt, 304 U.S. 405, 58 S.Ct. 969, 82 L.Ed. 1427 (1938).
Justice Stevens, in a strongly worded dissent in Davis, expressed the following opinion. “Once one understands the underlying reason for the McCulloch holding, it is plain that this tax [Michigan’s income tax] does not unconstitutionally discriminate against federal employees.” Davis, 109 S.Ct. at 1511 (Stevens, J., dissenting).
If justices of the United States Supreme Court cannot agree that the right defined in Davis was clearly established before Davis, it hardly seems appropriate to charge the individual Defendants in this case with such perspicacity.
By virtue of the foregoing, the Court holds that the right which the Plaintiffs claim the individual Defendants violated was not clearly established before Davis was decided. As Justice Powell observed, in his dissent in Owen v. City of Independence, 445 U.S. 622, 100 S.Ct. 1398, 63 L.Ed.2d 673 (1980) (Powell, J., dissenting): “Constitutional law is what the courts say it is.” Until the Davis decision, the courts had not said what the law was with respect to income tax schemes such as those in place in Michigan and Arizona.
The Need to Exhaust Administrative Remedies
Defendants urge that Plaintiffs’ claim for a refund should be dismissed, as the Plaintiffs did not exhaust administrative remedies before filing suit. In their memo-randa, Defendants cite A.R.S. § 42-129 as providing the only authority under which the Plaintiffs could claim a tax refund. A.R.S. § 42-129 authorizes refunds where the Department determines there has been an amount of tax paid in excess of the amount due. A.R.S. § 42-129(D) provides that a claim for refund “be in writing and shall state the specific grounds on which it is founded.” The Court is of the view that such generic language is insufficient to insure a remedy if the Plaintiffs’ claims are well founded.
Defendants argue that the only avenue of relief open to Plaintiffs was to have filed a claim for refund with the Department pursuant to A.R.S. § 42-129. Furthermore, if such a claim were to be rejected, Plaintiffs would have to exhaust their appeal rights before the State Board of Tax Appeals before coming to the Tax Court.
Defendants cite numerous Arizona cases which stand for the proposition that a party must exhaust administrative remedies before he or she can come to Superior Court.
The Court’s review of these authorities, however, reveals that the proposition upon which the Defendants rely is subject to numerous qualifications and exceptions. In the first place, the issue which the claimant brings to the court must have first been cognizable on the administrative level. Minor v. Cochise County, 125 Ariz. 170, 608 P.2d 309 (1980).
Here the issue which gives rise to the Plaintiffs’ claim is whether a taxing statute is constitutional, an issue which cannot be resolved on the administrative level. An administrative body has no power to determine whether a statute complies with a constitution. Manning v. Reilly, 2 Ariz.App. 310, 408 P.2d 414 (1965); Prisk v. City of Poulsbo, 46 Wash.App. 793, 732 P.2d 1013 (App.1987); Belco Petroleum Corp. v. State Bd. of Equalization, 587 P.2d 204 (Wyo.1978).
Furthermore, exhaustion of administration remedies is not necessary if the administrative process prescribed would not provide an adequate remedy. Town of Paradise Valley v. Gulf Leisure Corp., 27 Ariz. App. 600, 557 P.2d 532 (App.1976).
Plaintiffs’ claim is premised upon the United States Supreme Court decision in Davis, announced some five weeks before this suit was filed. The Defendants have not made any showing that, at the time the complaint was filed, the Department had in place an administrative process which would provide the relief Plaintiffs are seeking. Indeed, the only evidence on the point, proffered by the Plaintiffs, reflects just the opposite. The public comment on the Davis decision by the Department was that the Department would await a judicial determination before it would recognize any claim based on Davis.
For the foregoing reasons, the Court holds that the Plaintiffs need not have sought relief from the Department or from the State Board of Tax Appeals before coming to the Superior Court.
The Plaintiffs’ Claim for Injunctive Relief
In their complaint, Plaintiffs seek to have the Court enjoin Defendants from further enforcement of the Arizona law which imposed an income tax on their federal pensions. Since the Arizona legislature has repealed what was A.R.S. § 43-1022(3), enforcement of the offending tax scheme for tax years beyond 1988 is no longer a duty imposed on the Department. Therefore, there is no need for an injunction to proscribe conduct with respect to tax years beyond 1988.
Plaintiffs also seek to have the Court enjoin further collection of taxes due but not paid by federal retirees for years prior to 1989. It is not clear to the Court whether Plaintiffs seek to enjoin collection of all delinquent income taxes or just that portion of the taxpayer’s supposed liability which is attributable to his or her federal pension.
It does not matter. Plaintiffs predicate their claim for all relief, including injunctive relief, on an assumption that there is no Arizona income tax liability on their pension income. This Court does not so find. In order for the Court to enjoin the Department of Revenue as Plaintiffs urge, the Court must find that, without such an injunction, Plaintiffs, or members of their class, will suffer irreparable harm. Weinberger v. Romero-Barcelo, 456 U.S. 305, 102 S.Ct. 1798, 72 L.Ed.2d 91 (1982); Quechan Tribe of Indians v. Rowe, 531 F.2d 408 (9th Cir.1976); Calvary Baptist Church at Tyler v. Adams, 570 S.W.2d 469 (Tex.Civ.App.1978); Pearson v. Baldwin, 125 Cal.App.2d 670, 270 P.2d 866 (1954).
This Court has determined as excessive only a small portion of the income tax assessed an individual federal retiree in recent years. A taxpayer who, as a result of the Department’s continuing collection effort, pays a tax that is later determined to be illegal as a result of the decision in Davis may have it refunded with interest. Suspending, or otherwise inhibiting, the Department’s tax collection effort against all federal retirees would result in little ultimate benefit to the federal retiree taxpayer, even if preventing some illegal tax collection was the result. On the other hand, a serious disruption in the conduct of the Department’s business could occur. This would be to the detriment of, not only the Department, but all non-federal retiree taxpayers in the State.
In summary, the Court finds that, if the injunction is not issued, the putative class members will suffer no irreparable harm. Therefore the Court declines to order in-junctive relief.
Class Certification
Plaintiffs seek to have the Court certify a Plaintiff class, pursuant to Rule 23 of the Arizona Rules of Civil Procedure. Applying the rule to the facts and issues in this case, it provides that the Plaintiffs may sue the Department of Revenue as representatives of a class of taxpayers similarly situated to themselves, “only” if:
(1) the class is so numerous that joinder of all members is impracticable,
(2) there are questions of law or fact common to the class,
(3) the claims or defenses of the representative parties are typical of the claims or defenses of the class, and
(4) the representative parties will fairly and adequately protect the interests of the class.
In order for the suit to be maintained as a class action, in addition to all of the foregoing, one of the following must also exist:
(A) The prosecution of separate actions by individual members of the class would create a risk of inconsistent adjudications which would establish incompatible standards of conduct for the Department.
(B) The prosecution of separate actions by individual members of the class would create a risk of individual adjudications which would adversely affect the interests of other members of the class who are not parties to the adjudication.
(C) The Department has acted or refused to act on grounds generally applicable to the proposed class thus making appropriate injunctive or declaratory relief with respect to the Plaintiff class.
(D) The Court finds that the questions of law and fact common to the class as a whole predominate over questions affecting only individual members, and, that a class action is superior to other available methods for adjudicating the controversy.
Rule 23 further provides that, as soon as practicable after the commencement of an action brought as a class action, the court shall determine by order whether it is to be maintained as a class action. It is the determination of this Court that this action shall not be maintained as a class action.
There appears to be no dispute but that qualifications 1 and 2, as identified above, exist. The existence of qualifications 3 and 4 is temporized by the fact that the Plaintiffs’ claim to represent two groups of class members whose interests are not identical. Indeed, their interests may well be in conflict. The impact of the offending tax scheme did not fall the same on federal civil service retirees as it did on those receiving other federal pensions.
Even so, the Court is not prepared to say that a class action could not be maintained because of a lack of typicality, or because of inadequate representation. Such a determination would necessarily await further evidence.
The issue is academic, however. The Court finds that none of the qualifications identified as A through D, above, exist in this case.
Whether a suit should be allowed to proceed as a class action is within the discretion of the court. Godbey v. Roosevelt School Dist. No. 66, 131 Ariz. 13, 638 P.2d 235 (App.1981). If the court determines that the qualifications set forth in the rule for such an action do not exist, certification of a class should be denied. Lewis v. Heckler, 752 F.2d 555 (11th Cir. 1985).
Without the time and expense of a class action, this Court has, in this decision, made a declaration of Plaintiffs’ rights as such rights are affected by Davis v. Michigan. This declaration is made pursuant to the Arizona Uniform Declaratory Judgment Act, A.R.S. § 12-1831 et seq. A.R.S. § 12-1841 provides that “no declaration shall prejudice the rights of persons not parties to the proceeding.”
The Court holds that, if, as a result of this lawsuit, the Department were to grant relief to a Plaintiff herein, and to deny similar relief to another taxpayer similarly situated, such disparate treatment of members of the same class would be an unlawful discrimination and would prejudice the rights of the non-Plaintiff taxpayer. Therefore, if the Plaintiffs prevail, in order to comply with A.R.S. § 12-1841, the Department must treat all taxpayers in the situation of the Plaintiffs just as they treat the Plaintiffs.
In opposing certification of the Plaintiff class, the Department argued that a class action was unnecessary, as the doctrine of virtual representation would require the Department to treat all federal pensioners the same as this Court’s judgment herein would require the Department to treat the Plaintiffs. Even setting aside the issue of the applicability of virtual representation, the Department, through its attorneys, represented that it would consider relevant final orders of this Court in this lawsuit just as applicable to members of the purported Plaintiff class, as to the named Plaintiffs themselves. The Court holds the Department bound by its representation.
The doctrine of virtual representation provides that a judgment or decree may adjudicate the rights of a person not a party to the adjudication, if the absent party is so well represented by a party who is before the court, that the interests of the absent party receive actual and efficient representation. The doctrine rests on considerations of necessity, convenience, and efficiency in the administration of justice. 30A C.J.S. Equity § 145 (1965) et seq.; Hale v. Hale, 33 N.E. 858,146 Ill. 247 (1893); Wiley v. Schorr, 594 S.W.2d 484 (Tex.Civ.App.1979). Its application is within the discretion of the court. Noble v. Gadsden Land & Improvement Co., 133 Ala. 250, 31 So. 856 (1902).
The doctrine of virtual representation is a slightly redesignated descendant of a long established rule of equity known as the doctrine of representation. The definitions of the doctrinas of representation and virtual representation are the same. The historical root of a court’s jurisdiction to administer class actions lies in the doctrine of representation. 30A C.J.S. Equity § 145 (1965); Hale, 33 N.E. at 868; Hansberry v. Lee, 311 U.S. 32, 61 S.Ct. 115, 85 L.Ed. 22 (1940); Covert v. Nashville, C. & St. L. Ry., 186 Tenn. 142, 208 S.W.2d 1008 (1948); Simpson v. Mulle, 358 Mich. 441, 100 N.W.2d 490 (1960). See also Ross v. Arkansas Communities, Inc., 258 Ark. 925, 529 S.W.2d 876 (1975).
Virtual representation arises from the circumstances of the litigation itself. It does not depend on the formal creation of a class. While a class action may proceed within the scope of the doctrine, representation in a class action is created by the court during the progress of the litigation.
Representation through a class action provides certain advantages. Notice of the representation is given to all prospective class members before litigation of the issues commences, and the scope of the liability of the party opposing the class is specifically defined.
The administration of class actions, however, is very expensive. The time which passes from complaint to final order in such actions tends to be much longer than in cases which are not class actions. Class actions also consume more judicial resources than other kinds of civil cases, resources which would otherwise be available elsewhere.
If the standard of efficient representation is maintained, non-parties represented by virtual representation without a class action have the advantage of having their rights determined by a less expensive, more expedient proceeding than a class action.
Arizona recognizes the doctrine of virtual representation without a class action. El Paso Nat. Gas Co. v. State, 123 Ariz. 219, 599 P.2d 175 (1979). In order to insure that the standard of efficient representation is maintained, application of the doctrine by a court demands the utmost caution. Id. at 222, 599 P.2d at 178.
The doctrine is most commonly found in litigation in which one of the parties is a government entity, and the other party or parties are persons subject to the authority of the government party. The issue which the Court is asked to determine is whether the government party has encroached upon a right or interest of the non-government party. In all cases, the non-government party shares with numerous non-parties the same relationship with the government party. Gist v. Stamford Hospital Dist., 557 S.W.2d 556 (Tex.Civ.App.1977); Seibert v. City of Columbia, 461 S.W.2d 808 (Mo. banc 1971), Williams v. Board of Sup’rs of DeSoto County, 139 Miss. 78, 103 So. 812 (1925).
As the Arizona Supreme Court said in El Paso Nat. Gas Co. v. State, “This general principle has been applied to litigation instituted by a taxpayer to determine a public right or matter of public interest so that any judgment rendered therein would bind all other taxpayers.” Id. at 222, 599 P.2d at 178.
The Mississippi Supreme Court defined the doctrine as follows:
Actions of this character are governed by the principle that a taxpayer’s suit against the governing board of a county or municipality involving questions of general interest to taxpayers prosecuted in good faith are binding upon all taxpayers as fully as if they had been made actual parties to the proceeding.
Williams, 139 Miss, at 79, 103 So. at 812.
This Court sees no distinction between the state as a party, and a county or municipality. Nor does it see any reason to distinguish between taxpayers subject to income tax rather than a property tax.
In this case, identifying the members of the purported class is peculiarly within the resources of the Defendant Department of Revenue. The posture of this litigation is such that no affirmative relief can be obtained against the non-party class members, even for the costs of litigation. The Defendant does not resist application of the doctrine, and the Court has jurisdiction to order relief for the entire class, not just the named Plaintiffs. Most important of all, Plaintiffs have thoroughly, even exhaustively, presented to the Court the position of the taxpayer class on what Davis v. Michigan requires of Arizona.
The Court holds that, in the absence of a fact or circumstance which affects the representative capacity of the named taxpayer, where a taxpayer, pursuant to an application for declaratory relief, obtains a judgment, decree, or order against a taxing authority, such judgment, decree, or order, or the benefits thereof, applies to all other taxpayers, similarly situated to the complaining taxpayer, the same as to the taxpayer who made the application.
Pursuant to the foregoing, the Court directs the Department of Revenue to treat all federal retirees who have paid Arizona income taxes within the applicable time period as though they were named Plaintiffs herein.
The Court, having taken the stand set forth above, and considering the qualifications identified as A through D above, finds that none of such qualifications for a class action exist.
Notice to Affected Taxpayers
Immediately upon the judgment herein becoming final, the Department is to create such forms as it feels to be expedient to effect the refund ordered herein. Once such forms are created, the Department is to mail them, along with adequate instructions, to all persons who have paid income tax to the State of Arizona on income which includes federal pension income paid to the retiree during any tax year from 1984 through 1988, inclusive.
In addition, the Department is to publicize the entitlement to refund in all media which it calculates may reach the attention of any person to whom to such a refund may be due. The media to which the Department circulates information is to be that which the Department deems to be adequate to reach all of the affected class, but not less than as described by the Departments’ attorneys on page 5 of its memorandum filed October 13, 1989, captioned, “Submission of Defendant Departments’ Plan to Implement Final Judgment Without Class Certification.”
Theory of Remedy
The Plaintiffs argue that the remedy mandated to this Court by the Davis decision is a refund, plus applicable interest, of all taxes paid Arizona by federal pensioners, to the extent such taxes were paid from the pensioner’s pension.
The Plaintiffs cite to the Court Hackman v. Director of Revenue, 771 S.W.2d 77 (Mo. banc 1989), decided by the Supreme Court of Missouri on May 25, 1989. Hackman is to Missouri as Bohn is to Arizona. Missouri in Hackman, like Arizona in Bohn, was faced with reconciling Davis v. Michigan with the State’s discriminatory tax scheme. It was the decision of the Hackman court to refund to Hackman (only) all the roughly $2,300 he claimed as a refund. In doing so, the Missouri court acknowledged that it was establishing a precedent that would likely provide full refunds for those taxpayers who could establish their claims pursuant to Missouri law. 771 S.W.2d at 82.
This Court is not persuaded by the decision in Hackman. Hackman holds that Missouri law requires that an overpayment of taxes be refunded and that “an overpayment includes those income taxes collected illegally under a taxation scheme which violates principles of intergovernmental tax immunity”. 771 S.W.2d at 81.
It is not clear from the Hackman opinion why the Missouri court found that all of the taxes collected from federal retirees were illegally collected. In Hackman, it appears that the only issue considered by. the court was whether Davis should apply prospectively or retrospectively. With Missouri, it was all or none.
The Department argues that the cost to Arizona of such a refund as the Plaintiffs seek would be 261 million dollars, an amount so large that it would endanger the financial integrity of the state. Department of Revenue, Second Supplemental Statement of Facts, filed August 29, 1989. Combined with the other circumstances present in this case, applicable law permits the Court to order no retrospective remedy at all. The Department urges the Court to so hold.
Where a violation of law results in economic loss, that a successful Plaintiff should recover that economic loss is a fundamental proposition of the law of civil remedies. That the violation of law is also a violation of the federal Constitution does not diminish the validity of the basic proposition, although state law may affect its implementation. Furthermore, there are situations where the impact of an unforeseen interpretation of the federal Constitution is so significant that a state is permitted to apply its remedy prospectively only. Chevron Oil Co. v. Huson, 404 U.S. 97, 92 S.Ct. 349, 30 L.Ed.2d 296 (1971); Cipriano v. City of Houma, 395 U.S. 701, 89 S.Ct. 1897, 23 L.Ed.2d 647 (1969); National Can Corp. v. Department of Revenue, 109 Wash.2d 878, 749 P.2d 1286 (1988).
The leading authority on when a state may apply, prospectively only, p remedy for a violation of the Constitution is Chevron Oil Co. v. Huson, supra. Huson provides for a three prong test. Applying the three prongs of Huson to the case before the bench, in order for the Court to rule in the Department’s favor, the Court must find: (1) that Davis v. Michigan established a new principle of law; (2) that denial of retrospective relief would not seriously offend principles of intergovernmental tax immunity; and (3) that granting retrospective relief creates such serious inequity that such inequity outweighs the equity of appropriate redress for those injured by the constitutional violation.
For reasons set forth herein in the discussion on the Plaintiffs’ § 1983 claims, this Court finds that the first prong of Huson has been satisfied. The Court, however, does not find that there is any serious inequity in a refund to Plaintiffs that reimburses them for the economic loss incurred as a result of the constitutional violation.
The Plaintiffs, however, seek much more than their economic loss.
The Plaintiffs’ claim that any tax at all on their pensions was an illegal tax, and therefore they are entitled to a full refund. Davis did not so hold. The Plaintiff in Davis was not identified as a representative of a class. The Supreme Court opinion in Davis does not specifically define the extent of the refund sought by Davis. The Court concluded that the Michigan Income Tax Act violated principles of intergovernmental tax immunity because it favored retired state government employees over retired federal employees. Michigan had already conceded that, if the Court so held, a refund was appropriate. Based solely on this concession, the Court ruled Davis entitled to a refund. Davis, 109 S.Ct. at 1508-09.
Davis held that the constitutional right the Michigan tax system violated was a right inuring to the United States, not an individual right guaranteed to the Plaintiff. Davis, 109 S.Ct. at 1507; McCulloch v. Maryland, 17 U.S. (4 Wheat.) at 436.
This is not to say that the Plaintiffs have no claim. Davis makes it clear that they do. Davis, supra. But it is not, however, a claim based on a violation of an individual fundamental right.
Plaintiffs’ claim to a full refund is premised on the general proposition that legislation determined to be unconstitutional is void. This argument misses the point. “If part of an act is unconstitutional, but by eliminating the unconstitutional portion the balance of the act is workable, only that part which is objectionable will be eliminated and the balance will be left intact.” State v. Jones, 142 Ariz. 302, 306, 689 P.2d 561, 565 (1984).
The legislation which imposed an income tax on the Plaintiffs’ pensions was the same legislation that imposed an income tax on income accrued during the taxable year by taxpayers in general. Would the Plaintiffs have the Court declare the entire State income tax law void? Davis makes it clear that such drastic action is not required. “While invalidation of Michigan’s income tax law in its entirety obviously would eliminate the constitutional violation, the Constitution does not require such a drastic solution.” Davis v. Michigan, 109 S.Ct. at 1509.
If the Court must focus on specific legislation to invalidate, it would have to be the two exemptions provided in A.R.S. § 43-1022(3) and A.R.S. § 43-1022(4).
In their demand for a full refund, the Plaintiffs ignore what Davis teaches. Even with the concession by Michigan, the award of the court was qualified. According to the Court, Davis was entitled to a refund “to the extent ... [he] paid taxes pursuant to this invalid scheme.” Davis, 109 S.Ct. at 1508-09.
Earlier in its opinion, the Supreme Court interpreted § 111 to waive any immunity enjoyed by federal employees from state taxation of their incomes “except to the extent that such taxation discriminates on account of the source of the compensation.” Id. at 1505.
The doctrine of intergovernmental tax immunity does not preclude a state from taxing income from federal compensation. Graves, supra. It does preclude discriminatory taxation. It is the discrimination and not the taxation which must be remedied.
/. [35] There are two elements for determining whether taxing legislation violates the doctrine of intergovernmental tax immunity. The state must seek to impose an income tax on compensation from a federal source, and it must impose a lesser tax on compensation from a state source. Both elements must be present. It is only when the two elements combine that the fatal discrimination occurs.
An argument can fairly be made that such discrimination as is defined herein is the rule rather than the exception in income tax legislation. Rates discriminate which increase as income increases. Within recent memory, the federal income tax has discriminated as between the old and the not so old, the blind and those who see, those who save and those who don’t, the sick and the well, the benevolent and the stingy, and those with families and those without. The foregoing list is not exhaustive. Discrimination of this sort has been upheld in the courts if it represents a rational means of achieving a legitimate governmental interest. In most such cases, such discrimination comes about because of a legislative intent to confer a benefit, not to impose a penalty.
In the present case, the Arizona legislature intended to confer a benefit on state pensioners and on federal civil service retirees. It did not identify non-civil service federal retirees in a separate tax class. The tax cost of the benefits conferred on state pensioners and retired federal civil servants fell upon all non-benefiting taxpayers. The discrimination about which Plaintiffs lament with such fervor fell just as hard on every taxpayer not receiving a state or civil service pension as it fell upon the federal retiree.
A government collects in taxes what it decides it needs to bear the cost of government. If a class of taxpayers receives the benefit of a lowered tax, all other taxpayers incur a relative increase. If the Court were to order the refund which the Plaintiffs claim, such an order would be tantamount to excusing federal retirees from state income tax liability on their pensions. This Court, indeed no court, can confer such a magnanimous benefit. If federal retirees are to receive such treatment, it must be authorized by the legislature. Apache County v. Atchison, Topeka & Santa Fe Ry., 106 Ariz. 356, 476 P.2d 657 (1970).
If a constitution requires it, a court may invalidate legislation, but it may not substitute its own scheme for that invalidated. Here, the legislation which created the discrimination which Davis found unconstitutional was that which exempted from taxation state pensions and part of civil service pensions. It is to the impact of these exemptions on the class against whom Davis held the discrimination fell, that the Court must look for a remedy.
There is guidance for the Court in the Davis opinion. Intergovernmental tax immunity does not prohibit the whole tax but “the extent that such taxation discriminates.” The Court holds that the measure of the extent that the exemptions set forth in A.R.S. § 43-1022(3) and A.R.S. § 43-1022(4) discriminated against federal retirees is the amount of tax such retirees paid that is greater than they would have had to pay if the provisions which created the discrimination had not been in place. Bade v. Drachman, 4 Ariz.App. 55, 64, 417 P.2d 689, 697 (1966).
If a taxpayer seeks a refund of taxes reflected on an unchallenged return, such refund must be claimed within four years after the return was required to be filed. A.R.S. § 42-115. The Davis decision was announced on March 28, 1989. This lawsuit was filed May 1, 1989. The Court holds that, because of the doctrine of virtual representation, limitations tolled by the filing of the complaint herein are tolled for all taxpayers similarly situated to Plaintiffs, not just the named Plaintiffs themselves.
The income tax for 1984 was due on April 15, 1985. An alert, or alerted, taxpayer might have filed a claim for a refund based on Davis before April 15, 1989. Many taxpayers may have obtained extensions in 1985 which did not make their returns due until after May 1, 1985. Davis mandates that all affected taxpayers re ceive equal treatment. The Court concludes that it would be less than equal treatment to favor taxpayers because they reacted quickly to the Davis decision, or because they obtained an extension five years earlier for reasons not related to Davis. The Court holds that all affected taxpayers are entitled to refunds for all tax years, 1984 through 1988.
The Court also has some concern that statutory limitations on some of the relevant tax years will be upon us before the decision herein becomes final, and before all affected taxpayers have been informed of their rights hereunder. The Court therefore holds that claims authorized herein may be filed until the first April 15 two years after this decision becomes final or until the expiration of the limitations set forth in A.R.S. § 42-115, whichever is later.
Computation of the Remedy
It is now the Court’s task to convert the abstract standard announced above into a formula which the Department can apply to effect the relief directed. In doing so, the Court is limited by the facts supplied by the Department. There are less of these than the Court would have liked. As a result, approximation must, to some extent, replace precision. In the course of this litigation, after this Court announced its decision in principal, the Department was charged with supplying the Court with sufficient data to permit the Court to fashion its remedy. In the main, the Department complied. In some respects, however, the data supplied supported only the Department’s theory of an appropriate refund and did not reach that decided by the Court.
The Court, therefore, took judicial notice of some facts not supplied. When the information available to the Court was not sufficiently detailed to be exact and was a necessary element of the computation, the Court applied the data most beneficial to the Plaintiffs. The Court has also determined that further delay to obtain more precise information would be of no benefit to either party. Also, in making its determination herein, the Court has placed a value on simplicity.
Despite all of the foregoing, the Court, after exhaustive review of the data provided, is satisfied that, whatever lack of precision there may be in the Court’s formula, it is minimal, and of insignificant consequence.
Most of the data utilized by the Court can be found in the exhibits attached to a document filed by the Department on October 13, 1989. The Document is entitled “Defendants’ Opposition to Reconsideration of Refund Ruling and Submission of Refund Plan.”
The Court assumes that revenue received by the State from individual income taxes for any year is all of the revenue that is required by the State from such a source for that year. Therefore, if state pensioners had paid income tax on their state pensions and civil service retirees had paid income tax on all of their pensions, all other taxpayers, including the Plaintiffs, would have paid less income tax. The difference between what they paid and what they would have paid is the measure of the refund to which federal retirees are entitled.
Mathematically, the proportionate tax reduction can be defined as a fraction, the numerator of which is the additional tax that would have been collected if no exemptions had been allowed, and the denominator of which is the numerator plus the total tax collected from individuals. Calculations which support the Court’s narrative herein are set forth in Appendix A attached to this decision.
The Department has provided the Court with the amount of income tax obtained from individuals for each of the relevant tax years. This is an element of the denominator.
The Department has also provided the Court with the number of civil service retirees resident in Arizona for each relevant tax year. It has not provided any information which would permit the Court to ascertain how many such retirees failed to utilize the full exemption to which they were allowed. In computing the civil service element of both the numerator and the denominator, the Court has assumed that all civil service retirees utilized the full exemption authorized by A.R.S. § 43-1022(4). The civil service element is calculated by multiplying the number of civil service retirees times 200 (.08 times 2,500).
The Department has provided the Court with the total amount of Arizona pensions paid for each of the relevant years. It has not provided the Court with any data that any such income without the exemption would not have been subject to Arizona income tax.
The Department has identified an effective tax rate of 5.6%, but it has not provided the Court with a definition of “effective tax rate.” From the information supplied, the Court cannot discern if the effective tax rate is the average rate for all taxpayers for all income or is the average effective rate for pension income.
If Arizona pensioners had been required to pay tax on their pension income, the pension income would have been added to their other income and would have been effectively taxed at the taxpayer’s highest rate. An average effective tax rate for total income is of little value in attempting to discern an effective tax rate for less than total income. When total income is taxed at graduated rates which increase as income rises, tax on both additions and subtractions to income should be computed at top rates, not average rates. The Court has computed the Arizona pension element of the numerator and the denominator by multiplying total Arizona pension income by eight percent, the top Arizona rate for all relevant years.
In reducing the thus computed fraction to a proportion for' each of the relevant tax years, the Court finds there is very little difference between years in the computed percentage. It varies between a low of .02596 in 1984, and .02810 in 1988. When this difference is translated into a tax refund, it reflects a very small sum 6f money.
The Court finds that the administrative benefit of using a single constant for all relevant years outweighs the slight cost of more precision to an individual taxpayer whose pension might be at the high end. The Court, therefore, finds an effective hypothetical tax reduction for all years to be 2.75%.
There are two more adjustments to consider. The data available to both the individual taxpayer and the Department is not the tax paid on pension income but the amount of pension income, included in Arizona gross income, or subject to the civil service exemption. From such income data must be determined the tax paid on included pension income.
Once again, the value of simplicity in administration is considered. For purposes of the computation herein, the tax paid on the taxpayer’s pension income is computed by multiplying the total pension income included in gross income, or subject to the civil service exemption, times the highest Arizona rate paid by the taxpayer for the computation year.
For all but civil service pensioners, the refund to which the taxpayer is entitled is determined by multiplying the thus computed tax paid on the federal pension by .0275.
Civil service pensioners, however, to the extent they were able to take advantage of the civil service exemption, paid less than they would have had to pay had the unlawful exemptions not been in place. Therefore, in order to put civil service pensioners on the same footing as other federal pensioners, the civil service refund has to be adjusted by subtracting the amount of the tax benefit already received.
For civil service retirees, therefore, after computing the refund as above, an amount equal to the taxpayers top rate times the amount of the exemption utilized must be subtracted. The resulting figure is the refund to which the civil service retiree is entitled.
No refund can be greater than the tax paid.
To any refund paid, the Department is to add interest at rates the Department pays on income tax refunds. The interest is to be computed from the date the tax return on which the tax was paid was due, until the refund is paid to the taxpayer.
Bohn v. Waddell, TX 89-00050
Appendix A
Calculation of Refund Factors
For each tax year, State retirees were allowed a 100% deduction .on their retired pay. Federal civil service retirees were allowed a $2500 deduction. All other federal retirees were allowed no deduction.
The value of the State and federal civil service deductions is calculated based on the top Arizona tax rate of 8%, The value in uncollected tax of a $2500 subtraction from income would thus be $200.00. The value in uncollected taxes of the 100% state retiree, subtraction is calculated by multiplying gross state pensions for each year times 8%. Each of these figures constitutes the hypothetical revenue the State would have collected had the exemption scheme not existed.
For each tax year, the refund factor requires the number of federal civil service retirees, the gross pensions paid for state retirees, and the actual revenue collected by Arizona on personal income taxes. The tax rate for all calculations is 8%.
All figures are derived from Department of Revenue Annual Reports for the subject years, and from the briefs of the parties.
1984:
Arizona Revenue Collected: $626,244,000.00
# of federal civil service retirees: 32,805
Gross State pensions: $126,620,000.00
State hypothetical revenue: $126,620,000.00 x .08 = $10,129,600.00
Federal Civil Service hypothetical: 32,805 x $200.00 = $6,561,000.00
Calculation: 6,561,000 + 10,129,600 = .02596002 626.244.000 + 6,561,000 + 10,129,600
1985:
Arizona Revenue Collected: $702,957,000.00
# of federal civil service retirees: 33,851
Gross State pensions: $156,228,000.00
State hypothetical revenue: $156,228,000.00 X .08 = $12,498,240.00
Federal Civil Service hypothetical: 33,851 X $200.00 = $6,770,200.00
Calculation: 6,770,200 + 12,498,240_ = .02667925 702.957.000 + 6,770,200 + 12,498,240
1986:
Arizona Revenue Collected: $761,422,000.00
# of federal civil service retirees: 35,169
Gross State pensions: $180,983,000.00
State hypothetical revenue: $180,983,000.00 x .08 = $14,478,640.00
Federal Civil Service hypothetical: 35,169 X $200.00 = $7,033,800.00
Calculation: 7,033,800 + 14,478,640 = .027476681 761,422,000 + 7,033,800 + 14,478,640
1987:
Arizona Revenue Collected: $853,980,000.00
# of federal civil service retirees: 36,194
Gross State pensions: $204,051,000.00
State hypothetical revenue: $204,051,000.00 X .08 = $16,324,080.00 Federal Civil Service hypothetical: 36,194 X $200.00 = $7,238,800.00
Calculation: 7,238,800 + 16,324,080 = .026850972 853,980,000 + 7,238,800 + 16,324,080
1988:
Arizona Revenue Collected: $911,618,000.00
# of federal civil service retirees: 37,497
Gross State pensions: $235,715,000.00
State hypothetical revenue: $235,715,000.00 X .08 = $18,857,200.00
Federal Civil Service hypothetical: 37,497 X $200.00 = $7,499,400.00
Calculation: 7,499,400 + 18,857,200 = .02809948 911,618,000 + 7,499,400 + 18,857,200-
The average of all the refund ratios is .0270132.
The Court has, for the sake of simplicity, applied an overall ratio of .0275.
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OPINION
EUBANK, Presiding Judge.
This is an appeal from a judgment ordering the Commissioner of the Arizona State Real Estate Department (Commissioner), as fiduciary of the Real Estate Recovery Fund (Fund), to pay a certain sum of money from the Fund to Patrick Chaffin and Virginia Chaffin.
FACTS
Arizona real estate licensees Kenneth and Bonnie Thompson acted as agents and brokers in the sale of a parcel of real property from George and Delfina Leon to Patrick and Virginia Chaffin in 1978. The Chaffins paid $7,000.00 for the parcel. Kenneth Thompson died in 1980 and a personal representative for his estate was appointed in 1984.
Based upon alleged misrepresentations made by both of the Thompsons or by Kenneth Thompson individually, the Chaf-fins sued the Thompsons and the Leons in 1982 for rescission and/or damages resulting from the sale. The Chaffins’ counsel notified the Commissioner of that lawsuit by letter dated August 30, 1982. Thereafter, the Chaffins stipulated to dismiss the Leons from the action with prejudice. In 1985, the Chaffins, Bonnie Thompson and Kenneth Thompson’s personal representative entered into a stipulated judgment dismissing Bonnie Thompson from the action with prejudice and holding the estate of Kenneth Thompson liable to the Chaffins for $7,000.00 plus interest. The judgment was filed on September 27, 1985.
Based upon the stipulated judgment against Kenneth Thompson’s estate, in 1988 the Chaffins filed an application with the court for payment from the Fund pursuant to A.R.S. § 32-2188. The Commissioner opposed the application because of the Chaffins' failure to satisfy the requirements of A.R.S. § 32-2188(C), and notified the court of its right to relitigate material issues pursuant to A.R.S. § 32-2188(E). The Chaffins filed a reply with supporting affidavits in an effort to satisfy the prerequisites contained in A.R.S. § 32-2188(C).
Without holding an evidentiary hearing, the trial court granted the Chaffins’ application and ordered the Commissioner to pay them $7,000.00 plus interest, and attorney’s fees in the amount of $2,716.26 from the Fund. The Commissioner filed a motion to reconsider, which was denied after telephonic oral argument.
The Commissioner argues that the trial court erred in failing to hold an evidentiary hearing on the Chaffins’ application for recovery from the Fund. We agree and therefore we reverse.
DISCUSSION
The interpretation of an Arizona statute, such as A.R.S. § 32-2188, involves the resolution of legal rather than factual issues. Arizona State Board of Accountancy v. Keebler, 115 Ariz. 239, 564 P.2d 928 (App.1977); Arnold v. Arizona Department of Health Services, 160 Ariz. 593, 775 P.2d 521 (1989). As such we conduct our review de novo, and we are not bound by the trial court’s conclusions of law. Id. See also In re Armstrong, 840 F.2d 651 (9th Cir.1988).
A.R.S. § 32-2188 must be construed liberally, as it was intended by the legislature, to provide a means for the supervision and regulation of the real estate business and is therefore remedial in character. Arizona Real Estate'Department v. Arizona Land Title and Trust Co., 9 Ariz.App. 54, 449 P.2d 71 (1968). We must not, however, disregard the explicit provisions of remedial statutes such as A.R.S. § 32-2188 in the interest of liberal construction. In re Armstrong, supra.
APPLICATION OF A.R.S. § 32-2188
A.R.S. § 32-2186 authorizes and directs the Commissioner to establish the Fund, from which persons aggrieved by acts, representations, transactions or conduct of licensed brokers or salesmen which violate Arizona real estate licensure laws or regulations, may recover their actual damages plus reasonable attorneys’ fees up to $15,-000.00.
A.R.S. § 32-2188, as amended in 1986 , provides the procedure for recovery from the Fund. Specifically, after recovering a judgment against a broker or salesman for acts in violation of the Arizona real estate licensure laws or regulations, the aggrieved party must file a verified claim with the court in which the judgment was obtained, seeking an order directing payment from the Fund. A.R.S. § 32-2188(B). The aggrieved person must provide written notice to the Commissioner as well as to the judgment debtor of the application for payment from the Fund. A.R.S. § 32-2188(B).
The Commissioner and the judgment debtor have thirty-five days tó file written responses after service of the application. A.R.S. § 32-2188(B). After such time, “[t]hé court shall ... set the matter for hearing on petition of the applicant.” A.R.S. § 32-2188(B).
According to A.R.S. § 32-2188(C), the court shall proceed on the application in a “summary manner.” This phrase has been interpreted by the Arizona courts to mean that the court must proceed on the application without delay or formality and in a short, concise and immediate proceeding. Arizona Real Estate Department v. Arizona Land Title and Trust Co., 9 Ariz. App. 54, 58, 449 P.2d 71, 75 (1968). No diminution of rights is intended by such language, only expedition of the process. Id.
Subsection C of A.R.S. § 32-2188 provides that, “upon the hearing” of the application, the aggrieved person is required to show that he or she:
1. is not the spouse of the judgment debtor or the personal representative of such spouse;
2. has complied with all requirements of A.R.S. § 32-2188 (the notice requirement of subsection A may be waived by the Commissioner);
3. has obtained a judgment against the judgment debtor for acts committed in violation of the laws or regulations governing his/her conduct as a Real Estate Department licensee and that all bonding companies which issued surety bonds to the judgment debtor and all other necessary parties were joined as parties in that action;
4. has obtained an unsatisfied writ of execution;
5. has conducted a judgment debtor examination; and
6. has made all reasonable searches and inquiries in an effort to satisfy the judgment from the judgment debtor’s property, to no avail.
The court may waive the requirements regarding efforts to satisfy the judgment from the debtor’s property if the aggrieved person satisfies the court that it is not practicable to comply. A.R.S. § 32-2188(D).
Prior to the 1986 amendment of A.R.S. § 32-2188(E), if the Commissioner did not intervene in the underlying action against the licensee, the Commissioner was precluded from questioning the amount and fact of licensee liability in an action for payment from the Fund. Arizona Real Estate Department v. Arizona Title and Trust Co., 9 Ariz.App. 54, 449 P.2d 71 (1968); Real Estate Board v. Dalessandro, 17 Ariz.App. 181, 496 P.2d 607 (1972). An aggrieved party seeking recovery from the Fund was only required to prove a valid judgment against the licensee for certain conduct in violation of Arizona laws and regulations, and was not required to prove the underlying claim in order to recover. Id.
The Commissioner’s role in proceedings against the Fund was greatly broadened by the 1986 amendment to A.R.S. § 32-2188(E). The 1986 amendment added the following language to A.R.S. § 32-2188(E):
The commissioner may defend any such action on behalf of the real estate recovery fund and has recourse to all appropriate means of defense and review, including the examination of witnesses and the right to relitigate any material and relevant issues in the proceedings against the real estate recovery fund which were determined in the underlying action on which the judgment in favor of the applicant was based. If the judgment in favor of the applicant was by default, stipulation, or consent, ... the applicant has the burden of proving that the cause of action against the licensee was for a violation of the provisions of this chapter or the rules promulgated pursuant to this chapter____ The commissioner is not bound by any prior compromise stipulation of the judgment debtor.
It is evident from A.R.S. § 32-2188(E), as amended, that it is no longer necessary for the Commissioner to intervene in the underlying lawsuit in order to challenge issues material to recovery from the Fund. The Commissioner now has the right to relitigate any relevant and material issues in order to adequately protect the Fund, regardless of the Commissioner’s involvement in the underlying lawsuit. The underlying judgment is still res judicata as between the applicant and the licensee however, as subsection E also specifically provides that relitigation of such issues does not affect the conclusiveness of the judgment against those parties.
The Chaffins contend that their application to the Fund should be governed by Arizona law as it existed prior to the 1986 amendment of A.R.S. § 32-2188. As the Commissioner did not intervene in the underlying action in this case, the Chaffins argue that under prior Arizona law, the Commissioner cannot now challenge the fact of licensee liability or the amount in the Chaffins’ action against the Fund. The Chaffins base this argument on the fact that they obtained their judgment against Thompson in September 1985, and A.R.S. § 32-2188 was not amended to broaden the Commissioner’s right to defend the Fund until 1986. This argument is in error.
It is true that a statutory amendment cannot be retroactively applied to defeat a vested right. State v. Levasseur, 118 Ariz. 597, 578 P.2d 1026 (App.1978). The Chaffins argue that because their right to recover against the Fund was “vested” with their 1985 judgment, the Commissioner may not use his broadened powers as stated in the 1986 amended version of A.R.S. § 32-2188 to defeat their recovery from the Fund.
A vested right as used in this context has been specifically defined in Arizona law. In State v. Estes Corp., 27 Ariz.App. 686, 688, 558 P.2d 714, 716 (1976), division two of our court defined a vested right as:
‘[0]ne which is absolute, complete, and unconditional to the exercise of which no obstacle exists, and which is immediate and perfect in itself not dependent upon a contingency.’ Hutton v. Autoridad Sobre Hogares de la Capital, 78 F.Supp. 988 (D.C. Puerto Rico 1948). A ‘vested right’ is an immediate fixed right to present or future enjoyment where the interest does not depend upon a period or an event that is uncertain. (Citations omitted).
See Steinfeld v. Nielsen, 15 Ariz. 424, 465, 139 P. 879, 896 (1914). Using this definition, we hold that the Chaffins did not obtain a vested right to recover from the Fund when the 1985 judgment was entered.
When they obtained their stipulated judgment against Kenneth Thompson in 1985, the Chaffins’ recovery from the Fund was contingent upon the filing of an application with the court in which they had obtained that judgment, and upon a sufficient showing of the prerequisites of recovery contained in A.R.S. § 32-2188(C). Thus, recovery from the Fund pursuant to A.R.S. § 32-2188, even as it existed prior to its amendment in 1986, was not automatic when the applicants obtained the underlying judgment. Without a vested right to recover from the Fund, the 1986 amendment to A.R.S. § 32-2188, which expanded the Commissioner’s right to defend the Fund, can be applied to the Chaffins’ 1988 application for recovery.
Following briefing, appellees filed as a supplemental citation Wilson v. Arizona Registrar of Contractors, 161 Ariz. 617, 780 P.2d 450 (App.1989) in support of their argument that they had a vested right in the Fund when their judgment was filed. Wilson involved an interpretation of A.R.S. § 32-1136(B) of the Contractor’s Recovery Fund as it related to the effective date of an amendment which limited the payment of attorney’s fees from the Fund. The court (division two) held:
The statute [A.R.S. § 32-1136(B)] expressly requires the entry of a judgment against the contractor before the injured person can even apply for payment from the recovery fund, much less actually receive payment. Therefore, the pertinent date for recovery of any payment from the fund, whether damages or attorney’s fees, is the date the judgment was entered against the contractor.
Because the judgment against Berg was entered after the effective date of the statutory amendment that limited recovery of attorney’s fees to cases appealed to superior court, the Wilsons were not entitled to recover attorney’s fees from the contractors’ fund.
Id. at 619, 780 P.2d at 452. (Emphasis added). While the language of the Contractor’s Recovery Fund and Real Estate Recovery Fund is similar, there are differences. However, assuming the statutes are the same, we agree with division two concerning the part of the opinion emphasized above. We also agree “that obtaining a valid judgment” is a precondition to “even apply for payment from the recovery fund.” We disagree, however, that merely obtaining a judgment vests the claimant with a right against the Fund. As discussed fully above, A.R.S. § 32-2188 requires much more. At the very least, it requires claimant to “file a verified claim in the court in which the judgment was entered,” to serve the commissioner and to apply for an order directing payment out of the recovery fund. The requirements of a proper claim are set out above and in A.R.S. § 32-2188(C). Until such time as a verified claim is filed with the court, there is no claim against the Fund. A.R.S. § 32-2188(B). Reading A.R.S. § 32-2188 as a whole, it is clear to us that the statute requires more than merely obtaining a stipulated judgment. It requires filing a properly verified claim with the trial court as required by A.R.S. §§ 32-2188(B) and (C).
We conclude, therefore, that the date of filing a statutorily proper verified claim with the trial court is the date that the legislature intended that Chaffins have a “vested” right against the Fund. Until the valid claim was filed with the court the right was merely an inchoate right. It is a contingent right depending on the filing of a proper claim for the right to vest. Here, Chaffins filed their claim on July 7, 1988, well after the amendments to A.R.S. § 32-2188 took effect. Thus, we agree in part with Wilson but disagree with its holding that the judgment date vests a right in the judgment creditor against the Fund.
For purposes of this appeal then, in order to determine whether the trial court properly granted the Chaffins’ application for recovery from the Fund, we will apply A.R.S. § 32-2188 as it was amended in 1986.
HEARING REQUIREMENT
The trial court did not conduct a hearing on the Chaffins’ application for recovery from the Fund. The Commissioner contends that this was error because the hearing was necessary in order for the Chaffins to establish the prerequisites for recovery pursuant to A.R.S. § 32-2188(C) and in order for the Commissioner to relitigate material issues and to otherwise adequately defend the Fund. We agree.
A.R.S. § 32-2188(E) specifically provides that the Commissioner may, in defense of the Fund, relitigate any material, relevant issues which were determined in the underlying action. Further, according to subsection E, the Commissioner is not bound by the stipulated judgment entered into by the Chaffins, Bonnie Thompson and Kenneth Thompson’s personal representative. In the instant matter, then, A.R.S. § 32-2188 specifically provides that the Commissioner has the right to vigorously defend the Fund, and may force the examination of witnesses and litigation of entire issues which were never fully examined in the trial court due to the stipulated nature of the judgment.
Despite the Commissioner’s right to relit-igate, stated in subsection E, subsection B specifically provides that the court shall set the application for a hearing “on petition of the applicant.” Therefore, A.R.S. § 32-2188 seems to contain conflicting provisions regarding whether a hearing must be conducted on an application for recovery from the Fund. Subsection B seems to indicate that a hearing shall be held if requested by the applicant, while the requirements of subsection E seem to necessitate a hearing in almost every case in order for the Commissioner to exercise the right to fully defend the Fund, regardless of whether a hearing is requested by the applicant.
It is well established that if certain portions of a statute appear to be in conflict, they must be harmonized if possible in order to give full effect to the statute. Weitekamp v. Fireman’s Fund Ins. Co., 147 Ariz. 274, 709 P.2d 908 (App.1985); Prairie State Bank v. Internal Revenue Service, 155 Ariz. 219, 745 P.2d 966 (App. 1987). Arizona case law provides little assistance in harmonizing these apparently conflicting sections as there are no reported cases interpreting A.R.S. § 32-2188 after the 1986 amendment.
Upon review of other state statutes on the subject, we discovered that the California Real Estate Recovery Program statutes are identical to the Arizona recovery fund statutes in pertinent respects, and therefore decisions interpreting those statutes provide some guidance. Like A.R.S. § 32-2188(B), Cal.Bus. & Prof.Code § 10472.1 provides that after the Commissioner and the judgment debtor have had a chance to respond to the application for payment from the Real Estate Recovery Fund, the court shall “set the matter for hearing upon the petition of the claimant”. Further, like A.R.S. § 32-2188(E), Cal.Bus. & Prof.Code § 10473 provides that the Commissioner has the right to vigorously defend the Fund by relitigating issues, examining witnesses, etc. Like A.R.S. § 32-2188(E), Cal.Bus. & Prof.Code § 10473 also provides that in actions against the Fund, the Commissioner is not bound by any compromise or stipulation entered into by the judgment debtor in the underlying action.
Thus, California statutes contain the same apparent conflict found in A.R.S. § 32-2188 in that the Commissioner may vigorously defend the Fund by relitigating pertinent issues decided in the underlying action, examining witnesses, etc., but the right to request a hearing in which to conduct such a defense seems to belong solely to the applicant.
This apparent conflict regarding entitlement to a hearing on an application to the Fund was recently resolved in California in the case of In re Armstrong, 840 F.2d 651 (9th Cir.1988). There Armstrong brought an action for fraud against a California Real Estate Department licensee who was a debtor in bankruptcy. Armstrong and the licensee eventually stipulated to a judgment in favor of Armstrong. Armstrong then sought recovery from the California Real Estate Recovery Fund. The California Real Estate Department (Department) opposed Armstrong’s petition and requested an evidentiary hearing in order to litigate the liability issues which were the subject of the underlying action. The trial court denied the Department’s request for a hearing and denied Armstrong’s petition for payment from the Fund because he had failed to properly allege liability on the part of the licensee. Armstrong thereafter filed his second petition for payment from the Fund, and the Department again opposed that petition and requested an evidentiary hearing. The trial court eventually denied the Department’s second request for hearing but granted Armstrong’s second petition for recovery from the Fund.
The Department contended on appeal that the trial court misapplied CaLBus. & Prof.Code § 10473 when it ordered payment from the Fund without granting the Department’s request for an evidentiary hearing. On appeal the court agreed and reversed the trial court’s order and remanded the matter for a full evidentiary hearing on the question of whether Armstrong was entitled to recovery from the Fund.
Despite the language contained in Cal. Bus. & Prof.Code § 10472.1 indicating that a hearing shall be held on the matter “upon the petition of the claimant," the appellate court held that due to the broad powers granted to the Commissioner in § 10473 to defend the Fund, it was evident that the legislature clearly contemplated a full evi-dentiary hearing on the application for recovery against the Fund. 840 F.2d at 652. The court went on to specifically state that, based upon the language of Section 10473, the legislature apparently determined that an evidentiary hearing was particularly appropriate where the judgment against the licensee was obtained by stipulation. 840 F.2d at 653. Thus, the court held that the trial court’s failure to afford the Department an evidentiary hearing on the application to enable the Commissioner to litigate the pertinent underlying issues was reversible error.
As previously discussed, A.R.S. § 32-2188(E) grants the same broad powers to the Commissioner to defend the Fund as does Cal.Bus. & Prof.Code § 10473. Like the court in Armstrong, we believe that in granting such powers to the Commissioner, the Arizona Legislature contemplated a full evidentiary hearing on applications for Fund recovery to enable the Commissioner to adequately defend the Fund. Without such a hearing, the Commissioner would be without a forum to relitigate pertinent issues which were decided by the underlying judgment.
We also believe that like Cal.Bus. & Prof. Code § 10473, the language of A.R.S. § 32-2188(E) clearly indicates a legislative determination that an evidentiary hearing would be particularly appropriate where the underlying judgment was by stipulation. Both the Arizona and California statutes provide, in "essence, that where the underlying judgment in favor of the applicant was by stipulation, as in the case at issue, the applicant has the burden of proving that the underlying cause of action against the licensee was for violation of the real estate licensure statutes and/or regulations.
A.R.S. § 32-2188(C) similarly demonstrates that a hearing would be appropriate in most instances. Specifically, A.R.S. § 32-2188(C) provides that in order to recover from the Fund, the applicant must “show” that several prerequisites concerning the underlying cause of action, the judgment, and efforts to satisfy that judgment have been satisfied. Cal.Bus. & Prof. Code § 10471, 10472 and 10473 mandate a showing of similar prerequisites in order to recover from the California Fund. In Buc-cella v. Mayo, 102 Cal.App.3d 315, 162 Cal. Rptr. 369 (1980), the court held that the California statutory prerequisites to Fund recovery could only be established by the applicant by competent evidence presented at a hearing. The court held that the statute which requires the showing of the prerequisites clearly contemplates the necessity of evidence to establish the applicant’s right to recover from the Fund, rather than mere conclusory statements contained in affidavits or argument by counsel.
We find that an applicant may successfully establish the prerequisites by affidavits based upon personal knowledge, containing competent evidence and submitted with the application. In Arizona Real Estate Department v. Arizona Land Title and Trust Co., 9 Ariz.App. 54, 449 P.2d 71 (1968) this court determined that affidavits may suffice in order to satisfy the prerequisites contained in A.R.S. § 32-2188(B), specifically that the underlying judgment was obtained on the basis of conduct which occurred after July 1, 1964, and that the alleged conduct was that of a real estate licensee acting as such.
If that “showing” of the statutory prerequisites by affidavits is disputed by the Commissioner, however, as in the instant case, an evidentiary hearing would be necessary. At that hearing, the applicant would be required to show, by competent evidence, all of the requirements of A.R.S. §§ 32-2188(B) and (C) regarding the underlying judgment and the efforts to satisfy that judgment, unless a showing of certain of these requirements was waived by the court in accordance with A.R.S. § 32-2188(D).
The Chaffins further argue that the Commissioner waived his right to request an evidentiary hearing because he failed to request such a hearing at the trial level. This argument is in error. The Commissioner requested relitigation of all material and relevant issues at the trial level and that request was denied. Therefore, Commissioner cannot be held to have waived any of his rights and duty to defend the Fund.
n This matter is hereby remanded to the trial court for an evidentiary hearing on the Chaffins’ application for recovery from the Fund.
SHELLEY and VOSS, JJ., concur.
. A.R.S. § 32-2X88 was rewritten by amendment in X989, but in this appeal we are called upon to interpret that statute only as it existed from 1985-1988.
. The judgment debtor is an important party because if application for the payment from the Fund is granted in any amount, the judgment debtor's real estate broker’s license is automatically revoked and is not reinstated until the Fund has received repayment in full, plus interest at the rate of six percent per year. A.R.S. § 32-2188(F).
. Cal.Bus. & Prof.Code § 10472.1 provides, in pertinent part:
(a) The commissioner and the judgment debt- or shall each have 30 days after being served with the application in which to file a written response. The court shall thereafter set the matter for hearing upon the petition of the claimant____
(b) At the hearing, the claimant shall be required to establish compliance with the requirements of Section 10471.
. Cal.Bus. & Prof.Code § 10473 provides, in pertinent part:
Whenever the court proceeds upon an application under Section 10472, it shall order payment out of the Recovery Account only upon a determination that the aggrieved party has a valid cause of action within the purview of Section 10471, and has complied with Section 10472.
The commissioner may defend any such action on behalf of the Recovery Account and shall have recourse to all appropriate means of defense and review, including examination of witnesses and the right to relitigate any issues material and relevant in the proceeding against the Recovery Account which were determined in the underlying action on which the judgment in favor of the applicant was based. If the judgment in favor of the applicant was by default, stipulation, [or] consent, ... the applicant shall have the burden of proving that the cause of action against the licensee was for fraud, misrepresentation, deceit, or conversion of trust binds. ******
... The commissioner shall not be bound by any compromise or stipulation of the judgment debtor.
(Added by Stats. 1985, c. 690, § 3, operative January 1, 1987.)
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OPINION
CORCORAN, Justice.
Defendant Joseph Bartlett, Jr. (defendant) petitions for review of the court of appeals decision affirming his convictions for two counts of sexual conduct with a minor under 15 years of age, class 2 felonies and dangerous crimes against children, and the resulting mandatory minimum consecutive sentences totalling 40 years without possibility of early release. We granted review to determine whether these sentences constitute cruel and unusual punishment and ordered the parties to submit supplemental briefing addressing the following questions:
1. Under the facts of this case, is the mandatory sentence required by A.R.S. § 13-604.01 so disproportionately severe that it violates those provisions of the state and federal constitutions that prohibit cruel and unusual punishment?
2. If the mandatory sentence prescribed by the applicable statute is unconstitutional as applied to the facts of the crime, what is the proper disposition?
We have jurisdiction pursuant to Ariz. Const, art. 6, § 5(3), and A.R.S. § 12-120.24. For the reasons that follow, we hold that the sentences imposed are disproportionate to defendant’s crimes under the analysis required by Solem v. Helm, 463 U.S. 277, 103 S.Ct. 3001, 77 L.Ed.2d 637 (1983), and thus were unconstitutionally imposed. We therefore remand the matter for resentencing.
FACTUAL AND PROCEDURAL BACKGROUND
In September 1986, defendant, then 23 years old, was introduced through a mutual friend to a 9th grade student whom we shall call Mary, then 14V2 years old. Defendant and Mary saw each other every day in September, October, and November 1986, dated occasionally, and, according to Mary, considered themselves “boyfriend and girlfriend.” In December 1986 Mary ran away from her father’s home, where she had been living, and stayed with defendant for 4 days before moving back to her mother’s home. Mary testified that she and defendant became physically intimate sometime in, December 1986, when she voluntarily had sexual intercourse with him. At that time, Mary was two months short of her 15th birthday.
During the fall of 1986, Mary introduced defendant to her 14y2-year-old friend, whom we shall call Susan. Defendant lived in the same trailer park as Susan, and Susan often ate lunch with Mary and defendant at the parking lot across the street from the high school that Mary and Susan attended. Susan testified that defendant did not act like he was 23, but was “immature” in that he behaved like and associated with young teenagers. In early December 1986, Susan went to defendant’s home and voluntarily had sexual intercourse with him; at the time, Susan was 6 months short of her 15th birthday.
Mary terminated her relationship with defendant around March 1987, when he admitted to “messing around” with some of her friends. Susan did not continue her sexual relationship with defendant after the initial incident.
In January 1987, police responded to a report of an accidental discharge of a weapon at defendant’s trailer park when Susan’s mother went looking for defendant after learning of her daughter’s sexual encounter with him. The officers confiscated the weapon. The mother filed a complaint, alleging that defendant had forcibly sexually assaulted her 14-year-old daughter. When defendant heard from neighbors that police had inquired about him at the trailer park, he voluntarily went to the police station to find out why they were looking for him. Officer Robert Pearce invited defen dant into his back office to talk, and informed defendant that the girl’s mother had reported his forcible sexual assault of the 14-year-old. Defendant denied the mother’s accusation and told Officer Pearce that he and Susan had consensual intercourse on one occasion, which he alleged was initiated by Susan when she came to his home. The officer also asked about defendant’s relationship with Mary; defendant admitted that he had consensual sexual intercourse with Mary while they were dating. Officer Pearce taped most of defendant’s statements but did not arrest defendant after the interview.
Susan later recanted the account of forcible sexual assault that she had told her mother and admitted that she and defendant had consensual sexual intercourse. Based on the evidence that defendant had sexual intercourse with two 14-year-old girls, he was charged with two counts of sexual conduct with a minor under the age of 15 years, class 2 felonies, and dangerous crimes against children. The state also filed a motion to invoke enhanced punishment by treating a conviction on one count as a prior conviction for purposes of enhancing the other, pursuant to A.R.S. § 13-604(H). See A.R.S. § 13-604.01(A), (H).
Defendant pleaded not guilty but did not appear at trial. Both Mary and Susan testified that their sexual conduct with defendant was consensual and that defendant knew each of them was 14 years old. Officer Pearce testified that, during the interview at the police station, defendant had admitted to consensual sexual intercourse with both girls and acknowledged he was aware of their ages. The jury found defendant guilty of two counts of sexual conduct with a minor under 15 years old. The court ordered preparation of a presentenee report.
The presentence report indicated that, while on release awaiting trial, defendant voluntarily sought outpatient counseling. His counselor indicated that defendant visited her only once; she “suspected that he feels ‘intimidated’ by women in his own age group and that this is why he is attracted to younger girls.” She also indicated her impression that defendant was “immature for his age.”
The report also noted that defendant was married but separated pending a divorce, that his wife was living in Nevada with their 3 small children, and that he had no prior felony convictions. The presentence evaluation included the following analysis and recommendation:
A reasonably intelligent individual, Bartlett’s attraction to young girls may very well be a sign of inferiority around women his own age. Further, the description of his early sexual experiences may indicate a long term deep [seated] problem with women and sex. His justification for his sexual conduct seems to rest with the “loose” character of the female involved, regardless of their age. He tends to relinquish any responsibility on his part by appearing to be a passive participant in all of his sexual encounters.
Overall, he appears to be an irresponsible and immature 24 year old man who may continue to present a threat to young girls. His lack of any prior felonies coupled with the seriousness of the offenses, may indicate that the presumptive term in [the Department of Corrections] is appropriate.
At sentencing, the court imposed the minimum mandatory sentence on each count: 15 years for the first count as a nonrepetitive dangerous crime against children, and 25 years on the second count as a repetitive dangerous crime against children, to be served consecutively without any possibility of early release. See generally A.R.S. § 13-604.01. The court expressed its regret at having to impose such a harsh sentence in the following remarks at sentencing:
THE COURT: Well, I have very little choice in this regard, to put it mildly. The law in Arizona in connection with an offense of this nature is very stringent. As I have reviewed the law and is indicated in the pre-sentence report, the law provides for a very severe presumptive term on each of the counts. The law also provides that each day of the sentence must be served. The law also provides that the sentences must be consecutive, and the law also provides that the subsequent offense is subject to a more severe presumptive term.
My function, as I view it, is not to second guess the legislature in regard to sentencing, but to follow the law. I took an oath to do that. The law is very severe____ The punishment is more severe than in many other types of cases that are very serious offenses. But it is not my function to second guess what the wisdom of the sentence is.
If in fact the sentence is too severe, I think that’s for the appellate courts to review. So I really have nothing else to say in regard to the sentencing. I’m going to impose the mitigated term, because I think that it is plenty severe in the case.
The court credited defendant with 88 days of presentence incarceration and ordered him to pay $100 to the victim’s compensation fund. Defendant timely appealed. The court of appeals affirmed defendant’s convictions and sentences and defendant sought review in this court.
THE COURT OF APPEALS DECISION
Defendant argued on appeal that his confession was involuntary and that his sentence was cruel and unusual. The court of appeals first concluded that the confession was voluntary; that holding is not at issue in this review. In the remaining one-paragraph analysis, the court affirmed defendant’s sentence:
Defendant’s argument that the long sentence imposed for sexual conduct with a minor violates the constitutional proscription against cruel and unusual punishment has been twice rejected by this court. State v. Smith, 156 Ariz. 518, 753 P.2d 1174 (App.1987); State v. Crego, 154 Ariz. 278, 742 P.2d 289 (App. 1987). We do so again. The remainder of his argument is a heartfelt objection to the consequences of mandatory sentencing on the facts of this case. That is better addressed to the legislature. We do not believe courts have either inherent power or power under A.R.S. § 13-4037 to impose a sentence below the statutory minimum.
Defendant petitioned this court for review of this decision; we granted review only of the constitutional issue whether defendant’s sentences are unconstitutionally cruel and unusual under the particular facts of this case.
ANALYSIS
1. The Statutory Sentencing Scheme
Defendant was charged with violating A.R.S. § 13-1405, which provides:
Sexual conduct with a minor; classifications
A. A person commits sexual conduct with a minor by intentionally or knowingly engaging in sexual intercourse or oral sexual contact with any person who is under eighteen years of age.
B. Sexual conduct with a minor under fifteen years of age is a class 2 felony and is punishable pursuant to A.R.S. § 13-604.01. Sexual conduct with a minor fifteen years of age or over is a class 6 felony.
The fact that a minor under age 18 consents to sexual intercourse is not a defense under the statute. State v. Fristoe, 135 Ariz. 25, 30, 658 P.2d 825, 830 (App. 1982). The statute differentiates between an offense with a minor between the ages of 15 and 18, and an offense with a minor younger than 15, in classifying the former as a class 6 felony and the latter as a class 2 felony.
Because both girls engaged in consensual conduct with defendant before their 15th birthdays, however, these offenses were designated class 2 felonies, and the court was required to apply the more stringent sentencing provisions of the dangerous crimes against children act. See A.R.S. §§ 13-1405; 13-604.01. Under that sentencing scheme, the mandatory minimum sentence for the first offense is 15 years, the presumptive term is 20 years, and the maximum term is 25 years. A.R.S. § 13-604.01(A), (D). Defendant would not be eligible for probation or early release until the full sentence is served. A.R.S. § 13-604.01(E). Because the first offense is a “predicate felony” that enhances the sentence for the second offense, see A.R.S. § 13-604.01(K)(2), the sentencing range for the second offense increases to a mandatory minimum term of 25 years, a presumptive term of 30 years, and a maximum term of 35 years. A.R.S. § 13-604.01(A), (D). The statute also requires that the second sentence be consecutive to the first, A.R.S. § 13-604.01(J), with no possibility of early release until every day of both sentences has been served. A.R.S. § 13-604.01(E).
The practical effect of these sentencing provisions is that defendant, having received the minimum sentences within the trial court’s discretion on both counts, must serve 40 years in prison for these two offenses. He would be 64 years old before he could entertain the possibility of release.
2. Cruel and Unusual Punishment: So-lem v. Helm Analysis
Defendant challenges as cruel and unusual punishment the sentencing provisions of A.R.S. § 13-604.01 only as applied to the facts of his case. In particular, he challenges the mandatory minimum sentences of 15 years for the first offense and -25 years for the second offense as grossly disproportionate to his crimes involving participation in nonviolent, nonincestuous, heterosexual, and consensual sexual intercourse with two willing post-pubescent teenagers. He does not challenge the facial validity of the statute as applied to other, more heinous crimes against children under different circumstances.
The power to define crimes and to provide for their punishment is one held by the legislature. Rummel v. Estelle, 445 U.S. 263, 284-85, 100 S.Ct. 1133, 1144-45, 63 L.Ed.2d 382 (1980); State v. Marquez, 127 Ariz. 98, 103, 618 P.2d 592, 597 (1980). As a reviewing court, we must give “substantial deference to the broad authority that legislatures necessarily possess in determining the types and limits of punishments for crimes____” Solem v. Helm, 463 U.S. 277, 290, 103 S.Ct. 3001, 3009, 77 L.Ed.2d 637 (1983). However, the fact that the legislature enacts a punishment does not conclusively establish its constitutional validity; the eighth amendment prohibition agajnst cruel and unusual punishment is a limit on the legislature’s power to mandate penalties. State v. Mulalley, 127 Ariz. 92, 95, 618 P.2d 586, 589 (1980). If we find a mandatory penalty so severe “as to shock the conscience of society,” we must find it cruel and unusual. State v. Davis, 108 Ariz. 335, 337, 498 P.2d 202, 204 (1972). We judge whether the moral sense of the community is shocked by whether the punishment is overly severe or disproportionate to the crime. State v. Taylor, 82 Ariz. 289, 294, 312 P.2d 162, 166 (1957). We analyze such challenges on a case-by-case basis, according to the circumstances of the particular crime, the defendant’s personal culpability, and by the perceptions of contemporary society at the time the decision is rendered rather than by our own standards. See generally Mulalley, Taylor.
The United States Supreme Court has enunciated a 3-prong test to determine if a sentence is so disproportionate to the crime as to violate the eighth amendment as cruel and unusual punishment. See Solem v. Helm, 463 U.S. 277, 103 S.Ct. 3001, 77 L.Ed.2d 637 (1983). The Solem analysis requires us to examine: (1) the gravity of the offense and the harshness of the penalty; (2) a comparison of other sentences imposed in the same jurisdiction for more serious crimes; and (3) a comparison of sentences in other jurisdictions for the same crime. 463 U.S. at 292, 103 S.Ct. at 3010. This court previously utilized the same factors, even before Solem v. Helm articulated them, in deciding when a punishment is unconstitutionally cruel and unusual:
In evaluating the proportionality of a criminal sanction, we will consider not only the nature of the crime and of the offender, ... but we will compare it with punishments for the same crime in other jurisdictions and for other crimes within our own jurisdiction. Because the “enactments of legislative bodies ... serve as some index of community standards and values,” ... they Help give objective content to the “conscience of society.” In comparing the sentence actually imposed with sanctions provided in other jurisdictions, we do not, of course, seek to conform our statutes “to the ‘majority rule’ or the least common denominator of penalties nationwide.” ... Rather we seek evidence of what sanctions are currently considered acceptable in our society for the crime considered.
Mulalley, 127 Ariz. at 96, 618 P.2d at 590. We previously applied the Solem analysis to uphold sentences imposed under A.R.S. § 13-604.01 for other dangerous crimes against children. See State v. Jonas, 164 Ariz. 242, 792 P.2d 705 (1990); State v. Taylor, 160 Ariz. 415, 422-23, 773 P.2d 974, 981-82 (1989). Our court of appeals has also applied the Solem factors to decide eighth amendment attacks against sentences for crimes against children. See State v. Byrd, 160 Ariz. 282, 284, 772 P.2d 1135, 1137 (App.1988); State v. Smith, 156 Ariz. 518, 525-26, 753 P.2d 1174, 1181-82 (App.1987); State v. Crego, 154 Ariz. 278, 280, 742 P.2d 289, 291 (App.1987). We now determine whether the eighth amendment is violated by applying the mandatory sentencing provisions of A.R.S. § 13-604.01 to this particular defendant under the specific facts of this case.
A. Gravity of the Offense and Harshness of the Penalty
In determining the gravity of the offense, we must examine the type of harm threatened or inflicted and the level of defendant’s culpability, measured by the seriousness of the crime, against whom it was committed, and its level of violence. Solem, 463 U.S. at 292-93, 103 S.Ct. at 3011-12; Jonas, 164 Ariz. at 247, 792 P.2d at 710.
In enacting the harsh penalties of the dangerous crimes against children act, the legislature determined that crimes against children are among the most serious crimes in our society. By providing lesser penalties for those crimes against children who have reached the age of 15, the legislature also determined that crimes against children under age 15 are more serious crimes than those against older children. This “line-drawing” functioning is properly the legislature’s. See Jonas, 164 Ariz. at 248, 792 P.2d at 711. Additionally, by not providing the defense of consent to sexual conduct with a child younger than 18, the legislature declared that, in its judgment, children below the age of majority are incapable of making a mature decision to engage in sexual conduct. See Fristoe, 135 Ariz. at 30, 658 P.2d at 830 (“When a person has participated in sexual conduct with a minor, he is equally guilty of the crime whether he forced himself upon the minor or whether he succeeds in persuading the minor to allow the sexual act to take place”). But see State v. Puig, 154 Ariz. 624, 628-29, 744 P.2d 725, 729-30 (App.1987) (although consent is not at issue if minor is under 15, where minor is older than 15 and defendant reasonably believes the minor to be over 18, consent will be a defense to a sexual abuse charge).
Although the minor’s consent will not decriminalize the sexual conduct, that consent is relevant to our inquiry into the gravity of the offense. In this case, both minors were close to the maturity line that the legislature has drawn for less serious offenses. According to their testimonies, both were willing participants in defendant’s conduct. Defendant used no violent force or threats against them. Neither girl was physically injured or testified to any emotional trauma. Under these circumstances, we must certainly consider these offenses less grave than the others punish able under the same statutory scheme: second degree murder, sexual assault, taking a child for the purposes of prostitution, child prostitution, involving or using a minor in drug offenses, aggravated assault, molestation of a child, sexual exploitation of a minor, child abuse, or kidnapping. See generally A.R.S. § 13-604.01.
Additionally, we must consider the minors’ proximities to their 15th birthdays. Although the legislature may be forced to draw a “bright line” at a particular age (in this case, at the age of 15) in distinguishing between class 6 and class 2 sexual conduct felonies, a reviewing court can look at a more graduated line, depending on the nature of the individual offense, in deciding the proportionality of the punishment to the crime. Thus, although the fact that both consenting girls were close to their 15th birthdays cannot be used to reduce the crimes from class 2 felonies to class 6 felonies, the punishment imposed for those harsher class 2 felonies must be proportionate to these individual offenses. And although the legislature has determined that a minor’s “consent” to sexual conduct does not excuse its commission, certainly the punishment for consensual sexual conduct with a minor over 14 ¥2 years old should be closer to the punishment for sexual conduct with a 15-year-old than to punishment for sexual conduct with a 2-year-old. We thus examine what punishment defendant would have received if the minors were 15.
If Mary and Susan had been two months and six months older, respectively, defendant would have faced sentencing for two counts of a class 6 felony for sexual conduct with a minor 15 years of age. The range of sentencing for the first offense would have been a minimum term of 9 months, a presumptive term of 1.5 years, and a maximum term of 1.875 years. See A.R.S. §§ 13-701(C)(5), -702(A). The trial court would have had discretion to place defendant on probation and to designate the offense as a class 1 misdemeanor upon successful completion of that probation. See A.R.S. § 13-702(H). If imprisoned, defendant would have been eligible for early release after one-half the sentence had been served. The range of sentencing for the second offense, as a repetitive felony under A.R.S. § 13-604(H), would have been a minimum term of 1.5 years, a presumptive term of 2.25 years, and a maximum term of 3 years. See A.R.S. §§ 13-604(A), -702(H). Defendant would not have been eligible for probation for the second offense, but would have been eligible for early release after one-half the sentence had been served. See A.R.S. § 13-604(A). Defendant’s terms could have been imposed either consecutively or concurrently, within the trial court’s discretion. See A.R.S. § 13-708. The sentences defendant actually received were significantly more harsh.
As to defendant’s personal culpability, the record indicates that he was an “immature” young man who associated with a younger peer group because of his emotional insecurities, which included a pending divorce after marriage at a young age. He had no prior felony record and no history of assaulting young children. No evidence was presented that he intended to harm these girls, either physically or emotionally. But for his age of 23, this situation would be similar to others in which we have recognized a defendant may have less culpability in a crime resulting from a teenage romance:
We do not for a moment undertake to minimize the wrong done to the minor child or to in any degree condone it. But we feel that the wrong may be ascribed more to the follies of youth in this era of confusion and frustration than to a wicked and depraved heart.
State v. Telavera, 76 Ariz. 183, 187, 261 P.2d 997, 1000 (1953) (Phelps, J.).
We must also recognize that sexual conduct among post-pubescent teenagers is not uncommon. Other courts have taken such notice:
It is a fact that many young people, male and female, engage in sexual intercourse. In 1976, 2.7% of all 16-year-old girls in the United States, and 6.4% of all 17-year-olds, had borne at least one child. U.S. National Center for Health Statistics, Vital Statistics of the United States, Table 1-17 (1978). About half of these children were illegitimate. Id., Table 1-32. These statistics, including those on abortions (331 reported for every 1,000 live births, U.S. Department of Commerce, Bureau of the Census, Statistical Abstract of the United States 56 (1977)), indicate that a great number of unmarried 15- and 16-year-olds have engaged in sexual intercourse resulting in pregnancy and suggest that a greater number have done so without pregnancy.
Without applauding the sexual permissiveness of the times, we can only note that in the social context of the times this type of offense between young people is committed many times without criminal prosecution and that, in ordinary sentencing practice, is not regarded as so serious as to require imprisonment.
State v. Sepulvado, 367 So.2d 762, 771 (La.1979).
Measuring the gravity of the offenses in this context, we must compare the harshness of the penalty. The legislature has imposed mandatory minimum consecutive sentences of 15 and 25 years for the first and second acts of consensual sexual conduct with a minor, with no possibility of early release. The trial court thus had no discretion to reduce the penalty according to the individual circumstances that indicated a less serious offense or a less culpable defendant. Defendant, with no prior felony history, has received a 40-year penalty for sexual conduct with two consenting post-pubescent teenagers. The broad application of the statute to encompass this situation results in a penalty grossly out of proportion to the severity of the crime. Although such a harsh penalty may be justified in the context of other, more heinous crimes included within the sentencing scheme, it is not justified under the specific circumstances of this case.
B. Sentences Imposed for Other Crimes in Arizona
We next examine the sentences imposed in Arizona on defendants who commit crimes more serious than this defendant’s. Solem, 463 U.S. at 292, 103 S.Ct. at 3010; Jonas, 164 Ariz. at 249, 792 P.2d at 712. We have previously disapproved the practice of comparing only those crimes encompassed within the challenged sentencing statute to conclude that the punishment is proportionate because all crimes within the statutory scheme receive the same penalties. See Jonas, 164 Ariz. at 249-250, 792 P.2d at 712-713, disapproving the analysis in State v. Smith, 156 Ariz. at 526, 753 P.2d at 1182, and State v. Crego, 154 Ariz. at 280, 742 P.2d at 291.
However, a comparison of the other crimes punishable under the same mandatory sentencing provisions of A.R.S. § 13-604.01 is helpful in this case to show that more serious offenses do not receive any greater punishment. For example, second degree murder, forcible sexual assault, taking a child for the purposes of prostitution, or involving a child in a drug offense are all considered first degree crimes against children, subject to the same mandatory minimum sentences of 15 and 25 years that defendant received. A.R.S. § 13-604.01(A), (D). More potentially serious crimes than those committed here, such as aggravated assault, child molestation, child abuse, or kidnapping, are subject to a lesser minimum sentence of 12 years for the first offense and 23 years for the second offense. See A.R.S. § 13-604.01(B), (D).
Other more serious crimes that do not involve children similarly receive lesser penalties than those mandated in this case. Class 2 felonies not involving a dangerous weapon or threatened physical injury are punishable for a first offense with a minimum term of 5.25 years, a presumptive term of 7 years, and a maximum of 14 years, with early release potentially available after only half the sentence has been served. A.R.S. §§ 13-701, -702. Such first-time offenders are eligible for probation, or, if imprisoned, can earn early release credits of 1 day for each 2 days served. A second offense carries a minimum term of 7 years, a presumptive term of 10.5 years, and a maximum of 21 years, with early release potentially available after two-thirds of the sentence has been served. A.R.S. §§ 13-701, -702, -604(B). The first and second sentences are pre sumed to run consecutively but1 the trial court has discretion to make them concurrent by stating its reasons on the record. A.R.S. § 13-708. Included within this scheme of punishment for class 2 felonies are the following crimes, all potentially more serious than the offenses committed by this defendant: kidnapping, A.R.S. § 13-1304; sexual assault of an adult, A.R.S. § 13-1406; first degree burglary of a residential structure, A.R.S. § 13-1508; and arson of an occupied structure, A.R.S. § 13-1704. Additionally, manslaughter, a class 3 felony, A.R.S. § 13-1103, is punishable with a minimum sentence of 3.75 years, a presumptive term of 5 years, and a maximum term of 10 years. A.R.S. §§ 13-701(C)(2), -702(B).
We also compare the circumstances under which other defendants have been subjected to the same mandatory sentencing scheme. In State v. Taylor, we upheld an aggregate prison term of 2,975 years for 85 counts of dangerous crimes against children. 160 Ariz. 415, 773 P.2d 974 (1989). In that case, the defendant performed and photographed various sexual acts with children aged from 18 months to 8 years old, and many other unidentified small children. He also had a prior criminal history of sex crimes with young children in two other states. We recognized the “irreparable harm which he has caused to the normal development of numerous children,” and his inability “to control his proclivity for sexual conduct with children” as important factors justifying the harshness of the sentence. Taylor, 160 Ariz. at 423, 773 P.2d at 982. In State v. Crego, the court of appeals upheld two consecutive 20-year prison terms for a defendant who molested 3 different victims under age 15 a few months after he had been released from prison for a similar offense, and while he was on parole. 154 Ariz. at 279, 742 P.2d at 290. In State v. Smith, the court of appeals also upheld a mandatory prison sentence of 91 years for a defendant who repeatedly molested a 10-year-old boy and photographed the numerous incidents on approximately 60 occasions. 156 Ariz. at 520, 753 P.2d at 1176. Defendant also points out other cases in which harsh sentencing provisions were appropriately applied in situations involving repeated and cruel sexual offenses against small children. See, e.g., State v. Cummings, 148 Ariz. 588, 716 P.2d 45 (App.1985) (defendant, a scoutmaster, performed multiple acts of oral and anal sex on 12- to 13-year-old male victims; was sentenced to 5 concurrent prison terms ranging from 7 to 15.75 years); State v. O’Neill, 117 Ariz. 343, 572 P.2d 1181 (1977) (defendant, while baby-sitting, molested a two-year-old infant, resulting in a tear between her vagina and rectum; was sentenced to 20 years to life). These and other cases stand in stark contrast to the circumstances under which this defendant was sentenced in this case.
We conclude that a comparison of the punishments imposed for other crimes in Arizona reveals the disproportion with which defendant was sentenced under these factual circumstances.
C. Sentences Imposed for the Same Crime in Other States
We also examine the punishment imposed for the same crime in other jurisdictions. Solem, 463 U.S. at 292, 103 S.Ct. at 3010. This comparison is difficult because the offenses defendant committed are chargeable as a broad variety of crimes with varying punishments. However, we have attempted to compare penalties for the crimes closest to those committed here: consensual, nonincestuous, heterosexual intercourse with a 14-year-old.
Additionally, we compare each of defendant’s sentences individually, keeping in mind that the 15-year sentence was imposed for a first offense, and that the 25-year sentence was imposed for a second offense. We also consider only those sentences imposed for a defendant with no prior felony convictions, other than the first offense used as an enhancement factor for the second offense. Our focus is necessarily on the mandatory minimum sentences imposed in other jurisdictions, because that is what defendant received here. We do not consider significant the state’s argument that defendant could have received maximum sentences in other juris dictions greater than the mínimums imposed in this case, because the record clearly indicates that the trial court did not find aggravating factors justifying maximum sentences under these circumstances.
(1) 15-year Sentence for First Offense
In 10 jurisdictions, defendant’s offenses would either not be a crime or would be punishable only as a misdemeanor with a sentence of less than one year and/or a fine. For a first felony offense in the remaining jurisdictions, defendant would have faced a minimum penalty of one, two, or three years, with probation often available. Thus, our statute is unique among all jurisdictions in that it imposes a minimum mandatory term of 15 years, which is 5 times higher than that imposed in any other jurisdiction. In all jurisdictions but Arizona, the sentencing judge has a wide range of discretion in imposing a sentence at the bottom of the statutory range that fits the individual circumstances of the crime. Although the maximum allowable sentence in some jurisdictions would have fallen within the range of sentencing provided for a first offender under A.R.S. § 13-604.01(A), in no jurisdiction would the sentencing judge be required to impose a sentence of more than 3 years for the identical offense. Thus, our legislature has mandated a penalty potentially disproportionate to an individual criminal act or defendant. See J. Howe, Thoughts on Mandatory Sentencing, Ariz.Bar J. June-July 1985, at 24-25.
Such potential disproportionality is not enough to allow us to find defendant’s sentences cruel and unusual. See State v. Taylor, 160 Ariz. 415, 773 P.2d 974 (1989) (“Although on the national spectrum Arizona deals with crimes against children more severely than many other states, ‘[t]he Eighth Amendment is not violated every time a state reaches a conclusion different from a majority of its sisters over how to best administer its criminal laws.’ Spaziano v. Florida, 468 U.S. 447, 464, 104 S.Ct. 3154, 3164, 82 L.Ed.2d 340, 355 (1984)”). Such potential differences in sentencing are “a mark of federalism, not unconstitutionality.” State v. Bishop, 717 P.2d 261, 272 (Utah 1986).
In this case, however, the potential disproportion between the sentences defen dant received and those sentences actually imposed on other similarly situated defendants in other jurisdictions is actual. Defendant has supplied us with a myriad of examples in the published case law of other jurisdictions. A few representative citations illustrate his point: Diefenderfer v. State, 745 P.2d 556 (Wyo.1987) (defendant pleaded guilty to third degree sexual assault of a girl under 14; the execution of his sentence of 3 to 5 years suspended and 4 years probation imposed); State v. DeJesus, 10 Conn.App. 591, 524 A.2d 1156 (1987) (defendant pleaded guilty to second degree sexual assault of a 14-year old; sentence of 5 years upheld); State v. La Borde, 234 La. 28, 99 So.2d 11 (1958) (defendant convicted of carnal knowledge of 14-year old; sentenced to one year, 9 months); State v. Smart, 247 La. 174, 170 So.2d 365 (1965) (defendant convicted of carnal knowledge of a 13-year old; sentenced to 3 years); State v. Rodriguez, 179 N.J.Super. 129, 430 A.2d 957 (1981) (defendant convicted of sexual assault of a 13-year old; sentenced to 4 years); State v. Newell, 82 N.C.App. 707, 348 S.E.2d 158 (1986) (defendant convicted of taking indecent liberties with a consenting child between 13 and 16; sentenced to 3 years); State v. Hartman, 145 Wis.2d 1, 426 N.W.2d 320 (1988) (defendant convicted of statutory rape of a 14-year old; sentenced to a term of not more than 3 years, but suspended and defendant placed on probation with 6 months in county jail work release program). Additionally, defendant’s appellate counsel has avowed to the court that he “has diligently searched two centuries of case law of each of our 50 sister states. This required the review of just over 2,600 cases. Not one case was found where a similarly situated defendant received an aggravated sentence remotely comparable to that imposed as a mandatory minimum upon Mr. Bartlett.”
Given this authority, we conclude that the mandatory minimum sentence imposed on defendant for his first offense was disproportionate to sentences received by similarly situated defendants in other jurisdictions.
(2) 25-year sentence for second offense
A comparison of the 25-year mandatory minimum sentence defendant received for the second offense with those imposed in other jurisdictions is complicated by the enhancement of defendant’s second sentence because the first count was treated as a prior predicate felony. Most jurisdictions punish repeat offenders more stringently, and enhancement of penalties on the basis of prior offenses has been consistently upheld against eighth amendment attacks. See, e.g., Rummel, 445 U.S. at 276, 100 S.Ct. at 1140; Codo v. Bramlett, 872 F.2d 889, 893 (9th Cir.1989). However, we are mindful that the legislature, in requiring a 25-year minimum sentence for a second offense, implicitly assumed that it was enhancing a constitutionally proportionate minimum sentence of 15 years for a first offense. We have already found the minimum sentence for the first offense to be disproportionate to the facts of this case. Additionally, the “prior” felony in this case was one for which defendant was simultaneously tried and sentenced with the second offense, a factor not existing in other jurisdictions. See A.R.S. § 13-604(H).
Also complicating our analysis is the mandatory consecutive nature of the two sentences, along with the absence of the availability of parole. We have previously refused to find the consecutive nature of two sentences for two separate crimes to be a factor that would render the second sentence disproportionate. Jonas, 164 Ariz. at 249, 792 P.2d at 712. We thus do not consider that factor here. Nonavailability of parole, however, is a factor in determining proportionality, although the absence of parole, in itself, does not make a sentence disproportionate. Solem, 463 U.S. at 297 and n. 24, 103 S.Ct. at 1151 and n. 24; Jonas, 164 Ariz. at 249, 792 P.2d at 712. In this case, the absence of parole availability requires us to consider that defendant will serve the entire 25-year sentence for the second offense.
Despite these difficulties, a comparison of what penalties defendant would face for a second offense in other jurisdictions, although not as clear as the comparison for a first offense, compels the conclusion that defendant would be subject to a much lighter minimum mandatory sentence for his second offense in all but one state.
In Nebraska, defendant would be subject to a statutory range of 25 to 50 years for a second conviction of sexual assault involving a consenting child less than 16 years old, and would not be eligible for parole. Neb.Rev.Stat. § 28-319(l)(c), (3). However, as the United States Supreme Court noted in Solem v. Helm, a finding that a defendant could have received an identically harsh sentence in one other state is also a clear indication that he “could not have received such a severe sentence in 48 of the 50 States.” 463 U.S. at 299, 103 S.Ct. at 3014 (emphasis added). Furthermore, we have not been advised by the state of any defendant charged in Nebraska with offenses similar to Bartlett’s actually receiving such a harsh sentence. Rather, the published cases that we have found challenging the mandatory Nebraska sentence for a second offense have involved more heinous offenses, including forcible rape with serious physical injuries to the victim. See, e.g., State v. Brand, 219 Neb. 402, 363 N.W.2d 516 (1985) (defendant received 35-year sentence for his second conviction of first-degree sexual assault involving the use of force; sentence found not disproportionate to crime). Under these circumstances, we cannot find the 25-year mandatory minimum sentence for defendant’s second offense to be proportionate merely on the basis of the Nebraska statute.
Except for Nebraska, no other jurisdiction imposes a mandatory minimum sentence of more than 10 years for a second offense similar to defendant’s. In no jurisdiction did we find the particularly harsh combination of provisions present here, including both mandatory consecutive sentencing and nonavailability of parole. We must conclude, therefore, that the 25-year mandatory minimum imposed for defendant’s second offense is also disproportionate to the sentences imposed on similarly situated defendants in other jurisdictions.
Based on the above analysis, we hold that defendant’s sentences of 15 years for the first offense and 25 years for the second offense are disproportionate to the crimes he .committed under the specific facts of this case, and thus violate the eighth amendment proscription against cruel and unusual punishment. This is a narrow holding limited to the facts and circumstances of this case. The Supreme Court has said that successful challenges to the proportionality of particular sentences are “exceedingly rare.” Solem, 463 U.S. at 289-90, 103 S.Ct. at 3009. This is such a rare case.
3. Cruel and Unusual Punishment under the Arizona Constitution
Although this court requested additional briefing on whether defendant’s sentence violated either the federal or state constitutional provisions prohibiting cruel and unusual punishment, neither party analyzed the state constitutional provision separately from the federal grounds.
Article 2, § 15 of the Arizona Constitution is identically worded to its federal counterpart prohibiting cruel and unusual punishment. The framers of the Arizona Constitution, “in a rare case of using the federal Constitution as a model,” adopted the federal wording “cruel and unusual punishment” over the committee’s proposed wording that neither “cruel nor unusual punishment” should be permitted. J. Leshy, The Making of the Arizona Constitution, 20 Ariz.St.L.J. 1, 85 and n. 524 (1988), citing Journal of the [Arizona] Constitutional Convention 463 (Con.P. Cronin Comp.1925). This deliberate adoption of the federal wording expressed the framers’ intent to give legislators wide discretion in imposing methods of capital punishment. See S. Feldman & D. Abney, The Double Security of Federalism: Protecting Individual Liberty Under the Ari zona Constitution, 20 Ariz.St.L.J. 115, 122 (1988).
Here, where identically worded federal and state constitutional provisions are alleged to have been violated, when the parties do not argue that the state constitution provides greater protection than does the federal analog, and when we have already found a violation of the federal counterpart, we need not address whether defendant’s sentences would have violated the Arizona constitution had they not violated the eighth amendment.
Having concluded that the sentences imposed in this case violate the eighth amendment prohibition against cruel and unusual punishment, we do not address whether they violate art. 2, § 15 of the Arizona Constitution.
DISPOSITION
In his petition for review, defendant argues that we should reduce his sentence to one more proportionate to his crime pursuant to our authority to reduce excessive sentences under A.R.S. § 13-4037(B), which provides:
If, in its opinion, the conviction is proper but the punishment imposed is greater than under the circumstances of the case ought to be inflicted ... the supreme court shall impose any legal sentence, not more severe than that originally imposed, which in its opinion is proper____
The ability to impose “any legal sentence” necessarily implies that we are limited to reducing an excessive sentence to one within the statutory range enacted by the legislature, assuming that range is constitutional. See Wahl v. State, 39 Ariz. 62, 3 P.2d 1052 (1931); State v. Gourdin, 156 Ariz. 337, 751 P.2d 997 (App.1988) (a sentence not authorized by law is illegal). Indeed, in prior cases in which we have reduced an excessive sentence under authority of A.R.S. § 13-4037 or its predecessor, A.R.S. § 13-1717, we have imposed a sentence within the range of sentencing provided by the legislature. See, e.g., State v. Telavera, 76 Ariz. 183, 261 P.2d 997 (1953) (excessive sentence of 10 to 20 years reduced to 7 to 10 years); State v. Seelen, 107 Ariz. 256, 485 P.2d 826 (1971); State v. Flores, 108 Ariz. 231, 495 P.2d 461 (1972); State v. Waldrip, 111 Ariz. 516, 533 P.2d 1151 (1975).
In this case, however, we hold that the statutory range of sentencing under A.R.S. § 13-604.01 cannot constitutionally be applied to defendant’s crimes under the facts and circumstances of this case. We therefore have no available “legal” sentence within the range of A.R.S. § 13-604.01 to impose on defendant.
The state argues that if we find defendant's sentences unconstitutionally cruel and unusual, “appellant must be set free, as he has committed a crime for which there would be no punishment.” The state bases its position on the assumption that the underlying substantive offense of sexual conduct with a minor, prohibited by A.R.S. § 13-1405, is so “inextricably united” with the sentencing provisions of A.R.S. § 13-604.01, that sentencing defendant under any other provision of the law would “undermine the intent of the entire statutory scheme.” We cannot agree with this proposition.
We do not invalidate defendant’s convictions for two counts of sexual conduct with a minor under age 15. Such offenses have been validly designated class 2 felonies by the legislature. Neither do we hold the sentencing provisions of A.R.S. § 13-604.01 unconstitutional as applied to other defendants under different circumstances. We merely hold that the sentencing provisions of A.R.S. § 13-604.01, which are more stringent than those applied to other class 2 felons, cannot be applied constitutionally to this defendant under these facts and circumstances. The result is to bar application of those provisions to this case, leaving defendant to be sentenced the same as any other class 2 felon to whom the provisions of A.R.S. § 13-604.01 would not apply. Thus, under the remaining statutory range provided for class 2 felonies in A.R.S. §§ 13-701 and -702, defendant could be sentenced within the range that would include, for the first offense, a minimum term of 5.25 years, a presumptive term of 7 years, and a maximum term of 14 years, of which he would have to serve at least one-half before any possible release. As a first-time nondangerous offender, he would be eligible for probation. For the second offense, defendant’s sentence could be enhanced by the first offense, see A.R.S. § 13-604(H), within the range that would include a minimum term of 7 years, a presumptive term of 10.5 years, and a maximum term of 21 years. See A.R.S. § 13-604(B). Defendant would not be eligible for probation for the second offense, and would have to serve at least two-thirds of any sentence imposed before release. A.R.S. § 13-604(B). Defendant’s sentences would run consecutively unless the trial court stated on the record its reasons for imposing concurrent sentences. A.R.S. § 13-708.
Such a sentencing scheme can be applied validly to this defendant as a class 2 felon. This wide discretionary range of sentencing will enable the trial court to proportionately tailor the harshness of the penalty to the severity of the crimes. Because we cannot discern from the record before us what sentences the trial court would have imposed had it not felt bound by the mandatory provisions of A.R.S. § 13-604.01, we remand this matter to the trial court for resentencing in accordance with this opinion. We also vacate that portion of the court of appeals memorandum decision that is inconsistent with this opinion.
GORDON, C.J., FELDMAN, V.C.J., and CAMERON and MOELLER, JJ„ concur.
. We will use fictitious names for the two teenage girls involved in this case. This is in accordance with our policy of October 24, 1989, in which the Chief Justice advised all appellate judges "to avoid, where possible, referring by name in appellate opinions to individual victims or witnesses who are minors or victims of crimes, where naming them would cause them danger or unnecessary embarrassment. Referring by name should occur only where it is absolutely necessary for clarity.”
. Defendant was also charged with a third count of sexual conduct with a minor aged 15 years, a class 6 felony, involving a third teenager. However, the jury acquitted him of that charge at trial, and the circumstances involving that incident are not relevant to this review.
. The record indicates that defendant, against his counsel’s advice, rejected the state’s offer of a stipulated 5-year sentence for all 3 counts if defendant would enter an agreement to plead guilty. Had the offer been accepted, the state apparently would have amended and reduced the charges to make a 5-year sentence statutorily available.
. See Ark.Stat. § 5-14-106 (third degree carnal abuse, a class A misdemeanor); Cal.Penal Code § 261.5, 264 (unlawful sexual intercourse); Ga. Crim.Code § 26-2010 (fornication); Haw.Rev. Stat. § 707-732 (sexual abuse in the third degree); Ill.Crim.Code § 11-4.1 (contributing to the sexual delinquency of a child); Md.Ann. Code § 27-464C (fourth degree sexual offense); Mo.Rev.Stat. § 566.030 (not a felony; age of consent is 14); Pa.Stat.Ann. § 18-3122 (not a felony; age of consent is 14); S.C.Code Ann. § 16-3-655 (not a crime; age of consent is 14); W.Va.Code Ann. § 61-8B-9(a) (sexual abuse in the third degree).
. Felony penalties for a first offense in other jurisdictions include the following sentencing ranges: Ala.Code § 13A-6-62 (2 to 20 years); Alaska Stat. §§ 11.41.434, 12.55.125 (1 to 10 years); Colo.Rev.Stat. §§ 18-3-403, 18-1-105 (2 to 8 years); Conn.Gen.Stat. § 53a-71(a)(l), 53a-35a (1 to 10 years); Del.Code Ann. tit. 11 §§ 773, 4205 (3 to 30 years); Fla.Stat.Ann. §§ 800.04, 775.082 (1 to 15 years); Idaho Code §§ 18-6101, 18-6104 (1 year to life); Ind.Code Ann. §§ 35-42-4-3(c), 35-50-2-6 (2 to 8 years); Iowa Code § 709.4 (1 to 10 years); Kan.Crim. Code Ann. §§ 21-3503, 21-4501 (3 to 20 years); Ky.Rev.Stat.Ann. § 510.060 (1 to 5 years); La. Rev.Stat.Ann. § 14:80 (1 to 10 years); Me.Rev. Stat.Ann. tit. 17-A, §§ 254, 1252(2)(D) (1 year); Mass.Gen.Laws Ann. Ch. 265, § 23 (1 year to life); Mich.Comp.Laws § 28.788(4)(a) (1 to 15 years); Minn.Stat.Ann. § 609.344(1 )(b)(2) (1 to 15 years); Miss.Code Ann. § 97-5-21 (1 to 10 years); Mont.Code Ann. § 45-5-503(3)(a) (2 to 40 years); Neb.Rev.Stat. § 28-319 (1 to 50 years); Nev.Rev.Stat. §§ 200.364(3), 200.368(1) (1 to 10 years); N.H.Rev.Stat.Ann. §§ 632-A:3, 651:2 (1 to 7 years); N.J.Rev.Stat. §§ 2C:14-2(c)(5), 2C:43-6, a(2) (2 to 10 years); N.M.Stat. Ann. §§ 30-9-13(B), 31-18-15 (1 to 2 years); N.Y.Penal Law §§ 130.25, 70.00, subd. 2(e) (1 to 4 years); N.C.Gen.Stat. §§ 14.202.1, 14-1.1(a)(8) (1 to 10 years); N.D.Cent.Code §§ 12.1-20-03, 12.1-32-01, subd. 3 (1 to 15 years); Ohio Rev. Code Ann. §§ 2907.04, 2929.11(D)(1) (1 to 2 years); Okla.Stat.Ann. §§ 1114(B), 1116 (1 to 15 years); Or.Rev.Stat. §§ 163.355, 161.605 (1 to 5 years); RJ.Gen.Laws §§ 11-37-6, 11-37-7 (1 to 5 years); S.D.Codified Laws § 22-22-1(5) (1 to 15 years); Tenn.Code Ann. § 39-2-605 (1 to 5 years); Tex.Penal Code Ann. § 22.011 (2 to 20 years); Utah Code Ann. §§ 76-5^*01(1), 76-3-203(3) (1 to 5 years); Vt.Stat.Ann. tit. 13 § 3252 (1 to 20 years); Wash.Rev.Code §§ 9A.44.079, 9.94A.310, table 1 (1 to 5 years); Wis.Stat.Ann. § 940.225(2)(e) (1 to 10 years); Wyo.Stat. §§ 6-2-304, 6 — 2—306(a)(iii) (1 to 5 years); D.C.Code Ann. §§ 22-2801, 24-203 (1 year to life).
. We do not hold, however, that we would never, consider the requirement of consecutive sentences to be a factor in determining proportionality. This is not, for example, a case in which consecutive sentences were imposed on a defendant who engaged in one single course of conduct that resulted in separate repetitive crimes with consecutive sentences. In such a case, the consecutive nature of the sentences would perhaps be a factor in deciding proportionality.
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VOSS, Judge.
In St. Joseph’s Hosp. v. Superior Court, 164 Ariz. 454, 793 P.2d 1121 (Ct.App.1990), we held that House Bill 2123 did not apply retroactively to defeat a litigant’s right to convene a medical liability review panel under former A.R.S. § 12-567(A). We now address the narrow question of whether the right to preclude claims not presented to the review panel pursuant to former A.R.S. § 12-567(F) and the right to present findings of the review panel pursuant to former A.R.S. § 12-567(K) were retroactively repealed. Because both of these rights are so intimately linked with the underlying substantive right to convene a review panel, we hold that they can only be prospectively applied.
Background
The consolidated complaints in the underlying matter were referred to a medical liability review panel and on April 22, 1988, the review panel rendered its decision. On June 28, 1989, Governor Mofford signed into law H.B. 2123, which became effective on September 15, 1989. Section 1 of H.B. 2123 repeals A.R.S. § 12-567.
On August 4, 1989, petitioner requested a motion in limine to preclude real parties in interest from raising at trial any claims or issues not presented to the review panel, and to admit into evidence the review panel’s decision. Petitioner moved pursuant to A.R.S. § 12-567(F) and (K). Respondent Anna Marie Buckenmaier filed her own motion in limine to preclude the admission of the review panel decision.
By minute entry dated August 25, 1989, the trial court denied petitioner’s motion in limine and granted respondent’s motion in limine.
Discussion
The legislature did not expressly provide for retroactive application of H.B. 2123. St. Joseph s Hosp., 164 Ariz. 454, 793 P.2d 1121. Where the legislature fails to provide for retroactive application, we may not so provide unless we determine that the statutes involved are “merely procedural and [do] not affect an earlier established substantive right.” Bouldin v. Turek, 125 Ariz. 77, 78, 607 P.2d 954, 955 (1979).
In Daou v. Harris, 139 Ariz. 353, 678 P.2d 934 (1984), our supreme court held that the portion of former A.R.S. § 12-567(A) creating the right to a review panel was substantive. Id. at 358, 678 P.2d at 939. The Daou court also held that the portion of former A.R.S. § 12-567(A) providing that the underlying case be referred to a review panel within ten days was procedural. Id.
The Daou court adopted the United States Supreme Court’s distinction between substantive and procedural law.
[A] procedural provision “does not operate to abridge, enlarge or modify the rules by which (the district) court will adjudicate its rights. It relates merely to ‘the manner and means by which a right to recover * * * is enforced.’ ” Mississippi Publishing Corp. v. Mur-phree, 326 U.S. 438, 446, 66 S.Ct. 242, 246, 90 L.Ed. 185 (1946) (quoting Guaranty Trust Co. v. York, 326 U.S. 99, 109, 65 S.Ct. 1464,1470, 89 L.Ed. 2079 (1945)).
Id.
The question, then, is whether the right to introduce the review panel’s findings and the right to preclude items not presented to the review panel abridges, enlarges, or modifies the underlying substantive right to a review panel, or whether these rights merely relate to the enforcement of the right to a review panel.
In drafting A.R.S. § 12-567 the legislature attempted to “help curb medical malpractice premiums by separating frivolous claims from meritorious ones and encouraging pretrial settlements.” Daou, 139 Ariz. at 357, 678 P.2d at 938. The notice provision discussed in Daou, is an arbitrary
consideration simply provided to give form to the underlying procedures. It does not promote the specific interest articulated by the legislature. The same is not true for the rights involved here.
The right to conduct a review panel by itself provides little more than another expert opinion, and does little to separate real from frivolous claims or prompt early settlement. However, combined with the right to present the review panel findings and the right to preclude items not raised, the overall purpose of this legislation is given effect. These rights give substance to the legislature’s expressed intent.
Clearly the items at issue are not merely procedural rights which do not affect an earlier established substantive right. Whether these rights could be grouped in a generic category of procedural rights in some other context is irrelevant. They are so entwined with the underlying substantive right to a review panel that they take on the attributes of substantive rights. As described in St. Joseph’s Hosp., we may not prescribe a retroactive application to legislation affecting a substantive right where the legislature has not so provided.
JACOBSON and KLEINSCHMIDT, JJ., concur.
. Former A.R.S. § 12-567(F) states:
No claims for relief, theories of liability or defenses relating to medical malpractice which have not been heard and decided by the panel may be presented or argued to the court or jury in any trial of the matter.
. Former A.R.S. § 12-567(K) states: "The conclusion of the panel may be admitted into evidence in any subsequent trial.”
. For ease of description, real parties in interest are hereafter referred to as respondents.
|
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ORDER
The Consent to Disbarment and Stipulation regarding respondent’s consent to disbarment having been filed on April 19,1990 and reviewed by this Court,
IT IS ORDERED that the disbarment of EDWIN P. YOUNG, II from the practice of law in the State of Arizona be and hereby is entered this 26th day of April, 1990.
Pursuant to Rule 63(c), Rules of the Supreme Court of Arizona, this Order entering disbarment shall be effective the 25th day of June, 1990.
IT IS FURTHER ORDERED that pursuant to Rule 63(a), Rules of the Supreme Court of Arizona, EDWIN P. YOUNG, II shall notify all of his clients, within ten (10) days from the date hereof, of his inability to continue to represent them and that they should promptly retain new counsel, and shall promptly inform this Court of his compliance with this Order’s requirements, as well as the other duties imposed by Rule 63, Rules of the Supreme Court of Arizona.
IT IS FURTHER ORDERED that EDWIN P. YOUNG, II shall, within ten (10) days from the date hereof, file with this Court a list setting forth:
(1) the name of every client for whom he is presently performing any legal service, regardless of whether the matter is in litigation;
(2) the address and telephone number of every client;
(3) all cases in which he is counsel, together with the caption and number of the case, the court in which the matter is pending, the names, addresses and telephone numbers of co-counsel and opposing counsel, and the names, addresses and telephone numbers of those persons who are representing themselves;
(4) the current status of each pending case;
(5) efforts made within the preceding thirty (30) days to resolve each case or to secure replacement counsel. In the event that any file or property is returned to a client, the name of the client, a description of the property or file and the date of its receipt by the client shall be provided;
(6) the amount of attorney’s fees and costs paid to date on each case and a statement of any costs or fees due from each client or any unused retainer or costs advanced still held for each client; and
(7) all property held by EDWIN P. YOUNG, II for any client or third party, in addition to any sums held for clients in a trust account(s).
EDWIN P. YOUNG, II shall deliver a copy of the aforementioned list to James H. Kep-pel, 111 West Monroe, Phoenix, Arizona 85003.
IT IS FURTHER ORDERED that each of the items set forth above shall be updated by EDWIN P. YOUNG, II every fourteen (14) days. The updated list shall be filed with this Court and a copy delivered to James H. Keppel no later than the close of business of the fourteenth (14th) day.
IT IS FURTHER ORDERED that James H. Keppel shall monitor the winding up of affairs by EDWIN P. YOUNG, II and compliance with Rule 63, Rules of the Supreme Court of Arizona. Mr. Keppel shall, at a minimum, conduct a weekly review of the law practice of EDWIN P. YOUNG, II.
IT IS FURTHER ORDERED that Mr. Keppel shall have unrestricted access to all books, files, records, accounts, or any other items or documents of EDWIN P. YOUNG, II necessary to insure continuing compliance with Rule 63, Rules of the Supreme Court of Arizona, and the terms of this order.
IT IS FURTHER ORDERED that, within ten (10) days from the date hereof, EDWIN P. YOUNG, II shall provide to James Kep-pel all bank statements for his general operating bank account(s), payroll accounts), trust account(s), and any other accounts utilized by EDWIN P. YOUNG, II in the operation of his law practice. Copies of all new bank statements shall be provided to Mr. Keppel as they are received by EDWIN P. YOUNG, II.
IT IS FURTHER ORDERED that subsequent to the ten (10) day period provided for in Rule 63(a), Mr. Keppel may contact any person within the scope of Rule 63(a) to determine EDWIN P. YOUNG, II’s compliance with the Rule.
IT IS FURTHER ORDERED that James H. Keppel shall immediately notify this Court of any evidence of non-compliance by EDWIN P. YOUNG, II with this Order or the requirements of Rule 63, Rules of the Supreme Court of Arizona.
IT IS FURTHER ORDERED that pursuant to Rule 53(e)(3), Rules of the Supreme Court of Arizona, EDWIN P. YOUNG, II be and hereby is assessed the costs incurred by the State Bar of Arizona, in an amount to be set by subsequent order based on information to be furnished to this Court by the State Bar of Arizona within thirty (30) days of the date hereof. The costs are to be paid to the State Bar of Arizona prior to reinstatement as a member in good standing of the State Bar of Arizona.
Should EDWIN P. YOUNG, II fail to comply with any of the terms of this Order or the provisions of Rule 63, Rules of the Supreme Court of Arizona, the Court will, sua sponte, enter an order of immediate disbarment.
|
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OPINION
GERBER, Presiding Judge.
Appellant Barbara Ann Shearer was convicted of one count of theft and four counts of fraudulent schemes and artifices. The trial court sentenced her to concurrent aggravated terms of 10 years of imprisonment on the theft count, 21 years on one fraudulent schemes count, and 28 years on the remaining three fraudulent schemes counts. On appeal, she raises four issues:
(1) Was her constitutional right to confrontation violated?
(2) Was admission of multi-layered hearsay prejudicial error?
(3) Did the trial court improperly comment on the evidence?
(4) Were the offenses committed on the same occasion such that sentence enhancement under A.R.S. § 13-604(H) was error?
OVERVIEW
In December 1985, appellant was indicted on one count of theft, a class 3 felony. In September 1986, appellant was indicted on four counts of fraudulent schemes and artifices, class 2 felonies. The matters were subsequently consolidated. The basis for both indictments was the allegation that over a period of months, appellant converted and used funds which belonged to her husband and his ex-wife and then absconded.
Two trials occurred. Appellant’s first trial began in May 1987. During cross-examination by defense counsel, appellant’s husband, Thomas Morris “Arkie” Shearer, suffered a fatal heart attack. Of necessity, a mistrial was declared. Thereafter, the state moved for an order allowing it to use both Shearer’s deposition and trial testimony in the new trial. The trial court entered an order admitting various portions of Shearer’s trial and deposition testimony. A second trial which commenced in October 1987 resulted in appellant’s conviction on all counts. This appeal followed.
FACTS
Because of the bizarre and complicated origins of this case, we provide a detailed historical sketch of the parties’ interactions based on testimony.
Background
Appellant’s husband, Thomas Morris “Arkie” Shearer (Shearer), began saving money when he was a boy in Arkansas. As a young man, he owned and operated several businesses there and saved a portion of his earnings. In 1957, he married Shirley Shearer. About a year later, the couple separated. Shearer moved to Phoenix, bringing with him between $200,000 and $300,000 in cash. He eventually bought property at 2401 West Van Burén where he did business as “Arkie’s Used Cars.” He built a home on West Monroe directly behind his business.
In the mid-1960s, Shearer stopped selling cars and went into the auto parts business as “Arkie’s Auto Parts.” Shirley Shearer had rejoined him, and the two worked long hours to build up the business. They continued to save money. Because of Shearer’s distrust of banks, he and Shirley would wrap $20 bills in bundles, place the bundles in tool boxes, and store them in hiding places on his property.
The Shearers divorced in 1983, having secreted approximately $1,700,000 in cash. They were the only persons who knew of its existence and location. They agreed that they would split the money upon Shearer’s retirement, and if one of them died prior to that time, the survivor would keep all the money.
Appellant's Marriage to “Arkie” Shearer
After the 1983 divorce, Shearer hired appellant as a live-in housekeeper, paying her $200 per week in cash. Shortly thereafter, Shearer and appellant became romantically involved. She also began working in the auto parts store. About a year after they met, appellant told Shearer that she wanted to marry him and that, if he did not marry her, she would move out of his house. Shearer declined the marriage offer. Appellant moved out. Approximately one month later, however, Shearer agreed to marry her and appellant moved back in with him. Prior to the marriage, the parties executed a prenuptial agreement which, however, was silent as to the Shearer fortune secreted on the property.
About seven months later, Shearer discovered that approximately $302,000 in cash was missing and possibly stolen from a doghouse where a portion of the fortune had been hidden. Shearer suspected Shirley. She denied taking the money. Shirley suggested, later, that a boyfriend of hers may have known that money was hidden in the doghouse and taken it.
Shearer contacted his three children and revealed to them, for the first time, the existence of the money and the fact that some was missing. During the course of this family discussion, appellant asked Shearer what was happening. Shearer then told her fully about the hidden fortune and the recent theft of a portion of it. Shearer told appellant that the money belonged to himself and Shirley.
Because of his concern about the remainder of the money, Shearer decided to hide it elsewhere. He and appellant removed the tool boxes containing cash from the other hiding places on the property. While removing the money, Shearer discovered that a large portion of it had been damaged. This money was put aside, and the remainder was replaced in tool boxes and placed inside two 55-gallon barrels. The next morning, appellant took the two barrels to a storage locker. When she returned, she gave Shearer a set of keys and kept a set for herself. Shearer reminded appellant that the money belonged to Shirley and himself, and that, as far as appellant was concerned, the money was “forbidden fruit.”
Shearer then had appellant take the damaged money to a local bank in amounts under $10,000 to exchange it for new money. When appellant returned with the new money, Shearer placed part of it in a file cabinet in his office at Arkie’s Auto Parts and part of it in a file cabinet in a poolroom at his home. Whenever Shearer had enough money to fill two tool boxes, he would give the tool boxes to appellant and instruct her to put them in the storage locker. At some point, appellant rented a second storage locker.
In March 1985, appellant purchased a new Chrysler Fifth Avenue, making three cash payments amounting to $17,000. She took title to the vehicle in her name alone and gave a Phoenix post office box as her address. Shortly thereafter, appellant bought a motor home. She also paid cash for this vehicle and again took title in her name alone, giving an address on East Camelback. She bought insurance for these vehicles and gave the insurance agent a post office box address. When told that she had to provide a residence address where the vehicles were garaged, she told the agent she was living with a friend in Scottsdale and gave a Scottsdale address which turned out to be fictitious.
Appellant did not tell Shearer of these purchases. She stored the vehicles at a house Shearer rented to Billy Compton and William Wood, employees at Arkie’s U-Do-It Truck Stuff. Appellant had previously hired Compton and Wood to help her move out of Shearer’s home on Monday, April 15, a date when Shearer would be expected to be away working.
In the meantime, appellant had arranged for her daughter, Donna, to come to Phoenix on the weekend of April 13 for a “big surprise.” Donna came as planned. On Sunday appellant bought a house with cash she had taken from one of the storage lockers. She told Donna that the house would be deeded in Donna’s name so that it could not be traced to appellant. Appellant gave false information to the real estate agent, stating that she was divorced. After paying for the house, appellant told Donna she was leaving Shearer and that, if Shearer asked where they had been, Donna was to tell him that they had been shopping.
Meanwhile, that same Sunday, Shearer decided to check on his money in one of the storage lockers. After discovering that the money was missing, he called his daughter Carol. Carol went to Shearer’s house. Together they waited for appellant to return home. When appellant and Donna returned, Shearer asked her if she intended to leave him. Appellant denied that she had any intention of leaving. Donna then left the room, and Shearer and Carol confronted appellant with the fact that the money was missing from the storage locker. Appellant admitted she had taken the money and claimed that it was her “security,” stating that, as long as she had the money, “nobody is going to run me off.” As appellant prepared to take Donna to the airport, Carol asked her if she was coming back. Appellant told her, “Of course. Don’t be silly., I live here. Of course I’m coming back.”
Appellant drove Donna to the airport but did not return. Appellant telephoned Compton and Wood and told them that Shearer knew she had taken the money. She told them that, if they wanted their personal belongings, they had better move them out of the rental house quickly.
Appellant’s Flight
The next morning, appellant went to a bank to get cash from a safe deposit box. That afternoon, appellant, Compton, Wood,, and another person left Phoenix, taking with them the cash, the motor home, the new Chrysler, and a U-Haul truck. At one point, appellant told Compton she had $1.4 million in cash, but she added that she was leaving some of it hidden in Phoenix.
Appellant, Compton, and Wood drove to Texas. On the way, appellant spent a great deal of money. She told Compton and Wood that Shearer would not report her to the police because he had “skimmed it off his income tax” and would go to jail. During their travels, appellant, Compton, and Wood counted out approximately $350,-000 in cash. Appellant told them that she had scattered the remainder of the money in different storage lockers so that, in case one was found, the others would be safe.
Eventually, Shearer learned that appellant was in Victoria, Texas. Shearer, Carol, and his son David flew to Victoria, where they successfully recovered the Chrysler Fifth Avenue. Appellant made a quick departure in the motor home, driving to Orlando, Florida, and eventually to Memphis, Tennessee. During her travels, appellant, using an alias, purchased a 1981 Mercedes 380 SL.
In May 1986, FBI agents arrested appellant in Tucson. Appellant told the agents that Shearer had recovered over $800,000 of the money, which she claimed was in a suitcase in the trunk of the Chrysler. She also told them that Shearer had obtained the money by skimming it from his business. She indicated to the agents that Shearer loved her and that he would drop the charges against her as soon as they got back together. Her expectation was not fulfilled.
Trial
The first trial ended in a mistrial caused by Shearer’s death. Appellant testified at the second trial. Her defense was that she had a legal interest in the money. Specifically, she testified that Shearer told her she could use the money he placed in the file cabinet and that, if it was not enough, “you know where the other is.” She admitted purchasing the motor home and the Chrysler. She denied that she ever intended to leave Shearer, and testified that she only decided to do so when Carol threatened her. She testified that, when Carol found out she had “moved” the money, Carol stated, “if you don’t tell us where it is, we can do to you what we are going to do to Gonzales.” On the way to the airport with Donna, she decided to leave Shearer because of Carol’s threat.
The jury convicted appellant on all counts. This appeal followed.
WAS APPELLANT’S RIGHT TO CONFRONT HER ACCUSER VIOLATED?
In preparation for the first trial, appellant’s counsel moved for an order compelling Shearer’s deposition. This motion was made in part pursuant to Rule 15.3(a)(1), Arizona Rules of Criminal Procedure. Appellant’s counsel indicated that Shearer’s testimony was material, and that “Mr. Shearer has been in very poor health as of late, having spent some recent time in the hospital for a heart condition. Defendant is of the opinion that such health problems provide a substantial likelihood that he will not be available at the time of trial.” The motion was granted. On August 27, 1986, counsel deposed Shearer under oath on oral interrogatories “as on cross-examination.” Appellant was absent. The deposition was continued due to Shearer’s weariness to October 8 and again to October 10. Shear er was cross-examined on all significant matters later introduced at trial.
Shearer next testified at the first trial. His testimony was consistent with his deposition testimony in all material respects. Shearer’s fatal heart attack occurred after one and one-half hours of cross-examination.
In preparation for a retrial, the state sought a ruling on the admissibility of Shearer’s previous statements both at deposition and at trial. Relying on Rule 19.3, the trial court ordered on July 31,1987 that the state could introduce Shearer’s deposition testimony. As to Shearer’s trial testimony, the court issued a further order, stating:
In order to protect the Defendant’s confrontation right and to ensure that the statements sought to be admitted are supported by equivalent circumstantial guarantees of trustworthiness, the State is directed to submit to the Court by September 4, 1987 a listing of all statements sought to be introduced from Ark-ie Shearer’s interviews and trial testimony. Among the factors to be considered by the Court in determining the trustworthiness of the statements sought to be admitted despite confrontation clause challenges are:
1. Opportunity to cross-examine
2. Presence of oath
3. Corroboration
4. Necessity and materiality.
Pursuant to this order, the state filed a written memorandum setting forth the previous trial testimony it sought to introduce and indicating other sources which would corroborate the statements proffered, including Shearer’s deposition testimony. Appellant also indicated a desire to admit at retrial the entire cross-examination testimony of Shearer given on May 14, 1987. After considering the matter, the trial court entered its order on September 23, 1987 admitting the transcripts of Shearer’s prior trial testimony, both on direct and on cross-examination. Specifically, the court found:
[W]e have at least a sufficient enough record in this case for the Court at this point to be assured that there do exist sufficient indicia of reliability to allow in prior transcripts of trial testimony of Mr. Shearer without doing great harm to the confrontation rights of the defendant.
On appeal, appellant argues that the trial court erred in admitting both Shearer’s trial testimony and depositions because (1) appellant, though present at trial, was not present at the time the deposition testimony was recorded, and, furthermore, (2) because she was not able to fully cross-examine her accuser at trial.
The Right to Confrontation and Cross-Examination Generally
The Sixth Amendment to the United States Constitution guarantees to a defendant the right “to be confronted with the witnesses against him.” Similarly, Article 2, § 24 of the Arizona Constitution guarantees to the accused the right “to meet the witnesses against him face-to-face.” Sometimes, this right must give way. A literal reading of the confrontation clause would require the exclusion of any statement, however relevant, made by a declarant who was absent from trial for any reason. Such a reading has long been rejected:
In sum, when a hearsay declarant is not present for cross-examination at trial, the Confrontation Clause normally requires a showing that he is unavailable. Even then, his statement is admissible only if it bears adequate ‘indicia of reliability.’ Reliability can be inferred without more in a case where the evidence falls within a firmly rooted hearsay exception. In other cases, the evidence must be excluded, at least absent a showing of particularized guarantees of trustworthiness.
Ohio v. Roberts, 448 U.S. 56, 66, 100 S.Ct. 2531, 2539, 65 L.Ed.2d 597, 608 (1980). See State v. Jeffers, 135 Ariz. 404, 421, 661 P.2d 1105, 1122 (1983), cert. denied, 464 U.S. 865, 104 S.Ct. 199, 78 L.Ed.2d 174 (1983). The confrontation clause assures an accused that the jury will have an adequate basis upon which to evaluate the truth of the statement. See Dutton v. Evans, 400 U.S. 74, 89, 91 S.Ct. 210, 220, 27 L.Ed.2d 213, 227 (1970). Cross-examination, although preferred, is not the sole method by which the confrontation clause may be satisfied. Absent cross-examination, the essential issue is whether, under all the circumstances, the hearsay statement has a high degree of reliability. United States v. Nick, 604 F.2d 1199, 1203 (9th Cir.1979); State v. Robinson, 153 Ariz. 191, 204, 735 P.2d 801, 814 (1987); Jeffers, supra.
One of the firmly rooted exceptions to the hearsay rule and, thus, to the confrontation clause is the “former testimony” exception. Rule 804(b)(1), Arizona Rules of Evidence, states:
Former testimony. Testimony given as a witness at another hearing of the same or a different proceeding, or in a deposition taken in compliance with law in the course of the same or another proceeding, if the party against whom the testimony is now offered, or, in a civil action or proceeding, a predecessor in interest, had an opportunity and similar motive to develop the testimony by direct, cross, or redirect examination.
Rule 19.3(c), Arizona Rules of Criminal Procedure, provides for the admission of previously recorded testimony in a criminal case. The comment to this rule indicates:
Rule 19.3(c) contains as broad an exception to the hearsay rule for prior recorded testimony as the confrontation clause of the sixth amendment will presently permit____ It allows the use of prior recorded testimony not merely for impeachment, but to prove the truth of the matters asserted therein, whenever the defendant was present at the time the testimony was recorded, was represented by counsel, had an opportunity to cross-examine with an interest and motive similar to that which he has at trial, and the witness is either unavoidably absent, or is present at trial.
(emphasis added; citation omitted).
We thus focus a detailed inquiry on whether the trial court erroneously admitted, first, the deposition testimony and, second, the prior trial testimony.
A. FORMER TESTIMONY EXCEPTION
1. Deposition Testimony
[2] Shearer’s deposition testimony was not admissible at trial under Rule 804(b)(1) and Rule 19.3(c) because appellant was not present at the depositions. Rule 15.3(a)(1), Arizona Rules of Criminal Procedure, provides for the taking of a deposition if the deponent’s testimony is material and there is a substantial likelihood that he will not be available for trial. The accused has the right to be present at any deposition taken under this circumstance. Rule 15.3(d). Although a defendant may waive this right, there is nothing in this record to indicate that appellant waived her right to be present at Shearer’s depositions. In fact, at a hearing concerning the admissibility of prior testimony, appellant stated to the trial court:
THE DEFENDANT: ... I wasn’t aware of the statements that they were talking about, I’m going back to the depositions. If Mr. Shearer’s depositions are allowed to be admitted into evidence, they are being accepted as the gospel truth. I feel this is unfair because I was not present when the depositions were taken.
When my husband was on the witness stand, Mr. Doyle caught him in a lie. This was because of a question I had Mr. Doyle ask.
The requirement of the defendant’s presence or, at least, a waiver as a precondition to the “former testimony” provision stems from the constitution’s confrontational guarantee. In State v. Alvarado, 158 Ariz. 89, 93, 761 P.2d 163, 167 (App.1988), the court found that, where the state failed to show the defendant waived his presence at a witness’ deposition, the deposition was not admissible at trial. The court relied specifically on United States v. Benfield,
593 F.2d 815, 821 (8th Cir.1979), which stated:
Of course, confrontation requires cross-examination in addition to a face-to-face meeting____ The right of cross-examination reinforces the importance of physical confrontation. Most believe that in some undefined but real way recollection, veracity, and communication are influenced by face-to-face challenge. This feature is a part of the sixth amendment right additional to the right of cold, logical cross-examination by one’s counsel. While a deposition necessarily eliminates a face-to-face meeting between witness and jury, we find no justification for further abridgement of the defendant’s rights.
Basically the confrontation clause contemplates the active participation of the accused at all stages of the trial, including the face-to-face meeting with the witness at trial or, at the minimum, in a deposition allowing the accused to face the witness, assist his counsel, and participate in the questioning through his counsel.
(emphasis added; citations and footnotes omitted). This notion of “face-to-face” confrontation as a fundamental right was recently reaffirmed in Coy v. Iowa, 487 U.S. 1012, 108 S.Ct. 2798, 101 L.Ed.2d 857 (1988), and State v. Vincent, 159 Ariz. 418, 768 P.2d 150 (1989). Therefore, although Shearer was subject to full cross-examination, his deposition testimony was inadmissible under the “former testimony” exception.
2. Prior Trial Testimony
We turn now to the question whether this “former testimony” exception authorizes use of the prior trial testimony. Appellant was present during her first trial and confronted Shearer face-to-face. However, appellant was not afforded the opportunity for full cross-examination. Although defense counsel had cross-examined Shearer for approximately one and one-half hours, he asserts that he was not more than “one-third” finished when Shearer died.
The state argues that appellant did have a full and fair opportunity to cross-examine Shearer, and in fact extensively cross-examined him during the depositions, covering every significant matter raised at trial. The state argues further that the mere fact that this cross-examination did not occur contemporaneously with Shearer’s trial testimony does not violate appellant’s right to confrontation. The state attempts to support this argument by citing Ohio v. Roberts; California v. Green, 399 U.S. 149, 90 S.Ct. 1930, 26 L.Ed.2d 489 (1970); and Barker v. Morris, 761 F.2d 1396 (9th Cir. 1985), cert. denied, 474 U.S. 1063,106 S.Ct. 814, 88 L.Ed.2d 788 (1986).
While these cases do suggest that cross-examination need not occur contemporaneously with direct testimony, the state’s argument fails to address the fact that appellant was not present at the depositions where the opportunity for cross-examination occurred. We are not persuaded by the state’s argument that the prior trial testimony was admissible under the “former testimony” exception of Rule 804(b)(1). As in the case of the depositions, the “former testimony” provision does not authorize use of Shearer’s prior trial testimony. Cf. State v. Schad, 129 Ariz. 557, 569-70, 633 P.2d 366, 378-79 (1981), cert. denied, 455 U.S. 983,102 S.Ct. 1492, 71 L.Ed.2d 693 (1982) (defendant not denied constitutional right to confrontation when trial court admitted suppression hearing testimony of witness under Rule 804(b)(1)).
B. RESIDUAL EXCEPTION
That Shearer’s deposition and prior trial testimony are inadmissible under the “former testimony” exception does not mean that they are inadmissible under other provisions of the Rules of Evidence. We now address whether the trial court correctly admitted Shearer’s prior trial testimony under the residual exception of Rule 804(b)(5).
1. Prior Trial Testimony
The right to cross-examination is essentially a “functional” right designed to pro mote reliability in the truth-finding process. Kentucky v. Stincer, 482 U.S. 730, 737,107 S.Ct. 2658, 2662, 96 L.Ed.2d 631, 642 (1987). The right is not violated when out-of-court statements of an unavailable witness are admitted if the statements “bear adequate indications of trustworthiness.” Id. at 737, 107 S.Ct. at 2663, 96 L.Ed.2d at 642. Of course, if the out-of-court statement falls within a firmly rooted hearsay exception, the statement bears a high degree of reliability and the functional requirement of the confrontation clause is satisfied. See generally Ohio v. Roberts, 448 U.S. at 66, 100 S.Ct. at 2539, 65 L.Ed.2d at 608; Robinson, 153 Ariz. at 204, 735 P.2d at 814. If the statement does not fall within a specific hearsay exception, admissibility is predicated on a showing of particularized guarantees of trustworthiness and the formal requirements of Rule 804(b)(5), including the requirement of unavailability of the declar-ant. Robinson, supra. If these requirements are met, “the introduction of out-of-court statements is permissible if they are necessary and reliable. Such statements do not violate defendant’s right to confrontation.” State v. Whitney, 159 Ariz. 476, 483-84, 768 P.2d 638, 645-46 (1989). See United States v. Marchini, 797 F.2d 759, 765 (9th Cir.1986).
a. Formal Requirements
Rule 804(b)(5) permits introduction of an out-of-court statement if (1) the declarant is unavailable; (2) the statement is evidence of a material fact; (3) the statement is more probative on the point for which it is offered than any other evidence which the proponent could produce through reasonable efforts; (4) the general purposes of the rules and the interests of justice will best be served by the admission of the statement; and (5) the proponent of the statement makes known to the adverse party sufficiently in advance of the trial his intention to offer the statement and the particulars of it.
In this case, Shearer’s trial statements were obviously material. They were more probative on the points for which they were offered than any other evidence which could be produced. Even appellant agrees that Shearer’s trial testimony was “crucial.” Prior to trial, the state filed a notice of intention to introduce Shearer’s previous statements at appellant’s retrial. Numerous pleadings were filed and hearings were held to decide the issue. The trial court required the state to list specifically every statement it intended to use at trial. Appellant was then entitled to make specific written and oral objections to those statements prior to retrial. Admission of the statements would serve the interests of justice. Accordingly, the formal requirements of Rule 804(b)(5) were met. See United States v. Mastrangelo, 533 F.Supp. 389, 391 (E.D.N.Y.1982) (grand jury testimony of key witness murdered hours before trial admissible under Rule 804(b)(5)).
b. Particularized Guarantees of Trustworthiness
The trial court specifically found that the prior testimony of Shearer had “sufficient indicia of reliability.” A trial court’s ruling on the admissibility of evidence under Rule 804(b)(5) will not be disturbed absent an abuse of discretion. State v. Robles, 135 Ariz. 92, 94, 659 P.2d 645, 647 (1983). There is no mechanical test for determining the reliability of out-of-court statements, and each case must be evaluated on its own facts. Barker v. Morris, 761 F.2d at 1400. The inquiry in each case must reflect “a practical concern for the accuracy of the truth-determining process.” Dutton v. Evans, 400 U.S. at 89, 91 S.Ct. at 220, 27 L.Ed.2d at 227. We find no abuse of discretion in admitting Shearer’s prior trial testimony under Rule 804(b)(5).
Shearer testified under oath, in a courtroom, and at a time when he believed he would be fully cross-examined. Shearer “accused” appellant “face-to-face” before the jury. Shearer had previously been exhaustively cross-examined on the same matters and was surely cognizant of his previous testimony and the ramifications of any inconsistent statements. He testified with full knowledge of his ill health. See Pointer v. Texas, 380 U.S. 400, 407, 85 S.Ct. 1065, 1069, 13 L.Ed.2d 923, 928 (1965); Barker v. Morris, 761 F.2d at 1401.
Finally, and perhaps most importantly, corroboration of Shearer’s trial statements is abundant. Corroboration is an important “indicium of reliability” in confrontation clause analysis. Barker v. Morris, 761 F.2d at 1402. In evaluating equivalent circumstantial guarantees of trustworthiness, “reliability should be evaluated in light of all the circumstances.” Robinson, 153 Ariz. at 201, 735 P.2d at 811. In examining all the circumstances, we find Shearer’s prior testimony highly reliable.
Shirley Shearer testified at trial and corroborated in every instance Shearer’s testimony concerning the ownership of the money and the fact that it was hidden in specific locations on the property. She also testified she never gave appellant permission to take or use any portion of her one-half interest in the money. She corroborated Shearer’s statements regarding his savings habits and the method by which the two accumulated such a large quantity of cash. In fact, the only testimony Shirley Shearer was unable to directly corroborate was Shearer’s statement that he did not give appellant permission to take or use the money.
Carol Shearer testified that she was present when appellant admitted taking the money. She testified that Shearer asked appellant if she had taken the money and she responded affirmatively. Both Carol and David Shearer testified that, after appellant failed to return from the airport that Sunday evening, they went with their father to Texas in an attempt to recover the money. They both testified to their father’s efforts to recover the money and to his concern about it.
Carol Shearer also testified that she was present when appellant admitted the money belonged to Shearer, and that appellant had taken it without his permission.
Q. After [Donna] goes to the house, what next transpires?
A. My dad [Shearer] then asked Barbara [appellant], if she had told me where she had moved the money to. And Barbara said, no, that she hadn’t. Q. “If she had told me.” “Have you told Carol,” is that what you’re saying? A. Right. Uh-huh.
Q. Okay.
A. And she said, “No.” And so, my dad said, “Well, I went there this morning and the money is gone. Do you know anything about it?” And she said, “Yes.”
And he said, “Well, did you take it?” And she said, “Yes.”
And he said, “Why did you take it?” Actually, by that time, I said to her, “Why did you take it?” And she said, “That’s my security. He was getting ready to kick me out of here and I want to stay here and I don’t want to leave. And, as long as I have the money, then I get to stay here.”
And, at this point I said, “Well, whose money is it? Is it your money or his money?” And she said, “It’s his money.”
And I said, “Well who has possession of it now?” And she said, “Well, I do.”
And I said, “Well, do you know how to distinguish the difference between your property and his property?” And she said, “Yeah.”
And I said, “Is it his property?” And she said, “Yeah.”
I said, “If it’s his property and it’s in your possession, that sounds like stealing to me.” And she said, “No. That’s my security. As long as I have that, I’m safe here.”
Coy v. Iowa, 487 U.S. at 1019, 108 S.Ct. at 2802, 101 L.Ed.2d at 866 (citation omitted).
The most damning corroboration of Shearer’s trial statements, however, can be found in appellant’s own words and actions. According to trial testimony, on Sunday, April 14, she admitted to Shearer that she had taken the money. She then promised she would return after taking her daughter to the airport, but did not. As Wood and Compton testified, appellant had planned to move out of Shearer’s house on Monday when Shearer would be away at work. When Shearer discovered the money was missing, appellant contacted Wood and Compton and told them they had to move out that night (Sunday). Other evidence in the record established that, after taking the money, appellant surreptitiously left Arizona without contacting Shearer. There was also testimony that appellant provided false information when she purchased a home and vehicles. Her actions could be described, at best, as inconsistent with the rightful possession of the money.
Further, a letter written by appellant to Shearer was also inconsistent with her defense at trial. This letter stated, in part:
Do not call Carol, David or Tommy. [I]f I see them anywhere near me or anyone else I will notify the ‘I.R.S.’ I have a letter from the bank saying you deposited multilated money in an account. There is also some of that money hidden around the place. Only I know where it is____ If anything happens to me or I am harmed in any way a copy will be sent to the I.R.S. with the appropriate keys telling them where to look.
I'm sorry to do things this way but when you accused me of running around and asked for a divorce I could see the handwriting on the wall.
In sum, the corroborating evidence substantially bolsters the reliability of Shearer’s prior testimony. See, e.g., Marchini, 797 F.2d at 765; United, States v. West, 574 F.2d 1131, 1136-38 (4th Cir.1978) (admission at trial of deceased witness’ grand jury testimony not barred by confrontation clause). Cross-examination at trial is usually the best but not the only way to assure the trustworthiness of evidence introduced at a trial. Here, Shearer was clearly unavailable as a witness. Because his previous trial testimony had great probative value and a high degree of trustworthiness, the reception of the statements in the trial outweighed any risk to appellant that unreliable evidence would be received against her, the deficiencies of which could not be adequately tested by cross-examination. Marchini, supra (admission of grand jury testimony of unavailable witness under Rule 804(b)(5) does not violate confrontation clause where there is adequate indi-cia of reliability characterized by particularized guarantees of trustworthiness). We conclude that admission at appellant’s second trial of Shearer’s sworn testimony from the first trial did not violate the confrontation clause of either the United States or Arizona Constitutions.
2. Deposition Testimony
We turn now to the admissibility of Shearer’s depositions. In Coy v. Iowa, the supreme court held that violations of the confrontation clause are subject to the harmless error analysis, explaining:
An assessment of harmlessness cannot include consideration of whether the witness’s testimony would have been unchanged, or the jury’s assessment unaltered, had there been confrontation; such an inquiry would obviously involve pure speculation, and harmlessness must therefore be determined on the basis of the remaining evidence.
487 U.S. at 1019, 108 S.Ct. at 2803, 101 L.Ed.2d at 867 (emphasis added). See also State v. Wilhite, 160 Ariz. 228, 233, 772 P.2d 582, 587 (App.1989).
Although Shearer’s deposition testimony was not admissible under the “former testimony” exception and under Rule 19.3, we find that the statements therein were cumulative and consistent with the state- mente admitted at trial, and therefore were either admissible under the catch-all exception or were harmless error.
WAS ADMISSION OF MULTI-LAY-ERED HEARSAY PREJUDICIAL ERROR?
Appellant argues that many statements admitted into evidence by way of Shearer’s depositions were hearsay violating her right to confrontation. We note that appellant failed to object either prior to trial or at trial on the grounds of hearsay. The trial court informed counsel that its ruling regarding the admissibility of the depositions was subject to any objections counsel wished to raise. We agree with the state that appellant could have objected to the entire deposition testimony or any portion thereof on any ground, including hearsay. Appellant did not do so. Having failed to do so on hearsay grounds appellant has waived any error. Failure to raise a specific hearsay objection in the trial court precludes a claim of error on appeal absent fundamental error. State v. Allen, 157 Ariz. 165, 170, 755 P.2d 1153, 1158 (1988). Here, any introduction of inadmissible deposition testimony was clearly harmless. The remaining evidence of appellant’s guilt was overwhelming. Coy v. Iowa, 487 U.S. at 1019, 108 S.Ct. at 2803, 101 L.Ed.2d at 867. In any event, although the deposition testimony was more comprehensive than the trial testimony, it was in all significant respects consistent with the trial testimony and almost entirely cumulative.
DID THE TRIAL COURT IMPROPERLY COMMENT ON THE EVIDENCE?
Appellant argues the trial court improperly commented on the evidence. During voir dire, the trial judge stated with reference to Shearer’s prior testimony:
I mention this to you because as trial jurors in a courtroom where prior evidence or transcripts are being read, not only will you be obliged to pay very close attention, not nod off, keep reasonable and as thorough notes as possible, but treat that transcript as evidence in the same manner that you would treat or consider the testimony of a live witness.
The following day, the court stated:
Your ultimate job will be to apply the law in the legal instructions to the facts of the case as you have found them and decide the case accordingly.
Now, when I talk about finding the facts from the evidence, the evidence that you are to consider consists of testimony of witnesses and any physical items or exhibits that are admitted during the course of the trial.
As stated during voir dire, we also anticipate that quite a bit of evidence will also be presented by way of reading transcripts, and that also is evidence that you are to consider.
Mrs. Reifman, our court reporter, is taking down everything that is stated in the courtroom. But, to transform her unique notes into a transcript to assist a jury during their deliberations, would take at least twice as long as the actual trial, so you will not have access to a transcript of the proceedings.
When any transcripts are read of prior statements during the course of the trial, those also would not be provided to you to review, so your notes could make a very, very big difference in resolving factual issues that could arise. You can never tell, what can turn into a factual issue, so I urge you to take advantage of that notebook.
Appellant claims these comments conveyed to the jury a personal opinion as to the truth or falsity of the evidence and as such were reversible error. We disagree. In order to comment on the evidence a trial court must express an opinion as to what the evidence proves. State v. Barnes, 124 Ariz. 586, 590, 606 P.2d 802, 806 (1980). In this case, the trial court did nothing more than explain to the jury the types of evidence it would hear and the importance of paying attention and taking careful notes. There is not the remotest insinuation as to what the evidence establishes.
WAS SENTENCE ENHANCEMENT UNDER A.R.S. § 13-604(H) ERROR?
Finally, appellant argues that the use of Count I, theft, as in Hannah, prior to enhance the sentences on the remaining counts violated A.R.S. § 13-604(H), which provides:
Convictions for two or more offenses not committed on the same occasion but consolidated for trial purposes may, at the discretion of the state, be counted as prior convictions for purposes of this section. Convictions for two or more offenses committed on the same occasion shall be counted as only one conviction for purposes of this section.
Appellant’s sentences on the fraudulent schemes and artifices counts (II-V) were enhanced by her conviction on the theft count (I). Appellant argues that the theft count involved the conversion of $1.4 million, while the fraudulent schemes and artifices counts involved individual expenditures of that money. Thus, appellant argues, the theft count was “committed on the same occasion” as the fraudulent schemes counts.
An analysis of whether different crimes fall within the “same occasion” limitation of A.R.S. § 13-604(H) must include reference to the time, place, number of victims, and distinct nature of defendant’s acts. State v. Henry, 152 Ariz. 608, 612, 734 P.2d 93, 97 (1987). Applying these factors in this case, we find that the theft count was not committed on the “same occasion” as the fraudulent schemes counts.
The evidence introduced at trial showed that appellant took $1.4 million in cash from the storage lockers. Although there was no direct evidence pinpointing the exact date when appellant formed the intent to deprive Shearer of the money, the state alleged that this intent was formed sometime between November 1, 1984, and April 15, 1985. Whatever the allegations, the elements for commission of the crime of theft were satisfied whenever appellant in fact removed the money from the lockers with the intent to steal it. The evidence supports the conclusion that the decision to steal the cash fell between these dates.
Conversely, the evidence showed that appellant committed fraudulent schemes (1) to obtain an automobile on or about March 31, 1985 from “Arkie” and Shirley Shearer and Bill Luke Chrysler (count II); (2) to obtain a motor home on or about April 3, 1985 from the Shearers and Dayle E. Bell (count III); (3) to obtain insurance on or about April 4, 1985 from the Shearers and Kenneth A. Bock Insurance Services (count IV); and (4) to obtain a house on or about April 13, 1985 from the Shearers and Morris and Bonnie Nicholson (count V). The trial evidence bears out these exact dates. With the exception of “Arkie” Shearer, the fraudulent schemes counts were committed against different victims. Further, the theft count and the fraudulent schemes counts were not part of a continuous series of criminal acts, but were separate criminal acts, distinct in nature from appellant’s theft of the $1.4 million from Shearer. See State v. Vild, 155 Ariz. 374, 746 P.2d 1304 (App.1987) (conspiracy to sell cocaine did not occur on the “same occasion” as the substantive crime of possession).
For all of the foregoing reasons, the convictions and sentences are affirmed.
FIDEL, J., and ROBERTO C. MONTIEL, J. Pro Tem., concur.
NOTE: The Honorable ROBERTO C. MONTIEL of the Santa Cruz County Superior Court, State of Arizona, has been authorized to participate in this matter by the Chief Justice of the Arizona Supreme Court, pursuant to Ariz. Const, art. VI, § 3.
. It is unclear from the record whether Shearer discovered the damaged money at this time, or whether he had previously discovered it during a check on the condition of the money. In any event, the record is clear that appellant did not know of the existence of any money until after the theft.
. "Gonzales” was the boyfriend whom Shirley suspected of breaking into the doghouse to steal the hidden money.
. At various times in her opening and reply briefs, appellant refers to the October 8 and 10 depositions as "interviews,” while at other times she refers to them as “depositions." It is clear that the trial court considered the testimony taken on these dates to be "deposition testimony.” Shearer was under oath and his answers were recorded. While appellant may inconsistently refer to this testimony as "deposition” or "interview," she does not appeal from the trial court’s implicit determination that the testimo ny taken on these dates was in fact "deposition testimony.” In any event, this determination is irrelevant to our analysis.
. While we realize appellant’s cross-examination ended upon Shearer’s death, one of the primary functions of the confrontation clause’s face-to-face guarantee was satisfied. The United States Supreme Court noted recently:
A witness 'may feel quite differently when he has to repeat his story looking at the man
whom he will harm greatly by distorting or mistaking the facts. He can now understand what sort of human being that man is.’ ... It is always more difficult to tell a lie about a person 'to his face’ than “behind his back.’
. If, as appellant alleged, Shearer "skimmed” the money from his business and hence illegally paid no tax, his statements would be admissible under Rule 804(b)(3) as against his interest because they would subject him to criminal and civil liability.
. That the statements were consistent with each utterance lends trustworthiness to them. See State v. LaGrand, 153 Ariz. 21, 28, 734 P.2d 563, 570 (1987), cert. denied, 484 U.S. 872, 108 S.Ct. 207, 98 L.Ed.2d 158 (1987) (“[s]tatements which are repeated and are consistent are more trustworthy than statements which are repeated but inconsistent.") See also Mastrangelo, supra (statements were affirmed several times and witness never recanted).
. Because the statements were admissible under the catch-all provision, it is irrelevant that they were admitted pursuant to Rule 19.3 and the “former testimony" exception. We may affirm on any basis supported by the record. Robinson, 153 Ariz. at 199, 735 P.2d at 809.
. State v. Hannah, 126 Ariz. 575, 617 P.2d 527 (1980) (a prior felony conviction may be used for enhancement purposes if the prior conviction is obtained after the commission of the principal offense).
. Appellant’s sentences on counts III-V were also further enhanced by her conviction on count II, fraudulent schemes and artifices. She does not argue on appeal that enhancement of these sentences on this basis was error.
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OPINION
HOWARD, Judge.
This is a consolidated appeal from two judgments that involve the validity of a clause in a modified property settlement agreement.
FACTS AND PROCEDURE
The stipulated facts show the following. The original decree of dissolution and property settlement agreement were ordered approved in July 1981. The property settlement agreement gave the wife the custody of the minor children of the parties subject to reasonable visitation rights in the husband. Child support was set at $300 per month.
In December 1985, the father filed a petition in bankruptcy court. He made no child support payments to the wife after December 1985 until February 1988. From December 1985 through September 1986, numerous motions relating to visitation problems and non-payment of child support were filed by both parties with the court.
On September 24, 1986, at an order to show cause hearing, the husband agreed to forego visitation with his minor children in return for the wife’s waiver of past due child support and the abatement of future child support, attorney’s fees and costs. As a result of the husband’s agreement the property settlement agreement was modified to contain the following provisions:
The parties further stipulate and Father specifically agrees that from the date of September 23, 1986 neither he or [sic] his wife shall initiate contact, directly or indirectly with Mother, her husband, or the minor children of the parties, with respect to the children, nor shall he have visitation with the minor children of the parties, unless such contact or visitation is initiated by a minor child or children of the parties, nor shall Father initiate any legal proceedings under this case number.
* * * # * *
If Father violates any of the terms of this Agreement or initiates legal proceedings under this case number, then the Mother’s waiver of her claim for all child support, attorney’s fees and costs that would have accrued from December of 1985 to the date of such violation, is deemed withdrawn and to no force or effect as if such waiver had never been made, Mother shall be granted Judgment against Father for all support that would have accrued from December, 1985, pursuant to the Decree of Dissolution and Property Settlement Agreement as set forth above, as well as for the sum of $1,500.00 for attorney’s fees incurred to date____ •
In December 1987, the father filed a petition for order to show cause for the purpose of reinstituting his obligations for future child support and to determine the enforceability of the mother’s conditional waiver of child support in the modified agreement. The father subsequently resumed payment of child support in February 1988 and regular visitation was resumed.
The trial court, after taking the matter under advisement, ordered the father liable for child support from December 1985 in the sum of $7,800 together with attorney’s fees in the sum of $1,500. The judgment also stated that the mother’s request for attorney’s fees in connection with the order to show cause would be set for hearing on June 27, 1988. After several continuances at the request of the petitioner a hearing was held on the attorney’s fees, and on August 25, 1988, the trial court entered an order awarding the respondent her attorney’s fees in the sum of $1,000.
After the briefs were filed a question arose as to whether the notices of appeal were timely filed. The chronology of the appeals is as follows. On July 20, 1988, appellant filed a notice of appeal from the judgment of June 22, 1988, which found petitioner liable for back child support, past attorney’s fees and costs. This judgment expressly reserved the issue of present attorney’s fees for later determination. The deferred determination of attorney’s fees was made on August 25, 1988, when the trial court entered an order awarding attorney’s fees to respondent in the sum of $1,000. A notice of appeal from this order was filed on September 29,1988. The staff of the court directed a letter to counsel for the parties questioning the timeliness of the appeal taken from the attorney’s fees order. Appellant responded to this inquiry by filing a motion to revest jurisdiction in the trial court. We granted the motion and the trial court entered an amended judgment nunc pro tunc, amending the original judgment to include the later attorney’s fees award. No new notice of appeal was ever taken from this amended judgment nunc pro tunc.
JURISDICTION OF THE APPEALS
There is no dispute as to the untimeliness of the appeal from the August 25, 1988 order.
There was, however, a timely notice of appeal from the original judgment filed June 22, 1988. Even though the trial court had not determined the issue of attorney’s fees, this judgment was final and appealable because entry of judgment cannot be delayed for taxing costs, see 16 A.R.S. Rules of Civ.Proc., Rule 58(a), and attorney’s fees awarded in a divorce action are considered as costs for the purposes of Rule 58(a). See A.R.S. § 25-324 (costs and expenses in a domestic relations action may include attorney’s fees); Murphey v. Gray, 84 Ariz. 299, 327 P.2d 751 (1958). Since the time for filing an appeal started when the June 22,1988 judgment was entered, we do not believe another notice of appeal was necessary after the entry of the judgment nunc pro tunc in order for us to have jurisdiction to review the issue of the attorney’s fees as part of costs.
ATTORNEY’S FEES
Appellant contends the trial court’s award of $1,000 attorney’s fees was an abuse of discretion. We do not agree. There was evidence before the trial court that appellant was the beneficiary of substantial community income, had some $1,600 in the bank and had paid his attorney $3,000 as a retainer in connection with the proceedings, while the evidence showed that appellee did not have the resources to pay her attorney’s fees.
THE VALIDITY OF THE CONDITIONAL WAIVER
In Arizona, a custodial parent can waive child support payments. Ray v. Mangum, 163 Ariz. 329, 788 P.2d 62 (1989); Cordova v. Lucero, 129 Ariz. 184, 629 P.2d 1020 (App.1981). We see no reason why, in connection with such a waiver, the non-custodial parent, in consideration of the waiver, cannot agree to surrender visitation rights. Such arrangements have been upheld in other jurisdictions. See Malekos v. Chloe Ann Yin, 655 P.2d 728 (Alaska 1982), overruled on other grounds; Cox v. Cox, 776 P.2d 1045 (Alaska 1989); Deivert v. Oseira, 628 P.2d 575 (Alaska 1981); Brown v. Brown, 399 So.2d 1083 (Fla.App.1981); McCrann v. McCrann, 138 N.E.2d 169 (Ohio App.1951). But see Anthony v. Anthony, 204 N.W.2d 829 (Iowa 1973). However, any such agreement is not binding on the court and will be enforced only so long as the interest of the child is not adversely affected.
In analyzing the enforceability of contract provisions the rule followed in Arizona is that an agreement made in advance of breach is an unenforceable penalty unless the amount fixed in the contract is a reasonable forecast of just compensation for the harm that is caused by the breach. See Larson-Hegstrom and Associates v. Jeffries, 145 Ariz. 329, 701 P.2d 587 (App. 1985). We presume that the respondent did not need the child support from the petitioner or else she would not have agreed to waive it, and the record contains nothing contrary to this presumption. Furthermore, she received something of value in exchange for her waiver — the petitioner did not, during the time in question, exercise visitation or contact the respondent or her husband.
It is clear to us that the clause allowing the respondent to withdraw her waiver of support payments thus causing all waived support to be due, and requiring the payment of her attorney’s fees in the sum of $1,500 is nothing more than an in terrorem clause designed not as a reasonable forecast of just compensation, but designed to threaten the petitioner and deter him from reinstating visitation.
The judgment of June 22, 1988, is vacated and set aside.
It is ordered that each party bear its own attorney’s fees.
LIVERMORE, J., concurs.
|
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OPINION .
HATHAWAY, Judge.
Appellant pled guilty to one count of theft of property having a value of more than $100 but less than $250, a class 6 open-ended offense, and was placed on three years’ probation. After petitioner admitted to violating two of the conditions of his probation, he was continued on probation with additional conditions, including that he not have any personal contact with his wife, his codefendant, without the prior written consent of his probation officer. Appellant timely appealed from the disposition order. For the reasons stated below, we affirm.
Appellant contends that the trial court committed reversible error by imposing the additional condition that he not have contact with his wife without the written permission of his probation officer, arguing that the condition results in a violation of his fundamental right to privacy in his marital relations and is not reasonably related to his rehabilitation. He contends that strict scrutiny is required when determining whether the conditions of probation are constitutionally permissible where the condition impinges on a fundamental right and that the condition here does not withstand such scrutiny, particularly because there are less restrictive alternatives.
The state contends that appellant waived any objection to the condition by failing to raise it below, citing State v. Mears, 134 Ariz. 95, 654 P.2d 29 (App. 1982). By waiting to object on appeal, the state argues, appellant deprived the trial court of the opportunity to consider and impose alternative sentencing conditions or correct any errors. Id. We agree. Indeed, the record reflects that not only did appellant fail to object below when the condition was imposed, his counsel advised the court that appellant’s voluntary six-month separation from his wife, with whom he had a volatile relationship which counsel conceded had contributed to the violation of the conditions of his probation, would assist in his rehabilitation. The record reveals that appellant and his wife were a bad influence on one another. With regard to the instant offense, appellant’s wife obtained the credit cards when she stole a wallet from the body of a suicide victim. The credit cards were then used by appellant, his wife and a third person. In December 1985, appellant and his wife were arrested for disorderly conduct. In September 1987, appellant was arrested for assaulting his wife. In July 1989, appellant and his wife were arrested for unlawful possession of narcotic paraphernalia.
Nor do we find that, as appellant contends, the imposition of the condition constituted fundamental error which may not be waived. In State v. Montgomery, 115 Ariz. 583, 566 P.2d 1329 (1977), our supreme court held that the fact that a probation condition amounts to a restriction on the defendant’s privacy does not necessarily render the condition unconstitutional. The condition upheld in Montgomery was
that the defendant would submit to the search and seizure of his person or his property at any time by a police officer or a probation officer without a search warrant. Noting that the probationer’s expectations of privacy are less than those of other citizens, the court found that the condition did not constitute “an unreasonable or an unconstitutional limitation upon his right to be free from unreasonable searches and seizures.” 115 Ariz. at 584, 566 P.2d at 1330. “[U]nless the terms of probation are such that they violate fundamental rights or bear no reasonable relationship whatever to the purpose of probation over incarceration, the appellate courts will not interfere with the trial court’s exercise of discretion in the formulation of the terms and conditions of probation.” State v. Turner, 142 Ariz. 138, 144, 688 P.2d 1030, 1036 (App.1984). Thus, where a condition impinges on but does not violate the defendant’s fundamental rights, the condition may still be constitutional. Turner, supra; see also State v. Davis, 119 Ariz. 140, 579 P.2d 1110 (App.1978) (condition which prohibited defendant from obtaining custody of her children held constitutional); State v. Donovan, 116 Ariz. 209, 568 P.2d 1107 (App.1977) (conditions which required that defendant live with his parents, continue his education and seek employment, imposed a 10:00 p.m, curfew for eight months and prohibited him from associating with girlfriend not unconstitutional).
The condition in this case is not an unconstitutional violation of appellant’s right to privacy. Appellant and his wife are both required to attend counseling and they will, therefore, be permitted to interact with one another, albeit it in a controlled environment. By requiring that they seek the probation officer’s consent before having personal contact, defined by the trial court as “being in the physical presence of your spouse,” the contact will also be controlled, a goal which the record reveals is reasonable under the circumstances.
Finally, the record amply supports the trial court’s apparent conclusion that separating appellant and his wife for a period of time and limiting their contact to counseling sessions, telephone conversations, and visits within the discretion of the probation officer, serves a rehabilitative purpose. As discussed above, appellant’s trial counsel conceded at the disposition hearing that separation of the two was beneficial to appellant’s rehabilitation. We find no fundamental error in the imposition of this condition.
Affirmed.
ROLL, P.J., and HOWARD, J., concur.
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CAMERON, Justice
I. JURISDICTION
Hartford Accident & Indemnity Company petitioned this court for transfer from the court of appeals pursuant to Rule 19(a)(1), 17B A.R.S. Civil Appellate Procedure Rules, claiming that Universal Underwriters Ins. Co. v. Dairyland Mut. Ins. Co., 102 Ariz. 518, 433 P.2d 966 (1967), a decision of this court, should be overruled. We granted the petition due to confusion in this area of the law, and because an issue of statewide interest is presented.- We have jurisdiction under Ariz. Const, art. 6, § 5(3) and A.R.S. § 12-120.24.
II. ISSUE
We decide only one question on appeal: May an excess insurance carrier, under the doctrine of equitable subrogation, assert a claim against a primary insurance carrier for bad faith failure to settle within primary policy limits?
III. FACTS
Jamie Hart was insured under an automobile liability policy issued by Aetna Casualty & Surety Company (Aetna) with a policy limit of $25,000. Hartford Accident & Indemnity Company (Hartford) provided Hart with excess coverage through a policy issued to Hart’s employer, Wendy’s International, Inc. The Hartford policy covered Wendy’s employees driving their own automobiles in the course of their employment.
In May 1985, Hart was involved in an automobile accident with Bradley Harris while Hart was on an errand in the scope and course of her employment. The accident was reported to Aetna, the primary insurer, and a claims file was opened with a personal injury reserve of $2,500 set on the case. After an investigation, Aetna claims representative Erin Lewers determined that Hart failed to yield the right-of-way to Harris and that Aetna therefore should provide coverage.
Prior to trial Harris made several settlement offers. The first of these occurred in November 1985, and was for $10,491.75. Aetna rejected this settlement offer and offered $1,200, then $1,500, both of which were rejected by Harris. Sometime prior to June 1986, Harris offered to settle for $2,500, then for $2,100. However, both offers were withdrawn before being accepted.
In February 1986, Aetna informed a Wendy’s staff attorney that the claim appeared to be worth less than the primary policy limits and that Aetna would let the attorney know if it appeared excess exposure would result. No further communication concerning the claim occurred between Aetna, Wendy’s and Hartford until judgment was entered in Harris v. Hart. (Brief for Appellant at 13.)
In June 1986, the attorney Aetna hired to defend Hart advised Aetna that, in his opinion, the verdict potential in the case was between $5,000 and $10,000. On June 18, Aetna’s claim representative valued Harris’s claim at $2,000. On 31 July 1986, Aetna’s claim representative made a note to increase the reserve on the file to $6,000.
In August 1986, Aetna offered Harris $3,500 to settle the case. Harris counter-offered for $10,000. On 30 September 1986, Aetna raised the offer to $4,200 after an orthopedic surgeon retained by Aetna to evaluate Harris’s condition reported that Harris had a 5% permanent impairment due to injury of the left lateral femoral cutaneous nerve.
A second evaluation of Harris indicated he had a current orthopedic problem with associated pain. Hart’s attorney then reported to Aetna that, in his opinion, the verdict potential was between $10,000 and $20,000.
On 13 November 1986, a final review of the file was completed before trial. Aetna then valued the claim at $6,000. This value could not be changed without approval of a claims manager in Denver.
Prior to trial, the trial court estimated that a fair settlement value for the case was $15,000 and asked the parties if they would settle for that amount. Harris was willing to settle, but Aetna would not approve the higher amount.
The jury awarded Harris $140,000 in damages to cover any future surgery expenses, and to assure him sufficient funds if he ever lost his job because of his injuries. Harris agreed to accept $100,000 in satisfaction of the judgment while the case was on appeal. Hartford paid $37,500 and Aetna paid $62,500, with an agreement that their contributions would not prejudice their rights in this matter.
On 5 May 1987, Hartford filed this action against Aetna, alleging that Aetna acted in bad faith by failing to accept settlement offers within Aetna policy limits. Pursuant to A.R.S. § 12-1831 Hartford requested a declaratory judgment that, under the theory of equitable subrogation, Aetna was obligated to pay the entire amount of the excess judgment. Aetna counterclaimed, seeking a declaration that Hartford was responsible for all but the first $25,000 of the judgment.
The trial court granted summary judgment in favor of Aetna. Implicit in the court’s ruling was the finding that Universal barred Hartford’s claim for equitable subrogation. Hartford appealed to the court of appeals and then sought a transfer to this court. '
IV. DISCUSSION
We view the facts in a light most favorable to Hartford, the party against whom summary judgment was granted. United Services Auto. Ass’n v. Morris, 154 Ariz. 113, 114, 741 P.2d 246, 247 (1987); Farmers Ins. Co. v. Vagnozzi, 138 Ariz. 443, 448, 675 P.2d 703, 708 (1983). We assume that, if a duty of good faith is owed from the primary carrier to the excess carrier, Hartford established a prima facie case that Aetna breached its implied duty of good faith by refusing offers of settlement within policy limits. See Brisco v. Meritplan Ins. Co., 132 Ariz. 72, 643 P.2d 1042 (App. 1982).
1. Equitable Subrogation
It is settled law in Arizona, based on a covenant of good faith and fair dealing, that an insurance company owes its insured a duty of good faith in deciding whether to accept or reject settlement offers. Arizona Prop. & Cas. Ins. Guar. Fund v. Helme, 153 Ariz. 129, 137, 735 P.2d 451, 459 (1987); City of Glendale v. Farmers Ins. Exchange, 126 Ariz. 118, 120, 613 P.2d 278, 280 (1980); Farmers Ins. Exchange v. Henderson, 82 Ariz. 335, 338-39, 313 P.2d 404, 406 (1957). In the third party context, this duty of good faith requires an insurer to give equal consideration to the protection of the insured’s as well as its own interests. Henderson, 82 Ariz. at 338, 313 P.2d at 406. If an insurance company fails to settle, and does so in bad faith, it is liable to the insured for the full amount of the judgment. Id. at 341, 313 P.2d at 408. This rule is recognized, in part, because the insurer exercises control over the litigation.
A number of jurisdictions have expanded the duty of good faith by recognizing a duty to an excess insurance company by the primary insurance company. In fact, many states confronted with the issue have allowed an excess insurer to pursue a claim against a primary insurer for breach of good faith. Most of these courts have adopted the theory of equitable subrogation, whereby the excess insurer steps into the shoes of the insured. The theory behind equitable subrogation is that, by purchasing excess coverage, an insured in effect substitutes the excess insurer for himself. A minority of courts have found that the primary insurer owes a direct duty of good faith to the excess insurer.
One reason courts have recognized a cause of action for equitable subrogation is to encourage fair and reasonable settlements of lawsuits. In Northwestern Mutual Ins. Co. v. Farmers Ins. Group, a California Appeals Court stated:
[I]n addition to protecting the insured, the rule imposing liability on an insurer for failure to effect reasonable settlement within its policy limits serves the important public policy of encouraging settlement of legal controversies. Thus, enforcement of the primary insurer’s duty to settle in good faith by equitably subrogating the excess insurer to the rights of the insured is fully warranted by public policy notwithstanding imposition of the duty may have been primarily for the benefit of the insured in the first instance.
76 Cal.App.3d 1031, 1050-51, 143 Cal.Rptr. 415, 427 (1978); see also Ranger Ins. Co. v. Travelers Indem. Co., 389 So.2d 272, 275 (Fla.Dist.Ct.App.1980). A primary insurer has less incentive to settle within policy limits if an excess insurer is available to cover any amount over the primary insurer’s liability limits. We believe this disincentive to settle will lead to increased insurance and litigation costs. As stated by the Michigan Supreme Court:
[Allowing the excess insurer to enforce the primary insurer’s duty to settle in good faith serves the public and judicial interests in fair and reasonable settlement of lawsuits by discouraging primary carriers from “gambling” with the excess carrier’s money when potential judgments approach the primary insurer’s policy limits. Finally, the public interest in avoiding unnecessarily high insurance premiums is served by recognizing such a cause of action because, where the excess insurer is required to cover both primary and excess liability as a result of the primary insurer’s breach of the duty to settle in good faith, policy rating structures are distorted, rendered uncertain, and made more expensive.
Commercial Union Ins. Co. v. Medical Protective Co., 426 Mich. 109, 119, 393 N.W.2d 479, 483 (1986) (citations omitted); see also Peter v. Travelers Ins. Co., 375 F.Supp. 1347, 1350-51 (C.D.Cal.1974) (“If the primary carrier is relieved of its duty to accept reasonable offers by the existence of excess insurance, it would put an additional financial liability on the excess carrier which would be reflected in increased premiums”).
Another consideration in recognizing a cause of action for equitable subrogation is to prevent an unfair distribution of losses among primary and excess insurers. This problem may arise when the excess insurer settles with the claimant and the primary insurer objects, offering nothing toward settlement. As the Minnesota Supreme Court noted:
If the excess insurer elects to settle in spite of the primary insurer’s bad-faith objections, ... the excess insurer risks losing the policy-limit contributions of the primary insurer and being forced to pay the entire settlement itself, even though the settlement may have been in the overall best interest of the insured. In such a case, the incentives are against settlement. If the excess insurer must pay the entire settlement, he may save at least the amount of the primary insurer’s policy limits by going to trial, since the latter would then have to pay the amount of its limits toward the judgment. A primary insurer should not be permitted to obstruct in bad faith the important settlement process.
Second, a contrary result in this case would permit an unfair distribution of losses among insurers. The insured has paid for two distinct types of coverage, undoubtedly at different rates because they involve different amounts and kinds of risks. Primary coverage is designed to cover liability from zero to certain policy limits ... excess coverage is designed to cover liability only after those initial limits are exhausted. When a primary insurer refuses in bad faith to settle, it forces the excess insurer making a reasonable settlement to cover both primary and excess liability. Thus, the purposes of the different kinds of coverage and their rating structures are thwarted as the excess insurer bears the full loss and fulfills the primary insurer’s duty to the insured as well as its own. Whether on insurance-economics principles or general equitable principles, a party should not be made to bear a loss that rightfully belongs to another party.
Continental Casualty Co. v. Reserve Ins. Co., 307 Minn. 5, 9-10, 238 N.W.2d 862, 865 (1976).
An excess insurer should not have to pay a judgment if the primary insurer caused the excess judgment by a bad faith failure to settle within primary limits. We hold, therefore, that an excess carrier is subrogated to the rights of the insured and has a cause of action against the primary insurer for bad faith failure to settle within policy limits. This right is derivative of the contract between the insured and primary carrier. See Northwestern Mut. Ins. Co. v. Farmers Ins. Group, 76 Cal.App.3d at 1050, 143 Cal.Rptr. at 426; Liberty Mut. Ins. Co. v. Thunderbird Bank, 113 Ariz. 375, 377, 555 P.2d 333, 335 (1976); D.W. Jaquays & Co. v. First Security Bank, 101 Ariz. 301, 304, 419 P.2d 85, 88 (1966). As subrogee, the excess insurer’s rights are no greater than the insured’s. See Employers M.L.I. Co. of Wis. v. Robert E. McKee G.C., Inc., 16 Ariz. App. 77, 80, 491 P.2d 27, 30 (1971).
2. Universal Underwriters Ins. Co. v. Dairyland Mut. Ins. Co. 102 Ariz. 518, 433 P.2d 966 (1967)
Aetna contends that although this court in Universal did not specifically use the words “equitable subrogation,” we described the basis of the doctrine and rejected it. We agree with this contention. In Universal, an excess insurance company (Universal Underwriters) sued a primary insurance company (Dairyland) to recover a $30,000 judgment the excess insurer paid after defending the insured. The insured automobile owner had a policy with Dairy-land. The owner turned over her automobile to a garage attendant, an employee of Fletcher Jones Phoenix, who then had an accident with a third party. Fletcher Jones Phoenix was insured with Universal Underwriters. Universal argued that Dairyland was guilty of bad faith toward its insured (and to Universal through the insured) when it failed to defend and pay the judgment. Based on this alleged bad faith, Universal asserted that Dairyland should be liable for the entire $30,000 judgment.
The Arizona Court of Appeals in Universal found it unnecessary to address the issue of equitable subrogation. Instead, the court considered primary and secondary liability between the insurers, and concluded that primary liability derives from the active negligence of the named insured:
In the instant case both parties are insured and we have a question not of coverage or non-coverage but rather a question of primary and secondary liability, and it is the opinion of this Court that as to the two insurance carriers Universal had primary liability arising out of the accident and Dairyland Mutual Insurance Company had secondary liability. The reason is obvious in that the active negligence, the negligence which caused the accident, was occasioned by Universal’s insured while Dairyland’s insured can be guilty at most of only passive negligence in turning the automobile over to Eugene Jones for delivery to the garage for repairs.
* * * * * *
The liability of the two insurance companies is derivative and the negligence of Universal’s insured’s being the active negligence, Universal is primarily liable. Since Dairyland’s insured, Justine Meyers, was at most passively negligent, her (and Dairyland’s) liability would be secondary.
Dairyland further contends that the assignment of Fletcher-Jones’ interest to Universal for suit was either invalid or passed no right upon which Universal could base a suit against Dairyland. Having determined that Universal was primarily liable and Dairyland secondarily liable, we need not answer this question.
Universal Underwriters Ins. Co. v. Dairy-land Mut. Ins. Co., 5 Ariz. App. 174, 176-77, 424 P.2d 465, 467-68 (1967).
This court not only reversed and vacated the opinion of the court of appeals, but appeared to reject the doctrine of equitable subrogation, stating:
Dairyland’s policy limits are $10,000 for each individual injured and $20,000. for each accident. Universal argues that when Dairyland failed to defend and pay the judgment it was guilty of bad faith toward its insured, ... that under the circumstances Dairyland should be liable for the entire $30,000 which Universal paid to compromise and satisfy the judgment. We do not think so. Without doubt Dairyland owed good faith to its insured, which may or may not have been here exercised, a question we find unnecessary to answer. There is no privy [sic] of contract between these two insurance companies nor is there any principle of law of which we are aware that would give Universal such a windfall because of Dairyland’s mistreatment of its assured.
Universal, 102 Ariz. at 520, 433 P.2d at 968. We went on to state that contribution was the appropriate remedy for an excess insurer against a primary insurer under the circumstances of the case:
The principle applicable is that, where two companies insure the same risk and one is compelled to pay the loss, it is entitled to contribution from the other. 8 Appleman, Insurance Law and Practice 388, § 4913.
Id.
The Ninth Circuit referred to Universal in Rocky Mountain Fire & Cas. Co. v. Dairyland Ins. Co., 452 F.2d 603 (9th Cir. 1971), and read Universal as prohibiting a cause of action for equitable subrogation. The court recognized, however, that it was following the dicta of Universal in refusing to recognize a good faith duty on behalf of an excess insurer:
Rocky Mountain then commenced this action against Dairyland, seeking damages on the theories that (1) Dairyland owed a duty of good faith to the excess insurer and breached that duty by refusing to offer to pay its policy limits in settlement, and (2) Rocky Mountain, as subro-gee of Tillery’s rights, can recover for Dairyland’s alleged breach of its duty to Tillery to negotiate in good faith.
The opinion of the Arizona Supreme Court in Universal Underwriters Insurance Co. v. Dairyland Mutual Insurance Co., 102 Ariz. 518, 433 P.2d 966 (1968), fairly read, rejects both contentions. A federal court exercising diversity jurisdiction is bound to follow the considered dicta as well as the holdings of state court decisions. United States Fidelity & Guaranty Co. v. Anderson Construction Co., 260 F.2d 172, 176 (9th Cir.1958).
452 F.2d at 603-04. For a discussion of the limits of the Universal decision see Ingram, Triangular Reciprocity in the Duty to Settle Insurance Claims, 13 Pac. L.J. 859, 872-73 (1982) (the dictum in Universal is all that stands against the recognition of a good faith duty of a primary insurer to an excess insurer).
We are not bound by the Ninth Circuit decision in Rocky Mountain and its interpretation of Arizona law. See Mason Dry Goods Co. v. Ackel, 30 Ariz. 7, 13, 243 P. 606, 608 (1926). Although some courts have cited Universal and Rocky Mountain as rejecting equitable subrogation, other courts have found that neither case turned on that issue. See, e.g., Northwestern Mut. v. Farmers, 143 Cal.Rptr. at 424, 76
Cal.App.3d at 1046 (“The court in Universal gave no consideration to the doctrine of equitable subrogation and did not even mention the cases allowing recovery”). We believe this court impliedly rejected the doctrine of equitable subrogation in Universal when we stated:
[N]or is there any principle of law of which we are aware that would give Universal such a windfall because of Dairy-land’s mistreatment of its assured.
Universal, 102 Ariz. at 520, 433 P.2d at 968. Because of our holding today, Universal is overruled to the extent it rejects equitable subrogation.
3. Retroactive Application
Aetna asks this court to limit our opinion in this case to prospective application. Unless the court specifies otherwise, Arizona appellate opinions in civil cases are given both prospective and retroactive effect. Fain Land & Cattle Co. v. Hassell, 163 Ariz. 587, 790 P.2d 242 (1990); Law v. Superior Court, 157 Ariz. 147, 160, 755 P.2d 1135, 1148 (1988). Whether a decision will be limited to prospective application, however, is a policy question within our discretion. See Hawkins v. Allstate Ins. Co., 152 Ariz. 490; 505, 733 P.2d 1073,1088, cert. denied, 484 U.S. 874, 108 S.Ct. 212, 98 L.Ed.2d 177 (1987). The rule favoring retroactive application may be overcome and a decision applied prospectively if certain conditions, set out in an earlier opinion, are met:
(1) The opinion establishes a new legal principle by either overruling clear and reliable precedent or by deciding an issue whose resolution was not foreshadowed;
(2) Retroactive application of the opinion would adversely affect the purpose behind the new rule;
(3) Retroactive application would produce substantial inequitable results.
Chevron Chemical Co. v. Superior Court, 131 Ariz. 431, 436, 641 P.2d 1275, 1280 (1982) (citing Chevron Oil Co. v. Huson, 404 U.S. 97, 92 S.Ct. 349, 30 L.Ed.2d 296 (1971)). These factors are termed the reliance, purpose, and inequity factors. In making our determination, we balance these factors to decide whether the presumption favoring retroactive application is overcome. In this case, the balance is neutral regarding retroactive application. Thus, the presumption is not overcome and the opinion will apply retroactively.
The balance on the reliance factor in this case is neutral. This opinion is not establishing a new legal principle whose resolution was not clearly foreshadowed. Although some courts have interpreted Universal Underwriters as rejecting equitable subrogation, other courts have noted that the opinion did not directly address the issue. See cases cited in Annotation, Excess Carrier’s Right to Maintain Action Against Primary Liability Insurer for Wrongful Failure to Settle Claim Against Insured, 10 A.L.R. 4th 879 (1981). Because courts have varied on their interpretation of Universal, the parties should have realized that it did not present “clear and reliable precedent.”
The balance on the purpose factor is also neutral. The purpose of recognizing a cause of action for equitable subrogation is to encourage primary insurance carriers to deal in good faith with excess insurance carriers. Retroactive application of the opinion will neither impair nor further this purpose.
The balance on the inequity factor is neutral as well. This factor is closely related to the reliance factor and “focuses on the injustice or hardship that would result from retroactive application of the new rule.” Fain, 163 Ariz. at 597, 790 P.2d at 252. Although retroactive application of this opinion may result in excess carriers bringing lawsuits against primary carriers for past abuses, equitable subrogation does not alter the bases of a primary carrier’s liability. See generally Henderson, 82 Ariz. 335, 313 P.2d 404. This opinion merely adds another party plaintiff to an already existing cause of action and therefore does not produce substantial inequitable results.
Giving consideration to the above analysis, we conclude that the balance on the factors, in combination with the presumption favoring retroactive application, sup ports application of this opinion both prospectively and retroactively.
V. DISPOSITION
When a primary insurance carrier acts in bad faith in refusing to settle, an excess insurance carrier should not have to pay for the primary carrier’s unwillingness to take responsibility. Accordingly, we hold that, under the theory of equitable subro-gation, an excess carrier has the right to sue a primary carrier for bad faith failure to settle within policy limits.
Reversed and remanded to determine whether the primary carrier exercised bad faith in refusing to settle within policy limits.
GORDON, C.J., FELDMAN, V.C.J., and MOELLER, J., concur.
. Third party coverage comes into play when an insurance carrier contracts to compensate its insured for liability to third parties. First party coverage involves liability policies which directly benefit the insured. For a discussion of the differences between third party and first party bad faith claims, see Clearwater v. State Farm Mut. Auto. Ins. Co., 164 Ariz. 256, 792 P.2d 719 (1990).
. California: Peter v. Travelers Ins. Co., 375 F.Supp. 1347 (C.D.Cal.1974); Northwestern Mut. Ins. Co. v. Farmers Ins. Group, 76 Cal.App.3d 1031, 143 Cal.Rptr. 415 (1978); Florida: Ranger Ins. Co. v. Travelers Indem. Co., 389 So.2d 272 (Fla.Dist.Ct.App. 1980); Indiana: Certain Underwriters of Lloyd’s v. Gen. Acc. Ins. Co., 699 F.Supp. 732 (S.D.Ind.1988); Maryland: Fireman’s Fund Ins. Co. v. Continental Ins. Co., 308 Md. 315, 519 A.2d 202 (1987); Michigan: Commercial Union Ins. Co. v. Medical Protective Co., 426 Mich. 109, 393 N.W.2d 479 (1986); Minnesota: Continental Cas. Co. v. Reserve Ins. Co., 307 Minn. 5, 238 N.W.2d 862 (1976); New Jersey: Fireman’s Fund Ins. Co. v. Security Ins. Co. of Hartford, 72 N.J. 63, 367 A.2d 864 (1976); New York: Home Ins. Co. v. Royal Indem. Co., 68 Misc.2d 737, 327 N.Y.S.2d 745 (Sup.Ct.1972); Ohio: Centennial Ins. Co. v. Liberty Mut. Ins. Co., 62 Ohio St.2d 221, 404 N.E.2d 759 (1980); Oklahoma: American Fidelity & Cas. Co. v. All American Bus Lines, 179 F.2d 7 (10th Cir.1949); Oregon: Bohemia, Inc. v. Home Ins. Co., 725 F.2d 506 (9th Cir.1984); Pennsylvania: United States Fire Ins. Co. v. Royal Ins. Co., 759 F.2d 306 (3d Cir.1985); West Virginia: Vencill v. Continental Cas. Co., 433 F.Supp. 1371 (S.D.W. Va.1977); see also cases cited in Annotation, Excess Carrier's Right to Maintain Action Against Primary Liability Insurer for Wrongful Failure to Settle Claim Against Insured, 10 A.L.R. 4th 879 (1981).
. See, e.g., Hartford Acc. & Indem. Co. v. Michigan Mut. Ins. Co., 61 N.Y.2d 569, 574, 463 N.E.2d 608, 610, 475 N.Y.S.2d 267, 269 (1984); Estate of Penn v. Amalgamated General Agencies, 148 NJ.Super. 419, 424, 372 A.2d 1124, 1127 (1977).
. See Clearwater for a discussion of the elements of a bad faith claim.
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VOSS, Presiding Judge.
Petitioners bring this special action challenging the order of the respondent trial judge denying their request for a medical liability review panel. We accept jurisdiction because the issue is of state-wide importance and has resulted in conflicting decisions in the trial court. See Rules of Procedure for Special Actions, Rules 1 and 3.
The issue is whether House Bill 2123 retroactively eliminates a litigant’s right to a review panel under former A.R.S. § 12-567(A), when the request for a review panel was made after the Bill was signed into law but before the effective date. Because H.B. 2123 does not expressly provide for retroactive repeal of former A.R.S. § 12-567 and because the right to a review panel is substantive, we hold that A.R.S. § 12-567(A) was not retroactively repealed and petitioners are entitled to convene a review panel.
Background
On June 28, 1989, Governor Mofford signed into law H.B. 2123, which became effective September 15, 1989. H.B. 2123 contains three sections. Section 1 repeals A.R.S. § 12-567. Section 2 provides a comprehensive statutory scheme for periodic payments of future damages in medical malpractice actions. Section 3 provides for the prospective application of Section 2. Real Parties in Interest (hereinafter called respondents) commenced the underlying medical malpractice action July 19, 1989. In separate answers filed July 26, 1989, and August 11, 1989, petitioners requested assignment of the matter to a review panel pursuant to A.R.S. § 12-567. Former A.R.S. § 12-567(A) provided:
A. Upon the filing of a complaint in any medical malpractice action, the matter shall be referred to a medical liability review panel appointed pursuant to this section. Such action shall be referred to the panel within twenty days after the expiration of the time for the defendant’s answer. The plaintiff and any individual defendant may waive the review panel requirement as to that defendant only, upon stipulation of that defendant and all plaintiffs having claims against the defendant.
Petitioners made additional requests for a review panel through motions filed with their answers and a joint motion filed August 24, 1989. In a minute entry dated September 1, 1989, the trial court denied petitioners’ request. The trial court held that “the Legislature did expressly state its intention that the repeal of [A.R.S. § 12-567(A)] be applied retroactively.”
Discussion
To determine whether H.B. 2123 § 1 should be applied retroactively a two step analysis is required. We must first determine whether the legislature expressly provided for retroactive application of H.B. 2123 § 1. See A.R.S. § 1-244 (“No statute is retroactive unless expressly declared therein.”). If it did not, we must determine whether the statute is “merely procedural and does not affect an earlier established substantive right.” Bouldin v. Turek, 125 Ariz: 77, 78, 607 P.2d 954, 955 (1979).
The parties strongly contest whether the legislature expressly declared H.B. 2123 § 1 retroactive. Petitioners rely on the lack of any such language in the Bill. Respondents argue that the legislature’s inclusion of Section 3, which provides that Section 2 is to be applied prospectively, positively indicates that Section 1, the Section in issue, was to be retroactively applied. Respondents believe any other interpretation makes Section 3 redundant, as the legislature without speaking could guarantee the prospective application sought in Section 3. We disagree.
Generally, retrospective laws are not favored. State v. Martin, 59 Ariz. 438, 445, 130 P.2d 48, 51 (1942). “Any inquiry into the effect of a statute on antecedent events must have as its touchstone a consideration of A.R.S. § 1-244.” Bouldin, 125 Ariz. at 78, 607 P.2d at 955. That statute states “[n]o statute is retroactive unless expressly declared therein.”
We doubt A.R.S. § 1-244, and the case law interpreting it, could be more straightforward and clear. See Cheney v. Superior Court, 144 Ariz. 446, 449, 698 P.2d 691, 694 (1985) (“The Legislature must expressly declare an intent in the statute that it applies retroactively.”) (emphasis added). Respondents would have us ignore the requirements of A.R.S. § 1-244 and allow retroactive application through a negative inference; we decline.
As to the argument that Section 3 is redundant given our interpretation, we find at least one plausible explanation why it is not. H.B. 2123 § 1 repeals A.R.S. § 12-567. As discussed below, A.R.S. § 12-567(A) establishes a substantive right to a review panel. Further, the legislature cannot make retroactive, laws which affect vested substantive rights. As such, the legislature, upon review of the existing law, could have correctly concluded that Section 1, alone, would be prospective. See Daou v. Harris, 139 Ariz. 353, 357, 678 P.2d 934, 938 (1984) (“we presume that the legislature, when it passes a statute, knows the existing law.”); see also Arizona Press Club v. Arizona Bd. of Tax Appeals, 113 Ariz. 545, 548, 558 P.2d 697, 700 (1976) (“it is a principle of statutory construction that the legislature is presumed to be aware of court decisions interpreting the language of [a] statute____”). Therefore, inclusion of Section 1 in the reference to prospective application would have been redundant.
The same cannot be said of Section 2. The rights granted by Section 2 are new and the legislature, in drafting, did not have the benefit of judicial precedent. Therefore, the only way to insure prospective application of this section was to so provide.
The actual legislative intent cannot be determined with certainty. We merely note one plausible construction which gives effect to every portion of the statute without making any portion redundant or illogical. Union Rock & Materials Co. v. Scottsdale Conf Center, 139 Ariz. 268, 678 P.2d 453 (App.1983).
Respondent’s second and somewhat related argument regarding express legislative intent is that the legislative history surrounding the enactment of H.B. 2123 requires retroactive repeal of A.R.S. § 12-567. The trial court in accepting this argument stated:
[A] previous draft of the Bill, which had passed through Committee, had provided in Section 3 that the provisions of the “Act” apply only to causes of action filed after the effective date of the Act. That previous version was changed to the final version which ... provides only for prospective application to Section 2 of the Act.
From this the trial court concluded that the legislature clearly intended retroactive application of Section 1.
The legislature’s reason for changing the original draft is not so obvious as to compel the conclusion that retroactive application was intended. Moreover, were the trial court correct and the inference derived from the legislative history clear and unambiguous, Section 1 would still lack the requisite express language demanded by A.R.S. § 1-244. Cheney, 144 Ariz. at 449, 698 P.2d at 694. We do not believe there is room for qualification. The term “express language” in the context of A.R.S. § 1-244 means language contained in the statute and not inferences drawn from legislative histories.
As we hold that H.B. 2123 does not retroactively repeal A.R.S. § 12-567, we now address whether the statute is substantive or somehow affects substantive rights.
Arizona has established and perpetuated an exception to the general rule requiring specificity in the legislation for a law to be applied retroactively. “Under the exception a statute does have retroactive effect if it is merely procedural and does not affect an earlier established substantive right.” Bouldin, 125 Ariz. at 78, 607 P.2d at 955. Whether the right to a review panel involves a procedural or substantive right has been decided by our supreme court. “The provision in section 567(A) that creates a right to a review panel is substantive.” Daou, 139 Ariz. at 358, 678 P.2d at 939. This court, citing Daou, also held that the right to a review panel is substantive and not procedural. Gurr v. Willcutt, 146 Ariz. 575, 580, 707 P.2d 979, 984 (App.1985).
Respondents’ attempts to distinguish Daou and Gurr fail. Respondents argue that because petitioners’ rights have not vested, retroactive repeal is appropriate. For this proposition, respondents cite Hall v. A.N.R. Freight System, 149 Ariz. 130, 717 P.2d 434 (1986) (discussing constitutional issues arising when the legislature-expressly provides for retroactive application), and Brown Wholesale Elec. Co. v. H.S. Lastar Co., 152 Ariz. 90, 730 P.2d 267 (1986) (discussing the vesting of rights qualified by contingencies). Neither case relates to the issue of whether the court may retroactively apply statutes when the legislature has declined to do so. In any event, we conclude that the substantive right to a review panel vested with the filing of the action. Former A.R.S. § 12-567(A), in pertinent part provides “[u]pon the filing of a complaint ... the matter shall be referred to a ... review panel____” When a lawsuit is commenced ,the defendant gains an immediate fixed ability to assert any substantive right, and such rights may not thereafter be prejudiced by the state. Hall, 149 Ariz. at 140, 717 P.2d at 444.
Conclusion
The legislature did not expressly provide that the repeal of A.R.S. § 12-567 was retroactive. As the right to a review panel involves a vested substantive right and is not merely procedural, retroactivity may not be provided by the court. Accordingly, the prior order of the court filed December, 15, 1989 is affirmed. The prior order of the trial court denying a review panel is quashed and the matter is remanded for proceedings compatible with this decision.
JACOBSON and KLEINSCHMIDT, JJ., concur.
|
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OPINION
VOSS, Judge.
The issue in this appeal is whether the duty expressed in Ontiveros v. Borak, 136 Ariz. 500, 667 P.2d 200 (1983), Brannigan v. Raybuck, 136 Ariz. 513, 667 P.2d 213 (1983), and A.R.S. § 4-244(14) is broad enough to proscribe a liquor licensee from indirectly providing alcoholic beverages to intoxicated persons. We resolve the issue in the affirmative.
The appellant is Mary Esther Carrillo, the wife of Salvadore Carrillo (Salvadore), the decedent, on her own behalf and as personal representative of Salvadore, and on behalf of the surviving children, Cynthia Carrillo and Salvadore Carrillo III (Carrillo). Appellee is the El Mirage Roadhouse, Inc., a tavern in El Mirage, Arizona (Roadhouse).
Carrillo brought this tort action for damages against the Roadhouse alleging that the Roadhouse’s negligence in serving alcoholic beverages to Salvadore caused his death. The Roadhouse moved for summary judgment, contending it had satisfied its responsibility by refusing to serve Salva-dore when it became apparent he was intoxicated. Carrillo responded that the Roadhouse had not appropriately discharged its duty of care to Salvadore because it allowed him to continue consuming heer, even after it determined he was intoxicated, by “laundering” the beer through other patrons. The trial court granted the Roadhouse’s motion for summary judgment.
In reviewing the record, we must view the evidence in a light most favorable to the party opposing the motion for summary judgment. Franko v. Mitchell, 158 Ariz. 391, 393, 762 P.2d 1345, 1347 (App.1988). Summary judgment is only appropriate where there is no genuine dispute as to any material fact, where only one inference can be drawn from the facts, and based upon the facts, the moving party is entitled to judgment as a matter of law. Auto-Owner’s Ins. Co. v. Moore, 156 Ariz. 184, 185, 750 P.2d 1387, 1388 (App.1988).
FACTS
On July 4, 1985, Salvadore was drinking in the Roadhouse tavern. He arrived at the tavern at approximately 5:00 p.m. that evening and remained there drinking until approximately 9:30 or 10:00 p.m. He then left with a friend for approximately an hour, returning to the tavern at 10:30 or 11:00 p.m. Hans Herrmann, one of the owners of the tavern and one of the bartenders on duty that night, testified in his deposition that after Salvadore returned to the tavern, he was visibly intoxicated and because of his intoxication, Herrmann refused to serve him any more beer. However, Herrmann also testified that he guessed Salvadore’s friends were buying beer and passing it to Salvadore as that is the usual practice in the tavern.
Q. So between 5:30 and 9:00 they alternated buying a round for everybody?
A. That’s how usually it goes. One buys and the next person buys.
* * * * * *
Q. Do you think that his friends gave him something to drink?
A. That’s usually how it works.
sk * * * * *
Q. So when you decide that a person has had enough to drink you don’t serve them any more but you know that his friends are going to get some for him? A. No. That was maybe that one incident, but it’s not now any more.
3k sk >k 3k sk sk
Q. But you also knew that his friends were likely to get drinks for him?
A. I didn’t know that. I guessed that they were.
Linda Garza, another bartender on duty that night, testified in her deposition that she did not directly serve Salvadore any beer past 11:00 p.m. but she did serve rounds of beer to Salvadore’s friends who then gave the beer to Salvadore.
Q. Did you serve him any drinks past 11:00 o’clock that night?
A. No, I didn’t.
Q. Do you know if anybody else did? A. Yes, Junior and Steve, they ordered rounds and I served them.
Q. And then they gave some to Sal? A. Yes.
3k 3k sk 3k sk >k
Q. How did you know that they were giving beer to Sal?
A. How would I know? Because Junior kept telling me, “Give me three — two more other beers for me and Sal.”
Garza testified that even though she did not directly serve Salvadore, she observed Salvadore having two or three beers after 11:00 p.m.
Q. Do you know how many heers any of Sal’s friends gave him after 11:00 o’clock?
A. A couple.'
Q. Two?
A. Um-hum, yes.
Q. Maybe more?
A. Two or three.
Salvadore left the tavern around 12:30 or 1:00 a.m. As he was driving home he was fatally injured in a one car accident. The medical examiner’s report indicated a .21% blood alcohol level; the traffic accident report indicated that the accident was alcohol related.
Subsequent to Salvadore’s death, the legislature enacted A.R.S. § 4-312 which bars claims similar to those in the present case where the injured party is the consumer, and not a third party. As A.R.S. § 4-312 is not retroactive, it does not bar Carrillo’s claim.
The Arizona Supreme Court in Ontiveros abolished the common law doctrine of tavern owner nonliability and held as a matter of common law and statute that those who furnish alcohol have a duty to exercise reasonable care for the protection of others. 136 Ariz. at 513, 667 P.2d at 213. The court held that the duty includes ceasing to furnish alcohol to an intoxicated person in order to protect members of the public. Id. at 510, 667 P.2d at 210. In Brannigan, the supreme court extended the duty created in Ontiveros to require the supplier of liquor to exercise reasonable care in furnishing liquor to those who, because of their overindulgence, may injure themselves, as well as others. 136 Ariz. at 516, 667 P.2d at 216. In reversing the common law doctrine of tavern owner nonliability, the Ontiveros court referred to the “frightful toll”’ in deaths and injuries each year in which alcohol is a contributing cause. 136 Ariz. at 507, 667 P.2d at 207. The tragedy continues.
In 1983 the Ontiveros court cited 25,000 alcohol related traffic fatalities. 136 Ariz. at 507, 667 P.2d at 207. The most recent nationwide statistics available from Mothers Against Drunk Drivers show these figures are virtually unchanged; in 1987 there were 23,632 alcohol related traffic fatalities. Arizona statistics are no better than the national average. The Arizona Department of Transportation’s (ADOT) 1988 preliminary statistics indicate there were 8,972 accidents involving drunk drivers. ADOT’s 1989 preliminary statistics indicate that in the first six months of 1989 alone there were 5,572 accidents involving drunk drivers.
The common law is a dynamic and growing thing and its rules arise from the application of reason to the changing condition of society. Brigance v. Velvet Dove Restaurant, Inc., 725 P.2d 300, 303 (Okla. 1986) (quoting McCormack v. Oklahoma Pub. Co., 613 P.2d 737, 740 (Okla.1980). The development of the law of torts is peculiarly a function of the judiciary. Lewis v. Wolf, 122 Ariz. 567, 596 P.2d 705 (1979) (overruled on other grounds, Ontiveros v. Borak, 136 Ariz. at 508, 667 P.2d at 208). Because duty and liability are matters of public policy, they are subject to the changing attitudes and needs of society. The frequency of accidents involving drunk drivers and the attendant carnage to an unsuspecting public compel us to continually scrutinize the scope of the common law in this area. See Ontiveros, 136 Ariz. at 504, 667 P.2d at 204; Reben v. Ely, 146 Ariz. 309, 705 P.2d 1360 (App.1985).
NEGLIGENCE
In order to maintain an action in negligence, four elements must be shown: 1) a duty, or obligation, recognized by law, requiring the defendant to conform to a certain standard of conduct for the protection of others against unreasonable risks, 2) a failure on defendant’s part to conform to the standard required, 3) a reasonably close causal connection between the conduct and the resulting injury; and 4) actual loss or damages. Ontiveros, 136 Ariz. at 504, 667 P.2d at 204.
It is clear that the licensee is under a common law duty not to sell alcohol to an intoxicated person where the sale creates an unreasonable risk of harm to the intoxicated person or to others. Ontiveros, 136 Ariz. 500, 667 P.2d 200; Brannigan, 136 Ariz. 513, 667 P.2d 213. The liquor licensee’s duty is also found in statute. A.R.S. § 4-244(14) provides that a licensee or other person shall not serve, sell, or furnish spirituous liquor to an intoxicated or disorderly person. In the present case, after the Roadhouse determined Salvadore was intoxicated, it did not serve him directly but served his friends, who then passed the beer to Salvadore. Our charge, then, is to determine whether the duty not to furnish alcohol to intoxicated- persons is broad enough to include any indirect furnishing of alcohol.
Several courts in other states have addressed fact situations similar to those herein. In those cases the courts found the dramshop, or in some cases a convenience market, had a duty and breached it when they sold alcohol to one person with actual or constructive knowledge that someone other than the purchaser — an intoxicated person — was consuming the alcohol. Fette v. Peterson, 404 N.W.2d 862 (Minn.App. 1987); Thompson v. Victor’s Liquor Store, Inc., 216 NJ.Super. 202, 523 A.2d 269 (1987); Bell v. Poindexter, 336 Ill.App. 541, 84 N.E.2d 646 (1949); see also Great Central Insurance Company v. Tobias, 37 Ohio St.3d 127, 524 N.E.2d 168 (1988) (where the court found the dramshop not liable because the sale of the alcohol was made to a nonintoxicated patron without knowledge that the drink was in fact for an intoxicated patron); Anderson v. Dale, 90 Ill.App.2d 332, 232 N.E.2d 767 (1967) (where the actual or constructive knowledge requirement was not met); Welch v. Convenient Food Mart, No. 550, 106 Ill. App.3d 131, 62 Ill. Dec 96, 435 N.E.2d 894 (1982) (where the court held that the licensee did not have actual or constructive knowledge that the beer it sold would be shared by buyer). We agree with these cases.
In Bell, a minor driver of an automobile, Sparr, entered a tavern with two minor friends. The friends purchased alcohol for themselves, Sparr, and one other minor. After drinking the alcohol, Sparr, driving while intoxicated, hit another car and fatally injured its occupant. The question presented to the court was whether Count IV in the complaint, which stated that the dramshop was liable for the decedent’s injuries because it knew the purchasers of the alcohol were going to share the alcohol with Sparr, stated a cause of action. The court held that Count IV did state a cause of action because if the seller knew or had good reason to believe when he sold liquor that the purchaser intended to furnish it to an intoxicated person who causes damage, the seller will be liable. 336 Ill.App. 541, 84 N.E.2d 646. In Great Central, the court found no liability where a person in a bowling lane tavern purchased ten shots of whiskey for another person in the tavern because the alcohol sales were made to a person who was not intoxicated and there was no knowledge that the alcohol was for an intoxicated person. However, the court stated that where the “sale” is made to one person with knowledge that the alcohol in fact was for another person who was intoxicated, then the state statute, which prohibited alcohol sales to intoxicated persons, could apply. 37 Ohio St.3d 127, 524 N.E.2d 168.
A.R.S. § 4-244(14) does not require a direct sale in order to find a duty on the part of the licensee. Common rules of statutory interpretation require us to effectuate the purpose of legislation. Mendelsohn v. Superior Court, 76 Ariz. 163, 261 P.2d 983 (1953). The clear purpose of A.R.S. § 4-244(14) is to prohibit a licensee from providing alcohol to an intoxicated person. To allow a licensee to frustrate this purpose by selling alcohol to a person who in turn gives the alcohol to an intoxicated person, when the licensee has actual or constructive knowledge of the act, would do violence to the legislation. Our interpretation is particularity sound when one considers that the mayhem imposed by the intoxicated driver is the same whether the route the alcohol took before impairing the brain was direct or indirect — the constant is the source — the licensee.
We therefore find that the duty expressed in Ontiveros, Brannigan, and in A.R.S. § 4-244(14) is broad enough to include the duty not to sell, serve or furnish alcohol to anyone regardless of their condition if a licensee has actual or constructive knowledge that an intoxicated person will ultimately receive and consume the alcohol. Whether the licensee herein actually or constructively possessed this knowledge goes to the issue of breach of duty.
Under the common law, once duty is established, the law requires that a defendant conform to a standard of care. Markowitz v. Arizona Parks Board, 146 Ariz. 352, 706 P.2d 364 (1985). In negligence cases, the standard of care is usually reasonable care under the circumstances. Or, put another way, conduct will be negligent if defendant acts unreasonably in light of the known or foreseeable risks. Id. at 356-57, 706 P.2d 368-69. If reasonable people could differ as to whether the danger of some injury is foreseeable, the question of negligence is one of fact for a jury to decide. Id. at 357-58, 706 P.2d 369-70; City of Phoenix v. Weedon, 71 Ariz. 259, 264, 226 P.2d 157, 160 (1950).
Actual or constructive knowledge requires more than knowing merely that unspecified, absent persons will be drinking. The licensee must have actual or constructive knowledge that a particular person will be drinking. Welch, 106 Ill. App.3d 131, 62 Ill.Dec. 96, 435 N.E.2d 894. The finder of fact looks to several factors to determine whether the licensee should reasonably have foreseen that the purchaser of the alcohol would not be the only consumer of the alcohol. The finder of fact must look to the quantity of alcohol purchased, statements made at the time of purchase, and any other relevant circumstances of the sale. Thompson, 216 N.J. Super, at 204, 523 A.2d at 271. Whether the Roadhouse breached its duty, whether it acted reasonably under the circumstances, turns on whether it possessed actual or constructive knowledge that Salvadore continued to drink.
There is ample evidence from which a trier of fact could determine that the Roadhouse possessed actual or constructive knowledge that Salvadore continued to drink after the bartenders determined they would no longer serve him because he was intoxicated. Herrmann testified that all his customers passed alcohol to one another, and that he guessed Salvadore’s friends passed him alcohol. Garza testified that a friend of Salvadore’s, after she had refused to serve Salvadore, asked her for drinks for, “me and Sal.” She also testified that she saw Salvadore with a few beers that night after she refused to serve him. Indeed, the facts herein indicate that the Roadhouse was well aware Salvadore’s friends were passing him beer. Since the Roadhouse knew Salvadore continued to drink, a trier of fact could find that the Roadhouse acted unreasonably. Therefore, summary judgment cannot be supported on the theory that as a matter of law, the Roadhouse did not breach its duty.
A duty of care and the attendant standard of conduct can also be found in a statute even though the statute is silent on the issue of civil liability. Restatement (Second) of Torts, § 286 comment d (1965) states that when the legislature has adopted a statute requiring certain conduct and imposing either civil or criminal penalties for breach, the court is free to adopt and apply that standard in negligence actions notwithstanding that the legislature has failed to so provide. Therefore, A.R.S. § 4-244(14), which makes it unlawful for a liquor licensee to furnish, serve, or sell alcohol to an intoxicated person, sets the standard of care. See Ontiveros, 136 Ariz. at 509, 667 P.2d at 209.
The prevailing rule, recognized in Arizona, is that a breach of a statute intended as a safety regulation is not merely evidence of negligence but is negligence per
se. Orlando v. Northcutt, 103 Ariz. 298, 300, 441 P.2d 58, 60 (1968). The legislature designed the liquor laws at issue in the present case to protect the welfare, health, peace, temperance, and safety of all citizens by providing for the strict regulation and control of alcohol. Mendelsohn v. Superior Court, 76 Ariz. at 169, 261 P.2d at 988. The Ontiveros court, in discussing whether the legislature designed the liquor laws to regulate the industry or whether they were safety measures, stated, “it is fair to say that in enacting the statutes in question the legislature intended to regulate the business and one of their purposes in doing so was to promote the safety of our citizens.” 136 Ariz. at 510, 667 P.2d at 210. The court went on to find that the portion of the statute forbidding the sale of alcohol to an already intoxicated person was enacted to protect members of the public who might be injured as a result of the intoxication which the sale of alcohol aggravated. Id.
However, unless a statute is construed to impose an absolute duty, its violation may be excused when, for example, the defendant was unable after reasonable diligence to comply. Thus:
[I]t has been held not to be negligence to violate the letter of the statute because of physical circumstances beyond the [defendant’s] control ... [or] where his violation is due to innocent ignorance of the operative facts which make the statute applicable.
Brannigan, 136 Ariz. at 517-18, 667 P.2d at 217-18 (quoting W. Prosser, Handbook of the Law of Torts § 36 at 198-99 (4th ed. 1971)). The court held that where a violation of the statutes pertaining to furnishing liquor to those who are underage or already intoxicated is shown, negligence exists as a matter of law, but under proper facts the jury may be allowed to find that the violation was excusable. Id. The supreme court then recited a nonexclusive list of circumstances that could constitute excuse. The court said that excuse would be present if a minor looked of age and had what appeared to be proper identification, or if the demeanor of the person served was such that there was no reason to believe that he or she was intoxicated. Since the facts indicate that the Roadhouse was aware Salvadore continued to drink and that it could have exercised control over that activity, a jury could reasonably conclude that there is no excusable negligence and that negligence per se exists. Id.
CONCLUSION
We conclude, therefore, that the duty expressed in Ontiveros, Brannigan, and in A.R.S. § 4-244(14) is broad enough to include a duty not to sell, serve or furnish alcohol to anyone regardless of their condition if a licensee has actual or constructive knowledge that an intoxicated person will ultimately receive and consume the alcohol. As there are questions of fact on the issues of breach, proximate cause, and damages we reverse the summary judgment granted by the trial court and remand for further proceedings not inconsistent with this opinion.
CONTRERAS, P.J., and KLEINSCHMIDT, J., concur.
. It is recalled that A.R.S. § 4-312 now bars actions by the consumer, but this statute does not apply herein as it became effective after the subject accident.
. Blacks Law Dictionary, 284 (rev. 5th ed. 1979) defines constructive knowledge as, “If one by exercise of reasonable care would have known a fact, he is deemed to have had constructive knowledge of such fact____"
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GORDON, Vice Chief Justice:
George Wendelken, the plaintiff-petitioner, is a sixty-six year old widower and a member of an organization known as “Arizona Singles Who’s Who.” Wendelken is a resident of Scottsdale, Arizona. The defendant-real party in interest-respondent, Henry S. Sherrill, is also a member of “Arizona Singles Who’s Who” and, in addition, belongs to a California organization, “International Singles Who’s Who.” Sherrill is a resident of Tucson, Arizona, with his home and business there. Sherrill also has a vacation home in Puerto Peñasco (Rocky Point), Sonora, Mexico.
Sometime prior to October 12, 1979, the “Arizona Singles Who’s Who” circulated an invitation from Sherrill to club members in Phoenix soliciting reservations for a Columbus Day weekend party to be held at Sher-rill’s Puerto Peñasco property. A similar invitation was circulated by the “International Singles Who’s Who.” A personal letter from Sherrill detailing the planned weekend was also distributed.
With two friends, Wendelken arrived at Sherrill’s Puerto Peñasco home during the afternoon of October 12, 1979. Upon his arrival, he discovered that the Mexican government had shut off all electricity to the Sherrill property. It was still daylight, though, and Wendelken and his companions were able to move about the house and to walk down a path to the beach without difficulty. However, after dark, the house and grounds were illuminated only by candlelight. While walking along the path that led from Sherrill’s house to the beach, Wendelken fell several feet over the edge of the path and sustained a broken hip. Other guests took Wendelken to a Mexican clinic for examination and then arranged with the Arizona Department of Public Safety for helicopter transportation to the Tucson Veteran’s Administration Hospital. There, he underwent surgery and subsequent care.
Wendelken timely filed suit against Sher-rill in Pima County, Arizona, seeking compensation for his injuries, his medical expenses, and his lost earnings. Trial on the matter was set for February 8, 1983. On January 5,1983, the trial court, the Honorable Lillian S. Fisher presiding, entered a minute entry granting Sherrill’s Motion for Partial Summary Judgment and ordering that Mexican law would apply to “the issues of negligence, damages, and standard of care, etc.” Wendelken filed a Petition for Special Action with the Court of Appeals Division Two (2 CA-CIV 4731) to vacate the trial court’s order. Division Two dismissed that petition on March 10, 1983. This petition for review followed. Jurisdiction is found pursuant to the Arizona Constitution Art. 6, § 5(3) and the Arizona Rules of Civil Appellate Procedure, Rule 23. As we find that Arizona law should apply to all aspects of this case, we vacate the Court of Appeal’s order dated March 10, 1983, as well as the trial court’s ruling which granted Sherrill’s Motion for Partial Summary Judgment, and remand the matter to the Superior Court for further proceedings consistent with this opinion.
This petition for review raises only one issue: whether the laws of the country of Mexico or the laws of- the State of Arizona should apply to this action. To make this choice between laws, we must look to the conflicts laws of Arizona, the forum state.
In Schwartz v. Schwartz, 103 Ariz. 562, 447 P.2d 254 (1968), this Court adopted the rules embodied in the Restatement (Second) of Conflict of Laws as the rules for Arizona. In so doing, we discarded the doctrine of lex loci delicti. Had this case arisen while lex loci was still in effect, our response would have been automatic: since this incident occurred in Mexico, that country’s law would be applied to all substantive issues. However, as this case arose after the demise of lex loci, our response is not at all automatic.
The Restatement (Second) § 145 sets forth the general principle by which tort choice of law questions are to be decided. Approved by this court in Schwartz, § 145 provides:
“(1) The rights and liabilities of the parties with respect to an issue in tort are determined by the local law of the state which, with respect to that issue, has the most significant relationship to the occurrence and the parties under the principles stated in § 6.
“(2) Contacts to be taken into account in applying the principles of § 6 to determine the law applicable to an issue include:
“(a) the place where the injury occurred,
“(b) the place where the conduct causing the injury occurred,
“(c) the domicil, residence, nationality, place of incorporation and place of business of the parties, and
“(d) the place where the relationship, if any, between the parties is centered. “These contacts are to be evaluated according to their relative importance with respect to the particular issue.”
As § 145 specifically incorporates § 6, which enumerates principles underlying all choice of law questions, that section also must be considered. See Gordon v. Kramer, 124 Ariz. 442, 604 P.2d 1153 (App.1979); Moore v. Montes, 22 Ariz.App. 562, 529 P.2d 716 (1974). Section 6 provides:
“(1) A court, subject to constitutional restrictions, will follow a statutory directive of its own state on choice of law.
“(2) When there is no such directive, the factors relevant to the choice of the applicable rule of law include
“(a) the needs of the interstate and international systems,
“(b) the relevant policies of the forum,
“(c) the relevant policies of other interested states and the relative interests of those states in the determination of the particular issue,
“(d) the protection of justified expectations,
“(e) the basic policies underlying the particular field of law,
“(f) certainty, predictability and uniformity of result, and
“(g) ease in the determination and application of the law to be applied.”
As § 145(1) makes clear, our task is to determine which state has the “most significant relationship” to the parties and the issues in question. Of the four contacts specified in § 145(2), two obviously attach to Mexico — the place of Wendelken’s injury and the place of Sherrill’s alleged negligence. However, the other two contacts attach to Arizona — both Wendelken and Sherrill are domiciled in Arizona, both are residents of Arizona, both are American nationals, Sherrill advertised this weekend party in Arizona via an Arizona organization of which both Sherrill and Wendelken are members, the solicitation reached Wen-delken in Arizona, and the reservation was accepted in Arizona. Only the destination involved was Mexico. The “relationship between the parties” centered in Arizona. As we have made clear, “the determination of which state has the most significant contacts is primarily qualitative, not quantitative.” Schwartz, supra, 103 Ariz. at 565, 447 P.2d at 257. Having established the numerical distribution of the important contacts, we now must evaluate those contacts to determine which law should apply. It is in this evaluation that the principles of § 6 are considered.
Our choice of law in this matter should have little effect on the harmonious relationship or on the commercial interaction between Arizona and Mexico. This was a purely private relationship between two Arizona residents. Neither public accommodation nor public transportation facilities was utilized. Had this trip been sponsored by the Mexican government instead of by a private American citizen or had the accident occurred at a Mexican hotel instead of at a private home, Mexican tourism might have been affected. In either event, this element would take on a greater weight in the choice of law decision. Those facts, however, are not before us.
Arizona, in addition to being the forum state and the place of the trial, has considerable interest in this matter. Both parties are domiciliaries of Arizona giving this state a natural interest in each of them. One aspect of that interest is the appropriate compensation of Wendelken for his losses. Striving insofar as possible to make the injured party whole, Riexinger v. Ashton Co., 9 Ariz.App. 406, 453 P.2d 235 (1969), Arizona allows unlimited recovery for actual damages, expenses for past and prospective medical care, past and prospective pain and suffering, lost earnings, and diminished earning capacity. See, e.g., Standard Oil Co. v. Shields, 58 Ariz. 239, 119 P.2d 116 (1941); Allen v. Devereaux, 5 Ariz.App. 323, 426 P.2d 659 (1967); R.A.J.I. Negligence 10. This is in sharp contrast to the compensatory scheme of Mexico. The parties have supplied this Court with a translation of Article 1915 of the Civil Code of Mexico. According to that translation, not only are damages resulting from personal injury recoverable only to the extent allowed by a quota system included in the Mexican Federal Labor Law, but the maximum wage that can be taken into account in this determination is twenty-five pesos per day. As both Wendelken and Sherrill are Arizona residents, there is little reason to apply Mexico’s measure of damages and under-compensate Wendelken for his losses. Faced with a similar situation, the Texas Supreme Court concluded:
“The only contact Mexico has with this case is the fact that the accident occurred there. Further, it makes little sense to apply Mexico’s measure of damages, which indexes the amount of recovery to the prevailing wages set by the labor law of that nation, when both [the plaintiff and the defendant] are residents of Texas.”
Gutierrez v. Collins, 583 S.W.2d 312, 319 (Tex.1979). The measure of Wendelken’s damage recovery for his injuries is of interest to this state not only because he is a domiciliary, but also because appropriate compensation helps guarantee payment to his Arizona medical providers and because, if other resources are not available, the burden for caring for his injuries will fall upon the State of Arizona.
Mexico also has an interest in the duties and the extent of the liability imposed upon Sherrill. This interest is based on Sherrill’s possessory interest in Mexican land. The policy of limited liability just explained is apparently designed to shield Mexican citizens from large judgments and is undoubtedly linked to Mexico’s socialized system of health care. As an injured Mexican’s health care costs would be paid for, the Civil Code limits damages to reimbursement, by the above-mentioned quota system, of his lost wages. As neither Wen-delken nor Sherrill is a Mexican citizen or a Mexican wage-earner, Mexico’s interest does not overcome that of Arizona.
Respondent Sherrill seeks to distinguish this case from automobile accident cases involving forum state plaintiffs and forum state defendants but an out-of-state accident. In those cases, because mere fortuity determines the place of the injury, the forum state law is generally applied. See Gordon v. Kramer, supra; see generally Annot., 29 A.L.R.3d 603 (1970 and Supp.). Sherrill argues that this injury and the alleged negligence that caused it could only have occurred in Mexico and asserts that Mexico’s interest in establishing duties and liabilities of possessors of Mexican land should be the decisive consideration in our choice of law determination. This would signal a return to the doctrine of lex loci delicti in those cases where the duties of owners and occupiers of land are at issue. We refuse to return to lex loci for these cases. In support of his argument, Sherrill cites Casey v. Manson Construction Company, 247 Or. 274, 428 P.2d 898 (1967). Casey, however, is distinguishable from the case sub judice. In Casey, the plaintiff’s husband, an Oregon resident, was injured in Washington on premises owned by two Washington corporations. In deciding to apply Washington negligence standards, the Oregon Supreme Court noted:
“Again, this is not an action between residents of Oregon, but is brought by an Oregon domiciliary against two Washington corporations.”
Id. at 288, 428 P.2d at 905. Thus, the domicile factor was split between the two states and favored neither state’s law. Faced with Washington as the place of the injury, the place of the alleged negligent conduct, and the place of the parties’ relationship, the Oregon court looked to Washington’s interest in the duties and liabilities of its landowners and applied Washington law to the action. Other courts, faced with forum state plaintiffs, out-of-state defendants, and out-of-state injuries, have similarly applied the other state’s laws. See, e.g., Crim v. International Harvester Company, 646 F.2d 161 (5th Cir.1981) (applying Texas conflicts law); Hotaling v. Smith, 63 A.D.2d 219, 406 N.Y.S.2d 627 (1978). However, when confronted with forum state plaintiffs and forum state defendants, but out-of-state injuries, courts have not been reluctant to apply forum state law even where there was no fortuity involved in the situs of the accident. For example, in Rose v. Port of New York Authority, 61 N.J. 129, 293 A.2d 371 (1972), the New Jersey plaintiff was struck by an automatic door at John F. Kennedy International Airport in New York City. In opting to apply its own law, the New Jersey Supreme Court reasoned:
“The plaintiff is a resident of New Jersey and the defendant is a bi-state governmental agency in which this State has an interest no different than that of New York. Whether the misadventure took place at Kennedy Airport or Newark Airport would seem of no significance; the situs of the event seems of little moment.”
Id., at 140, 293 A.2d at 377. See also, Brown v. Church of Holy Name of Jesus, 105 R.I. 322, 326, 252 A.2d 176, 179 (1969) (applying forum state law because “the place of the accident is but one of the significant factors to be considered in the weighing of the multiple factor concept.”)
As neither party anticipated a negligent act, it is likely that neither acted with any thought to the consequences of his conduct or to the law that might be applied to any dispute resolution. However, Sherrill can not claim that the imposition of Arizona negligence or damage standards is an unfair surprise. He has offered no indication that he relied in any way on the Mexican limited liability scheme. Rather, he concedes that he purchased liability insurance on his Puerto Peñasco property through an Arizona insurance carrier in the amount of $300,000.00, and obviously relied on the expectation that this Arizona insurance would cover any liability resulting from his interest in the Mexican land.
The remaining § 6 factors may be dealt with more quickly in this case. The Arizona and Mexican policies underlying negligence compensation have been fully set out above. Predictability and uniformity of result are of greatest importance in cases where the parties are likely to give advance thought to the legal consequences of their transactions, i.e., contracts or will validity, see, Restatement (Second) of Conflict of Laws § 6, comment i, not where negligence is at issue. Finally, Mexican laws, though in Spanish, could certainly be presented by counsel to the finder of fact in such a way that its application would be no more difficult than the application of Arizona law.
Having fully considered the relevant factors and the interests of both states, we conclude that Arizona has the most significant relationship to this occurrence and to these parties. As this state borders the state of Sonora, Mexico, our citizens are frequent visitors there and this issue will undoubtedly arise again. Our decision does not affect the sovereignty of the State of Sonora nor the Country of Mexico, but does protect our own citizens. We therefore vacate the trial court’s ruling which granted Sherrill’s Motion for Partial Summary Judgment and ordered that Mexican law would apply to all substantive issues and remand to the Superior Court for further proceedings.
HOLOHAN, C.J., and HAYS, CAMERON and FELDMAN, JJ., concur.
. At the time of Schwartz, the Restatement (Second) was in tentative form. This section was then numbered as § 379 and contained slightly different language.
. The Restatement (Second) uses “state” broadly to denote any territorial unit with a distinct general body of law. See § 3. Thus, the term includes Mexico which has a federal Civil Code.
. Sherrill repeatedly refers to himself as being a “resident of Mexico.” However, his own testimony at his deposition indicates that his property in Puerto Peñasco was used only intermittently and then as a vacation spot.
“Q. And you have a home in Rocky Point?
“A. Right.
“Q. How long have you had that home?
“A. March 1, 1978.
“Q. Do you use that primarily as a vacation home?
■ “A. Primarily.
“Q. How often, on an annual basis, do you visit that residence?
“A. One week per month.”
. On the date of Wendelken’s accident, twenty-five pesos equalled $1.0975. At current exchange rates, the value is only $0.1675.
. It is the existence of this interest of Mexico that prevents this from being a “false conflict” as Wendelken has urged. See, R. Leñar, American Conflicts Law § 93 (3d ed. 1977); Traynor, “Is This Conflict Really Necessary?” 37 Tex.L. Rev. 657 (1959).
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OPINION
BIRDSALL, Judge.
The appellant, Flowing Wells Unified School District # 8 of Pima County, appeals from an adverse decision by the trial court sitting without a jury in favor of the appellee, Barbara A. Phillips. The appellant terminated the appellee’s then current contract as its Food Service Director for the year July 1, 1978 to June 30,1979, effective two weeks from May 22,1979. At the same time, the appellant also terminated the ap-pellee’s new contract for the year commencing July 1, 1979 to June 30, 1980. The two contracts are identical for all material purposes in this appeal. The trial court awarded the appellee the remainder of her 1978-79 salary and all of her 1979-80 salary as damages.
The trial court made extensive findings of fact as requested pursuant to Rule 52(a), Rules of Civil Procedure, 16 A.R.S. For the most part these findings pertain to circumstances leading to the appellee’s discharge. The court concluded as a matter of law that the contracts were not terminable at will; that they were terminable for good cause; that good cause is synonymous with a material and substantial breach of the contracts and that the plaintiff (appellee) had not breached the contracts. From the facts found by the trial court the conclusion that the appellee had not breached the contract and therefore there was no “good cause” to discharge her is readily apparent. The appellant does not quarrel with these factual findings, contending instead that the contracts were terminable at will and no “good cause” was required. We agree and reverse.
The appellee was employed in the food service function of the school for 10 years prior to the 1978-79 school year. She had always been employed for one year terms. The trial court found:
“31. Contracts between school district employees and the school district are made, executed, and to be performed over a school year. The fact that personnel costs are an overwhelming majority of the school district’s budgets makes this an economic necessity.”
Each year the parties had a written employment contract and at least since the year 1972-73 it contained, in part, the following language:
“The Board ... agrees to employ Barbara Phillips ... subject to the following conditions:
6. This contract may be terminated by either of the contractual parties for reasons each may consider justified by giving written notice at least two weeks prior to such termination. However, when deemed necessary, the Board reserves the right to immediately terminate this contract.”
The appellant contends this provision meant that the appellee could be terminated at will regardless of the fact that the contract was for a period of one year; also, that the provision is not ambiguous, but should clearly be read: “This contract may be terminated by either of the contractual parties for reasons either may consider justified ... ”, thus substituting the emphasized word either for the word each. On the other hand the appellee contends the word to be substituted for each is “both ”, thus requiring that the parties agree on whether a given reason constitutes good cause. We agree that the paragraph is not ambiguous. A contract is not ambiguous just because the parties disagree as to its meaning. Boudreau v. Borg-Warner Acceptance Corp., 616 F.2d 1077 (9th Cir.1980); Associated Students, Etc. v. Ariz. Bd. of R., 120 Ariz. 100, 584 P.2d 564 (App.1978), cert. denied, 440 U.S. 913, 99 S.Ct. 1226-27, 59 L.Ed.2d 462 (1979); Giovanelli v. First Fed. Sav. and Loan Ass’n, 120 Ariz. 577, 587 P.2d 763 (App.1978).
Language used in a contract is ambiguous only when it can reasonably be construed to have more than one meaning. Assoc. Students, supra; University Realty & Development Co. v. Omid-Gaf, Inc., 19 Ariz.App. 488, 508 P.2d 747 (1973). The only reasonable construction of the subject employment contract is that given to it by the appellant, i.e., it was terminable by either party for reasons that party considered justified such action. Without this provision the contract is for one year, a time certain, and would not be terminable except for cause. Chapin v. Klein, 128 Ariz. 94, 623 P.2d 1250 (App.1981). And see Horizon Corporation v. Weinberg, 23 Ariz.App. 215, 531 P.2d 1153 (1975). The meaning urged by the appellee is unreasonable. It gives no effect to paragraph 6 since the parties could always mutually agree upon termination. A contract must be construed so that every part is given effect. New Pueblo Const., Inc. v. Lake Patagonia Rec. Ass’n, 12 Ariz.App. 13, 467 P.2d 88 (1970); Reserve Insurance Company v. Staats, 9 Ariz.App. 410, 453 P.2d 239 (1969). A contract must be construed in its entirety. Cavanagh v. Schaefer, 112 Ariz. 600, 545 P.2d 416 (1976). The obvious purpose of paragraph 6 was to provide that the appellee, who could otherwise be terminated for cause, could be terminated at will.
The interpretation of a contract is a matter of law and we can properly proceed to make that determination on the record before us. Polk v. Koerner, 111 Ariz. 493, 533 P.2d 660 (1975). We are not bound by the trial court’s legal conclusions. We find no fault with the trial court’s factual findings since they are at least supported by conflicting evidence, but none of those findings require the conclusion that the contracts were not terminable at will. Polk, ibid. The interpretation of the employment contract is a question of law to be determined by this court independent of the trial court’s interpretation. In the interpretation the court must ascertain and give effect to the intention of the parties at the time it was made, if at all possible. Polk, ibid.
The foregoing construction of the contract has been made without resort to any extrinsic evidence since effect must be given to the contract as it is written. Hadley v. Southwest Properties, Inc., 116 Ariz. 503, 570 P.2d 190 (1977). However, no evidence before the trial court suggested any other meaning. In fact other documentary evidence supports the interpretation we have reached. On July 11, 1974, the appellant adopted “Board Policy and District Procedures” which contained the following:
“Support staff employees shall receive an employment contract for each year of demonstrated satisfactory service. The contract is extended on a year to year basis, and may be terminated upon two weeks notice by the employer or employee for any reason, or upon completion of the term of the contract by either party without statement of any reason.”
The appellee contends that the conduct of the appellant shows that it believed that cause for termination had to be established. Our attention is directed to letters dated May 16 and May 23, 1979, from the school superintendent to the appellee. In the first letter the only reference to the reason for the action taken by the school is the following:
“I sincerely regret that this action is necessary; however, your termination is based upon reasons which are deemed to be justified.”
This is the very language of paragraph 6 of the contracts. It does not suggest in any way that the termination was not “at will”. The second letter advised the appellee that the school board had approved the superintendent’s recommendation that the appellee be terminated. The letter contained the following sentence: “Unsatisfactory job performance is the reason for the termination action.” We do not agree with the appellee that the fact this reason was given means the appellant believed the contract was not terminable at will.
The appellee also argues, if cause was not required, why was she given a lengthy public hearing to contest her termination. The short, simple answer to that argument is because board policy, as contained in an exhibit, provided that a hearing could be “voluntarily granted” even though not required by law or board policy.
In view of our disposition of this appeal, we need not consider the other issue raised by the appellant concerning an evidentiary ruling.
Reversed and remanded with directions to enter judgment for the appellant.
HOWARD, C.J., and HATHAWAY, J., concur.
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OPINION
HOWARD, Chief Judge.
As a result of a multi-vehicle automobile accident, Griswold Green sued Mr. and Mrs. Spillios and Mr. and Mrs. Adkins for the wrongful death of his wife. The Spillioses counterclaimed and in a separate action, sued the Adkinses for personal injuries. The cases were consolidated for trial and a jury awarded Griswold Green $150,000 in damages against the Spillioses, but found in favor of the Adkinses on the Green complaint. The jury also found against the Spillioses on their counterclaim and in favor of the Adkinses on the claim by the Spillios-es against them. The Spillioses contend that the court erred in giving certain instructions and in refusing certain instructions. They also contend that the court erred in the order of arguments which it permitted during the summation to the jury and further erred in refusing to allow the Spillioses to argue to the jury the contributory negligence of the deceased, Mrs. Green. We affirm.
The record shows that on the evening of April 17, 1980, Sheila and Mel Adkins were traveling in separate cars southbound on the frontage road of Interstate 17 near Green Valley. Just south of Continental Road, Mr. Adkins, who was driving in front, rolled his Volkswagen, which came to rest on its top in the northbound lane of the frontage road. Mrs. Adkins pulled her vehicle up in the southbound lane, next to and just south of the overturned vehicle. She left the vehicle’s lights on and went to check her husband’s condition. Shortly thereafter, plaintiff Green, who was proceeding northbound on the frontage road with his wife, collided with both of the Adkins vehicles. His automobile came to a rest straddling the center line of the frontage road. Several other cars arrived on the scene and Mrs. Adkins’ vehicle was moved to the righthand side of the southbound lane with her bright lights shining south ward. The lights on the Green vehicle were left on with the taillights angling in a southeasterly direction across the road. Mr. Howard Ammeson and his wife approached the scene from the north and he stopped his vehicle abreast of the Green vehicle and left his lights on, shining in a southerly direction. Also arriving at the scene was Mr. Robert Barnes who stopped his van behind the Ammeson vehicle and also left his lights on. By the time all these cars had stopped, the entire roadway was blocked by the Adkins Volkswagen and the Green vehicle.
Shortly after all this occurred, Mr. and Mrs. Green were standing in front of their vehicle when Mr. Barnes first yelled that a car was coming. This was the Spillios vehicle. Mr. Green turned to watch the car approach and after a moment went to the west side of the road very quickly. Mrs. Green went to the door of their car, opened it up and got her purse. Mr. Barnes yelled at her again that a car was coming and to get out of the way. She was walking rapidly away from their car when the Spillios vehicle hit the Green vehicle, knocking it into Mrs. Green and killing her.
Mr. Spillios testified that he and his wife were traveling northbound on the frontage road when they saw a car approaching them with its bright lights on. He was temporarily blinded by the lights of this car and after it passed him and he was recovering from this temporary blindness, he first saw the lights of Mrs. Adkins’ vehicle. At that time he did not know that the vehicle was not moving. The lights were on high beam and were blinding him. He blinked several times and he observed the Adkins vehicle blink also but it remained on high beam. Although there was evidence that at least two separate groups of persons were located south of the vehicles waiving at Mr. Spillios to stop, he did not see anything except the bright lights of the Adkins vehicle. He did not see the lights or the emergency flashers of the other vehicles which were also operating. Mr. Spillios first saw the vehicles in the middle of the roadway at about the time he reached the Adkins vehicle. He applied the brakes and skidded into the Green and Adkins vehicles.
After the jury had been instructed and had retired to deliberate, the trial court permitted the parties to make their objections for the record. Apparently there had been some previous off-the-record discussions because counsel for the Spillioses stated during his objections to the instructions:
“I wanted to further object to the limitation of argument as to the acts of Mrs. Green as far as the imputation of negligence from Mr. Green to Mrs. Green insofar as that is the same thing that took place as far as Mr. Spillios’ negligence on lone’s claim in this case.” (Emphasis added)
Appellants argue that any contributory negligence on the part of Mrs. Green was relevant and a defense to the wrongful death action. We agree.
A.R.S. § 12-611 states:
“When death of a person is caused by wrongful act, neglect or default, and the act, neglect or default is such as would, if death had not ensued, have entitled the party injured to maintain an action to recover damages in respect thereof, then, and in every such case, the person who or the corporation which would have been liable if death had not ensued shall be liable to an action for damages, notwithstanding the death of the person injured,
Therefore, if a valid affirmative defense would have defeated an action by the decedent had she lived, that same defense can be asserted after death as a complete barrier to recovery under the wrongful death statute. See Herzberg v. White, 49 Ariz. 313, 66 P.2d 253 (1937). If Mrs. Green had lived and sued the Spillioses, contributory negligence would have been a defense. Fernandez v. Romo, 132 Ariz. 447, 646 P.2d 878 (1982) is not applicable to the Greens’ action for wrongful death. In Fernandez, the surviving children of Joseph Ashford III and Elizabeth Ashford filed a wrongful death action against the estate of their deceased father for the death of their mother. In Fernandez the court abolished the doctrine of spousal immunity. Therefore, since the mother could have recovered had she not died, the action clearly fell within the wrongful death statute and the surviving children could maintain the action. Here, we do not have one spouse suing another. The Fernandez case has nothing to do with the Green claim for relief. The right to recover damages for wrongful death is wholly statutory, and it can be granted or withheld at the pleasure of the legislature. Huebner v. Deuchle, 109 Ariz. 549, 514 P.2d 470 (1973). Any contributory negligence of Mrs. Green would be a defense here because the wrongful death statute says it is and the doctrine of interspousal immunity is not even involved.
However, we find no error here. First, the record does not contain the trial court’s ruling. If lawyers want to preserve the record for appellate review, they must make sure that their arguments to the trial judge are being transcribed by the court reporter and that any ruling is in the record. Second, the objection discloses that appellants wanted to impute the negligence of Mr. Green to Mrs. Green. The trial court was correct in not allowing appellants to argue that the negligence of Mr. Green, failing to control his speed and failing to remove his vehicle from the roadway, could be imputed to Mrs. Green. If Mrs. Green had lived, her claim for injuries to her person would have been her own separate property, Jurek v. Jurek, 124 Ariz. 596, 606 P.2d 812 (1980), which could not have been defeated by Mr. Green’s contributory negligence. As far as injuries to the person is concerned, Jurek v. Jurek, supra, has overruled the court’s holding in Heimke v. Munoz, 106 Ariz. 26, 470 P.2d 107 (1970) that the negligence of one spouse is imputed to the other. And third, if there were any error it was waived when appellants failed to offer or request an instruction that the negligence of Mrs. Green could bar the recovery of Mr. Green.
Appellants contend that the failure to give any instruction on the effect of Mrs. Green’s contributory negligence was fundamental error and was therefore not waived. We do not agree. The giving of an instruction which tells the jury what its verdict must be as far as the defense of contributory negligence is concerned constitutes fundamental error which can be raised on appeal even if there was no objection in the trial court. See Trojanovich v. Marshall, 95 Ariz. 145, 388 P.2d 149 (1963). However, we know of no case which holds that the trial court must, absent a request, instruct on contributory negligence.
The transcript shows appellants made the following objections to the trial court’s giving or refusing to give instructions:
“I wanted to object to the giving of the willful and wanton instruction. The DWI instruction, and the last clear chance instruction as being unwarranted under the facts unduly emphasizing certain aspects of the case without adequate support in the record.
5{! Sfc * * * ífc
I want to also object to the not giving of 28-871 regarding the stopping, standing or parking on a highway because the statute clearly states the general standard under which all people must function under the law.
The Court did give a couple of what were alleged to be specific instructions, but I think without the general instruction, the jury could not understand the law and it unduly slanted the case.
I want to object to not giving the sudden emergency instruction, because I think the facts supported it, ... ”
Rule 51(a), Arizona Rules of Civil Procedure, 16 A.R.S., states, inter alia, “.. . No party may assign as error the giving or the failure to give an instruction unless he objects thereto ... stating distinctly the matter to which he objects and the grounds of his objection....” A general objection to a given instruction is insufficient to constitute a distinct statement of the matter to which the objection is made and the supporting grounds therefor. Long v. Corvo, 131 Ariz. 216, 639 P.2d 1041 (App.1981). An objection on the ground that an instruction states or does not state the law is a general objection and is insufficient. Tanner v. Pa- cioni, 3 Ariz.App. 297, 413 P.2d 863 (1966); Rhodes v. El Rancho Markets, 9 Ariz.App. 576, 454 P.2d 1016 (1969). An objection that the evidence does not support the giving of the instruction is also a general objection and is insufficient. Long v. Corvo, supra. Appellants’ objections to the instructions were general objections, were insufficient and preclude assertion of the alleged error. Long v. Corvo, supra.
Appellants contend the trial court erred in denying their request relative to the order of argument. They have not referred us in their brief to the portion of the transcript where we might find the request and the denial. We have no obligation to search the record for this error. Appellants’ failure to comply with Rule 13(a)(4) and (6), Arizona Rules of Civil Appellate Procedure, 17A A.R.S., constitutes a waiver of the argument. Cf., Lazear v. Pendergrass, 39 Ariz. 111, 4 P.2d 386 (1931).
Affirmed.
HATHAWAY and BIRDSALL, JJ.
|
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HOLOHAN, Chief Justice.
The petitioners by this special action challenge the authority of the Industrial Commission of the State of Arizona to set the amount of attorney’s fees in a lump sum commutation decision. The petitioner Sanchez sustained an industrial injury and retained the petitioner Van Baalen as his attorney to represent Mr. Sanchez in the proceedings before the Industrial Commission. Mr. Sanchez entered into a contingent fee agreement with his attorney which provided that the attorney would receive 25% of all monies obtained from the settlement or resolution of the Industrial Commission action.
In September, 1982 the industrial carrier and the petitioner Sanchez, through the efforts of his attorney, entered into a settlement which provided that Mr. Sanchez would receive compensation benefits at the rate of $159.50 per month. This settlement was approved by the administrative law judge, and a decision and award was entered providing that Mr. Sanchez was to receive the above sum until death or further order or award of the Commission.
In October, 1982 the petitioner, through his attorney, filed a “Petition for Commutation of Findings and Award for Loss of Earning Capacity to Lump Sum Payment.” The Industrial Commission denied the petition in January, 1983, and the petitioner filed a timely request for hearing.
The Industrial Commission, through its commissioners, have established a practice of establishing the amount of attorney’s fees to be paid in the event of the approval of a lump sum commutation. The petitioners challenge this practice and point out that they have not asked the Industrial Commission to set the attorney’s fees for the services rendered by petitioner attorney.
The essential issue presented is does the Industrial Commission of the State of Arizona have the authority, when it approves a lump sum commutation award, to also set the amount of the attorney’s fees for legal services rendered to the claimant?
The Commission points out that pursuant to A.R.S. § 23-1067 it has the authority to allow the commutation of compensation to a lump sum award not exceeding $25,000, pursuant to such rules and regulations as it devises for obtaining the present value of the compensation. The statutes do not provide any specific standards to guide the Commission in this area leaving the matter to the Commission’s discretion. Judicial decisions have indicated that the Commission’s discretion to allow a lump sum commutation should occur only if it appears to be in the best interest of the claimant. Prigosin v. Industrial Commission, 113 Ariz. 87, 546 P.2d 823 (1976); Rabago v. Industrial Commission, 132 Ariz. 79, 643 P.2d 1049 (App.1982). The Commission argues that it is imperative that it have the authority to scrutinize all lump sum awards to insure that they are in the claimant’s best interest and that his benefits are not unreasonably reduced. From this the Commission concludes that it has the implied authority to fix the amount of attorney’s fees so that the amount of the lump sum award is not unreasonably reduced.
The only specific authority granted to the Industrial Commission to set reasonable attorneys’ fees is that contained in A.R.S. § 23-1069 which provides:
“A. In proceedings before the commission in which an attorney employed by the claimant has rendered services reasonably necessary in processing the claim, the commission shall, upon application filed by the attorney or the claimant pri- or to a final disposition of the case, set a reasonable attorney’s fee and shall provide for the payment thereof from the award, in installments or otherwise, as the commission determines proper in view of the award made, and shall further provide for the payment of the attorney’s fee direct to the attorney. The commission shall charge the amount of the payment against the award to the claimant.
“B. The attorney’s fee provided for in subsection A shall be not more than twenty-five per cent up to ten years from the date of the award. In cases involving solely loss of earning capacity, the maximum shall be twenty-five per cent up to five years from the date of the final award. When the payment of the award to the claimant is made in installments, or in other than a lump sum manner, in no event may an amount in excess of twenty-five per cent of any one such installment payment be withheld for the attorney’s fee.
“C. The reasonableness of the attorney’s fee set pursuant to subsection A shall be reviewable upon the application of the claimant or the attorney in the same manner as other awards of the commission.” (Emphasis supplied).
In McCluskey v. Industrial Commission, 80 Ariz. 255, 296 P.2d 443 (1956), this court held that the foregoing section
“... does not grant the Commission the power and duty to fix attorneys’ fees in all cases coming before it. Its jurisdiction is limited to those cases wherein it has been requested to step in and fix a fee. The attorney may agree upon a fee with his client, subject only to the limitations generally imposed upon any attorney as prescribed by the ethics of the profession, or else he or his client may apply to the Commission asking that a reasonable fee be fixed, to be paid out of the award. It is only in the latter instance that the Commission has jurisdiction over the fees to be fixed and allowed for the services rendered, and only then may the attorney fee be deducted from the award and paid directly to the attorney. Thus the possible advantage of freedom of contractual action under the former method must be measured against the obvious advantage of the latter in securing direct payment out of the award itself — i.e., a choice between control of the size of fee and certainty of payment.
“This does not deny the attorney the right to contract with his client, but merely denies him the right to use the Commission as a tribunal to enforce payment thereof. Certainly the courts would still be open for enforcement of any rights thereunder, if he chooses to ignore the benefits of the statute.” (Emphasis in original).
Id. at 260, 296 P.2d at 946. Once the attorney or claimant has invoked the jurisdiction of the Commission to fix an attorney’s fee, the Commission is not bound by any contractual arrangement between attorney and client, however. Id. at 261, 296 P.2d at 447.
The McCluskey case was cited in Tim-mons v. Industrial Commission, 83 Ariz. 74, 316 P.2d 935 (1957). There, it appears that the attorney and claimant had a 25% contingent fee contract. They requested that the Commission set the fee so that it would be deducted from the claimant's award. Despite testimony from both the attorney and claimant that they were satisfied with the arrangement, the Commission did not follow the contract. On appeal, the Commission’s action was asserted to be error. This court said that in McCluskey “[w]e stated if counsel wished to seek certainty of payment, i.e., through an award from the Commission, he had to forsake specific control of the amount of his fee.” 83 Ariz. at 82, 316 P.2d at 940.
It thus appears that the only specific statute authorizing the Commission to fix attorney’s fees provides that such action may be taken only upon application filed by the attorney or the claimant. It is conceded that in this case neither the petitioner-attorney nor the petitioner-client filed such an application. The Commission, however, argues that even though there is not a specific provision authorizing the setting of attorney’s fees, that it is an important factor when viewing the question of whether a lump sum commutation would be in the best interests of a claimant. We agree with the Commission up to this point. To this end we see no objection in the Commission asking for the information concerning the amount of attorney’s fee that will be paid out of the lump sum. The Commission can well take this matter into consideration in determining whether after the deduction of the attorney’s fees there remains an amount sufficient to supply the needs of the claimant.
Taking the amount of attorney’s fees contracted into account is quite different from actually setting the amount of the fee. We find no authority in the statute which grants the Commission such authority, and we find nothing which impliedly granted to the Commission such authority. The Commission can exercise its responsibilities in determining whether a lump sum settlement is for the best interest of a claimant by taking into consideration all the factors in the case. One of those factors can be the amount of attorney’s fees that will be paid from the lump sum. Although the Commission has no authority to interfere with the fee arrangement, the Commission does have the authority to deny the lump sum commutation if it believes that the net amount after deduction of attorney’s fees will not be sufficient to supply the needs of the claimant.
The relief sought by the petitioners is granted and the Industrial Commission is prohibited from attempting to fix the attorney’s fees to be charged by the petitioner-attorney for his services to the petitioner-claimant.
GORDON, V.C.J., and HAYS, CAMERON and FELDMAN, JJ., concur.
|
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OPINION
BIRDSALL, Judge.
The appellants, Edmund A. Vikse and Edna M. Vikse, husband and wife, and Sigurd A. Miland, obtained a judgment against the appellees Joe S. Agers and W. Shelley Richey and others in the state court in Minnesota. The judgment was affirmed by the Minnesota Supreme Court and is reported as Vikse v. Flaby, 316 N.W.2d 276 (1982). The basis of the judgment was land fraud and jurisdiction was obtained via the Minnesota long arm statute, since the ap-pellees were and are residents of Arizona. The Miland judgment was for $41,530.96. Vikses’ was in the amount of $29,071.67. Both were principal amounts only.
In February, 1981, the appellants, pursuant to A.R.S. § 12-1702, filed the Minnesota judgment in Pima County and gave notice to the appellees. Attempted enforcement of the judgment in Arizona was delayed until June 1982. At that time the appellants caused the Sheriff of Cochise County to levy on certain real properties in that county. One parcel levied upon was owned by the community of the appellee Agers and his wife, Jacqueline and the other by the community of the appellee Richey and his wife, Adele.
The appellees each filed motions to quash the levy on the property owned by the community of himself and spouse on the grounds that the judgment and writ of general execution were against him individually, and the community property was not ^subject thereto. The trial court granted each motion to quash. The order from which this appeal is taken recites, “it appearing that the levy is on community property in an action to collect a separate debt.”
The appellants contend the trial court erred because:
1) Where a separate judgment against a spouse has been entered in Minnesota arising from a tort committed there for the benefit of the community, A.R.S. § 25-215(C) authorizes recovery of the judgment from community property since the judgment would have been a community debt if it had been incurred in Arizona.
2) In a proceeding under the Uniform Enforcement of Foreign Judgments Act, joinder of both spouses as defendants is not required by A.R.S. § 25-215(D) in order to establish liability of community property, where both spouses have been virtually represented, where a non-contract debt is at issue, and where extra-territorial application of the statute is prohibited and would contravene the law of the foreign forum.
3) In accordance with the law of all other community property jurisdictions, a tort-feasor spouse’s interest in community property should be available to satisfy separate judgments against the tortfeasor spouse, particularly where the tortfeasor lacks sufficient separate property to satisfy the judgment and the victim will not be otherwise compensated.
We affirm.
Neither marital community nor the spouse of either appellee was ever named or served in either Minnesota or Arizona. Neither spouse has appeared and, until urging the motion to quash, neither community was represented. Even assuming arguendo that the appellants are correct, that the fraud committed by the husbands in Minnesota would have created a community obligation if done in Arizona, A.R.S. § 25-215(C), there was no compliance with the requirements of A.R.S. § 25-215(D). The latter statute provides:
“Except as prohibited in § 25-214, either spouse may contract debts and otherwise act for the benefit of the community. In an action on such a debt or obligation the spouses shall be sued jointly and the debt or obligation shall be satisfied: first, from the community property, and second, from the separate property of the spouse contracting the debt or obligation.”
The exceptions are not applicable here. The obvious purpose of joining the spouses is to give each notice and an opportunity to defend. This was one of several amendments adopted by the Arizona legislature in 1973 revising Arizona community property law. Generally, the revisions in the community property laws were brought about because of a recognized need to codify the wife’s rights to manage and deal with the community property equally with the husband.
Our Supreme Court decided in Eng v. Stein, 123 Ariz. 343, 599 P.2d 796 (1979) that a judgment entered against a wife who had neither been served nor named, and had not appeared, was void insofar as it attempted to bind her or the community. We reach the same result in the instant case.
The reason for the statutory provision making the community liable for community obligations incurred outside the state is to protect the rights of those creditors regardless of the fact that the obligation was not incurred in Arizona. In order to have the advantage of this provision, however, the creditor must join both spouses and thereby have personal jurisdiction over the community.
The appellants cite cases decided prior to the 1973 amendments which permit a recovery against the community even though the husband was the only defendant named. See McFadden v. Watson, 51 Ariz. 110, 74 P.2d 1181 (1938) and De Pinto v. Provident Security Life Ins. Co., 374 F.2d 50 (9th Cir.1967), cert. denied, 389 U.S. 822, 88 S.Ct. 52, 19 L.Ed.2d 74 (1967). Reliance on those cases is misplaced since the clear language of the statute requires that both spouses be joined. Likewise the case of Bainum v. Roundy, 21 Ariz.App. 534, 521 P.2d 633 (1974), cited by the appellants, is inapposite since both husband and wife were joined as defendants, and the judgment was against both, thus binding their community.
We agree with the appellees that the import of A.R.S. § 12-1702 is to enforce the foreign Minnesota judgment on the same basis as an Arizona judgment. See Phares v. Nutter, 125 Ariz. 291, 609 P.2d 561 (1980); Springfield Credit Union v. Johnson, 123 Ariz. 319, 599 P.2d 772 (1979). We also agree that since the levies are on real property in Arizona the trial court had to apply the law of Arizona to determine whether the property was subject to execution levy to satisfy the judgment. See Clark v. Willi-ard, 294 U.S. 211, 55 S.Ct. 356, 79 L.Ed. 865 (1935) holding that every state has jurisdiction to determine for itself liability of property within its territorial limits to seizure and sale under powers of its courts.
Due process requires that a party be given notice of an adverse claim and an opportunity to defend. Sparks v. Republic National Life Insurance Co., 132 Ariz. 529, 647 P.2d 1127 (1982), cert. denied, - U.S. -, 103 S.Ct. 490, 74 L.Ed.2d 632 (1982). Neither spouse was given notice here, much less an opportunity to defend.
The appellants next argue that joinder of both spouses should not be required because:
1) Both spouses have been “virtually represented”;
2) A non-contract debt is at issue, and
3) Application of the joinder requirement would contravene the law of Minnesota.
They point out that in Minnesota it is not necessary to join a spouse in an action against the other spouse, citing Kisch v. Skow, 305 Minn. 328, 233 N.W.2d 732 (1975). Conceding this point, the same can be said for Arizona law, providing a plaintiff does not desire a judgment enforceable against the community.
Citing the Restatement (Second) of Judgments, Sec. 41 (1982), the appellants argue that the doctrine of virtual representation precludes any claim that failure to join the wives insulates the communities from liability. We disagree. This doctrine has no application in Arizona because of the statute, A.R.S. § 25-215(D) which requires joinder.
A.R.S. § 25-215(D) requiring joinder is not limited to contract actions as argued by the appellants. Likewise, we do not agree that requiring the joinder of a spouse in order to bind the community violates the full faith and credit clause, U.S. Const, art. IV, Sec. 1. All that needed to be done here, assuming community liability, was to join both spouses in the Minnesota lawsuit.
Finally we consider the last contention, that the community property interest of a tortfeasor spouse should be available to pay the separate obligation of that spouse. In approaching this argument here we must bear in mind that for this discussion the judgment is assumed to be a separate obligation. The answer to this argument is found in a long line of well established judicial authority. Shaw v. Greer, 67 Ariz. 223, 194 P.2d 430 (1948); Payne v. Williams, 47 Ariz. 396, 56 P.2d 186 (1936); and see recently Schilling v. Embree, 118 Ariz. 236, 575 P.2d 1262 (App.1977).
The statutes of the several community property states are discussed in W. DeFun-iak, Principles of Community Property, Sec. 162 (2nd Ed.1971), where referring to the community property and citing Maricopa County v. Douglas, 69 Ariz. 35, 208 P.2d 646 (1949); Tway v. Payne, 55 Ariz. 343, 101 P.2d 455 (1940); Forsythe v. Paschal, 34 Ariz. 380, 271 P. 865 (1928) and Cosper v. The Valley Bank, 28 Ariz. 373, 237 P. 175 (1925), as well as several Washington opinions, it is said:
“Some courts, pursuant to governing principles, have refused to allow it to be touched at all by creditors on the individual or separate obligation of a spouse contracted during marriage, at least during the subsistence of the marriage. To any argument that the half share of the community property belonging to the spouse contracting the separate debt should be liable for that debt, on the ground that such half share constitutes property of the spouse just as much as does the spouse’s separate property, it may be pointed out that the exact amount of that share is not definitely ascertainable until the payment of community debts and the partition of the residue of the community property after such payment, upon dissolution of the conjugal partnership. Moreover, those courts which have not permitted the community property, or even the debtor’s half share thereof, to be reached during marriage, have reasoned that the welfare of the family requires that the common property should be left intact for the support and maintenance of the family and that it should not be subject, during marriage, to inroads for obligations not incurred for the benefit of the family.”
In one reported Arizona decision the supreme court did hold that where the property of an honorably discharged soldier was exempted from taxation by constitutional provision, and this exemption included his half of the community property, but not the wife’s half, her share was assessable for taxes and could be separated and sold under tax lien upon her failure to pay such taxes. Oglesby v. Poage, 45 Ariz. 23, 40 P.2d 90 (1935). And see Gardner v. Gardner, 95 Ariz. 202, 388 P.2d 417 (1964).
The appellants quote at length from deElche v. Jacobsen, 95 Wash.2d 236, 622 P.2d 835 (1980) wherein the facts showed the victim was raped by the husband. The Washington Supreme Court interpreted the Washington statute which is similar to our A.R.S. § 25-215, as permitting the tort judgment creditor, the rape victim, to reach the wrongdoer’s one-half interest in the community property. The appellants urge that Arizona should follow this lead in order to protect the innocent victim. Even if this court were free to do this, this is certainly not the right case. The appellants have not even attempted to follow recognized procedures and thereby secure a judgment against the community. Nor are we persuaded by the final argument regarding the paucity of separate property available to satisfy the judgments, and that the victims will not be otherwise compensated.
Affirmed.
HOWARD, C.J., and HATHAWAY, J., concur.
. “A copy of any foreign judgment authenticated in accordance with the act of congress or the statutes of this state may be filed in the office of the clerk of any superior court of this state. The clerk shall treat the foreign judgment in the same manner as a judgment of the superior court of this state. A judgment so filed has the same effect and is subject to the same procedures, defenses and proceedings for reopening, vacating, or staying as a judgment of a superior court of this state and may be enforced or satisfied in like manner.”
. “The community property is liable for a spouse’s debts incurred outside of this state during the marriage which would have been community debts if incurred in this state.”
|
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OPINION
HOWARD, Chief Judge.
Appellant was found guilty by a jury of robbery, kidnapping and theft, all repetitive felonies. Finding aggravating circumstances, the trial court sentenced him to concurrent prison sentences of eight years, fifteen years and three years, respectively.
The record shows that just prior to the incidents at issue, appellant and a female companion had attempted to rob two other persons on Highway 89 at night by flashing their car lights, pulling the cars over and telling the drivers that they were narcotics agents. The Pima County Sheriff’s Office had already been alerted to the situation when the incident herein took place.
Appellant pulled over Tammy Woolridge, a waitress who was giving two inebriated friends a ride home. He told her he was an undercover “narc”, searched the trunk of the car, made her put her hands on the roof and then had her take the wallets of the sleeping passengers and give them to him. Appellant’s female companion searched Tammy while she was lying on the ground and appellant himself patted her down three or four times. Appellant made Tam my remove her shoes and told her his companion had a gun and she was trained to kill. Appellant took money and Tammy’s car keys and identification. He and his confederate departed and Tammy ran into the desert and hid.
Shortly thereafter one of the persons involved in the previous attempts and an Oro Valley police officer caught appellant and arrested him. Sgt. Woolridge, of the Pima County Sheriff’s Department, Tammy’s father, arrived at the scene of the arrest. When he saw Tammy’s car keys and identification in appellant’s car he became so upset that he picked appellant off the ground by his beard and hair and forced appellant into his patrol car.
Sgt. Woolridge also told him that if he didn’t find Tammy alive he was going to blow appellant’s brains out. When appellant refused to say where Tammy was Sgt. Woolridge hit him across the jaw and nose with a flashlight. Appellant thereupon told him where Tammy’s car was.
They drove to Tammy’s car and at the sound of her father’s voice, Tammy came running out of her hiding place in the desert. She was very upset, told her father what had happened and identified appellant as the perpetrator.
Sgt. Woolridge was one of two officers who overheard appellant and his female companion discuss the story they were going to give authorities while they sat together in the holding area of the jail the following day.
At trial appellant presented an insanity/intoxication defense. No weapon was found, and the trial court granted him a judgment of acquittal on the charge of armed robbery.
Appellant contends the trial court erred in (1) instructing the jury that he could be guilty of kidnapping if the evidence showed that the restriction of another person’s movement was with the intent to place a person in reasonable fear of imminent physical injury to that person or another person; (2) permitting the state to introduce into evidence appellant’s prior conviction record from Hawaii without proper authentication; (3) admitting into evidence anything that occurred, including the observations of the witnesses, when Tammy’s car was found by Sgt. Woolridge, and (4) convicting him for robbery and theft when there was no evidence of force, threat, or intent to take any property.
Appellant’s contentions are without merit for the following reasons:
1. Although charged with kidnapping with the intent to otherwise aid in the commission of a felony (A.R.S. § 13-1304(A)(3)), appellant could, instead, be convicted of kidnapping with the intent to place the victim or a third person in reasonable apprehension of imminent physical injury (A.R.S. § 13-1304(A)(4)). Although kidnapping pursuant to A.R.S. § 13-1304(A)(4) is not a lesser-included offense or a separate offense, it is one of many ways in which a person can be guilty of kidnapping. See State v. Carrico, 116 Ariz. 547, 570 P.2d 489 (1977).
2. The fingerprints and photographs of appellant accompanied and were attached to the certified abstract of the indictment, guilty plea, judgment and mittimus and were part of the certification. They did not have to be separately certified. Cf. State v. Jones, 103 Ariz. 580, 447 P.2d 554 (1968); State v. Baca, 102 Ariz. 83, 425 P.2d 108 (1967).
3. The victim would have been found in any event and would have shown the police her car and identified appellant. State v. Lamb, 116 Ariz. 134, 568 P.2d 1032 (1977).
4. There was more than enough evidence to show appellant was guilty of the crimes.
Affirmed.
HATHAWAY and BIRDSALL, JJ., concur.
|
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OPINION
BIRDSALL, Judge.
This is an appeal from the appellant William Kraig Madsen’s conviction for molestation of a child, sexual abuse with a minor under fifteen and two counts of sexual conduct with a minor under eighteen. The issues on appeal are whether the trial court correctly:
1) instructed the jury concerning the necessary elements of child molestation under A.R.S. § 13-1410;
2) instructed the jury that society’s standards, not an individual’s standards, must be used to determine whether certain acts are “abnormal” or “unnatural” under the statute, and
3) excluded evidence of the appellant’s juvenile sex experiences.
We affirm.
In 1980 the appellant lived with his three brothers, a sister, his mother and her boyfriend. In July 1980 and again in October 1981 the appellant asked his younger brother Kenneth, who is epileptic and on the borderline of being retarded, to engage in sexual activities. Kenneth testified that he did not want to engage in sexual activities with the appellant but did so under the pressure of the appellant’s intimidation. The appellant claims the contacts were consensual. The brothers performed anal and oral sex upon each other. The appellant told Kenneth not to tell his mother, her boyfriend or “anybody else outside the house.” The appellant also told Kenneth that “if he gets any time in jail, that he would come back and he would do something.” In an interview with a police officer, the appellant indicated that he understood the difference between rape and statutory rape but did not seem to understand the criminality of intrafamilial sexual activities. The appellant’s defense at trial was that since he had been raised in an environment where intrafamilial sexual and homosexual acts were common, and therefore he did not believe that his acts were wrong, he did not possess the requisite “intent” necessary for conviction under the child molesting statute, A.R.S. § 13-1410. At trial the appellant’s attorney discussed the appellant’s juvenile sexual experiences during his opening statement, and some testimony about that was admitted into evidence before the appellee moved in limine to suppress any further evidence regarding prior sexual conduct. The trial court granted that motion, concluding that such evidence was irrelevant.
Arizona’s child molesting statute, A.R.S. § 13-1410, applies to “[a] person who knowingly molests a child .... ” The culpable mental state is “knowingly”. Arizona courts have also interpreted the term “molest” to mean that the forbidden acts are “motivated by an unnatural or abnormal sexual interest with respect to children.” See e.g. State v. Berry, 101 Ariz. 310, 419 P.2d 337 (1966); State v. Trenary, 79 Ariz. 351, 290 P.2d 250 (1955); State v. Anderson, 128 Ariz. 91, 623 P.2d 1247 (App.1980). The unnatural, abnormal sexual interest is required in order to distinguish the criminal conduct from innocent conduct as, for example, the act of the physician in treating the child, or the parent in bathing the “private parts”. The standard by which the courts judge whether the acts are unnatural or abnormal is the standard of society in general.
A primary purpose of A.R.S. § 13-1410 is to answer the demand by the citizens of Arizona that young children be protected from improper advances. See State v. Berry, supra; State v. Trenary, supra. If the standard used is the defendant’s, then as long as the defendant believed his acts to be natural and proper there would never be a conviction for molesting. We are confident no such meaning was intended either by the legislature or our supreme court. We hold that whether the appellant’s intent is unnatural or abnormal must be judged by a community standard rather than by his personal beliefs. This is not a case of a casual touching of Kenneth’s private parts by a parent or doctor in the course of their duties.
The trial court correctly instructed the jury that:
“The crime of molestation of a child requires proof of two things: One, the defendant knowingly fondled, played with or touched the private parts of a child under the age of fifteen years, and two, the fondling, playing or touching was motivated by an unnatural and abnormal sexual interest of the defendant.”
The trial court also correctly informed the jury, in response to a question after deliberations had commenced, that normal societal standards are used to determine whether the appellant’s motivating sexual interest is abnormal or unnatural.
Finally, the appellant argues that the ap-pellee’s motion in limine to preclude the introduction of evidence by the appellant of his prior sexual history was erroneously granted. The appellant contends that the motion was untimely since it was not presented more than 20 days prior to trial as required by Rule 16.1, Rules of Criminal Procedure, 17 A.R.S.
Under Rule 16.1(c), however, a motion made after the 20-day limit will not be precluded if “the basis therefor was not then known, and by the exercise of reasonable diligence could not then have been known, and the party raises it promptly upon learning of it.” In the present case, the appellant prior to trial declared his defense to be lack of intent. The appellee did not know and could not reasonably be expected to imagine that the appellant would later contend he was not guilty because he had engaged in similar forbidden activities in the past. Indeed, the appellant himself attempted to suppress a portion of his earlier sexual history, a conviction as a juvenile for child molesting. The motion was made as soon as the appellee became aware of the evidence the appellant intended to present. The trial court correctly granted the appellee’s motion in limine because the evidence was irrelevant.
Affirmed.
HOWARD, C.J., and HATHAWAY, J., concur.
. “A person who knowingly molests a child under the age of fifteen years by fondling, playing with, or touching the private parts of such child or who causes a child under the age of fifteen years to fondle, play with, or touch the private parts of such person is guilty . .. . ”
. The evidence indicates that the appellant himself was aware that society’s standards would apply since his comments to his brother indicate a belief that their activities could result in time in jail for the appellant. The evidence also indicates that the appellant was concerned that his acts might not be considered natural or normal by his own family’s standards since he warned his brother not to tell his mother or her boyfriend.
. Rule 16.1 states, in part:
“a. Scope of Rule. This rule shall govern the procedure to be followed in cases in the Superior Court between arraignment and trial, unless specifically provided by another rule. Rules 16.1 and 16.2 shall apply to criminal proceedings in all courts.
b. Making of Motions Before Trial. All motions shall be made no later than 20 days prior to the date set for trial....
c. Effect of Failure to Make Motions in Timely Manner. Any motion, defense, objection, or request not timely raised under Rule 16.1(b) shall be precluded, unless the basis therefor was not then known, and by the exercise of reasonable diligence could not then have been known, and the party raises it promptly upon learning of it.”
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OPINION
EUBANK, Judge.
This appeal arises out of a decision by the appellee Arizona State Board of Dental Examiners (Board) to suspend appellant Walter W. Caldwell’s (Caldwell) certificate for the practice of denture technology. Pursuant to A.R.S. § 12-901 et seq., Caldwell appealed the administrative decision of the Board to the superior court. The matter was heard and remanded to the Board for “rehearing upon completion by the Board of promulgated rules and regulations.” Caldwell has appealed to this court from the superior court’s judgment. The Board has filed a cross-appeal.
The basis of the trial court’s action was that the Board had proceeded with disciplinary action against Caldwell in contravention of A.R.S. § 32-1295.C (Supp.1980). That section provides:
In all matters relating to discipline and certifying of denturists and the giving and grading of examinations, the board shall, by rule and regulation, provide for receiving the assistance and advice of denturists who have been previously certified pursuant to this chapter.
It is undisputed by the parties that no rules and regulations providing for denturists’ assistance had been enacted at the time of the Board’s action against Caldwell.
Caldwell argues that: (1) remand to the Board was improper because it permits the Board to proceed against Caldwell for conduct which occurred prior to the promulgation of the requisite rules and regulations, and (2) if remand is appropriate, it should require more than a rehearing before the Board. The remand should also extend to the initial stages of the disciplinary proceedings. The state’s cross-appeal challenges the’remand on the grounds that the failure to promulgate rules under A.R.S. § 32-1295.C does not render the Board’s decision invalid. It contends that the language of A.R.S. § 32-1295.C should be deemed merely directory and not mandatory-
Our analysis of these issues commences with the general proposition that the powers and duties of an administrative agency are measured and limited by the statute creating them. Ayala v. Hill, 136 Ariz. 88 at 90, 664 P.2d 238 at 240 (Ct.App.1983). Here, the language of the statute is clear that the Board must provide for and receive the assistance and advice of certified denturists in all disciplinary matters. A.R.S. § 32-1295.C. Therefore, there is no room for judicial construction of this language, Smith v. Pima County Law Enforcement Council, 113 Ariz. 154, 157, 548 P.2d 1151, 1154 (1976), and we reject the state’s position that this language is merely directory and not a prerequisite to valid disciplinary actions by the Board. This court and the Board must follow the meaning of the statute as written, see, e.g., Ross v. Industrial Commission, 112 Ariz. 253, 256, 540 P.2d 1234, 1237 (1975), and we believe that to do so gives Caldwell the rights the legislature intended to convey to denturists in disciplinary proceedings. Accord Dept. of Revenue v. Southern Union Gas Co., 119 Ariz. 512, 582 P.2d 158 (1978). We therefore agree with the trial court that Caldwell’s procedural due process rights were violated by the Board’s noncompliance with its statutory duty, thus rendering the disciplinary actions taken against him voidable. Id.
We must next consider whether remand to the Board was the appropriate form of relief. Caldwell argues that remand is improper because A.R.S. § 32-1295.C is more than a procedural provision and implicitly requires the Board to devise substantive standards governing the conduct of dentu-rists. Caldwell argues further that once the Board promulgates those standards and applies them to conduct which previously occurred, Caldwell’s constitutional statutory rights will be violated by the application of an ex post facto law.
We reject outright Caldwell’s argument that A.R.S. § 32-1295.C implicitly requires the adoption of standards to delineate types of conduct which are subject to sanction. The standards that a denturist must meet to be and remain certificated by the Board are adequately set forth by statute. The grounds for revocation and suspension of a certificate are also enumerated in A.R.S. § 32-1297.07.A (Supp.1982). “Unprofessional conduct” is one basis for disciplinary action. A.R.S. § 32-1297.07.-A(l) (Supp.1982). “Gross incompetence” and “gross negligence” are other grounds. A.R.S. § 32-1297.07.A(4) (Supp.1982). However, Caldwell asserts that these terms are not specifically defined and that dentu-rists are not, therefore, adequately notified of the conduct expected of them. The term “unprofessional conduct” was defined by the legislature at the time of Caldwell’s conduct in A.R.S. § 32-1201.10 (Supp. 1980). That definition lists several specific acts and standards to be used in judging when conduct is “unprofessional.” Further, the exact subsection Caldwell claims is unconstitutionally vague, A.R.S. § 32-1201.-10(n) (Supp.1980), was implicitly approved by this court in Athans v. Arizona State Board of Dental Examiners, 126 Ariz. 6, 612 P.2d 57 (App.1980). In Athans, Division 2 of this court was dealing with unprofessional conduct defined in A.R.S. § 32-1201.8(n) as:
Any conduct or practice contrary to recognized standards of ethics of the dental profession or any conduct or practice which does or would constitute a danger to the health, welfare or safety of the patient or the public.
The language of A.R.S. § 32-1201.10(n) (Supp.1980) which was controlling at the time of Caldwell’s alleged misconduct is identical to the definition given by this former law. See also, Arizona State Board of Medical Examiners v. Clark, 97 Ariz. 205, 398 P.2d 908 (1965); Huls v. Arizona State Board of Osteopathic Examiners in Medicine and Surgery, 26 Ariz.App. 236, 547 P.2d 507 (1976).
We hold therefore that “unprofessional conduct” is not unduly vague, Chastek v. Anderson, 83 Ill.2d 502, 48 Ill.Dec. 216, 416 N.E.2d 247 (1981), and that the Board may properly judge Caldwell’s conduct against this standard with the “assistance and advice of denturists.”
Next, Caldwell points out that “gross incompetence” or “gross negligence” are not defined anywhere in the statute, so that even if A.R.S. § 32-1201 does apply to the activities of denturists, the above terms are constitutionally infirm. We do not agree with Caldwell’s conclusion.
Caldwell admits in his brief that A.R.S. § 32-1201 “provides detailed description of the sort of conduct which is unprofessional and less than competent.” Further, we share the opinion of the court in Yoshizawa v. Hewitt, 52 F.2d 411 (1931) that “gross negligence” has a well-understood meaning “built up in innumerable cases arising in all branches of the law” and has “an ascertainable meaning to the medical profession as well as to laymen.” Id. at 413. “Negligence” is defined by our legislature as “a want of such attention to the nature or probable consequence of the act or omission as a prudent man ordinarily bestows in acting in his own concerns.” A.R.S. § 1-215.20. Cf. Gore v. Board of Medical Quality Assurance, 110 Cal.App.3d 184, 167 Cal.Rptr. 881 (1980) (interpreting the term “gross negligence” in the context of “unprofessional conduct”). “Gross negligence” has been equated by our supreme court with “wanton negligence.” Evans v. Pickett, 102 Ariz. 393, 396, 430 P.2d 413, 416 (1967). Wanton negligence is defined as:
A person is wantonly negligent if he wilfully does an act or fails to do an act which it is his duty to do, knowing or having reason to know of facts which would lead a reasonable man to realize that the actor’s conduct not only creates an unreasonable risk of bodily harm to the plaintiff but also involves a high degree of probability that substantial harm will result. Alabam Freight Lines v. Phoenix Bakery, 64 Ariz. 101, 166 P.2d 816. Wantonness implies a reckless indifference to the results of an act. Butane Corporation v. Kirby, 66 Ariz. 272, 187 P.2d 325.
Nichols v. Baker, 101 Ariz. 151, 153, 416 P.2d 584, 586 (1966).
As for “gross incompetence,” denturists are well-advised by the terms of A.R.S. § 32-1201.12(n) that their professional behavior will be judged against recognized standards of ethics and that no practice which endangers the health or safety of the public will be tolerated. The term “gross” relates solely to the matter of degree. Sanchick v. Michigan State Board of Examiners in Optometry, 342 Mich. 555, 70 N.W.2d 757 (1955). We hold that these terms sufficiently apprise a denturist of the conduct which will render him liable to the statutory penalties. On remand, the Board may consider Caldwell’s 1979 and 1980 conduct in light of the preexisting statutory criteria or standards.
Furthermore, it is plain to us that the definitions in A.R.S. § 32-1201.10(n) (Supp.1980) apply to disciplinary actions in the context of the practice of denture technology; the preface to A.R.S. § 32-1201 (Supp.1980) indicates that the definitions are to apply to the entire chapter “unless the context otherwise requires.” Article 5 dealing with the certification and regulation of denturists was added to the chapter in 1978 (Laws 1978, Ch. 134 § 6), and amendments were concurrently made in the definitions. Laws 1978, Ch. 134 § 1. We note that the legislature renumbered the prior A.R.S. § 32-1201.8 defining “unprofessional conduct” to A.R.S. § 32-1201.10 and defined “denturist” in the same amendment; other changes were made in the definition of “unprofessional conduct” at the same time. It is clear to us that the legislature was aware of the existence of the definitions in A.R.S. § 32-1201 at the time it added article 5 to the same chapter. See, Arizona State Board of Directors v. Phoenix Union High School District, 102 Ariz. 69, 424 P.2d 819 (1967). In addition, the legislature intended the various provisions of Title 32, chapter 11 to operate as a compatible whole, id., unless the context of Article 5 requires otherwise. Our review shows nothing in Article 5 which limits or restricts the application of the definitions in A.R.S. § 32-1201 to Article 5. Thus, we hold that the definitions apply to Article 5.
We turn now to the question of whether, on remand, the Board must re-initiate disciplinary steps against Caldwell or whether it is sufficient that a rehearing be held on the formal proceeding alone. The statute delineating the additional powers and duties of the Board provides that “in all matters” relating to discipline the Board shall provide by rule and regulation for the assistance and advice of denturists. A.R.S. § 32-1295.C (Supp.1982). Grounds for disciplinary action against denturists are outlined in A.R.S. § 32-1297.07 (Supp.1982). Therefore, any investigation, informal interview, competence examination, or formal proceedings which the Board initiates pursuant to A.R.S. § 32-1297.07.B., C., or D. qualifies as a “matter relating to discipline” and can only be valid if the mandates of A.R.S. § 32-1295.C have first been met. This conclusion is supported by the clear language of the statute and by the obvious intention of the legislature to include certified denturists in the decisions by the Board of Dental Examiners to take disciplinary actions against members of the denture technology profession. A.R.S. §§ 1-211 and 213; and see State Board of Dispensing Opticians v. Schwab, 93 Ariz. 328, 331, 380 P.2d 784, 786-87 (1963). Hence, the trial court erred inasmuch as it remanded only for a formal rehearing.
The Board argues in its cross-appeal that it is unnecessary to remand this matter because the Board did, in fact, consider the input of a certified denturist who was asked by it, after the formal hearing, to submit proposed findings of fact, conclusions of law and an order for consideration by the Board. The Board contends that to remand, in effect, penalizes the Board and “defeats the very purpose of the Dental Practice Act — the protection of the public against unsupervised, unprofessional, incompetent, negligent and dangerous practitioners of dentistry and its ancillary fields.” We disagree.
Remand to an administrative agency or board is appropriate where the agency has been found to have violated a statutory procedural requirement. City of Tucson v. Mills, 114 Ariz. 107, 110, 559 P.2d 663, 666 (App.1976). This grants the agency the opportunity to “take a fresh look at the matter involved” in accordance with the applicable law. Id. at 110, 559 P.2d 663 at 666. Remand is therefore appropriate in this ease; it protects the procedural due process rights of denturists whose conduct is called into question and at the same time it protects the health and safety of the public as defined by the legislature.
We therefore affirm the judgment of the trial court but modify the order remanding the case to the Board for a formal rehearing. In our opinion, this matter must be returned to the complaint investigatory stage, where the matter was first submitted to the Board pursuant to A.R.S. § 32-1297.-07(B). This matter is remanded for further proceedings consistent with this decision.
The judgment is affirmed as modified.
HAIRE, P.J., and MEYERSON, J., concur.
. Our review of the record satisfies us that the issues raised herein were adequately preserved below for appeal to the court.
. Caldwell also proposes that the result would constitute retroactive application of the law but concedes that the facts here are “more akin to ex post facto application of the law.” Because of our disposition of this case, it is not important which characterization Caldwell relies upon.
. It appears from the complaints by Caldwell’s patients which were the subject of the Board’s investigations that the alleged misconduct occurred in 1979-1980.
. Current A.R.S. § 32-1201.4 defines incompetence in the practice of denture technology.
. This is a qualified admission in that Caldwell contends that the statute did not apply to den-turists. We have come to the contrary conclusion.
. The section defining “unprofessional conduct” was renumbered again in 1982. Prior A.R.S. § 32-1201.10 (Supp.1980) now is renumbered as A.R.S. § 32-1201.12 (Supp.1982). See Laws 1982, Ch. 72, § 1.
. It appears the Board has, during the penden-cy of this appeal, met the statutory requirements. See A.C.R.R. R4-11-1201.
|
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CAMERON, Justice.
We accepted Stanley P. Abrams’ petition for review of the decision and opinion of the Court of Appeals in Abrams v. Horizon Corporation, 137 Ariz. 112, 669 P.2d 90 (No. 2 CA-CIV 4292, filed 7 October 1982). We have jurisdiction under Ariz. Const. Art. 6, § 5(3), A.R.S. § 12-120.24, and Rule 23, Arizona Rules of Civil Appellate Procedure, 17A A.R.S.
The issues we must resolve on appeal are:
1. Was it proper to impose treble damages on Horizon Corporation for its failure to pay Abrams’ commissions on Horizon Corporation sales?
2. Was Abrams entitled to receive commissions on “Horizon Realty” sales?
3. Was the award of attorney’s fees proper?
The facts necessary to a determination of this appeal are as follows. Stanley P. Abrams was promoted, to the position of vice president of sales of Horizon Corporation in 1975. He negotiated the terms of his employment with Sidney Nelson, president of Horizon Corporation, and on 1 June 1976 the parties executed a written employment contract drafted by Horizon Corporation’s legal department. The contract provided that Abrams was to be in charge of “sales operations and/or such other duties as may be assigned to him by Company * * In return, Abrams was to be paid a base salary of $51,000 per year, plus commissions of one-half percent “on all home or land sales made by sales personnel under Abrams’ supervision * * *.” Commissions in any one year were limited to a maximum of $72,000. “Commissionable Sales Contracts” were defined in the agreement as bona fide sales contracts written “on properties of HORIZON.” At the time of the contract, Horizon Corporation’s principal business was subdividing and selling lots in its large land holdings in Arizona, New Mexico and Texas.
In order to facilitate sales, wholly owned subsidiaries were formed to perform certain support functions. One of these subsidiaries, Horizon Realty, resold properties of previous purchasers in order to create a resale market for its properties. Horizon Realty took listings on the properties and received broker’s fees for the sales. The employees of Horizon Realty were all employees of Horizon Corporation, and were paid by Horizon Corporation. Abrams, in addition to his supervisory duties over Horizon Corporation sales, was also responsible for overseeing the sales of Horizon Realty. At the time of the contract, Horizon Realty sales constituted a relatively small portion of overall sales of the combined organization.
Shortly after Abrams became vice president of sales, because of legal challenges, it became imperative to the corporation to establish the intrinsic value of its properties through accelerated development. In order to establish the value of its new communi ties, and maintain a volume necessary to hold together the existing sales force, Abrams devised a new development program involving Horizon Realty. Large blocks of lots were sold to construction companies. These companies built houses on the lots, and listed the house and parcel combinations for resale through Horizon Realty. This program proved very successful, and at times revenues from Horizon Realty surpassed Horizon Corporation land sales.
From the time the contract was entered into, Abrams received commissions based only on Horizon Corporation sales, and not on Horizon Realty sales. The additional compensation from Horizon Realty sales would not have been large in comparison to Abrams’ total compensation since the amount Abrams received each year as commission for Horizon Corporation Sales approached the $72,000 maximum. For example, in 1979 Abrams received, in addition to his salary of $51,000, $63,640 in commissions from the sale of Horizon Corporation property. Had Abrams been paid a commission on Horizon Realty Sales, he would have received only $8,360 more because of the $72,000 ceiling. After approximately one year Abrams sent a memorandum to the president Nelson stating that he felt he was entitled to commissions on Horizon Realty sales under his employment agreement. Specifically, he stated “There is no question in my mind that [these sales] are part of the agreement. Do you have a different recollection? I’d like to get this resolved.” Nelson returned the note with the reply handwritten at the top that “While I do not believe we discussed this specifically at all, I agree that you are entitled to it.” (Emphasis in original.) On 29 June 1977 Nelson sent a further memorandum to Abrams saying
[I]n the discussions about your overall arrangement the figures we used to discuss the volumes that would produce the total bonus did not include such volumes. However, I think that was an oversight, and that your bonus should be based in part on such sales.
Abrams and Nelson negotiated over the next two years in an attempt to reach an agreement which would resolve the question of commissions for sales made by Horizon Realty. A new agreement was not, however, made.
Abrams continued in his position of vice president of sales until 31 January 1979, when Nelson issued a memorandum which elevated Abrams to executive vice president of Horizon Corporation, and formally relieved him of supervisory duties over the Texas and New Mexico sales operations. However, Nelson verbally instructed Abrams to continue supervising the Texas and New Mexico activities as before, and Abrams relied upon these instructions and upon the representation that he would continue to receive commissions on sales by Horizon Corporation in Texas and New Mexico, as well as on sales in Arizona.
In the fall of 1979 a shareholder’s proxy fight resulted in a change of management at Horizon Corporation. In early 1980 a new board of directors was installed, and a new president, Donald White, was appointed. Abrams was initially asked by new management to remain in his current position under the terms of his existing at-will employment contract.
In February 1980, Abrams asked the comptroller of Horizon Corporation, Kenneth Badertscher, to compute the commissions Abrams had accrued for the first six months of the current fiscal year, 1 June 1979 to 30 November 1979. He was informed these commissions totaled $34,-287.14. The method of computation included Arizona, Texas and New Mexico Horizon Corporation sales, but excluded Horizon Realty Sales.
On 3 March 1980, Abrams sent a memorandum to the new president White regarding compensation. He informed White of the Horizon Realty issue which arose in 1977, and specifically referred White to the 29 June 1977 letter from former president Nelson, suggesting this memo settled the issue “at least as to definition.” He next referred to the 31 January 1979 “Management Organization” memorandum, but ap prised White that “I was told by Nelson at that time that I was to continue to play a role in the overall sales of the Company.” He also informed the new president of the extensive but unsuccessful negotiations he had conducted with Nelson to arrive at a new contract which would have resolved the Horizon Realty commissions issue. He concluded, “I would appreciate discussing this further with you so the matter can be finalized.”
On 19 March 1980 Abrams was discharged from employment. Eight days later he made a demand for back commissions totaling $153,735, consisting of Horizon Corporation commissions of $35,000, and Horizon Realty commissions of $118,735. Horizon Corporation did not pay Abrams this amount, nor did it make a valid tender of any of the back commissions due. Horizon Corporation was aware, however, that it owed Abrams at least $34,287.14, and on 31 May 1980 an entry was made in the general ledger that $34,287.14 was owed to Abrams.
Abrams filed suit in Superior Court to recover commissions due on Horizon Corporation sales, commissions due on Horizon Realty sales, and treble damages for the wrongful withholding of wages. The court found that Abrams was owed $46,086 for commissions on Horizon Corporation sales, including the Texas and New Mexico sales. It further found that as to $34,287.14 of these commissions, no good faith dispute existed, and therefore Horizon Corporation was liable for treble damages on this amount under A.R.S. § 23-355. The commissioner denied the Horizon Realty commissions claim, finding in the alternative that (1) the contract “clearly and unambiguously * * * excluded] ‘Horizon Realty’ sales,” or (2) even if the contract is regarded as ambiguous, the course of performance in which Horizon Realty commissions were not paid indicates both parties’ interpretation that the contract did not include such commissions. An award of attorney’s fees was made to Abrams, in the amount of $21,000 for the successful Horizon Corporation commissions claim.
The Court of Appeals upheld the award of $46,086 for Horizon Corporation sales commissions, but reversed the award of treble damages under A.R.S. § 23-355. The court also upheld the trial commissioner’s determination that Abrams was not entitled to commissions on Horizon Realty sales, and remanded the case for a redetermination of attorney’s fees. We accepted Abrams’ petition for review.
THE HORIZON CORPORATION CLAIM
After discharging Abrams, Horizon Corporation took the position that Abrams was not entitled to commissions on Texas and New Mexico sales. Horizon therefore asserted that it owed Abrams no further Horizon Corporation commissions, and that in fact he had been overpaid. The trial court found that Abrams was entitled to compensation for the Texas and New Mexico sales, and therefore he was owed a total of $46,-086 in back commissions for Horizon Corporation sales. Specifically, Abrams rendered supervisory services over Texas and New Mexico sales after the formal reorganization, and did so at the direct request of Horizon Corporation’s president Nelson, who assured Abrams of continued compensation.
The trial court found that the employer “was aware” that it owed Abrams Horizon Corporation commissions of at least $34,287 at the time of discharge, and imposed treble damages on the employer pursuant to A.R.S. § 23-355. This section provides treble damage liability on employers that wrongfully withhold wages. At the time this cause of action arose, the section read:
§ 23-355 Action by employee to recover wages; amount of recovery
If an employer, in violation of the provisions of this chapter, shall fail to pay wages due any employee, such employee may recover in a civil action against an employer or former employer an amount which is treble the amount of the unpaid wages, together with costs and reasonable attorneys fees to be allowed by the court on the basis of time and effort expended by counsel in behalf of the plaintiff employee.
A preliminary question is whether sales commissions are “wages” under the above statute. In Apache East, Inc. v. Wiegand, 119 Ariz. 308, 311, 580 P.2d 769, 772 (App.1978), our Court of Appeals held that sales commissions owed to a parts manager of a motorcycle dealership were “wages” for the purposes of A.R.S. § 23-355, and awarded treble damages. The court stated:
For the purposes of § 23-355, wages are defined as the nondiscretionary compensation due an employee in return for work for which the employee has a reasonable expectation to be paid. (Citations omitted.) Id.
The court reasoned that the commissions in that case were paid for the personal labor of supervising sales employees under the manager, and found this to fit within the definition of wages. We agree with the Court of Appeals’ definition and reasoning, and similarly hold the sales commissions in the instant case are wages.
Although the Court of Appeals agreed that the commissions withheld in the instant case were wages, it nonetheless reversed the treble damage award based on a statutory “good faith wage dispute” defense. We note initially that the Court of Appeals inadvertently applied the wrong version of the wage statute. In 1980, a new A.R.S. § 23-352 was added providing a specific statutory “reasonable good faith dispute” exception to A.R.S. § 23-355. It states:
§ 23-352 Withholding of wages
No employer may withhold or divert any portion of an employee’s wages unless one of the following applies:
* * * * * *
3. There is a reasonable good faith dispute as to the amount of wages due, including the amount of any counterclaim or any claim of debt, reimbursement, re-coupment or set-off asserted by the employer against the employee. Added by Laws 1980, Ch. 202, § 4.
The effective date of the amendment was 31 July 1980, four months after Abrams’ employment was terminated, and two months after this lawsuit was filed. The effect of the Court of Appeals’ opinion was to apply this statutory provision retroactively. A.R.S. § 1-244 provides “No statute is retroactive unless expressly declared therein.” Arizona courts recognize a limited exception to this general rule. “Under the exception a statute does have retroactive effect if it is merely procedural and does not affect an earlier established substantive right.” Bouldin v. Turek, 125 Ariz. 77, 78, 607 P.2d 954, 955 (1979); accord Allen v. Fisher, 118 Ariz. 95, 96, 574 P.2d 1314, 1315 (App.1977). In Allen v. Fisher, the Court of Appeals specifically held, “A rule affecting the measure of damages is a substantive right, (citation omitted) and a change in the law affecting the measure of an injured person’s right of recovery cannot be applied retroactively.” Id. at 97, 574 P.2d at 1316. The new statutory defense against treble damage liability clearly affects an “earlier established substantive right,” and so it may not be given retroactive application. We therefore do not apply or interpret this new statutory provision in the instant case.
This does not mean, however, that a “good faith wage dispute” defense cannot be raised in this case. In Apache East, Inc. v. Wiegand, supra, the Court of Appeals held “it was the intent of the legislature” in enacting § 23-355, “when it used the term ‘may,’ to leave discretion in the courts in determining when this penalty should be imposed.” 119 Ariz. at 312, 580 P.2d at 773. To guide this discretion, the court adopted the standard that “[t]he treble damages penalty should not be awarded when there is a reasonable good faith wage dispute between the employer and the employee.” Id. The court reasoned that “§ 23-355 was directed against employers who seek to delay payment of wages without reasonable justification or who seek to defraud employees of wages earned.” Id. In that case the court found a reasonable good faith wage dispute did not exist, where the dispute “was in part created by the negligent manner in which the appellants handled the bookkeeping and wage records.” Id. at 313, 580 P.2d at 774. This standard was also applied in Cummings v. Aviation Specialties Trade Corp., 120 Ariz. 536, 537, 587 P.2d 255, 256 (App.1978). There the Court of Appeals found that a good faith dispute did arise from differing interpretations of a complex compensation formula.
In the instant case the trial court found that no good faith dispute existed as to Abrams’ right to receive the $34,287.14 in Horizon Corporation commissions due, including the Texas and New Mexico sales. There is substantial support in the record for this finding. The knowledge and representations of the corporation’s comptroller, the 3 March 1980 memorandum notifying the new management that Abrams was told to continue supervising overall sales of the organization, and the entry on the corporate books of the wage liability, all support the conclusion that the withholding of these Horizon Corporation commissions was not in good faith. The imposition of treble damages under A.R.S. § 23-355 was therefore proper.
THE HORIZON REALTY CLAIM
The trial court held that the contract “unambiguously ... excluded] ‘Horizon Realty’ sales,” but that even if the contract was regarded as ambiguous, the course of performance suggested a mutual interpretation of the contract excluding these sales. The issue of whether a contract is ambiguous is a question of law, which may be decided independently by a reviewing court. See Associated Students of the Univ. of Arizona v. Arizona Board of Regents, 120 Ariz. 100, 104, 584 P.2d 564, 568 (App.1978); see also Giovanelli v. First Fed. Savings and Loan Ass'n, 120 Ariz. 577, 583, 587 P.2d 763, 769 (App.1978).
The contract in question provided that Abrams’ compensation would include, “Commissions of one-half percent (x/2%) on all home or land sales made by sales personnel under Abrams’ supervision * * The contract further defined “Commissionable Sales Contracts” as “bona fide sales contracts written ... on properties of HORIZON * * (Emphasis added.) Horizon takes the position that the term “of HORIZON” refers to only Horizon Corporation, and excludes Horizon Realty. Abrams takes the position that the term “of HORIZON” encompasses both Horizon Corporation and Horizon Realty. We believe that, as a matter of law, the term is ambiguous. It is unclear from reading the employment contract whether the term “HORIZON” refers to the parent corporation only, or to the parent and its similarly named subsidiaries.
Where the contract is ambiguous, it is appropriate to look to parol evidence to resolve the ambiguity. Standard Ventures, Inc. v. State, 114 Ariz. 480, 482, 562 P.2d 360, 362 (1977); Joy Enterprises, Inc. v. Reppel, 112 Ariz. 42, 46, 537 P.2d 591, 595 (1975). In doing so, we find persuasive the source document from which the ambiguous phrase “of HORIZON” was taken. This compensation provision was taken from the standard sales representative’s agreement, where “HORIZON” is specifically defined to mean “HORIZON CORPORATION and its subsidiaries” (emphasis added). Evidence in the trial court indicates that contracts with similar wording were used to employ salesmen and sales supervisors throughout the organization, and that sales personnel received commissions on both Horizon Corporation and Horizon Realty Sales.
The trial court indicated that the course of performance by Horizon and Abrams suggested a mutual interpretation which excluded Horizon Realty commissions. It appears that this conclusion was based on Horizon’s failure to pay such commissions for over three years, and Abrams’ remaining on the job without firmly demanding these commissions or quitting. The Restatement (Second) of Contracts provides,
Where an agreement involves repeated occasions for performance by either party with knowledge of the nature of the performance and opportunity for objection to it by the other, any course of performance accepted or acquiesced in without objection is given great weight in the interpretation of the agreement. Restatement (Second) of Contracts § 202(4) (1979). (Emphasis added.)
We do not believe that Abrams can properly be characterized as having “acquiesced” in Horizon’s failure to pay Horizon Realty commissions. The omission in calculating compensation was certainly not received “without objection.” Abrams objected to this omission, and documented his objections. Upon learning in 1977 that commissions were not being paid on Horizon Realty sales, he sent a memorandum to then-president Nelson stating that he felt there was “no question” that Horizon Realty sales were included in his agreement and asking for a resolution of the problem. He then negotiated with Nelson for an extended period, attempting to resolve this issue. When Nelson was replaced by White in 1980, Abrams sent the 3 March 1980 memorandum to the new president informing him of the history of the dispute and asking that the matter be finalized. We believe this provided sufficient objection to the course of performance to make this doctrine inapplicable against Abrams.
In addition to the parol evidence, the interpretation which includes Horizon Realty commissions is supported by the preference to construe ambiguities against the drafter. See Restatement (Second) of Contracts § 206, and Official Comment a (1979). The instant contract was drafted by Horizon through its legal staff. The phrase from which the ambiguity arose was taken from Horizon’s standard sales representative’s contract, which was also drafted by its legal staff.
We therefore find that the parol evidence in this case and the preference against the drafter support an interpretation of the contract which includes compensation for Horizon Realty sales. Unlike the claim for Horizon Corporation commissions, it is clear that a good faith dispute existed as to the claim for Horizon Realty commissions, and we are not concerned with the question of treble damages or attorney’s fees as to nonpayment of Horizon Realty commissions. See also Cummings v. Aviation Trade Corp., supra, 120 Ariz. at 537, 587 P.2d at 2561.
ATTORNEY’S FEES AND COSTS
The trial commissioner awarded Abrams $21,000 in attorney’s fees for his successful wage claim. At the time this cause of action arose, A.R.S. § 23-355 provided for both treble damages and attorney’s fees for successful wage claimants. The 1980 amendments to Title 23 removed the attorney’s fees provision from A.R.S. § 23-355. See Laws 1980, Ch. 202, § 6. The Court of Appeals vacated the attorney’s fees awarded in the 1981 judgment. The court implied that the award was improper under the 1980 amendment to A.R.S. § 23-355, but suggested that an award may be appropriate under A.R.S. § 12-341.01, which allows a judge discretion to set an award for attorney’s fees to the prevailing party in contract actions. See A.R.S. § 12-341.01(A), (B). The Court of Appeals remanded the question of attorney’s fees for reconsideration of the proper amount to be awarded under A.R.S. § 12-341.01, in light of the reduced judgment.
The effective date of the amendment to A.R.S. § 23-355 was 31 July 1980, which again is four months after the termination of employment from which this cause of action arose. We note that the application of this amendment by the Court of Appeals was also retroactive. Under the rule of Bouldin v. Turek, supra, it would be appropriate to apply the repeal of this attorney’s fees provision retroactively only if it was regarded as procedural in nature, and not affecting earlier established substantive rights. Bouldin v. Turek itself involved the question of whether attorney’s fees provisions are substantive or procedural, and decided that they are substantive in nature. The issue in that case was whether the newly enacted A.R.S. § 12-341.01, discussed above, applied to suits commenced before the statute’s effective date, but decided after the effective date. The court in Bouldin v. Turek, supra, held,
We * * * find, as a general rule, that a statute providing for an award of attorney’s fees is similar in effect to one changing the measure of damages, as in [Allen v. Fisher, supra]. We agree * * * that such a provision is substantive and not procedural. 125 Ariz. at 78, 607 P.2d at 955.
The rule is the same whether we are dealing with the enactment or repeal of attorney’s fees provisions. The award of attorney’s fees was proper under both A.R.S. § 12-341.01 and A.R.S. § 23-355.
The opinion of the Court of Appeals is vacated, and the matter is remanded to the trial court with instructions to award additional compensation for Horizon Realty sales in the amount of $40,278. In all other respects, the judgment of the trial court is affirmed.
HOLOHAN, C.J., GORDON, V.C.J., and HAYS, J., concur.
FELDMAN, J., did not participate in the determination of this matter.
. Later computations established that the actual amount of commissions on Horizon Corporation sales owed to Abrams up to the date of termination was $46,086. Horizon Realty commissions for the preceding four years would have totaled $166,254, but by application of the contractual maximum annual limitation on commissions, Horizon Realty commissions would have provided only additional compensation of $40,278.
. The treble damage award was based on the $34,287 in Horizon Corporation commissions for the first half of the fiscal year, rather than the full $46,086 owed to Abrams. The difference of $11,799 represents commissions for the last half of the fiscal year ending 31 May 1980. It appears that the exact amount of these later commissions was not ascertainable until a time significantly after Abrams’ discharge. Therefore, these later commissions were not “due” at the time of discharge, see A.R.S. §§ 23-353, 23-355, and thus it was correct for the trial commissioner to conclude it would be improper to impose treble damages for failure to pay this portion of the claim at or near the time of termination.
. We reject the employer’s assertion that its failure to pay Horizon Corporation commissions is excused by the existence of a good faith dispute over Horizon Realty commissions. The employer tries to characterize this as a case involving a single unliquidated wage dispute. In fact, this case involves two distinct wage claims, one of which was not disputed by the employer in good faith, exposing the employer to treble damage liability. We therefore find it unnecessary to address at this time a narrower issue posed by the parties, that is: where a good faith dispute exists as to part of an individual claim for wages due, must an employer tender the liquidated portion of the claim to avoid treble damages liability?
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GORDON, Vice Chief Justice:
In 1978 Robert Collins, a licensed subcontractor, performed tile work for Diplomat Homes, Inc., a developer in Phoenix. Diplomat became insolvent prior to paying Collins for the work. As a result and pursuant to A.R.S. § 33-993, Collins recorded a timely mechanic’s lien on the property on September 21, 1978. Collins served the lien on Diplomat because it was listed as the owner of the home. Thereafter, on September 26, 1978, Collins filed an action to foreclose the lien within the six-month period required by A.R.S. § 33-998. At no time was a notice of lis pendens filed.
On December 18, 1979, Collins filed a supplemental complaint naming Paul and Arlene Blonsky as defendants after learning that they had acquired an interest in the property. After the supplemental complaint was filed the Blonskys, in March 1980, conveyed title to James Stockwell, a subsequent purchaser for value. At all times after September 21, 1978 the records at the Maricopa County Recorder’s Office reflected that a notice and claim of lien had been filed on the property which is the subject of this action. At the time of the sale from the Blonskys to Stockwell, Minnesota Title prepared a title report and insured the title. The title report failed to disclose the presence of Collins’ mechanics lien in the county records. Collins subsequently joined Stockwell and Minnesota Title as defendants in a supplemental complaint filed in June, 1980.
Stockwell and Minnesota Title filed a motion for summary judgment claiming that since they did not have notice of the foreclosure action, Collins had no enforceable claim against Stockwell’s interest in the property. The trial court granted the motion for summary judgment and dismissed the claim against Stockwell and Minnesota Title with prejudice. The Court of Appeals affirmed the trial court’s decision. We have jurisdiction pursuant to Ariz. Const, art. 6, § 5(3) and Ariz.R.Civ.App.P. 23.
The following issue is presented for our disposition: Is it necessary to file a notice of lis pendens in order to give constructive notice of a mechanic’s lien after the six-month period within which a foreclosure action must be filed has expired? Minnesota Title searched the County Recorder’s records on Stockwell’s behalf more than six months after the notice of claim of lien was filed. Although it found that a lien had been recorded, Minnesota Title claims that since no lis pendens had been filed to indicate that a foreclosure action had been instituted the title company could logically conclude that the contractor’s claim had either been settled or had extinguished by operation of law. On the other hand, Collins argues that he was not required to file a notice of lis pendens because the mechanic’s lien statutes did not require it and under Arizona’s general notice statutes the effect of recording the notice of claim of lien was to impart constructive notice to all persons of the existence of the instrument, its contents, and its potential legal effects. A.R.S. § 33-416. Collins asserts that upon discovering that a notice of claim of lien had been filed Minnesota Title should have made further inquiry to ensure that the contractor’s claim had either been satisfied or had extinguished due to Collins’ failure to file a timely foreclosure action. After reviewing the record and the law applicable to this matter we agree with Collins’ position and therefore vacate the decision of the Court of Appeals and reverse the trial court’s entry of summary judgment in favor of defendants Stockwell and Minnesota Title.
The purpose of mechanic’s lien statutes is to protect the rights of those who furnish labor and materials which enhance the value of another’s property. Pioneer Plumbing Supply Co. v. Southwest Sav. & L. Assn., 102 Ariz. 258, 428 P.2d 115 (1967); Kerr-McGee Oil Industries, Inc. v. McCray, 89 Ariz. 307, 361 P.2d 734 (1961); Price v. Sunmaster, 27 Ariz.App. 771, 558 P.2d 966 (1976). We have consistently held that such liens are remedial and are to be liberally construed to effect their purpose. Gene McVety, Inc. v. Don Grady Homes, Inc., 119 Ariz. 482, 581 P.2d 1132 (1978); Kerr-McGee Oil Industries, Inc. v. McCray, supra. The lien constitutes a preference over subsequent encumbrances or over other encumbrances as to which there has been no actual or constructive notice. A.R.S. § 33-992. The lien is perfected if, within a specified time after the completion of construction, the contractor, subcontractor, or supplier files a notice of claim of lien in the office of the County Recorder of the county in which the property is located and served a copy on the owner of the property. A.R.S. § 33-993. The effect of filing a notice and claim of lien, an instrument which must be acknowledged and recorded, is stated in A.R.S. § 33-416:
“Record of instrument duly recorded as notice
“The record of a grant, deed or instrument in writing authorized or required to be recorded, which has been duly acknowledged and recorded in the proper county, shall be notice to all persons of the existence of such grant, deed or instrument, but a mortgage of real property may be recorded and constructive notice and the contents thereof given as provided in § 33-415.” (emphasis added).
An action to foreclose the lien must be brought within six months after the notice of claim of lien has been recorded. A.R.S. § 33-998. Once a lien has been satisfied, either by foreclosure, settlement or otherwise, a release of lien must be issued. A.R.S. § 33-1006.
Arizona’s lis pendens statute, A.R.S. § 12-1191, provides as follows:
“Notice of pendency of action affecting title to real property; filing; constructive notice to purchaser or incumbrancer; release of notice of pendency of action; failure to issue release; penalty
“A. In an action affecting title to real property, plaintiff at the time of filing the complaint, or thereafter, and defendant at the time of filing his pleading when affirmative relief is claimed in such pleading, or thereafter, may file in the office of the recorder of the county in which the property is situated a notice of the pendency of the action or defense. The notice shall contain the names of the parties, the object of the action or affirmative defense, the relief demanded and a description of the property affected.
“B. The recorder shall file the notice and record and index it in the names of the parties to the action, and thereafter a purchaser or incumbrancer of the property affected shall be held to have constructive notice of the pendency of the action and the claims therein made.
“C. If a notice of pendency of action has been recorded pursuant to this section and the action is dismissed without prejudice for lack of prosecution, the plaintiff or plaintiffs of the action shall, within thirty days after such dismissal, issue to the defendant of the action a release of the notice of pendency of action. Such release shall be in the form of a recordable document. Failure to grant such release shall be subject to the penalties prescribed by § 33-712.” (emphasis added)
The Court of Appeal’s decision utilized the theory of in pari materia in construing the lis pendens statute as it applies to the mechanic’s lien provisions. In pari materia is a rule of statutory construction whereby the meaning and application of a specific statute or portion of a statute is determined by looking to statutes which relate to the same person or thing and which have a purpose similar to that of the statute being construed. Statutes in pari materia must be read together and all parts of the law on the same subject must be given effect, if possible. Arizona Gunite Builders, Inc. v. Continental Casualty Co., 105 Ariz. 99, 459 P.2d 724 (1969). The objective of the rule requiring related statutes to be construed in pari materia is to carry into effect the intent of the Legislature. Chase v. State Farm Mutual Automobile Ins. Co., 131 Ariz. 461, 641 P.2d 1305 (App.1982); State v. Mackey, 15 Ariz.App. 417, 489 P.2d 80 (1971). In applying this rule of construction the Court of Appeals stated:
“Certainly a provision which expressly creates a lien on realty and allows for its foreclosure is an ‘action affecting title to real property’ within the meaning of the lis pendens statute. The lis pendens statute and the mechanic’s lien statute are in pari materia and are in harmony as we construe them. The lis pendens statute does not say that it applies to every action affecting title to real property except actions to foreclose mechanic’s liens. To read the statute as the subcontractor asks us to would read an exception into the lis pendens statute which does not exist.
* * * * * *
“We agree that the lienholder does not have to file a lis pendens to keep his lien ¿live any more than the grantee of the deed to land needs to record his deed. But he may file and he must do so if he wants to impart constructive notice after the time to file a complaint to foreclose his lien has passed.” (emphasis in original).
We believe that such a reading of the lis pendens statute departs from the clear intent of the Legislature.
We have repeatedly stated that the cardinal rule of statutory construction is that we must, if possible, ascertain the intent of the Legislature. McIntyre v. Mohave County, 127 Ariz. 317, 620 P.2d 696 (1980); Dept. of Revenue v. Maricopa County, 120 Ariz. 533, 587 P.2d 252 (1978). There is no opportunity for construction or interpretation of a statute if the meaning of the statutory language is clear on its face. Ross v. Industrial Commission, 112 Ariz. 253, 540 P.2d 1234 (1975); National Union Fire Ins. Co. v. Rick, 134 Ariz. 122, 654 P.2d 56 (App.1982). Courts will not read into a statute something that is not within the manifest intent of the Legislature as gathered from the statute itself. City of Phoenix v. Donofrio, 99 Ariz. 130, 407 P.2d 91 (1965); St. Joseph’s Hospital and Medical Center v. Maricopa County, 130 Ariz. 239, 635 P.2d 527 (App.1981). We agree with both the dissent in the Court of Appeals’ opinion and Collins that the Legislature intended the use of the lis pendens to be permissive since the statute states that “[i]n an action affecting title to real property, plaintiff at the time of the filing of the complaint, or thereafter * * * may file in the office of the Recorder of the county in which the property is situated a notice of the pendency of the action * * *.” (emphasis added). We will not mandate the filing of a notice of lis pendens when the lis pendens statute is clearly permissive on its face. There is nothing in the mechanic’s lien statutes that requires a contractor to file a notice of lis pendens. Requiring a contractor to file a lis pendens to ensure the enforceability of his lien against subsequent purchasers would be reading a requirement into the mechanic’s lien provisions that the Legislature did not intend. Furthermore, Minnesota Title’s position frustrates the remedial nature of the mechanic’s lien provisions since a contractor who fails to accompany an action to foreclose the lien with a notice of lis pendens would forfeit his or her right to enforce the lien against a subsequent purchaser’s interest in the property.
We also do not believe that it is necessary for the contractor to file a notice of lis pendens to impart to subsequent purchasers constructive notice of the lien after the time to file a foreclosure action has passed. As discussed earlier, A.R.S. § 33-416 establishes that the filing of the notice of claim of lien is constructive notice to all persons of the existence of the contractor’s claim. Because Arizona’s recording statutes are primarily “notice statutes,” see Wixon v. Ingham, 21 Ariz.App. 65, 515 P.2d 606 (1973), individuals who find that a notice of claim of lien has been filed should “act with the presumption that such an instrument is indeed in existence and is genuine, and govern their affairs accordingly.” Lewis v. State, 32 Ariz. 182, 188, 256 P. 1048, 1050 (1927). The notice of claim of lien alerts individuals searching the record to the fact that a lien has been filed on the subject property and that further inquiry should be made. The status of the lien can be checked by contacting the contractor or the owner named on the claim of lien. By examining the plaintiff’s index for the contractor’s name and the defendant’s index for the owner’s name, the records of the Superior Court could be checked to see if a foreclosure action has been instituted. We recognize that such a search might be a tedious task; we believe, however, that it is a task which must be done in order to ensure that a subsequent purchaser’s interests are protected.
The opinion of the Court of Appeals is vacated and the trial court’s entry of summary judgment in favor of defendants Stockwell and Minnesota Title is reversed.
HOLOHAN, C.J., and HAYS, CAMERON and FELDMAN, JJ., concur.
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OPINION
HATHAWAY, Judge.
The parties’ marriage of 28 years was dissolved on July 21, 1975. On April 26, 1982, after hearing the parties’ cross-petitions asserting changed circumstances, the court modified the dissolution decree to terminate the $450 monthly spousal mainte nance to Lois and deleted paragraph 8 from the decree which prohibited Charles from terminating Lois’ rights under the military survivor benefit plan whereby the federal government would pay to the beneficiary of the deceased military pensioner 55% of the pension after the death of the pensioner. Charles was 60 years old at the time of the hearing and Lois was 54.
Appellant challenges the trial court’s termination of spousal maintenance and deletion from the decree of the provisions made for her under the survivor benefit plan. We reverse.
SPOUSAL MAINTENANCE
Appellant contends that there has been no change in the circumstances of the husband which could support the trial court’s finding of fact that the appellee’s “... income has been substantially reduced ...” and that appellant “is able to support herself through appropriate employment and has earning ability in the labor market to adequately support herself.” We agree with appellant.
Although appellee has a heart condition and has retired, the evidence shows that there has been no reduction of his income. The maintenance award of $450 monthly comprises a smaller percentage of appellee’s income at present, i.e., 16% in 1982, as compared to 24% in 1975 when the award was made.
A prerequisite to modification of support is a showing of changed circumstances which are substantial and continuing. A.R.S. § 25-327(A); Scott v. Scott, 121 Ariz. 492, 591 P.2d 980 (1979); Beck v. Jaeger, 124 Ariz. 316, 604 P.2d 18 (App.1979). The changed circumstances alleged must be proved by a comparison with the circumstances existing at dissolution. Scott v. Scott, supra. The uncontradicted facts show that appellee had less income and more debts at the time of dissolution than when the maintenance order was terminated. Appellee contends that medical expenses incurred as a result of the heart situation have not been covered by insurance. The record is not clear on this point and although it appears that some of appel-lee’s savings were drawn upon to meet these medical expenses, it does not appear that his financial situation has in any way been substantially compromised.
Appellant’s affidavit indicated that her living expenses amounted to $814.25 each month. Testimony was given by Ron Baker that she was qualified to do full time clerical work which would pay $603 to $944 each month. Appellant works in real estate sales which have been depressed. She was of the opinion that she would be unable because of her physical condition to work full time in clerical work which Ron Baker testified was available. Thus, it appears that the trial court terminated the spousal maintenance award, at least in part, in anticipation of future income that appellant may earn. Such matters are best left to future modification proceedings. In re Marriage of Hinkston, 133 Ariz. 592, 653 P.2d 49 (App.1982); Lindsay v. Lindsay, 115 Ariz. 322, 565 P.2d 199 (App.1977).
The record does not support the conclusion that appellant has sufficient property to provide for her needs. She has an interest in a mountain cabin owned with two other members of her family. Any sale would require their joinder and the proceeds would be small. The rental property that she holds is encumbered by two mortgages and cashing in the equity was not shown to be feasible. The house that she was awarded through the decree of dissolution is used as her residence. It was acquired during the marriage and there is no requirement that she sell it to live in an apartment which the testimony indicated would require a greater cost.
We find that continuation of the spousal maintenance award of $450 per month is required by appellant and that the evidence does not support its termination.
SURVIVOR BENEFIT PLAN
Charles testified that he deleted Lois as beneficiary under the survivor benefit plan and upon remarriage designated his present wife as the beneficiary in March of 1981. He explained that he made the change because he understood that the then existing federal statute did not permit the designation of his former wife as beneficiary.
The federal statute which led the trial court to delete paragraph 8 from the decree was subsequently changed by Public Law 97-252, September 8, 1982.
Appellant contends that the amended law clarifies the situation as to her entitlement to be designated as a beneficiary, and clearly permits the inclusion of a former spouse. She also argues that appellee is estopped from raising any impediment which may have existed prior to the amendment, since he has accepted the benefits of the decree. Appellant offers substantial authority in support of her argument. We prefer, however, to resolve the matter on the basis of res judicata. Rodriguez v. Rodriguez, 133 Ariz. 88, 649 P.2d 291 (App.1982), approved 133 Ariz. 87, 649 P.2d 290 (1982).
The trial court is directed to require ap-pellee to change the beneficiary designation for the survivor benefit plan from his current wife to appellant. In the event appel-lee refuses to voluntarily do so, or in the event that federal regulations would preclude such a change as long as his present wife is living, the court shall determine by the use of actuarial tables the amount appellant would receive if the change were made. Appellee will then be required to obtain insurance naming appellant as beneficiary, or otherwise provide sufficient proof to the court that his estate will contain sufficient funds to pay said amount to appellant. If the latter course is followed, the court shall enter an appropriate order protecting appellant’s interest.
Reversed and remanded for further proceedings consistent with this decision.
HOWARD, C.J., and BIRDSALL, J., concur.
. 10 U.S.C. § 1447 (1972) provided in part:
Ҥ 1447. Definitions
In this subchapter:
(1) ‘Plan’ means the Survivor Benefit Plan established by this subchapter.
******
(3) ‘Widow’ means the surviving wife of a person who, if not married to the person at the time he became eligible for retired or retainer pay—
(A) was married to him for at least two years immediately before his death; or
(B) is the mother of issue by that marriage.”
§ 1450 provided in part:
“§ 1450. Payment of annuity: beneficiaries (a) Effective as of the first day after the death of a person to whom section 1448 of this title applies, a monthly annuity under section 1451 of this title shall be paid to— (1) the eligible widow or widower.”
. Public Law 97-252, September 8, 1982, amends Sections 1447, 1448 and 1450 of 10 U.S.C.
“Sec. 1003. (a) Section 1447 of title 10, United States Code, is amended by adding at the end thereof the following new paragraphs;
‘(6) ‘Former spouse’ means the surviving former husband or wife of a person who is eligible to participate in the Plan.
******
(8) ‘Court order’ means a court’s final decree of divorce, dissolution, annulment, or legal separation, or a court ordered, ratified, or approved property settlement incident to such a decree (including a final decree modifying the terms of a previously issued decree of divorce, dissolution, annulment, or legal separation, or of a court ordered, ratified, or approved property settlement agreement incident to such previously issued decree). ******
(b)(1) Section 1448(a) of such title is amended—
******
(2) Section 1448(b) of such title is amended to read as follows:
‘(b)(1) A person who is not married and does not have a dependent child when he becomes eligible to participate in the Plan may elect to provide an annuity to a natural person with an insurable interest in that person or to provide an annuity to a former spouse.
(2) A person who is married or has a dependent child may elect to provide an annuity to a former spouse instead of providing an annuity to a spouse or dependent child if the election is made in order to carry out the terms of a written agreement entered into voluntarily with the former spouse (without regard to whether such agreement is included in or approved by a court order).’
(d) Section 1450(f) of such title is amended to read as follows:
‘(f)(1) A person who ...
(2) A person who, incident to a proceeding of divorce, dissolution, annulment, or legal separation, enters into a voluntary written agreement to elect under section 1448(b) of this title to provide an annuity to a former spouse and who makes an election pursuant to such agreement may not change such election under paragraph (1) unless—
(A) in a case in which such agreement has been incorporated in or ratified or approved by a court order, the person—
(i) furnishes to the Secretary concerned a certified copy of a court order which is regular on its face and modifies the provisions of all previous court orders relating to the agreement to make such election so as to permit the person to change the election; and
(ii) certifies to the Secretary concerned that the court order is valid and in effect;”
|
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OPINION
HOWARD, Chief Judge.
This is a forcible entry and detainer action which poses these questions: (1) Did appellee, assignee of a lease, have the right to raise, as a defense, the landlord’s unreasonable withholding of consent to the assignment? (2) Was the consent unreasonably withheld? (3) Did the trial court err in refusing to grant attorney’s fees to appellee pursuant to the provisions of the lease?
Appellants own the El Con Shopping Center in Tucson. In 1978 they entered into a written lease with the Wiener Corporation, doing business as “The Stamina” a men’s clothing store. The lease provided that the premises “... may be used and occupied only for the retail sale of young men’s casual apparel and women’s junior sportswear and accessories and related items ... and for no other purpose or purposes without the written consent of Landlord, which consent Landlord agrees not to unreasonably withhold.... ”
The lease provides, as rent, a fixed minimum rental plus a percentage rental based upon the annual gross sales. The lease further provides that the tenant shall not assign the lease without the prior written consent of the landlord “which consent Landlord agrees not to unreasonably withhold.” In addition, the lease provides:
“In the event of any action at law or in equity between Landlord and Tenant to enforce any of the provisions and/or rights hereunder, the unsuccessful party to such litigation covenants and agrees to pay to the successful party all costs and expenses, including reasonable attorneys’ fees and court costs, incurred therein by such successful party, and if such successful party shall recover judgment in any such action or proceedings, such costs, expenses and attorneys’ fees shall be included in and as a part of such judgment.”
Upon signing the lease the Wiener Corporation took possession of the premises. It never conducted business other than as a men’s clothing store. Appellants knew that “The Stamina” only sold men’s clothing, and appellants never gave “The Stamina” written consent to operate exclusively as a men’s clothing store rather than a store selling both young men’s casual apparel and women’s junior sportswear.
In 1981 the Wiener Corporation assigned the lease with appellants to appellee. At the time of the assignment, the written consent of the landlord had not been obtain ed, although appellee had contacted the landlord and informed it of its negotiations with Wiener. The landlord agreed to let appellee lease the premises if appellee agreed to an increase in the rent. Appellee refused to do this and the landlord refused to consent to the assignment. Appellee’s response to the refusal was simply to move into the premises.
The Wiener Corporation owned only three men’s clothing stores whereas Brooks owns 475 stores. During the time that Brooks has been in possession of the premises, its gross sales have averaged $30,000 per month, substantially greater than the sales of “The Stamina.”
At trial it was appellants’ contention that it did not consent to the assignment of the lease because it felt that a change in use in that particular location from a men’s store to a women’s store was not acceptable. What it wanted for the area was “tenant mix,” which it felt it would not get with a women’s clothing store. The trial court denied the request for forcible entry and de-tainer relief, granting judgment to appellee but denying appellee attorney’s fees in spite of the fact that there was a contractual provision specifically allowing them.
Appellants first contend that appellee was precluded from contesting the forcible entry and detainer action on the ground of unreasonable refusal to give consent since appellee’s remedy was solely by means of an action for declaratory relief prior to any entry into possession. We do not agree. The procedure utilized here is not improper although the assignee does proceed at its peril by taking possession prior to the determination that the landlord’s consent was unreasonably withheld. See the Restatement (Second) of the Law of Property (Landlord and Tenant) § 15.2 comment g (1977).
A defendant in a forcible entry and detainer action may assert those defenses which, if proven, could either preserve his possession as a tenant or preclude the landlord from recovering possession. Nork v. Pacific Coast Medical Enterprises, Inc., 73 Cal.App.3d 410, 140 Cal.Rptr. 734 (1977). Since the landlord’s consent to the possession by appellee would be a defense to the forcible entry and detainer action, it was proper to show consent by operation of law, in other words, that it was unreasonably withheld.
Appellants’ next contention is that it was not unreasonable in withholding its consent to the assignment of the Wiener lease. Appellants appear to be asking this court to make its own decision on this issue. We decline to do so. We are an appellate court and not a fact finder. We review the evidence in the light most favorable to sustaining the judgment of the trier of fact, which judgment will not be disturbed if there is evidence to support it. Sandblom v. Corbin, 125 Ariz. 178, 608 P.2d 317 (App.1980). Appellants’ reason for not giving its consent, that it wanted a men’s store for proper tenant mix, was contradicted by the testimony that the lease would have been assigned if appellee had been willing to pay more rent and by evidence that “The Stamina,” from its inception, never operated according to the terms of the lease as both a men’s and women’s shop. The trial judge could have concluded that the reason for refusing which appellants gave at trial was a mere pretext and that the only reason they did not consent was because they wanted to extract more rent from appellee.
Appellee has cross-appealed from the trial court’s refusal to allow attorney’s fees in accordance with the express provisions of the lease. Appellants rely on the Division One case of Gangadean v. Erickson, 17 Ariz.App. 131, 495 P.2d 1338 (1972) where the court, in dicta, expressed reservations about the propriety of awarding attorney’s fees because A.R.S. § 12-1178 sets forth what damages are collectible in a forcible entry and detainer action and does not say anything about attorney’s fees. We do not agree with this dicta. Attorney’s fees are awardable in a forcible entry and detainer action when the lease so provides. D’Amico v. Riedel, 95 Cal.App.2d 6, 212 P.2d 52 (1949); Parish v. Studebaker, 50 Cal.App. 719, 195 P. 721 (1920); Jesse French Piano & Organ Co. v. Hallberg, 130 Tenn. 650, 172 S.W. 298 (1914). We see nothing in A.R.S. § 12-1178 which prevents the award of attorney’s fees stipulated by the lease.
The case is remanded to the trial court for a determination of appellee’s reasonable attorney’s fees, and the judgment is affirmed in all other respects.
HATHAWAY and BIRDSALL, JJ., concur.
|
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OPINION
HATHAWAY, Judge.
Appellant was found guilty after a jury trial of second-degree assault, criminal damage to property and fleeing from a law enforcement vehicle, with two non-dangerous prior felony convictions. He was sentenced to concurrent prison terms of five years for fleeing from a law enforcement vehicle and 3.75 years for the criminal damage conviction. He was sentenced to a 30-day jail term for the assault conviction.
The charges arose from an incident which occurred on October 4, 1979, in Tucson. The victim of the assault, Todd Moreland, testified that at approximately 1 a.m. on that date, he was driving with a friend when his vehicle was rammed by appellant for no apparent reason other than that words had been exchanged between More-land’s passenger and appellant at the prior stoplight. Moreland attempted to elude appellant but a confrontation eventually occurred and appellant left his vehicle together with his passenger and they attacked Moreland and his passenger. During the fight, appellant stabbed Moreland in the back. A University of Arizona police vehicle drove by and appellant fled. The cam pus policemen gave chase and were joined in a high-speed pursuit by Tucson police officers. The chase ended in a foot race through a residential area when appellant, apparently unaware of a steep ravine due to the darkness, fell ten feet to the bottom and was found unconscious by the officers. He was taken to Kino Community Hospital for treatment.
While he was being treated in the emergency room, appellant was interviewed by Sergeant Sees who had received the permission of emergency room personnel. During the questioning, appellant did tell the officers that his mouth hurt (he sustained a severe injury to his mouth area), but did not complain of any nausea or dizziness, or difficulty in remaining conscious. He was treated and released from the hospital.
Appellant’s sole contention on appeal is that statements he gave to the investigating officers while he was being treated in the hospital emergency room were involuntary and were used at trial in violation of the United States Supreme Court decision of Mincey v. Arizona, 437 U.S. 385, 98 S.Ct. 2408, 57 L.Ed.2d 290 (1978). The statements were given voluntarily and we affirm.
The trial court will look to the totality of the circumstances surrounding the giving of the statements in question, as . presented at the voluntariness hearing, and decide whether the state has met its burden. State v. Arnett, 119 Ariz. 38, 579 P.2d 542 (1978), citing Schneckloth v. Bustamonte, 412 U.S. 218, 93 S.Ct. 2041, 36 L.Ed.2d 854 (1973). The trial court’s determination of admissibility will not be upset on appeal absent clear and manifest error. State v. Arnett, supra; State v. Bishop, 118 Ariz. 263, 576 P.2d 122 (1978).
In Mincey, supra, the court concluded that the defendant was at the complete mercy of the officer due to the extreme pain he was experiencing, along with the
encumbrance presented by various tubes, needles and breathing apparatus. Mincey repeatedly requested that the interrogation cease until he could get a lawyer’s help. He was unable to speak and had to write his answers for the officer, some of which were not coherent. He complained that he was confused but the interrogation ceased only when Mincey slipped into unconsciousness or received medical treatment.
The facts of the instant case are clearly different. Appellant was not physically encumbered by medical paraphernalia although he did complain of the pain from the injury to his mouth. His injury did not require hospitalization. He did not request that the interrogation stop. He was not heavily sedated as was Mincey. The facts herein present a situation closer to the facts in United States v. Knife, 592 F.2d 472 (8th Cir.1979), and in United States v. Martinez-Perez, 625 F.2d 541 (5th Cir.1980), where the courts refused to suppress statements as involuntarily given under hospital interview circumstances.
The court had before it photographs of the injury. Sergeant Sees testified that appellant mentioned that the injury hurt. Medical personnel gave the officers permission to question appellant. Most importantly, appellant’s responses do not indicate that he was confused. He gave three versions of how he suffered his injury, including a claim that one of the investigating officers beat him. He argues that this demonstrates the extent of his disorientation. The trial court may have concluded that the conflicting statements showed that appellant realized it was incumbent upon him to hide his involvement in criminal activity and quickly changed stories in an effort to convince the officers. His claim that the officer beat him occurred after the interrogation ceased and apparently signalled his resignation that his story was not believable.
Appellant argues that he was intoxicated during the interrogation and that this should further support his claim that the statement was involuntary. The evidence presented on this point was testimony by Sergeant Sees that appellant smelled of intoxicants but the officer “couldn’t say for sure that he was intoxicated.” This opinion followed an acknowledgment by the officer that he previously had stated that he believed the appellant had been intoxicated. There was sufficient evidence presented for the trial court to have concluded that appellant was not intoxicated to the extent that he was unable to understand the meaning of his statements. State v. Laffoon, 125 Ariz. 484, 610 P.2d 1045 (1980); State v. Godinez, 111 Ariz. 397, 531 P.2d 154 (1975).
There being no showing that the trial court’s ruling was clearly erroneous, the motion to suppress was properly denied.
Affirmed.
HOWARD, C.J., and BIRDSALL, J., concur.
. As the state points out, appellant proceeded with the presentation at the hearing although the state had the burden of proving voluntariness. Appellant does not raise this as an issue on appeal and the error is harmless where there was evidence presented to satisfy the burden of proof required of the prosecution. Ryan v. Superior Court in and for the County of Maricopa, 121 Ariz. 385, 590 P.2d 924 (1979).
|
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