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OPINION
LIVERMORE, Judge.
On the evening of November 30, 1982, undercover agents of the Department of Public Safety met with Michael Benson at a Tucson bar. He offered to sell 100 pounds of marijuana for $650 a pound. The agents counteroffered $600. Benson said he would have to consult his connection and left the bar. He was followed in his green Mercury to a house where surveillance was established. Benson then returned to the bar and told the agents that $600 was acceptable if the agents would give him the cash before he went to get the marijuana. The agents again demurred and said they would have to receive the marijuana coincident with handing over the cash. Benson said he would have to telephone his connection and went toward the phone in the bar. He returned and said the transaction would have to be done in four increments. The agents said the sale must be accomplished in one exchange. Benson again went to the phone, then left the bar and returned to the house. The agents at the bar received a phone call from him saying the sale could be effected later that night. Benson then returned to the bar again in his Mercury and showed the agents one pound of marijuana. Arrangements were made to exchange the cash for the marijuana in the El Con shopping center parking lot at 9:30 that evening. Benson then returned to the house.
At 9:20 a Ford Torino and a gray Pontiac Firebird left the house. Both were seen shortly thereafter in the El Con parking lot. The Firebird drove around the lot several times before parking. Benson approached the agents and counted the money. He then left and went to the Firebird and spoke briefly to the defendant, Elredge Savant. Benson then drove the Torino to the agent’s car. He opened the trunk of the Torino and showed the marijuana to the agents. He was then arrested. Defendant was arrested as he left the parking lot in the Firebird. He admitted that he was Benson’s connection. He also consented to a search of his room at the house where an additional 8V2 ounces of marijuana was recovered.
On these facts defendant was convicted of conspiracy to commit, and the substantive counts of committing, the unlawful offer to sell and unlawful transportation of marijuana. He was also convicted of possession of marijuana for sale. Because of three prior convictions and the fact that this offense was committed while on parole, the presumptive sentences he received for three counts were 15.75 years and for the fourth count ten years. All were to be served concurrently. He appeals. We have jurisdiction under A.R.S. § 13-4033.
Defendant contends first that the statements of Benson should not have been admitted because there was insufficient evidence, apart from those statements, of the existence of a conspiracy and of defendant’s participation in it. State v. Baumann, 125 Ariz. 404, 610 P.2d 38 (1980). That there was a conspiracy and defendant was a participant in it could fairly be inferred from Benson’s need to consult to arrange the terms of the transaction, the use by him of two cars, the act of defendant in going to the place of sale at the same time but in a car separate from Benson, the defendant’s conversation with Benson after Benson had been shown the money but before he delivered the marijuana, and defendant’s effort to leave the parking lot after the arrest. See State v. Martin, 139 Ariz. 466, 679 P.2d 489 (1984). In addition, for purposes of establishing the foundation for the introduction of co-conspiratorial admissions, the trial court could consider the defendant’s admission that he was a co-conspirator in the charged conspiracy. Finally, any statement by a co-conspirator meeting an independent hearsay exception would also be admissible for this purpose. The rule forbidding the introduction of co-conspirator’s out-of-court statements to prove the existence of the conspiracy applies only when the sole ground for their admission is that they were in the course and furtherance of the conspiracy. In that instance, the “bootstrapping” problem arises, the use of the statements to prove the foundational facts that must be established before the statements can be used. It does not apply when the statements meet some other hearsay exception. See Murphy Auto Parts Co. v. Ball, 249 F.2d 508 (D.C.Cir.1957), cert. denied, 355 U.S. 932, 78 S.Ct. 413, 2 L.Ed.2d 415 (1958). Many of Benson’s statements were statements of intention — I must consult my connection — independently admissible under Rule 803(3), Rules of Evidence, 17A A.R.S., to prove the doing of the intended act with the connection. State v. Adamson, 136 Ariz. 250, 257, 665 P.2d 972, 979, cert. denied, 464 U.S. 865, 104 S.Ct. 204, 78 L.Ed.2d 178 (1983). Consultation and agreement with a colleague on the terms on which a criminal act will be carried out is, of course, the essence of a conspiracy.
Defendant’s second contention is that there was insufficient evidence of the crime of conspiracy, the corpus delecti, to permit introduction of his admissions that he was a participant in that crime. For the reasons already stated, we hold that there was ample evidence to support a finding that the effort to sell the marijuana was not an individual enterprise by Benson. See State v. Melendez, 135 Ariz. 390, 661 P.2d 654 (App.1982). Defendant’s admission of guilt was properly admitted.
Defendant also contends that the use of Benson’s statements denied him his Sixth Amendment right to confrontation. Benson was unavailable because of his claim of the self-incrimination privilege at trial. It is only if the statements are unreliable, then, that any confrontation problem would arise. Ordinarily, statements meeting a firmly rooted hearsay exception, such as co-conspiratorial admissions or statements of intention, are considered sufficiently reliable to obviate confrontation difficulties. Ohio v. Roberts, 448 U.S. 56, 100 S.Ct. 2531, 65 L.Ed.2d 597 (1980); State v. Martin, 139 Ariz. 466, 679 P.2d 489 (1984). That is true in this case. Indeed, some of Benson’s reports of his connection’s terms might also meet the hearsay exception for present sense impressions contained in Rule 803(1), Rules of Evidence, 17A A.R.S. See United States v. Blakey, 607 F.2d 779 (7th Cir.1979). In any event, the substantial contemporaneity of statement and event minimized the risks of misperception and misremembering and the quick corroboration of the statement reduced the risk of falsification. Admission of the statements did not violate the confrontation clause.
Finally, defendant argues that the evidence was insufficient to establish that the marijuana found in his bedroom was possessed for sale. Given the evidence of the defendant’s participation in the El Con transaction, the jury could infer beyond a reasonable doubt that this additional marijuana was also possessed for purposes of sale.
The judgments and sentences are affirmed.
HATHAWAY, P.J., and LACAGNINA, J., concur.
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HAYS, Justice
Appellant, Joseph Cary Grier, was convicted of kidnapping, A.R.S. § 13-1304, a class-2 felony, and sexual assault, A.R.S. § 13-1406, a class-2 felony and sentenced to two concurrent 18-year terms. The judgments of conviction and sentences were affirmed in State v. Grier, 129 Ariz. 279, 630 P.2d 575 (App.1981), and review was denied by this court.
Grier filed two petitions for post-conviction relief. See 17 A.R.S. Rules of Criminal Procedure, rule 32. In 1981, Grier’s first petition alleging ineffective assistance of counsel at the pretrial and trial stages was dismissed by the trial court and not appealed. In April 1982, Grier filed a second petition which was granted in part by the trial court. Based on that grant, a hearing to amend the presentence report and a new sentencing followed. The court denied a request, however, to order a new presentence report. The court reimposed the original sentence of two concurrent 18-year terms. Appellant now appeals from this sentence. This court has jurisdiction. Ariz. Const, art. 6, § 5(3); A.R.S. §§ 13-4031, 13-4035.
ISSUES PRESENTED
I. IS THE APPELLANT PRECLUDED FROM ASSERTING INEFFECTIVE ASSISTANCE OF COUNSEL AT THE TRIAL STAGE?
II. HAS THE APPELLANT BEEN IMPROPERLY RESENTENCED ON THE BASIS OF AN ERRONEOUS PRESENTENCE REPORT?
III. IS THE APPELLANT ENTITLED TO A NEW PRESENTENCE REPORT?
FACTS
In June 1981, Grier filed his first petition for post-conviction relief alleging he had received ineffective counsel at the trial stage because his counsel:
(1) withdrew a motion to suppress the victim’s hypnotically induced testimony;
(2) refused to call his roommate as a witness to testify;
(3) did not introduce evidence that the defendant did not have a venereal disease.
The trial court appointed counsel for the appellant but that counsel did not augment the appellant’s initial filing nor reply to the State’s response. The petition was dismissed by the trial court and not appealed.
In April 1982, Grier filed a second petition for post-conviction relief claiming that he was improperly sentenced on the basis of erroneous prior felony convictions. He also alleged that his attorney was ineffective in failing to challenge the accuracy of the presentence report. He did not claim ineffective assistance of counsel at either the trial stage or during the filing of the first petition for post-conviction relief.
The trial court granted the second petition for post-conviction relief and held a resentencing hearing to give both the defendant and the State an opportunity to submit corrections to the presentence report. Corrections were limited to the listing of prior felonies and other charges on Grier’s record.
The presentence report notes that this is the appellant’s third conviction on charges of rape. At the resentencing hearing, it was established that the defendant has at least one prior conviction for rape in Texas. The report also states that the appellant is facing charges of rape in Tennessee but at the resentencing, it was acknowledged that this charge was dismissed.
The presentence report also indicates two convictions for theft related crimes: one for robbery (six months probation) and one for burglary (three to five years in Arizona State Prison). At resentencing, the court corrected the report to reflect that the first conviction for robbery was actually a conviction for petty theft, and it also changed the conviction for burglary to a petty theft conviction, which resulted in a six-month suspended sentence. However, it is documented in the record that the defendant was not the individual convicted of burglary who received three to five years in the Arizona State Prison. The correction to petty theft stems from a conviction that does not appear on the original pre-sentence report.
At the resentencing hearing, the appellant acknowledged a conviction for attempted robbery in Tennessee. The sentence was carried out in a work house so that it would not appear on his record.
At the conclusion of the hearing, it appeared that the only prior sexual-assault felony in Grier’s record was one in Texas which the defendant indicated. This offense was not reflected on the local FBI rap sheets. Also, the defendant claims to have served only 30 days in Texas and not 18 months. No documentation was given to support or challenge this claim.
Counsel for the defendant did not challenge the potential effect these discrepancies may have had on the writer of the presentence report or on the doctors who relied on the appellant’s erroneous conviction history. The court did acknowledge that all but one doctor had relied on the erroneous presentence report, including those doctors who testified for the appellant at his original hearing. As for the other doctor, Dr. Cole, the court appeared uncertain as to the source(s) of the information relied upon by him. At the hearing, only the appellant and not his counsel objected to reliance on the doctor’s reports at resentencing.
The court refused to order a new presentence report and sentenced Grier to two concurrent 18-year terms. Judge Riddel stated the following reasons in support of her decision:
The sentence that will be imposed at this time will be an aggravated sentence, and an aggravated sentence is imposed based upon the facts which I find in these documents to which I have referred about the longstanding use and addiction to a variety of drugs, one being substituted for the other; two, the inability to maintain a steady employment, to the psychiatric factors and psychological factors shown by the reports which indicate an anti-social behavior and no prognosis for a change and that society does, indeed, need to be protected. The — the prior conviction record truly fades into significance in view of those other three factors.
I. PRECLUSION OF THE ASSISTANCE OF COUNSEL ISSUE
The appellant argues that he should be given a new trial because he received ineffective assistance of counsel at his trial. The state contends that he is now precluded from raising this claim since it could have been raised in his original appeal or in his original petition for post-conviction relief, which was dismissed. Grier claims his counsel at trial was ineffective because: 1) he withdrew his motion to suppress the testimony by the victim following memory enhancement hypnosis; 2) he failed to move to suppress the pretrial identification of the appellant by the victim at the preliminary hearing; 3) he failed to call his roommate and others as witnesses; 4) he failed to request a doctor to testify that Grier did not have a venereal disease; and 5) his counsel was ill during the course of the trial. We find that the issue of ineffective assistance of counsel is not properly brought before this court and contains no merit.
The issue of ineffective counsel was never addressed by the trial court which heard appellant’s second petition for post-conviction relief. Indeed, the issue of ineffective counsel at the trial stage was not raised prior to the appeal of the resentencing to the Court of Appeals. “In pursuing post-conviction remedies, petitioner is limited to procedures set forth in the rule.” State v. Gause, 112 Ariz. 296, 297, 541 P.2d 396, 397 (1975), cert. denied, 425 U.S. 915, 96 S.Ct. 1515, 47 L.Ed.2d 766 (1976); see also State v. Carriger, 143 Ariz. 142, 146, 692 P.2d 991, 995 (1984), cert. denied, — U.S. -, 105 S.Ct. 2347, 85 L.Ed.2d 864 (1985). 17 A.R.S. Rules of Criminal Procedure, rule 32.10 states:
“All grounds for relief available to petitioner must be raised by petitioner either in his petition or in the hearing thereon. Any ground not raised will be presumed waived and may not be the basis for subsequent petition unless the court finds there was reasonable ground for omitting the matter in the original petition or hearing.”
Grier did not present the issue of ineffective counsel at trial in any of his filings related to his second petition for post-conviction relief, nor was this topic addressed in either of the hearings prior to the resentencing.
Appellant in his brief to the Court of Appeals contends that he failed to appeal the first petition for post-conviction relief because he did not know about Rule 32 and was represented by court-appointed counsel. Granted the fact that his court- appointed counsel for the first petition did not even talk with appellant prior to the court’s dismissal, this does not explain why this claim was not brought up in his second petition. Grier does not argue that at the time he filed his second petition, he was still not aware of the rule and procedure. He offers no “reasonable ground for omitting the matter in the original petition or hearing.” Rule 32.10. We, thereforé, find that he is precluded from raising the issue as the basis of this appeal.
II. IMPROPER RESENTENCING ON THE BASIS OP AN ERRONEOUS PRESENTENCE REPORT
Appellant Grier argues that it was improper to resentence him without the aid of a new presentence report. The State contends that any deficiencies in the report were corrected in post-conviction relief proceedings and that the resentence should therefore be affirmed.
Trial courts have broad discretion in sentencing convicted defendants. State v. Stotts, 144 Ariz. 72, 87, 695 P.2d 1110, 1125 (1985). If a sentence is within statutory limits, it will not be modified or reduced unless, from the circumstances, it clearly appears the sentence was an abuse of discretion. Id., State v. La Mountain, 125 Ariz. 547, 552, 611 P.2d 551, 556 (1980). An abuse of discretion in sentencing is characterized by capriciousness, arbitrariness or by failure to conduct an adequate investigation into facts necessary for an intelligent exercise of the court’s sentencing power. State v. Stotts, 144 Ariz. at 87, 695 P.2d at 1125.
Convicted defendants have a due process right to a fair sentencing procedure which includes the right to be sentenced on the basis of accurate information. United States v. Tucker, 404 U.S. 443, 447, 92 S.Ct. 589, 591, 30 L.Ed.2d 592, 596 (1972); Townsend v. Burke, 334 U.S. 736, 741, 68 S.Ct. 1252, 1255, 92 L.Ed. 1690, 1693-94 (1948). A sentence must be set aside where the defendant can demonstrate that false information formed part of the basis for the sentence. The defendant must show: (1) that the information before the sentencing court was false or misleading and, (2) that the court relied on the false information in passing sentence. See United States v. Rone, 743 F.2d 1169, 1171 (7th Cir.1984).
Appellant successfully demonstrated to the trial court that the presentence report contained various mistakes relating to the extent of appellant’s criminal history. Also, the court found, in granting the hearing, that the first sentencing court had undoubtedly relied on those prior convictions in imposing the first sentence. Appellant now contends that the second sentencing judge also relied on this false information in resentencing him.
At the resentencing, the trial judge imposed the aggravated sentence relying on three factors: (1) the appellant’s “longstanding use and addiction to a variety of drugs, one being substituted for the other”; (2) the inability of the defendant to maintain steady employment; and (3) “to the psychiatric factors and psychological factors shown by the reports which indicate an anti-social behavior and no prognosis for a change and that society does, indeed, need to be protected.”
After the sentence was reimposed, the appellant objected to the characterization that he was a drug addict:
THE COURT: What is wrong with the Pre-Sentence report, other than the recitations about your prior record?
MR. GRIER: You stated I had a drug addiction. Show me one time where I have drugs — a drug addiction.
THE COURT: Oh, no, I’m not talking — I didn't say a drug addiction.
MR. GRIER: You said addiction.
THE COURT: I said a drug addiction, heroin, marijuana, longstanding marijuana problems by your own statements in here, two years, and you go crazy.
LSD for a period of time. Are those statements all inaccurate?
MR. GRIER: When I was 18, 19, I had taken drugs, but I haven’t taken no drugs in so long and don’t want any.
THE COURT: Oh. Well, I quite understand.
MR. GRIER: But yet — but, yet, you’re still using that against me because I— THE COURT: You bet I am.
THE COURT: In the past you have substituted one drug for another as a way of life. It has not been the same one and, true, you may not now be addicted. I hope you are not.
The court went on to tell the appellant:
“[B]ased upon what I know about you and your pattern of living in the past, that a maximum sentence would be appropriate.” Earlier the judge acknowledged that she had told appellant what she had read, and what she was relying on, “... because.it’s all I know about you.” From this exchange the judge noted that Grier had a history of drug abuse. However, there is no showing that this drug abuse played a role in the charged crime. This factor alone would not support the aggravated sentence imposed by the trial court on re-sentencing.
The second factor that the trial judge characterized as an aggravating circumstance was the “inability to maintain a steady employment.” At the first sentencing, this factor was specifically excluded by the sentencing judge as an aggravating factor:
THE COURT: I also consider the following other factors to be appropriate for the ends of justice: All of those reasons set forth in the pre-sentence report on page nine, except number two, I have considered as aggravating circumstances.
Page 9 on the presentence report lists the following factors in making the recommendation that appellant be incarcerated in excess of the presumptive term:
1. The defendant’s extensive prior criminal record, which now includes three convictions on sexual assault related charges.
2. The defendant’s inability to maintain steady employment.
3. The defendant has established assaultive and violent behavior patterns.
4. The defendant’s impaired mental health condition coupled with his violent and assaultive behavior make him a definite threat to the safety and well-being of the community.
5. Prior convictions for sexually assaultive behavior indicate established patterns regarding these types of offenses.
6. Although it appears to this writer that the defendant is in need of mental health therapy, it is the observation of this writer that because the defendant poses an extreme threat to the community, the safety and well-being of the community is the more important consideration in sentencing of this defendant.
Item two, which the original sentencing judge explicitly deleted, was a factor in imposing an aggravated sentence. Again, this factor alone or coupled with the first would not support such an aggravated sentence.
It is, therefore, the third factor which the resentencing court relied on that figures most significantly in the imposition of the aggravated sentence: “[T]he psychiatric factors and psychological factors shown by the reports which indicate an anti-social behavior and no prognosis for a change and that society does, indeed, need to be protected.”
The trial court recognized that each of the doctors had either read the presentence report or else could have potentially seen the appellant’s erroneous “rap” sheets. However, the trial court did not conduct an investigation into how this information may have influenced their re ports. Therefore, because the various medical and psychological reports were tainted with an erroneous prior conviction profile, we find the court’s mere attempt to correct the prior convictions in the original report insufficient. Unlike State v. Warren, 124 Ariz. 396, 405, 604 P.2d 660, 669 (App.1979), it is clear here that the resentencing court relied on the reports and was adversely influenced by content which may have been erroneous.
The failure of the trial court to conduct an adequate investigation into facts necessary for an intelligent exercise of its sentencing power is an abuse of discretion. State v. Stotts, 144 Ariz. at 87, 695 P.2d at 1125. It was, therefore, an abuse of discretion for the trial court to rely on the doctors’ reports and to speculate as to what impact, if any, the erroneous prior convictions may have had on their conclusions. The very purpose of the presentence report and the doctors’ reports is to take the guesswork out of sentencing. These reports enable the sentencing judge to tailor the sentence to the individual. See State v. Clabourne, 142 Ariz. 335, 346, 690 P.2d 54, 65 (1984). In this instance, the trial judge relied on inadequate guesswork and this was an abuse of discretion.
III. IS THE APPELLANT ENTITLED TO A NEW PRESENTENCE REPORT?
Appellant Grier argues that it was improper to resentence him without the aid of a new presentence report. We agree. The presentence report, the testimony at the original hearing and the reports prepared for that hearing all appeared to rely on the incorrect listing of prior convictions. This is not a case where a simple updating of a prior presentence report would be adequate. See, e.g., State v. Blier, 113 Ariz. 501, 505, 557 P.2d 1058, 1062 (1976). Nor is this a case where the trial judge does not exercise “discretion” due to the acceptance of a plea agreement. See State v. McVay, 131 Ariz. 369, 371, 641 P.2d 857, 859 (1982). Rather, in the instant case, the sentencing judge relied on the diagnostic and psychological reports, knowing they were potentially influenced by the erroneous convictions. It is because the judge clearly was influenced by what could be erroneous reports that we vacate the sentence imposed.
We have reviewed the record for fundamental error. A.R.S. § 13-4035; Anders v. California, 386 U.S. 738, 87 S.Ct. 1396, 18 L.Ed.2d 493 (1967); State v. Leon, 104 Ariz. 297, 451 P.2d 878 (1969). We have found none.
The memorandum decision of the court of appeals is vacated, the sentences are vacated, and the matter is remanded to the trial court with instructions to resentence the appellant after ordering the preparation of a new presentence report and a presentence hearing pursuant to 17 A.R.S. Rules of Criminal Procedure, rule 26.7.
HOLOHAN, C.J., GORDON, Vice Chief Justice, and CAMERON and FELDMAN, JJ., concur.
. Judge Riddel stated at the beginning of the hearing that "I have spent some time reviewing the file and documents in it. I have read carefully the report of Dr. Cole, of Dr. Gray, of Dr. Lanyon, of Dr. Blackwood. I have read the pre-sentence report in the matter. I have read the documents that relate to the issue before me____"
. At the original sentencing, testifying for the defendant, Dr. Richard I. Lanyon discussed the possibility that the defendant's antisocial behavior may have a physical cause. The prosecutor used the fact that “he had been committing these same sorts of crimes since 1969" to rebut that theory. The doctor was forced to admit that appellant’s criminal history was inconsistent with certain diagnosis.
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OPINION
LIVERMORE, Judge.
Plaintiff, Custom Roofing Co. (Custom), entered into a subcontract to provide roofing on a school construction job specifying the use of materials from defendant, Owens-Coming Fiberglas Corp. (OC). OC had two offices in Phoenix, Branch and Supply. Branch sold exclusively to approved roofing contractors. Custom was not an approved contractor. Custom, however, had bought OC materials from Supply for many years. Custom sought quotes for materials from Supply and then placed an order with Supply. Supply ordered materials to fill this order from an OC factory and arranged a shipping schedule. OC sent a preliminary notice of lien to the school and to the general contractor. Thereafter, at the direction of defendant, Robert Ailing, an employee of Branch, those orders were cancelled. Custom, because of its inability to obtain the necessary materials, lost its contract. It brought suit for breach of contract and tortious interference with contract. The jury found in its favor, awarding $35,000 compensatory and $105,000 punitive damages. Remittitur reduced the compensatory award to $14,144. OC appeals from the judgment and Custom cross-appeals from the remittitur and from the refusal to allow prejudgment interest.
OC contends first that it did not accept the Custom order so that no binding contract was formed. It further argues that if such a contract was created, it is unenforceable for failure to comply with the statute of frauds. While an express acceptance obviously creates a contract, acceptance can be implied by unambiguous “language or circumstance,” A.R.S. § 44-2313, now renumbered as § 47-2206. See Cook v. Cook, 142 Ariz. 573, 691 P.2d 664 (1984). There is ample evidence of acceptance by OC Supply of Custom’s order. The order was prepared in response to price quotations prepared by Supply and was picked up at Custom’s office by agents of Supply. Delivery schedules were discussed. In the context of the long-standing business relationship between Custom and Supply, it is hard to imagine circumstantial evidence more strongly probative of acceptance. Ordinary people do not speak “legalese.” They do business. Their conduct implies the legal conclusion. On this record, there is no question that the agents of Supply believed they had accepted Custom’s order, indeed they admitted it, and that such acceptance was conveyed to Custom by the actions of those agents. See A.R.S. § 44-2314(C), now renumbered as § 47-2207(C). Alternatively, these facts could as easily be construed as an offer by the price quotation of Supply which was accepted by Custom’s purchase order.
The requirements of the statute of frauds, A.R.S. § 44-2308, now renumbered as § 47-2201, are met by the following facts:
(1) The failure to object to the written purchase order confirming an oral understanding of the prior day. A.R.S. § 44-2308(B);
(2) The internal memoranda of OC ordering the goods to fill the Custom order, conduct clearly evincing a belief in a contractual obligation;
(3) The filing of a preliminary notice of lien by OC in approximately the amount of the purchase order; and
(4) The testimony at trial of agents of Supply that they had accepted the order. A.R.S. § 44-2308(0(2).
OC concedes that if its contract with Custom is valid, as we have determined, it is liable for tortious interference with the contract between Custom and the general contractor on the school job. It contends, however, that its employee, Ailing, because he was acting in the scope of his employment cannot be independently liable for his acts of interference. We know of no general rule insulating employee tortfeasors from liability. The cases cited to us, Petroni v. Board of Regents, 115 Ariz. 562, 566 P.2d 1038 (App.1977), Perry v. Apache Junction Elementary School District. No. 43, 20 Ariz.App. 561, 514 P.2d 514 (1973), and Wise v. Southern Pacific Co., 223 Cal. App.2d 50, 35 Cal.Rptr. 652 (1963), hold only that an employee cannot be held liable for inducing his corporate employer’s breach. This rule makes sense; otherwise, every breach of contract would also involve, because a corporation can act only through its employees, an inducing to breach by the agent who caused the breach to occur. But that rule does not provide that an employee may induce the termination of a contract between third parties and be free of liability if motivated by a desire to benefit his employer. No reason has been advanced to support such a novel proposition and we discern none.
OC next argues that the evidence is insufficient to support a punitive damage award because the conduct of Ailing was neither motivated by ill will toward Custom nor wanton, willful or in reckless disregard for the rights of others. See Schmidt v. American Leaseco, 139 Ariz. 509, 679 P.2d 532 (App.1983). The evidence demonstrates that Ailing was motivated by a desire to limit the installation of OC roofing material to those contractors approved by OC, that he acted to prevent Custom from getting the necessary materials, and that he knew that his actions would cause Custom to lose its contract. His knowledge could lead to an inference of his intent to achieve that result. This demonstrates malice, wanton conduct, and indifference to the rights of others. It is not necessary to show that Ailing derived positive joy from the harm he inflicted.
Finally, OC argues that the trial court erred in the admission of an OC document in which an employee was critical of the business practice of Ailing, exemplified in part by this case, of limiting the sale of roofing materials to approved contractors. As an admission and business record of OC, it is, if relevant, admissible both against OC and Ailing. That OC employees believed Ailing’s practices to be wrongheaded is relevant to whether punitive damages were appropriate. That legitimate business interests were served by the tortious act might make punishment less appropriate. As legitimacy diminishes, so does need and hence wantonness rises. In addition, the exhibit speaks to cancellation of orders and thus is probative of the existence of the contract allegedly breached. The exhibit was properly admitted.
With respect to the remittitur issue on cross-appeal, the parties are agreed that $14,144 is proved. The difference between that and the jury award of $35,000 depends on the testimony of an officer of Custom that had OC products been used at a higher cost than those anticipated in Custom’s bid, Custom would have expected to be reimbursed by the general contractor. The general contractor’s testimony, however, was that while negotiations might occur there was no agreement as to what, if any, adjustment might be made. On these facts, that Custom would have earned more is wholly speculative, Rancho Pescado, Inc. v. Northwestern Mutual Life Ins. Co., 140 Ariz. 174, 680 P.2d 1235 (App.1984), and the trial court did not abuse its discretion in remitting the damages to the amount actually proved. Spur Feeding Co. v. Fernandez, 106 Ariz. 143, 472 P.2d 12 (1970).
The trial court also acted properly in rejecting Custom’s claim for prejudgment interest. Such interest is appropriate only where the claim is liquidated, where the evidence furnishes “data, which, if believed, makes it possible to compute the amount with exactness, without reliance upon opinion or discretion.” Banner Realty, Inc. v. Turek, 113 Ariz. 62, 64-65, 546 P.2d 798, 800-801 (1976). What the profit will be on a construction contract, it seems to us, is necessarily a matter of opinion. Materials to be utilized can be computed with exactness; labor, however, is much less precise and is, at best, an estimate. Such estimates will sustain an award for damages but they do not reach the level of exactitude required for an award of prejudgment interest. Were the rule otherwise, any time damages were proved, prejudgment interest would have to be awarded.
The judgment is affirmed.
NOTE: This cause was decided by the Judges of Division Two as authorized by A.R.S. § 12-120(E).
BIRDSALL, P.J., and FERNANDEZ, J., concur.
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OPINION
FERNANDEZ, Judge.
This is a products liability case in which the manufacturer of a pair of gas furnaces was sued for alleged design defects after two of the appellants suffered carbon monoxide poisoning. The trial court granted summary judgment to the manufacturer and this appeal followed. We affirm.
Appellants, Jay and Agnes Raschke, contracted with a developer in 1970 to build a house for them in Sierra Vista. Two of the items installed in the home by a subcontractor were a pair of Day and Night furnaces (manufactured by what is now a division of Carrier Corp.), one in each furnace room of the two wings of the house. The first winter after the Raschkes moved into the home Agnes complained of smelling gas. A co-defendant who was alleged to be the installer of the furnaces was called in. He extended the chimney stack on the roof and left. Thereafter the Raschkes occasionally noticed the smell of fumes, particularly on windy nights, but took no further action except to leave some windows open a crack and to use the fireplace infrequently. All maintenance on the furnaces during the ten-year ensuing period was performed by Jay Raschke. The furnace did not need repair in that ten-year period.
In November 1980 Agnes and the Raschkes’ son, John, were nearly overcome by what were apparently carbon monoxide fumes that had collected in the house. A fire inspector for the city of Sierra Vista testified in his deposition that he inspected the home after the incident and found the furnace room in the main wing lacked proper fresh air inlets. He did not inspect the other room. It was discovered that the two vents in the furnace room did not lead to the outside of the house. A heating company then installed sheet metal tubing from both furnace rooms through the roof and there have been no problems since. The furnaces themselves always functioned properly.
In his deposition, Jay Raschke testified that the basis of their complaint was the failure to properly vent the furnaces to the outside and the fact that the furnaces would not shut off even though fumes had built up in the rooms. He also testified he had never seen or heard of a heater that would shut itself off in such a situation. Raschke also stated no one had ever told him there was anything wrong with the furnaces themselves.
In connection with its summary judgment motion, Carrier filed the affidavit of a licensed mechanical engineer with 36 years’ experience in heating products who stated there were not any devices in 1970 (or in 1984) which would shut down a furnace because of excess carbon monoxide fumes. The Raschkes submitted the affidavit of a licensed engineer with a degree in engineering physics and experience (amount and length of time not stated) in the design and analysis of heating systems. His opinion was that the furnaces were improperly installed, that installation instructions should have been provided by the manufacturer on the separation of circulation air and combustion air and that it was “technologically possible to provide for a carbon monoxide sensing mechanism which would serve as a warning of lethal danger in the event that the furnace was improperly installed.”
In a products liability case, a plaintiff must “prove that the product was defective, that the defect was unreasonably dangerous, and that plaintiff’s injuries were proximately caused by the defect.” Vineyard v. Empire Machinery Co., 119 Ariz. 502 at 505, 581 P.2d 1152 at 1155 (App.1978). The only defect in the furnaces that is contended is the lack of a sensing mechanism which would shut them off in the event there was an excess of carbon monoxide in the air. Carrier’s expert’s affidavit stated no furnace in either 1970 or in 1984 was available with such a device. Both Raschkes and the fire inspector stated they were not aware of any furnace on the market with such a device. The Raschkes’ engineer stated only that it was technologically possible to provide for a sensing mechanism that would warn of danger; he did not state that such a device existed or how it would warn of danger. A manufacturer has no duty to make a product which incorporates only the ultimate in safety features. Rodriguez v. Besser Co., 115 Ariz. 454, 565 P.2d 1315 (App.1977).
Moreover, the design defect alleged is a safety design defect that would become operative only in the event of an unusual situation. There was no evidence on the frequency of improper installation of furnaces nor on the frequency of occasions in which carbon monoxide fumes reach an excessive level which could support the contention that failure to include a sensing mechanism rendered the furnaces unreasonably dangerous products. See Vineyard v. Empire Machinery Co., supra.
The Raschkes’ other contention against Carrier is that it failed to give adequate warning of the likelihood of danger if the furnaces were not properly installed although the complaint filed in the suit makes no mention of a failure to warn. On appeal that issue has been expanded to include failure to provide adequate instructions on installation to its dealers, failure to make certain its dealers were adequately trained to install the products properly and failure to warn by a label on the furnace that if the customer “sensed anything unusual about the operation of the furnace” he or she should immediately call a service representative. Since those issues were not raised in the trial court they cannot now be asserted in the appeal from summary judgment. Stratton v. Inspiration Consolidated Copper Co., 140 Ariz. 528, 683 P.2d 327 (App.1984). We note, however, that even if we were to consider those issues, we would still find that the Raschkes presented no evidence to support those allegations.
With regard to the contention that Carrier failed to warn of the likelihood of danger from improper installation, a manufacturer has a duty to warn if, without the warning, the product would be “in a defective condition unreasonably dangerous to the user or consumer____” Restatement (Second) of Torts § 402A (1965); Shell Oil Co. v. Gutierrez, 119 Ariz. 426, 581 P.2d 271 (App.1978). The evidence was that the furnaces themselves operated properly; there was no indication they were unreasonably dangerous without the warning. Instead, the evidence showed the only problem was the improper installation in failing to provide for fresh air.
Additionally, the failure to warn was not the proximate cause of the incident. The Raschkes testified they immediately called the gas company and then a service man the first time they smelled fumes. That is all a warning label on the furnaces would have accomplished. They continued to smell fumes intermittently throughout the next ten years but did not have the problem re-evaluated. The evidence showed no proximate cause other than the initial improper installation. See Rogers v. Unimac Co., Inc., 115 Ariz. 304, 565 P.2d 181 (1977).
The Raschkes’ expert stated Carrier should have provided instructions on the proper installation of the furnaces. The Raschkes testified they had nothing to do with the furnace installation but merely moved into the house once it was completed. Thus, installation instructions would have been meaningless to them. No evidence was presented on whether or not installation instructions had been provided. Since, at the time summary judgment was granted, it still had not been conclusively determined exactly who had installed the furnaces, we cannot rule on this issue.
Carrier’s position in this case is similar to that of Coleman Cable in Brown v. Sears, Roebuck & Co., 136 Ariz. 556, 667 P.2d 750 (App.1983). Summary judgment there was affirmed for the manufacturer of an extension cord that had been cut and repaired with tape. The court remarked that every adult must know that such a condition can result in electrical shock. Because the danger was so obvious, the court found there was no duty to warn. Although a gas furnace is a more complicated product than an extension cord, surely every adult knows that adequate ventilation is necessary for its proper operation.
A review of a summary judgment motion requires us to view the facts most favorably to the party against whom judgment was taken. Nicoletti v. Westcor, Inc., 131 Ariz. 140, 639 P.2d 330 (1982). A review of the facts in this case indicates there is no genuine issue as to any material fact and that Carrier was properly entitled to summary judgment. Appellants have not met the requirements of Rule 56(e), Rules of Civil Procedure, 16 A.R.S., having failed to set forth specific facts showing that there is a genuine issue for trial.
Affirmed.
BIRDSALL, P.J., and HOWARD, J., concur.
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OPINION
LIVERMORE, Judge.
Stripped of the rhetoric and invective with which the appellate briefs are filled, the narrow issue in this case is whether the trial judge abused his discretion by dismissing criminal charges with prejudice when, during jury selection of what was anticipated to be a three- to four-month trial, Cochise County announced that it did not intend to pay any furhter defense costs and fees as due or for the foreseeable future.
The state does not contest the power of the trial judge to dismiss. State v. Fendler, 127 Ariz. 458, 622 P.2d 17 (App.1980); State v. Hannah, 118 Ariz. 610, 578 P.2d 1039 (App.1978). Its argument, rather, is that such power cannot be exercised for the reasons stated in this case. First, it suggests that the lawyers should have been ordered to serve without compensation. Second, it argues that under Rule 6.7, Rules of Criminal Procedure, 17 A.R.S., lawyers are not entitled to compensation until the case is completed and that, therefore, dismissal for failure to make periodic payments is prohibited. Finally, it is contended that the trial court abused its discretion by not ordering Cochise County to pay rather than dismissing the prosecutions.
We begin with that which is incontestable; Cochise County was obligated by A.R.S. §§ 13-4011, 13-4013 to pay the costs and fees of the defense. Its refusal to perform that obligation presented the trial judge with a difficult problem. While he had the power to order payment, Alexander v. Deddens, 106 Ariz. 172, 472 P.2d 41 (1970), the position of the county was that it had no money with which to fulfill its statutory obligation and at the same time meet other pressing county needs. Given that position, it was not unfair for the trial judge to assume that a judicial order would be no more availing than a statutory mandate. Neither was it unfair for him to avoid mediating among various calls on the county purse. To forego one possible remedy in these circumstances is not an abuse of discretion. We decline to mandate confrontations between the court and other governmental agencies. Similarly, assuming that a trial judge could order lawyers to serve without compensation, it is not an abuse of discretion not to enter such an order where the statutes plainly provide for payment. Finally, while Rule 6.7 contemplates in the ordinary criminal case that payment will be made after the trial is over, it does not forbid a judicial order for periodic payments when the magnitude of the case so dictates. In any event, the County had anticipatorily repudiated its obligation to pay when the trial was over.
While the technical arguments advanced by the state are not persuasive, we must respond to the intimation that the trial judge thwarted the public’s interest in resolution of the charges against the defendants. It was not the judge that thwarted resolution of the case. Rather, it was the state. The state is constitutionally obligated to fund defense services. It has chosen to fulfill that obligation by imposing it on counties within the state. Such devolution does not, however, end responsibility. The state cannot disclaim its constitutional obligation. That stricture applies with particular force on the facts of this case where the state legislature voted against a special appropriation to cover defense fees and costs.
Having determined that dismissal was not forbidden, we must assess whether the trial judge abused his discretion in finding that the interests of justice required that such dismissal be with prejudice. The state emphasizes in its argument that at the time of dismissal the defendants could establish no prejudice, and that in the absence of such prejudice, State v. Hannah, supra, requires that the dismissal be without prejudice. Ordinarily, we would agree. In this case, however, the trial judge could foresee with certainty a violation of the speedy trial requirements of Rule 8, Rules of Criminal Procedure, 17 A.R.S. Had he continued the case, rather than dismissed it, the time limits of that rule would have passed long before Cochise County was prepared to provide defense services. In these circumstances, where the state or its agencies have failed to fulfill statutory and constitutional obligations, a dismissal under Rule 8 would be with prejudice. State v. Tucker, 133 Ariz. 304, 651 P.2d 359 (1982). Given the contumacy of Cochise County, as the state’s agent, to provide counsel to the defendants, and the resultant certainty of a Rule 8 violation, the trial judge could, in the exercise of his discretion, find that “the interests of justice” required that the dismissal be with prejudice under Rule 16.5, Rules of Criminal Procedure, 17 A.R.S.
We regret the result in this case. We recognize that extraordinarily complicated cases, such as this one, can severely strain resources in rural counties. We can understand, if not approve, Cochise County’s decision that other county needs had to take precedence over the provision of defense services in this case. We also understand the trial judge’s decision to defer to the judgment of the county on the utilization of county resources. The state can avoid the result in this case in future cases by utilizing state funds to pay defense costs or by providing a state public defender to handle those cases beyond the means of rural counties to fund.
The order appealed from is affirmed.
LACAGNINA, J., concurs.
|
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OPINION
MEYERSON, Presiding Judge.
This case presents a previously unconsidered application of Ronquillo v. Industrial Commission, 107 Ariz. 542, 490 P.2d 423 (1971). Petitioner Raul Tyrrell contends that respondent State Compensation Fund cannot invoke the Ronquillo rule against his wishes and thereby deny him the benefit of having his second industrial injury treated as a scheduled injury. Despite our concern that the application of Ronquillo under the facts of this case deprives petitioner of a statutory compensation benefit, we nevertheless conclude that Ronquillo forecloses petitioner’s position. See generally R. Gottsfield, Workmen’s Compensation-Conversion of Scheduled Award to Unscheduled, 6 Ariz. Bar J. 16 (March 1971).
In 1976, Tyrrell received a scheduled permanent disability award of ten percent loss of his second finger of the right hand (Tyrrell suffered no actual earning disability). In 1981, while working for a different employer, Tyrrell suffered an injury to his right eye. The parties stipulated that his uncorrected vision would rate a ninety-seven percent impairment. Tyrrell was able to return to his job with the same company with no loss of earning (actually Tyrrell’s pay increased which was attributed to inflation). Tyrrell’s claim for worker’s compensation benefits was accepted and subsequently closed by the carrier without permanent disability. Tyrrell requested a hearing seeking to have the eye injury treated as a scheduled impairment.
Applying Ronquillo, the administrative law judge concluded that the first disability “unscheduled” the second industrial injury, thereby requiring Tyrrell to demonstrate a reduction in his earning capacity. Because Tyrrell's earnings had not diminished, he probably would not be able to demonstrate any loss of earning capacity and would therefore receive no compensation for the second industrial injury to his eye.
Tyrrell contends that no previous appellate decision has invoked the Ronquillo presumption against the wishes of the injured worker so as to deny him any compensation benefits for his permanent disability. We, too, have been unable to find any such decision. But cf. Hurley v. Industrial Commission, 83 Ariz. 178, 318 P.2d 357 (1957) (worker suffering no loss of earning capacity after second industrial injury failed to rebut the Ronquillo presumption that the first industrially-related scheduled injury disability continued, thus requiring second injury to be unscheduled). Nevertheless, because Ronquillo has been consistently applied so as to require the conclusive presumption of which Tyrrell complains, see, e.g., Cementation Co. v. Industrial Commission, 140 Ariz. 50, 680 P.2d 186 (App.1984), we believe it is up to the Arizona Supreme Court to consider any modification to the Ronquillo rule.
The court’s decision in Ronquillo was based upon the salutary objective of compensating the injured worker for the typical situation in which the combined effect of two injuries reduces earning capacity more than the “sum” of each, injury treated separately. But applying its conclusive presumption may bring about the negative consequence of depriving the injured worker of the benefit of the legislative determination that certain scheduled injuries are also conclusively presumed to reduce earning capacity. This failing in the Ronquillo presumption was foreshadowed by this court in Duron v. Industrial Commission, 16 Ariz.App. 71, 491 P.2d 21 (1971). In that case, we noted that under Ronquillo, “[w]e must also, in the future, ignore the claimant whose second scheduled injury results in no loss of earning capacity by awarding him nothing.” Id. at 73, 491 P.2d at 23.
Tyrrell contends that the option to invoke the Ronquillo presumption is an extension of the most favorable remedy rule. This rule applies within the schedule to permit the highest recovery. See Camis v. Industrial Commission, 4 Ariz.App. 312, 420 P.2d 35 (1966). Some jurisdictions have extended the most favorable remedy rule to allow an option to receive a scheduled as opposed to unscheduled disability. See, e.g., Graham v. Industrial Commission, 93 Ill.2d 54, 66 Ill.Dec. 345, 442 N.E.2d 906 (1982); Turner v. Jones & Laughlin Steel Corp., 479 Pa. 618, 389 A.2d 42 (1978).
The common feature to these applications of the most favorable remedy rule is that the statutory scheme provides parallel benefits. See 2 A. Larson, Workmen’s Compensation Law §§ 58.23,-.25 (1983). Tyrrell asserts that this condition is satisfied because the schedule applies to a permanent eye impairment. This argument, however, ignores A.R.S. § 23-1044(E). Under this section, the existence of a prior scheduled injury requires that as a matter of law the succeeding injury be treated as unscheduled. See Van Sickle v. Industrial Commission, 121 Ariz. 115, 588 P.2d 857 (App.1978). Thus, under such circumstances, it cannot be said that Arizona law applies parallel remedies.
For the foregoing reasons, the award is affirmed.
GRANT, J., concurs.
|
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GORDON, Vice Chief Justice.
A jury convicted defendant, Ivan Jean Salazar, of dangerous or deadly assault by a prisoner. A.R.S. § 13-1206. Pursuant to the version of A.R.S. § 13-1206 in effect at the time of the crime, the trial court sentenced defendant to life imprisonment without possibility of any release for twenty-five years. See State v. Gonzales, 141 Ariz. 512, 687 P.2d 1267 (1984).
Defendant and Daniel Eastman were cellmates at the Maricopa County Jail. They were housed in an area of the jail reserved primarily for prisoners with emotional problems. Around 4:30 a.m. June 25, 1983, defendant and Eastman were observed in their cell behaving normally. A little after 4:30, a guard heard a suspicious noise in the jail but found nothing upon investigation. At about 5:00 a.m., Eastman was found in the cell with blood on his face. In addition, blood was found on the upper and lower bunks, the cell floor and bars, and in the toilet. The only people in the cell were defendant and Eastman, and no other prisoner could gain access to the cell.
Eastman, 71 years old, was five feet six inches tall and weighed 124 pounds. After he was removed from the cell, it was discovered that he had suffered a concussion from several blows to his head. His left wrist and some ribs were fractured. After spending some days in the hospital, Eastman died of bronchopneumonia, a complication from the broken ribs.
At the time of the incident, defendant was 28 years old, five feet eleven inches tall, and weighed 164 pounds. After he was taken from the cell, detention officers observed blood on his fingers, a bruise on one hand, and a slight cut on the other.
At trial, the state argued that circumstantial evidence showed that defendant assaulted Daniel Eastman causing his eventual death. Defendant, however, maintained that he was insane, or, alternatively, that he acted in self-defense. Defendant raises one issue on appeal.
Defendant argues that trial counsel was ineffective, thus denying defendant a fair trial. We have recently outlined the applicable Arizona test in this area. State v. Gerlaugh, 144 Ariz. 449, 698 P.2d 694 (1985). In deciding whether trial counsel was ineffective and whether such ineffectiveness warrants a new trial, this court applies a two-pronged test: 1) was counsel’s performance reasonable under all the circumstances, i.e. was it deficient? State v. Nash, 143 Ariz. 392, 694 P.2d 222 (1985) (applying to cases tried or pending on appeal on or after January 9, 1985, State v. Gerlaugh, supra); and 2) was there a “reasonable probability that but for counsel’s unprofessional errors, the result of the proceeding would have been different,” the prejudice requirement. State v. Lee, 142 Ariz. 210, 214, 689 P.2d 153, 157 (1984) (quoting Strickland v. Washington, 466 U.S. 668, -, 104 S.Ct. 2052, 2068, 80 L.Ed.2d 674, 698 (1984)) (applied retroactively to cases after State v. Watson, 134 Ariz. 1, 653 P.2d 351 (1982)). Our test for effectiveness of counsel conforms to the standard announced in Strickland v. Washington, supra.
In deciding an ineffectiveness claim, this court need not approach the inquiry in a specific order or address both prongs of the inquiry of the inquiry if the defendant makes an insufficient showing on one. Strickland v. Washington, supra.
“In particular, a court need not determine whether counsel’s performance was deficient before examining the prejudice suffered by the defendant as a result of the alleged deficiencies. The object of an ineffectiveness claim is not to grade counsel’s performance. If it is easier to dispose of an ineffectiveness claim on the ground of lack of sufficient prejudice, which we expect will often be so, that course should be followed. Courts should strive to ensure that ineffectiveness claims not become so burdensome to defense counsel that the entire criminal justice system suffers as a result.”
Strickland v. Washington, supra, 466 U.S. at -, 104 S.Ct. at 2069-70, 80 L.Ed.2d at 669.
In the instant case, we deem it appropriate to apply the prejudice component first. Thus, assuming arguendo that counsel’s performance was ineffective, we examine whether there was a reasonable probability that but for counsel’s unprofessional errors, the result of the proceeding would have been different. State v. Lee, supra.
We think not. Considering the totality of the evidence before the jury, see Strickland v. Washington, supra, we do not believe counsel’s alleged errors would have affected the result of the proceeding. First, the circumstantial evidence overwhelmingly shows that Daniel Eastman was assaulted in his cell, and that defendant was the only person who could have committed the crime. Defendant and Eastman were alone in a locked cell. A half hour before Eastman was found beaten, both defendant and Eastman were observed in the cell behaving normally. Eastman sustained serious injuries to his head, wrist, and ribs. It is highly unlikely that these injuries could have been self-inflicted. The much younger and stronger defendant was found with blood on his fingers and only slight wounds to his hands. Such injuries strongly indicate that defendant was beating Eastman. Thus, the circumstantial evidence not only shows that defendant attacked and beat Eastman, but it also tends to negate the possibility of self-defense.
Second, the evidence overwhelmingly shows the defendant’s legal sanity at the time of the crime. Defendant’s own expert could only testify that it was his “educated guess" that defendant was suffering from a major mental disorder at the time of the crime. The witness, however, could not be “100% sure” of this diagnosis. The balance of the expert testimony indicated that though antisocial, defendant was legally sane at the time of the crime. By far, the most convincing evidence came through the testimony of Dr. Bancroft Brooks, who had years of exposure to defendant in the New Mexico State Hospital. Brooks testified that defendant had an antisocial personality and a serious drug problem but that he was not legally insane. Dr. Brooks also stated that defendant was “malingering” or faking his insanity. This diagnosis was substantially confirmed by three other experts.
In reviewing the evidence in an ineffectiveness of counsel case, we must, of course, be cognizant that some of counsel’s errors can affect the state of the evidence before us.
“Some errors will have had a pervasive effect on the inferences to be drawn from the evidence, altering the entire evidentiary picture, and some will have had an isolated, trivial effect. Moreover, a verdict or conclusion only weakly supported by the record is more likely to have been affected by errors than one with overwhelming record support. Taking the unaffected findings as a given, and taking due account of the effect of the errors on the remaining findings, a court making the prejudice inquiry must ask if the defendant has met the burden of showing that the decision reached would reasonably likely have been different absent the errors.”
Strickland v. Washington, supra, 466 U.S. at -, 104 S.Ct. at 2069, 80 L.Ed.2d at 698.
Defendant has pointed to numerous instances of alleged ineffective assistance of counsel, but we do not think these alleged errors substantially affected the record before us. In his most serious allegation, defendant points to trial counsel’s cross-examination of Dr. Brooks. We agree that this cross-examination was unartful. Counsel asked Dr. Brooks numerous open-ended questions allowing Dr. Brooks to ramble and explain in detail why he thought defendant was legally sane. Nevertheless, Dr. Brooks’ testimony on direct examination was damaging to defendant’s case, and his statements on cross-examination did not substantially add to this damage. Counsel’s cross-examination could have been better, but in view of the strong evidence of defendant’s sanity, we cannot say the record before us was affected. Furthermore, as the jury’s verdict was strongly supported by the evidence, it is not likely that any of counsel’s other less serious alleged errors could have had a substantial effect on the record before us.
As defendant has failed to show that the alleged ineffective assistance of trial counsel caused any prejudice, we need not reach the performance question. Pursuant to A.R.S. § 13-4035, we have searched the entire record for fundamental error and have found none. The judgment of conviction and sentence imposed are affirmed.
HOLOHAN, C.J., and HAYS, CAMERON and FELDMAN, JJ., concur.
|
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OPINION
LIVERMORE, Judge.
Defendant, convicted of possession of marijuana, raises two issues on appeal concerning the propriety of the search leading to the discovery of the marijuana. The first, that the affidavit in support of the application for a warrant did not demonstrate probable cause and that the failure to raise that issue constituted ineffective assistance of counsel, is without merit. The affidavit recited firsthand recent knowledge of marijuana on the premises to be searched by an informer of demonstrated credibility. This satisfies the rigid test of Spinelli v. United States, 393 U.S. 410, 89 S.Ct. 584, 21 L.Ed.2d 637 (1969), as well as the more relaxed standard of Illinois v. Gates, 462 U.S. 213, 103 S.Ct. 2317, 76 L.Ed.2d 527 (1983). Beyond that, because the executing officers were acting in good faith reliance on a warrant, issued by a judicial officer, exclusion would not be an appropriate remedy. United States v. Leon, — U.S. -, 104 S.Ct. 3405, 82 L.Ed.2d 677 (1984).
Defendant’s second issue relates to the manner of execution of the warrant. The trial court found that the officers, after knocking at the door of the house to be searched and announcing their authority and purpose, did not wait a “significant period of time” before entering. The court also found that the officers had the good faith belief that “the occupants were aware of their presence and identity” and that entry was necessary “to protect against a possible loss of evidence.” The evidence on which these findings rest were that someone at the window of the house could see the officers approaching (that they were seen was confirmed by a witness within the house), that that person could have opened the door immediately, that the officers waited five to ten seconds after knocking and announcing before entering, and that they entered only after hearing “rustling” movements within.
Defendant contends that this evidence is insufficient to show that the officers were refused admittance or received no response within a reasonable time so as to permit entry under A.R.S. § 13-3916(B). In State v. Dixon, 125 Ariz. 442, 610 P.2d 76 (App. 1980), also a narcotics search case where destruction of evidence is always a risk, we held otherwise. We there stated:
“What constitutes a reasonable time depends on the circumstances of each case. State v. Bates, 120 Ariz. 561, 587 P.2d 747 (1978). Here, the police were observed by someone in the mobile home when they knocked and announced their purpose. They entered the trailer a few seconds later, after hearing scurrying noises inside. Since the police gave the requisite notice, received no answer even though they had been observed, and heard sounds which militated against delay, their entry was justified.” Id. at 444, 610 P.2d at 78.
See also United States v. Wysong, 528 F.2d 345 (9th Cir.1976).
Even had there been a violation of the knock and announce rule, defendant would have no standing to assert it because, though he was a resident of the house, he was not present when the warrant was executed. Only one whose own rights have been violated may seek the remedy of exclusion. Rakas v. Illinois, 439 U.S. 128, 99 S.Ct. 421, 58 L.Ed.2d 387 (1978). “The right which knock and announce rules provide occupants is the right to be warned that their privacy is about to be legally invaded.” State v. Sanchez, 128 Ariz. 525, 528, 627 P.2d 676, 679 (1981) (emphasis added). Also important are avoidance of violent confrontations attendant to unannounced entries, prevention of destruction of property, and preventing unexpected exposure of private activities. State v. Sanchez, supra; State v. Wright, 131 Ariz. 578, 643 P.2d 23 (App.1982). Entry through an unlocked door involves no destruction of property. While those present may have felt their privacy unjustifiably invaded and while the entry may have heightened the risk of violent confrontation, only those present would have rights that would be violated. One not present at the entry would lose nothing. No rights of the defendant having been invaded, he has no standing to assert the illegality of the entry. See United States v. DeLutis, 722 F.2d 902 (1st Cir.1983).
The judgment and sentence are affirmed.
HATHAWAY, P.J., and LACAGNINA, J., concur.
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OPINION
HOWARD, Judge.
Appellant was indicted on a charge of first-degree murder and on two counts of child abuse. The victims were the children of appellant’s live-in girlfriend. Steven, 18 months old, died of his injuries. “Junior”, 2 years old, survived. With respect to Steven, a jury found appellant guilty of manslaughter, a class 3 felony, and of reckless child abuse, also a class 3 felony. With respect to Junior, the jury convicted appellant of negligent child abuse, a class 6 felony. The court sentenced appellant to the presumptive 5 years in prison on each offense for the manslaughter and child abuse of Steven, to run concurrently, and to the presumptive 1.5 years for the abuse of Junior, to be served consecutively to the two concurrent 5-year terms. Our disposition of this appeal turns upon the admissibility of certain out-of-court statements made by appellant, by Junior, and by the victims’ sister and father. We affirm but remand for resentencing because the trial court failed to state its reasons for imposing consecutive sentences.
At the time of the incidents, appellant’s girlfriend and her three children had lived with appellant for approximately 5 months. A babysitter cared for the children during the day while both adults were away at work. Appellant was alone with the children each night until after midnight while their mother worked a second job as a cocktail waitress. On the evening of November 5, 1982, appellant was alone in his mobile home with the three children. Shortly after midnight on November 6, 1982, paramedics responded to a call at appellant’s trailer and discovered appellant kneeling in the open doorway of his home attempting to resuscitate the dying Steven, who exhibited a distended belly, extremely pale skin, and agonal breathing. When asked briefly what had happened, appellant told the paramedics that the baby had suffered a seizure or convulsion of some kind. Although resuscitation efforts continued while the baby was being transported to the hospital and for a time thereafter, the child was pronounced dead approximately one hour after his arrival at the hospital. An autopsy later revealed a total of 26 small injuries, mainly recent bruises, all over the child’s body. All appeared to have been inflicted simultaneously and some looked like the imprints of human fingers or knuckles. Most of the bruises were in areas where they would not be expected to be found from accidental injuries. There was an injury to the upper lip consistent with being punched. The actual cause of death was tears in certain internal organs which caused such massive bleeding that half the child’s total blood supply had accumulated in the abdomen. The time of infliction of the injuries was estimated at between one and four hours before death. The severe internal injuries were consistent with being kicked.
When resuscitation efforts failed, medical personnel notified police that they had a case involving an unknown cause of death. After calling in the identification unit to photograph the child’s body, and after making certain inquiries at the hospital, police officers Cormier and Batelli drove to appellant’s trailer to further investigate Steven’s death and to check on the welfare of the other children. When they arrived, the officers knocked on the door and found that appellant had returned from a brief visit to the hospital emergency room and was again alone with the remaining children. Appellant consented to having them enter to talk about Steven’s death. In the living room, Officer Cormier initiated a dialogue with appellant while Officer Batelli moved to another part of the dwelling to see about the children — Junior and his older sister Mamie. In response to Officer Cormier’s inquiry about what had happened to Steven, appellant stated that from the living room, at a late hour, he had heard the baby squirming or choking in the bedroom, and that when he went to check he saw that the child had stopped breathing. He then allegedly carried the child out to the hallway and into the living room, tripped and fell, but twisted his body before striking the floor so as to fall under the baby rather than on top of him.
While appellant was relating his story to Cormier, Batelli was in the bedroom with Mamie and Junior, speaking with Junior about several bruises he observed on the boy’s body. Junior told the officer that appellant had hit him with a belt, and pointed to a belt hanging on the wall nearby. Batelli then called by portable radio for Sergeant Perez, his supervisor, to respond to appellant’s address. When Batelli returned to the living room he asked appellant about Steven’s death and was told essentially the same story that appellant had told to Cormier. Batelli then asked appellant about Junior’s bruises. Appellant stated that he had struck Junior with the belt two days earlier and that he had lost his temper but had “caught himself.” At some point during that conversation, Sergeant Perez arrived. Eventually, Sergeant Perez decided to arrest appellant for child abuse regarding Junior. Until the arrest, none of the officers had informed appellant of his Miranda rights.
PRELIMINARY DISCUSSION
Before we discuss the hearsay statements, some observations are in order. In the trial court, appellant’s objections to the statements were confined to his contention that they were hearsay, although he did object that his right to confrontation was being violated when the state offered the testimony of the two-year-old Junior. Appellant has not raised a denial of his confrontation rights as an issue on appeal. The right to object to testimony which violates the right of confrontation guaranteed by the Sixth Amendment to the United States Constitution can be waived by failure to object, and we shall not address the confrontation issue sua sponte as fundamental error. See State v. Viertel, 130 Ariz. 364, 636 P.2d 142 (App.1981). However, it is evident from this case, and from others which have come before us that there currently is confusion in the minds of some attorneys and members of the judiciary relative to the interplay between the exceptions to the hearsay rule and the Sixth Amendment right to confrontation. The fact that certain evidence meets a firmly rooted hearsay exception does not and we stress does not, mean that the Sixth Amendment right to confrontation is satisfied. This is the lesson to be learned from Ohio v. Roberts, 448 U.S. 56, 100 S.Ct. 2531, 65 L.Ed.2d 597 (1980). We quote from the pertinent part of the opinion:
“The Confrontation Clause operates in two separate ways to restrict the range of admissible hearsay. First, in conformance with the Framers’ preference for face-to-face accusation, the Sixth Amendment establishes a rule of necessity. In the usual case (including cases where prior cross-examination has occurred), the prosecution must either produce, or demonstrate the unavailability of, the declarant whose statement it wishes to use against the defendant. [Citations omitted.]
The second aspect operates once a witness is shown to be unavailable. Reflecting its underlying purpose to augment accuracy in the factfinding process by ensuring the defendant an effective means to test adverse evidence, the Clause countenances only hearsay marked with such trustworthiness that ‘there is no material departure from the reason of the general rule.' [Citation omitted.] The principle recently was formulated in Mancusi v. Stubbs: [408 U.S. 204, 92 S.Ct. 2308, 33 L.Ed.2d 293 (1972) ]
‘The focus of the Court’s concern has been to insure that there “are indicia of reliability which have been widely viewed as determinative of whether a statement may be placed before the jury though there is no confrontation of the declarant,” [citation omitted] and to “afford the trier of fact a satisfactory basis for evaluating the truth of the prior statement,” [citation omitted]. It is clear from these statements, and from numerous prior decisions of this Court, that even though the witness be unavailable his prior testimony must bear some of these “indicia of reliability.” ’ [Citation omitted.]
The Court has applied this ‘indicia of reliability’ requirement principally by concluding that certain hearsay exceptions rest upon such solid foundations that admission of virtually any evidence within them comports with the ‘substance of the constitutional protection.’ [Citation omitted.] This reflects the truism that ‘hearsay rules and the Confrontation Clause are generally designed to protect similar values,’ [citation omitted] and ‘stem from the same roots,’ [citation omitted]. It also responds to the need for certainty in the workaday world of conducting criminal trials.
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.” 100 S.Ct. at 2538-39.
We must add in the way of further explanation, as Ohio v. Roberts points out, that unavailability is not necessary to satisfy the Sixth Amendment right to confrontation when the utility of trial confrontation is remote. See Dutton v. Evans, 400 U.S. 74, 91 S.Ct. 210, 27 L.Ed.2d 213 (1970). We note that the record here does not disclose that either Junior, Mamie, or Charles Johnson was unavailable for trial. We further observe that unavailability implies a good faith effort to locate the witness. Of course, if the state makes the witness available to the defendant for cross-examination, there is no longer any confrontation problem. We now address the issues that were presented to us.
THE MIRANDA ISSUE
Appellant argues that because the inquiry was focused and because appellant was the only logical suspect with respect to both incidents, failure to inform him of his rights resulted in reversible error when the trial court allowed his statements into evidence. We do not agree. Miranda warnings become a requirement only when a defendant is in custody or in fact is not free to leave the place of interrogation, State v. Hatton, 116 Ariz. 142, 568 P.2d 1040 (1977) and the circumstances of each case determine whether an individual is in custody for purposes of administering Miranda warnings. State v. Cruz-Mata, 138 Ariz. 370, 674 P.2d 1368 (1983). Three objective indicia of custody must be considered: the site of the questioning, whether objective indicia of arrest are present, and the length and form of the interrogation. State v. Cruz-Mata, supra. The Cruz-Mata court rejected the “focus of the inquiry” factor.
Generally, interrogating a person in his home does not create the type of atmosphere to be held of doubtful validity, especially when the questioning is investigatory rather than accusatory. State v. Hatton, supra. The record shows that the officers were merely asking appellant for any information that he might have had concerning the death of Steven and the bruises on Junior’s body, and not that they were openly accusing appellant of having inflicted any of the injuries. In fact, appellant was not arrested for any offense involving the deceased until later, when the medical examiner determined that death had resulted from massive internal bleeding as a result of severe blunt force blows to the abdominal area. Appellant consented to the officers’ entry into his home and supplied an account of the circumstances of Steven’s death and of the source of Junior’s bruises without being accused of culpability in either case. We do not believe that either the site of the questioning or the form of the questioning had the objective indicia of arrest.
Further, appellant was not subjected to, or threatened with, any form of physical restraint; no handcuffs were used nor was a weapon drawn. As to the length of the questioning, no protracted' interrogation took place. The officers testified that their dialogues with appellant lasted no more than fifteen or twenty minutes. Much longer periods of interrogation have passed scrutiny under this test. See State v. Cruz-Mata, supra. We see no error in the court’s admission of appellant’s statements.
JUNIOR’S STATEMENTS TO POLICE
Appellant argues that the statements made by the two-year-old Junior to Officer Batelli during the initial investigative visit to the mobile home were hearsay and were improperly admitted by the trial court. We agree, but we find that the error was harmless and does not require the reversal of appellant’s convictions.
The following testimony by Batelli was admitted over defense counsel’s objection:
“I asked the child if he had any bruises on his body and he stated he did and he then showed me the bruises____
******
After I looked at all of the bruises on the child’s body I asked him how he received the bruises and he stated, Jay hit me. I then asked him when did Jay him him and he told me that Jay hits them after his mother leaves.
I asked him what Jay hit them with and he stated the belt. I asked him where the belt was and he showed me the belt hanging on the wall by the entrance to their bedroom.” (Emphasis added)
The statements by Junior that “Jay hit me” and “Jay hits them” do not fall within any hearsay exception. Rules 803(1) and (2), present-sense impression and excited utterance require, respectively, immediacy or speech under the stress of nervous excitement. State v. Barnes, 124 Ariz. 586, 606 P.2d 802 (1980). There is no indication that Junior, though of tender years, was anything but matter-of-fact in his statements to Batelli. Nor is there any evidence that his remarks were tied to a very recent event.
The test for determining harmless error is “whether there was reasonable probability ... that a verdict might have been different had the error not been committed.” State v. Williams, 133 Ariz. 220, 225, 650 P.2d 1202, 1207 (1982) (quoting State v. McVay, 127 Ariz. 450, 453, 622 P.2d 9, 12 (1980). Disregarding Junior’s statement, potent evidence remained to convict appellant of abusing that child. Photographic evidence showed bruises and welts on Junior’s body. Appellant admitted that he had struck Junior two days earlier and that he had lost his temper but “had caught himself.” Although an accused may not be convicted on his own uncorroborated confession, only a reasonable inference of the corpus delicti need exist before a confession may be considered. State v. Gillies, 135 Ariz. 500, 662 P.2d 1007 (1983). We believe that the photographs showing multiple bruises on Junior’s back and thigh in a pattern consistent with the belt’s impact are sufficient to establish the corroboration needed to consider appellant’s own statement. The corroborating confession is more than enough for a jury to convict, and we see no reasonable probability that but for Junior’s statements the verdict might have been different. We therefore affirm the child abuse conviction involving Junior.
Similarly, we find the error harmless with respect to appellant’s convictions for the child abuse and manslaughter of Steven. Appellant’s account to the police of the baby’s traumatic injuries included an admission that appellant was involved, although allegedly only as a result of tripping and falling. The expert medical testimony, however, clearly established that the nature of the injuries was such that they could only have been caused by deliberate blows involving major force, and did not have the implausible origin which appellant’s story suggested. Appellant’s acknowledgment that he was responsible in some manner for the injuries and the overwhelming expert medical testimony that the fatal injuries were deliberately inflicted more than justify the jury’s verdicts against appellant. Error does not require reversal if an appellate court can say beyond a reasonable doubt that it had no influence on the verdict. State v. Adamson, 136 Ariz. 250, 665 P.2d 972 (1983), cert. denied, 464 U.S. 865, 104 S.Ct. 204, 78 L.Ed.2d 178; State v. McVay, supra. The jury would have found appellant guilty of manslaughter and child abuse without Junior’s testimony.
HEARSAY STATEMENTS ADMITTED AS PART OF DR. MARSHALL’S TESTIMONY
A. Statement by the child’s natural father.
At the hospital, after resuscitation efforts were abandoned, one of the emergency room doctors spoke with Steven’s natural father, Charles Johnson. Johnson told either Dr. Marshall or Dr. Recheske “that the children had had bruises on them at previous times.” This statement, in the form of testimony by Dr. Marshall, was admitted over appellant’s objection. Appellant urges that this hearsay is not admissible under Rule 803(4), Rules of Evidence, 17A A.R.S. We disagree. The exception applies to:
“Statements made for purposes of medical diagnosis or treatment and describing medical history, or past or present symptoms, pain, or sensations, or the inception or general character of the cause or external source thereof insofar as reasonably pertinent to diagnosis or treatment.” (Emphasis added)
Johnson’s statement describing past symptoms was clearly pertinent to the doctors’ diagnosis of the general character of the cause and external source of Steven’s injuries because the information was consistent with trauma rather than disease.
B. Statement by the deceased’s sister, Mamie.
Dr. Marshall also testified that he had seen Steven at the hospital on another occasion a few months earlier. The baby was treated at that time for a laceration above the left eye. Hospital personnel were apparently told that the child had accidentally fallen off a chair while eating and had struck his head on the table. However, Dr. Marshall further testified that in the hospital waiting room Steven’s sister Mamie had told the parent of another child that Steven had been hit by appellant and that the hitting had occurred more than once. Dr. Marshall testified that although he did not rely on the statement in treating Steven’s cut, the hospital alerted Child Protective Services of possible child abuse at that time, based on Mamie’s statement, and he later relied on the statement in an attempt to diagnose Steven’s fatal injuries. Appellant contends that the portion of the doctor’s testimony which related Mamie’s statement to the jury was hearsay not within any exception and as such was improperly admitted. We agree.
Mamie’s statement involves multiple levels of hearsay. The witness, Dr. Marshall, testified that he had either read it in hospital records or heard it from another doctor, who had heard it from the parent of another patient, who had heard it from Mamie herself. Rule 803(4) is clearly inapplicable here because the statement was not made to medical personnel for purposes of medical diagnosis or treatment, although it may later have been relayed to them by others for those purposes. Assuming arguendo that the statement had been made to medical personnel, the fact that it consisted of an express assignment of fault excludes it under our holding in State v. Reidhead, 146 Ariz. 314, 705 P.2d 1365 (1985).
The state offers an array of additional exceptions to the hearsay rule in its attempt to account for each step in the hearsay chain, including family history under Rules 803(19) and 804(b)(4), present-sense impression under Rule 803(1), excited utterance under 803(2), public records and reports under 803(8)(B), and basis of expert opinion testimony under Rule 703. Of these only the last merits consideration.
The state urges that under 703 Mamie’s statement was properly admitted through Dr. Marshall’s expert testimony as a basis for the formation of his opinion. We disagree. Rule 703 provides:
“The facts or data in the particular case on which an expert bases an opinion or inference may be those perceived by or made known to him at or 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.”
Dr. Marshall, a pediatrician and “expert” on child abuse, testified that when he treat ed Steven for a lacerated forehead three or four months prior to the baby’s death he did not rely on Mamie’s statement. Instead he decided that the injury was accidental. Although the hospital reported the statement to Child Protective Services, as required by law, the medical diagnosis was not that of child abuse because the nature of Steven’s injury appeared to be inconsistent with Mamie’s statement. Months later, however, on the morning of Steven’s death, Dr. Marshall did consider the statement as a factor in evaluating possible causes of Steven’s extensive injuries. On cross-examination he emphasized that child abuse “was the number one diagnosis that we had in our mind [sic] as we left the emergency room that day.”
Unlike a lay witness, an expert witness is allowed to testify to facts or data not admissible in evidence, Continental Bank v. Wah-Ho Truck Brokerage, 122 Ariz. 414, 595 P.2d 206 (App.1979), if such supportive factual material is of a type reasonably relied upon by experts in the formation of an opinion. State v. Rupp, 120 Ariz. 490, 586 P.2d 1302 (App.1978). We do not believe that the prosecution should be allowed to circumnavigate the requirements of Rule 803(4) and State v. Jeffers, 135 Ariz. 404, 661 P.2d 1105 (1983), by the simple expedient of qualifying the doctor as a “child abuse expert.” All doctors are potential “child abuse experts”, and allowing guilt assessment statements to be admitted through the back door of Rule 703 would mean the unwarranted creation of a special “child abuse” exception to Rule 803(4) and State v. Jeffers, supra. The potentially devastating effect of such guilt assessment statements calls for the application of Rule 403, Rules of Evidence, 17 A A.R.S. The danger of unfair prejudice substantially outweighs the probative value, and the trial court should have prevented Dr. Marshall from testifying as to Mamie’s statement.
We nevertheless find harmless the erroneous admission of Mamie’s statement for the reasons previously set forth in considering the effect of Junior’s statements on appellant’s conviction for child abuse and reckless homicide. Even when we consider the cumulative effect of the admission of Junior’s and Mamie’s statements, we find beyond a reasonable doubt that had the jury not heard them the verdict would still have been the same.
RESENTENCING
A.R.S. § 13-708 provides that if the court pronounces consecutive sentences it must set forth in the record its reasons for such sentencing. The trial court in this case did not do so. Accordingly, we vacate the sentences and remand for resentencing. See State v. Sanchez, 130 Ariz. 295, 635 P.2d 1217 (1981).
The convictions are affirmed and the cause is remanded for resentencing.
BIRDSALL, P.J., and FERNANDEZ, J., concur.
. This does not mean that the doctor could not have used the statement in coming to his conclusion. Furthermore, should defense counsel, in his cross-examination of a doctor, "open the door", for example, by pressing the doctor on the facts he used in arriving at his opinion, such testimony might be admissible.
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OPINION
FROEB, Judge.
This is a negligence action to recover damages for injuries sustained by David Markowitz (hereafter referred to as plaintiff) when he dove into shallow waters of Lake Havasu. Plaintiff was 16 years old when the accident occurred on June 21, 1975, and was under 18 when the action was begun on his behalf by Ruth Markowitz, his mother.
The suit was brought against defendants Arizona Land Department, Arizona Parks Board and the State of Arizona (hereafter collectively referred to as “the State”). Suit against Joe T. Fallini, Commissioner of the Arizona Land Department, and Michael Ramnes, Director of the Arizona Parks Board, was earlier dismissed and the resulting judgment is not now before the court.
The State moved for and was granted summary judgment from which plaintiff and his mother now appeal.
Plaintiff sustained paralyzing injuries when his head struck a ledge or sandbar in the edge waters of Lake Havasu after he dove off a cliff on the shore. His complaint alleged that the State was negligent in failing to warn him of the dangerous conditions existing at the lake. The State moved for summary judgment on the ground that it owed plaintiff no duty to warn him of the danger of diving and that, even if it did, the -failure to warn was not a proximate cause of his injuries.
The facts are taken from plaintiff’s deposition. In June of 1975, plaintiff joined a friend and his family on a water skiing trip to Lake Havasu. From a campsite at the water’s edge known as “Three Dunes,” plaintiff and his companions spent two days water skiing and camping. At about 7:00 P.M., on the evening of June 21st, plaintiff went with his friends to a secluded cove located approximately sixty yards from the campsite, but hidden from view by the contour of the shoreline. The existence of the cove was previously unknown to plaintiff and had only been discovered by some of his companions earlier that day. When plaintiff arrived at the cove, he saw approximately fifteen people diving and swimming in the area. The waters of the cove reached to the base of a cliff from which plaintiff’s companions had earlier in the day been diving. Access to the diving spot was via a path up the back of the cliff which plaintiff described as “well worn”. Without spending any time in the waters below the cliff, plaintiff proceeded up the path to the diving spot. From the top he watched one of his companions complete her dive and swim away unharmed. Plaintiff surveyed the water below, but because of fading light could not see below the surface. Taking a trajectory different from that of the first diver, plaintiff dove into the water, striking his head on a shallow ledge or sandbar beneath the surface. Plaintiff did not know the ledge or bar was there. It appears that had his dive been further out into the cove, he would have reached deep water. There were no signs posted anywhere near the cove prohibiting diving or warning of potential dangers. Nor were he or his companions given any warning when they entered the park. There is no evidence that the State or any of its personnel were aware that visitors to the park dove from the cliff into the water.
Plaintiff described himself as a “very good swimmer” and stated that he was aware of the risks of diving into unknown waters. He stated that he knew one should check the diving area by wading into it to determine the depth, but said that he assumed it was safe because of the number of people diving and swimming and the existence of the path.
Although summary judgment is not frequently granted in negligence cases, it is appropriate when the record demonstrates that there are no material issues of fact and that the moving party is entitled to judgment as a matter of law. Nicoletti v. Westcor, Inc., 131 Ariz. 140, 639 P.2d 330 (1982). The material facts earlier set forth are not in dispute, and we do not find any disputed factual inferences arising from the undisputed facts in this case. Rather, the legal conclusions to be drawn from these facts are the matters in actual dispute and they are properly resolved by the court as questions of law. Bennett v. Estate of Baker, 27 Ariz.App. 596, 557 P.2d 195 (1976).
DUTY TO WARN
To succeed in establishing liability against the defendant State, it is well settled in Arizona that the plaintiff must prove the elements of an action for negligence which are “a duty owed to the plaintiff, a breach thereof and an injury proximately caused by the breach.” Wisener v. State, 123 Ariz. 148, 598 P.2d 511 (1979).
The traditional point of departure for establishing liability has always been an inquiry into whether the defendant owed a duty of care toward the plaintiff in the given factual setting. Whether a duty exists upon which a party harmed may recover for negligence is a question of law for decision by the court. Barnum v. Rural Fire Protection Co., 24 Ariz.App. 233, 537 P.2d 618 (1975). If this were not so, everyone would be potentially liable to everyone else who has suffered accidental injury, the only question being whether the cause is proximate.
We approach the question of the duty of the State in a negligence case as we would the duty of an individual, a principle now well established in Arizona. Ryan v. State, 134 Ariz. 308, 656 P.2d 597 (1982); Wisener v. State. Thus, in this case, we must contemplate the possession of 45 miles of shoreline and 13,000 plus acres of undeveloped land as though held in possession by an individual but at the same time open to the public for use as a park. There is no dispute that members of the public, including the injured plaintiff, were permitted freely to enter upon the lands and waters of Lake Havasu Park and to use its resources for recreation. As such, they are classified as “invitees” for purposes of tort law. There is no dispute about this in the present case.
In considering the duty of the State, it is necessary to give some perspective to the physical and geographical circumstances involved. Lake Havasu Park is not a small, confined area with supervised facilities for campers and picnickers, constantly within view of park rangers and supervisory per sonnel. The area is essentially undisturbed and unimproved rolling desert terrain down to the water’s edge. The State Parks publication describes it as follows:
LAKE HAVASU State Park is an unlikely meld of opposites — stark desert mountains meeting brilliantly blue water along 45 miles of shoreline to create a unique recreational world. The park extends from the Bill Williams River to Lake Havasu City and consists of 13,000-plus acres.
The general area where the diving accident occurred is described in the publication as follows:
Cattail Cove Unit: is 23 miles north of Parker on Ariz. 95 where it provides boat access and camping. Besides the launch ramp, facilities include showers and tent and camper sites with water and electricity provided ($2.25). One hundred boat camps dot the shoreline for several miles north and south of the Cove. They are accessible by water only and usually have pit toilet, table and firepot provided ($1.00). By land, nearest services are Parker Strip or Lake Havasu City; by water, Black Meadows across the lake or Havasu Springs seven miles south.
The cove and cliff from which the plaintiff dove are not particularly distinguishable from other areas of the lakeshore.
Lake Havasu Park is not unlike many natural areas in Arizona where matters of personal safety must necessarily be left to the individual since there are no other reasonable means of protection. In this sense, Lake Havasu Park is very much like other public lands which are open to the public, such as national forest land, national park land, federal lands managed by the Bureau of Land Management and various state lands. This varied, undeveloped natural environment, always inviting but often dangerous, accounts for more than 75% of the geographical area of the State and is open to the public. The waiting dangers are too numerous to set forth on any list of warnings or written precautions. If a duty on the part of federal or state government to take steps directed toward the safety of the public as it encounters the natural environment were to exist, it is difficult to say where it would start and where it would end.
The issue of a land possessor’s duty of care is intertwined with the nature of the use. Recently, the Arizona Supreme Court held that a fall from a step in an automobile service station raised factual issues over whether the condition was open and obvious to the plaintiff, and, if so, whether the station owner should have anticipated the harm in any event. Tribe v. Shell Oil Co., Inc., 133 Ariz. 517, 652 P.2d 1040 (1982). The court found the duty of care set forth in Restatement (Second) of Torts §§ 343 and 343A to be applicable:
§ 343. Dangerous Conditions Known to or Discoverable by Possessor
A possessor of land is subject to liability for physical harm caused to his invitees by a condition on the land if, but only if, he
(a) knows or by the exercise of reasonable care would discover the condition, and should realize that it involves an unreasonable risk of harm to such invitees, and
(b) should expect that they will not discover or realize the danger, or will fail to protect themselves against it, and
(c) fails to exercise reasonable care to protect them against the danger, (emphasis added)
§ 343A. Known or Obvious Dangers
(1) A possessor of land is not liable to his invitees for physical harm caused to them by any activity or condition on the land whose danger is known or obvious to them, unless the possessor should anticipate the harm despite such knowledge or obviousness.
(2) In determining whether the possessor should anticipate harm from a known or obvious danger, the fact that the invitee is entitled to make use of public land, or of the facilities of a public utility, is a factor of importance indicating that the harm should be anticipated.
The context out of which the foregoing sections of the Restatement arise is essentially that of human activity creating artificial conditions upon the land. As the court suggests in Tribe, natural conditions existing on the land resist a factual conclusion that they entail unreasonable risk of harm. If, as a matter of law, they do not present an unreasonable risk of harm, then the possessor of such land will not be liable for injury where the condition is open and obvious to visitors. In these circumstances, there is no duty on the part of the possessor to protect the visitor. § 343, Restatement (Second) of Torts. In the present case, we hold that the natural environment did not present an unreasonable risk of harm.
We turn then to whether the danger involved in diving from a cliff into water of unknown depth is open and obvious. We hold that such a danger is open and obvious and that summary judgment was correctly entered by the trial court. There are few risks more obvious and few harms more probable than those which arise from diving into shallow water. See Carlson v. Tucson Racquet and Swim Club, Inc., 127 Ariz. 247, 619 P.2d 756 (App.1980) (recognizing, as obvious, the risk of diving into shallow water). This is supported by the undisputed facts of the present case. Plaintiff testified in his deposition that he was fully aware of the risks involved in diving into water from high places.
In conclusion, as to this issue, we note the recent decision of the Arizona Supreme Court in Beach v. City of Phoenix, 136 Ariz. 601, 667 P.2d 1316 (1983). In that case a pedestrian in the city of Phoenix encountered a fallen tree on the sidewalk, diverted his path of travel into the street to go around it, and was struck by an automobile. Summary judgment in favor of the defendant City of Phoenix based upon the open and obvious nature of the tree was reversed on the ground that the duty of care owed by a municipality to a pedestrian under these circumstances went beyond that which a possessor of land owes to an invitee. Thus the case is not directly applicable to the present case. In a footnote, however, the court adverted to the traditional standard of care owed by landowners to invitees and suggested that, even under that analysis, it was error to rule as a matter of law that the tree was open and obvious without considering certain exceptions to the general rule in the comments to Restatement (Second) of Torts § 343A. We do not find, however, that the exceptions referred to in the Restatement apply in this case so as to render the duty of care a fact question.
PROXIMATE CAUSE
The essence of plaintiff’s legal argument on this issue is that, defendant State of Arizona had a duty to warn of the danger presented by diving off the cliff into water of unknown depth. Even if we were to assume the existence of such a duty, the argument fails because the message of danger which would have been given by such a warning was already known and appreciated by the plaintiff.
In his deposition, plaintiff testified that the State should have warned him by means of a sign or signs stating that there were shallow areas and that the depth of the water should be checked before diving into it. However, plaintiff also testified that he was already aware of the danger of diving into shallow water. Therefore, the lack of a warning sign giving him information he already knew was not a cause of plaintiff's injuries. We hold that plaintiff has failed as a matter of law to show that the claimed omission on the part of the State resulted in his injuries. We recognize that generally the question of proximate cause is one for the jury. However, if after reviewing all the facts and circumstances reasonable men could not differ, proximate cause is a question for the court. Harmon v. Szrama, 102 Ariz. 343, 429 P.2d 662 (1967); Flowers v. K-Mart, 126 Ariz. 495, 616 P.2d 955 (App. 1980). We hold that the failure of the State to warn plaintiff was not a proximate cause of his injuries.
For the reasons discussed, the judgment of the trial court is affirmed.
|
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FELDMAN, Justice.
Ruth Markowitz (plaintiff) brought this action on behalf of her son, David Lee Markowitz (David) to recover for injuries sustained by David as a result of a dive into Lake Havasu. Lake Havasu Recreation Area is owned by the United States government and leased by it to the state of Arizona. Plaintiff also named Joseph T. Falline, Commissioner of the Arizona Land Department, and Michael A. Ramnes, Director of the Arizona Park Board, as defendants. These claims were dismissed by the trial court. The state, the only defendant remaining, moved for summary judgment, primarily claiming that it had breached no duty owed to David. The trial court granted summary judgment in favor of the state and the court of appeals affirmed, one judge concurring specially and the oth er judge dissenting. We have jurisdiction pursuant to Ariz. Const, art. 6 § 5(3). We granted review to again examine the theory of duty. Ariz.R.Civ.App.P., Rule 23, 17A A.R.S.
FACTS
The facts are not greatly in dispute. In June of 1975, David, then fifteen years of age, went to Lake Havasu with a group of friends. The group camped at a site known as “Three Dunes” and enjoyed two days of water skiing and camping. On the third day, one of David’s friends swam and dived in a cove not directly visible from the campsite and located approximately sixty yards away. David’s friend told the rest of the group about the cove and some of the party, including David, took the boat to the cove around 7:00 p.m. in the evening.
David had not seen the cove before. Without entering the water to check its depth, he climbed the path toward what looked to him to be a diving spot. No signs prohibiting diving or warnings of any kind were posted in the area or at the park entrances. David described the path leading to the diving spot on the cliff as “well worn.” From the diving spot he looked down, saw the cove and noticed that there were about fifteen people swimming and wading in the water below. The person in front of him made a “flat” dive and swam away unharmed. David then dived from the same spot and hit his head on a shallow ledge or sandbar below the surface. As a result of the injury sustained he is permanently paralyzed. He testified that he saw neither the ledge nor sandbar before his dive, apparently because his view of the lake bottom was obscured by ripples in the lake’s surface and because the light was diminishing in intensity.
David was a very good swimmer and had taken both life saving and scuba instruction. He admitted in his deposition that he was aware at the time of the accident that one should check the depth of water before diving into it He also admitted that he was aware that it was dangerous to dive in shallow water or in water of unknown depth. He stated, however, that he would not have dived in the cove if he had seen a sign warning of dangerous diving conditions at this area, or if he had seen a sign at the entrance indicating that diving was prohibited in all areas of the park. He dived .into the water because neither type of sign had been posted, other people had evidently used the “well worn” path to the diving spot, fifteen people were swimming or wading in the water in the cove, and because he observed his friend dive before him. The trial court granted the state’s motion for summary judgment. The court of appeals, 146 Ariz. 260, 705 P.2d 937, affirmed, holding that the state owed no duty to David and, even if it did, the injuries were not proximately caused by any breach of that duty. The concurring opinion took the view that there was duty but no negligence. The dissent argued that duty existed and that there were questions of fact on the issues of negligence and causation.
DUTY
As the court of appeals notes, a negligence action may be maintained only if there is a duty or obligation, recognized by law, which requires the defendant to conform to a particular standard of conduct in order to protect others against unreasonable risks of harm. Ontiveros v. Borak, 136 Ariz. 500, 667 P.2d 200 (1983). The issue of duty is usually one for the court as a matter of law. Beach v. City of Phoenix, 136 Ariz. 601, 667 P.2d 1316 (1983). In the present case, the court of appeals held that the state owed no duty to David because “the natural environment did not present an unreasonable risk of harm,” and because the danger was open and obvious. 146 Ariz. at 264, 705 P.2d at 941.
The court stated:
If a duty on the part of ... government to take steps directed toward the safety of the public as it encounters the natural environment were to exist, it is difficult to say where it would start and where it would end.
Id. at 263, 705 P.2d at 940. We disagree with the application of this concept to the present case. It may be a valid observation where the injury has occurred in areas to which the public is neither invited nor expected. But such reasoning is unpersuasive in the present context because the defendant invited and indeed encouraged David and others to come to a parcel of land specifically dedicated to extensive public use and enjoyment. The difficulties involved in taking steps directed toward the safety of the public in natural environments is certainly one factor to consider in determining whether the standard of care has been breached, but we cannot posit a rule of law that the state is relieved from all duty to those invited to use particular portions of public land, no matter what the hazard, simply because the state’s parks are large and their terrain often inhospitable.
The issue cannot be resolved by inquiring whether the state has a duty to place warning signs at every hundred paces along the forty-five mile shoreline and on each of the thirteen thousand acres of desert comprising the park; instead, we must ask whether the state has some duty of care for the safety of those it “invites” to use its recreational areas and, if so, the nature of that duty. In casting the question in terms of the existence or non-existence of a duty to take specific steps, the court of appeals assumes that any duty found to exist would necessarily be absolute, and would thus require the state to patrol the entire wilderness area of the state to discover and warn of all conceivable dangers, no matter how open and obvious the risk or how remote or inaccessible the area. Such an interpretation of the concept of duty is incorrect.
We have previously explained that we disapprove of attempts to equate the concept of duty with specific details of conduct. Coburn v. City of Tucson, 143 Ariz. 50, 52, 691 P.2d 1078, 1080 (1984). We there approved Dean Prosser’s postulate that it is “better to reserve ‘duty’ for the problem of the relation between individuals which imposes upon one a legal obligation for the benefit of the other ...” Id., quoting W. Prosser & W. Keeton, THE LAW OF TORTS, § 53 at 356 (5th ed. 1984). We again point out that the existence of a duty is not to be confused with details of the standard of conduct. This incorrectly leads to attempts to decide on a general basis whether a defendant has a “duty” to post warning signs, City of Phoenix v. Mayfield, 41 Ariz. 537, 20 P.2d 296 (1933), fix potholes, Vegodsky v. City of Tucson, 1 Ariz.App. 102, 399 P.2d 723 (1965) or provide additional traffic signs, Rodgers v. Ray, 10 Ariz.App. 119, 457 P.2d 281 (1969). These details of conduct bear upon the issue of whether the defendant who does have a duty has breached the applicable standard of care and not whether such a standard of care exists in the first instance. Coburn v. City of Tucson, 143 Ariz. at 52, 691 P.2d at 1081.
The first question presented, therefore, is whether the state as a possessor of land is under any duty of care with respect to the safety of those it has invited to use the particular parcel of state land. Arizona recognizes that a possessor of land “is under an affirmative duty” to use reasonable care to make the premises safe for use by invitees. Tribe v. Shell Oil Co., 133 Ariz. 517, 519, 652 P.2d 1040, 1042 (1982). In the case of invitees, the law generally recognizes that this standard of reasonable care includes an obligation to discover and correct or warn of hazards which the possessor should reasonably foresee as endangering an invitee. Restatement (Second) of Torts § 343; Prosser, supra, § 61 at 419, 426. The parties agree that David was an “invitee” on state land and that the state was the possessor of that land. That relationship imposes an obligation to take reasonable precautions for David’s safety. The physical circumstances involving size, length of shoreline and nature of terrain affect the determination of what is reasonable, not the existence of a duty to protect the safety of users of the park.
The court of appeals also based its conclusion regarding the lack of duty on the fact that “water of unknown depth” was a known or open and obvious danger. 146 Ariz. at 264, 705 P.2d at 941. Again, the possibility that the defect or hazard is “open and obvious” is a factor to be considered in determining whether the possessor’s failure to remedy the hazard or provide a warning was unreasonable and therefore breached the standard of care; it is not a factor to be used in determining the very existence of the duty which is a precondition for the exercise of the standard of care. Beach v. City of Phoenix, 136 Ariz. at 603, 667 P.2d at 1319. Although a land possessor is under a duty to his invitees, he is not ordinarily found negligent for injuries to those invitees from conditions which are open and. obvious, nor for those which are known to the invitee. Tribe v. Shell Oil, Co., 133 Ariz. at 519, 652 P.2d at 1042. Again, this is because it may often be said that the possessor is not negligent for failing to protect the invitee from dangers which are obvious to the latter. It is not because there is no duty. Thus, where the possessor should foresee that the condition is dangerous despite its open and obvious nature, neither the obvious nature nor the plaintiff’s knowledge of the danger is conclusive. Id, citing Restatement (Second) of Torts, § 343A comment f; Murphy v. El Dorado Bowl, 2 Ariz.App. 341, 343, 409 P.2d 57, 59, (1965). Further, when the possessor is a governmental entity it has a “special reason to anticipate that the public, pursuing a right of entry and use to which they are entitled,” may expose themselves to “known or obvious dangers” rather than forego the right of use. Beach v. City of Phoenix, 136 Ariz. at 603, n. 1, 667 P.2d at 1316, n. 1 citing Restatement (Second) of Torts § 343A comment g. In addition, “an invitee may anticipate that the premises are reasonably safe for his intended use.” Page, J., THE LAW OF PREMISES LIABILITY, § 4.16, 94 (1976). ■
Our opinions in Tribe, supra, Coburn, supra, and Beach, supra, have evidently failed to clarify our views of the duty problem. We therefore summarize the relevant principles.
1. The question of duty is decided by the court. The question is whether the relationship of the parties was such that the defendant was under an obligation to use some care to avoid or prevent injury to the plaintiff. If the answer is no, the defendant is not liable even though he may have acted negligently in light of the foreseeable risks. Prosser, supra, § 53, at 356-359; see, also, Keckonen v. Robles, 146 Ariz. 268, 705 P.2d 945 (1985) (holding that a negligent host was under no duty of care to the victim injured by an automobile driven by an intoxicated guest). In the context of this case, therefore, the concept of duty is not a question of whether the danger was natural, artificial, obvious or whether the defendant should have searched for, warned of or removed the danger or have taken any other particular action. The question is whether defendant was responsible to take any precaution for the safety of David or other invitees. Would the state have been liable even if the park ranger, knowing of the hazard, had sat on the rock, watched David get ready to dive and said nothing? Those who would answer that question in the negative find no duty. To those who would answer affirmatively (see, Harris v. Buckeye Irrigation Company, 118 Ariz. 498, 578 P.2d 177 (1978)) the question is was there a breach of the duty?
2. If there is a duty, then the law requires that the defendant conform to a standard of care. In negligence cases that is usually “reasonable care under the circumstances,” though it may differ, depending on the relationship. Thus, doctors may be required to have and exercise the care and skill usually had and used by other doctors, land owners may be required to take reasonable precautions to make the premises safe for invitees or to warn licensees of known dangers, etc. All of these standards carry with them an implicit requirement that defendant act reasonably in light of the known and forseeable risks. It is here, in determining whether the defendant acted reasonably or negligently, that the law concerns itself with specifics of defendant’s conduct. In the context of this case, it is here — on the question of reasonable precautions for the safety of invitees — that the law asks whether defendant acted reasonably in not posting signs prohibiting diving in the park, in not discovering the danger, in not warning or not removing the danger. What is reasonable on the one hand or negligent on the other will depend on the circumstances — was the danger open and obvious, was it natural or artificial, was the park small or large, was the area often used or remote and inaccessible? Were precautions easy to take or difficult and expensive? All these are factors which determine the reasonableness of the defendant’s conduct; they are questions of negligence, not duty. Sometimes, of course, it may be possible to say as a matter of law that particular conduct was or was not negligent. Thus, in Co-bum, supra, we held as a matter of law that the city was not negligent in failing to remove a tree or take other precautions to obviate the risk of danger to a child who rode his bicycle on the wrong side of the street and failed to stop at the stop sign. This was not because the city had no duty to children on the streets, nor because it had no duty to negligent children on the streets, but because reasonable people would all agree that the city had fulfilled its duty to act with reasonable care. However, one can readily imagine circumstances in which the city’s failure to take precautions to protect such children would be actionable negligence. For instance, the street in question might be the quickest, most convenient and most commonly followed route between the neighborhood elementary school and the park where the city was promoting after school recreation for children in grades 1 through 3. Under such circumstances, reasonable people might differ on whether the city should have foreseen the risk and taken precautions to protect young children who rode their bicycles on the wrong side of the street and ran a stop sign in their haste to get to the park.
In the context of this case, one may say as a matter of law that the government as a landowner has a duty of reasonable care to those whom it invites to its parks. One may say as a matter of law that the government would not be negligent in failing to post a sign warning visitors to the Grand Canyon that it is a long way to the bottom and those who stand too close to the edge may lose their balance, fall and get hurt. Under different circumstances — where, for instance, the government knows of soft, unstable earth at a viewpoint — reasonable people might differ on whether the government was negligent for failing to post a sign to warn taxpayers eager to enjoy the esthetic delights of the canyon that they must be especially careful to stay away from the edge. To postulate that the possessor of land has no duty at all to protect its invitees Or warn of specific types of danger is to postulate that it can never be liable, no matter what the circumstances. We decline to adopt such a view. Harris v. Buckeye Irrigation Co., supra. When the government invites citizens onto public land — and this opinion has no application to areas where the public is not invited — it is under a duty to take some precautions to avoid injury to those invited.
NEGLIGENCE
Obviously, it may be said in some cases as a matter of law that defendant’s actions or inactions do not breach the applicable standard of conduct. Cobum v. City of Tucson, supra. The test for whether conduct is negligent is whether there is a foreseeable risk of injury from the conduct. Donnelly Const. Co. v. Oberg/Hunt/Gilleland, 139 Ariz. 184, 187, 677 P.2d 1292, 1295 (1984). Therefore, the general rule to be applied is that where 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. City of Phoenix v. Weedon, 71 Ariz. 259, 264, 226 P.2d 157, 160 (1950); Beach v. City of Phoenix, 136 Ariz. at 604, 667 P.2d at 1319. The concurring opinion of the court of appeals took the view that there was duty, but no evidence of breach. We do not believe that it can be said in this case that all reasonable people would agree that danger was unforeseeable or that the state had taken reasonable precautions to obviate the danger. The evidence indicates that the cove attracted swimmers, that it was used often and at different times in the day and was located no more than 200 yards from a designated park campsite. The area was evidently one where the state expected people to camp. Other campsites were located in close proximity. There was also evidence that park rangers patrolled the lake every few days and visited the campsite daily to collect fees. From these facte, one might reasonably conclude that the possessor of the property should have inspected the areas which were openly used for swimming and related activities in order to discover dangerous conditions, and either remove them or give warning of their existence. Prosser, supra, § 61 at 426-427; Page, supra, § 4.8 at 82, Harper & James, THE LAW OF TORTS, § 27.13, 1491-1492 (1956). On the other hand, the finder of fact might conclude that given the nature of the park and its terrain it would not be reasonably feasible for the state to inspect even a location such as the cove in question for hidden dangers. Page, supra, § 10.19 at 259-60. Alternatively the fact finder might conclude that although it was unreasonable to expect the state to inspect for and warn of dangers, the concept of reasonable care would require it to post signs to warn park visitors that no such inspections were being made and that diving was therefore prohibited at any place. Many conclusions as to what is “reasonable care” are possible under the fact situation presented by this case. We believe that none is applicable as a matter of law. Contrary to the concurring opinion below, summary judgment cannot be supported on the theory that, as a matter of law, the state was not negligent.
PROXIMATE CAUSE
The court of appeals also held that even if the state had breached a duty owed to David it could not be held liable because its negligence was not the proximate cause of David’s injury. The question of proximate cause is usually for the jury and it is only when reasonable persons could not differ that the court may direct a verdict on the issue. Harmon v. Szrama, 102 Ariz. 343, 345, 429 P.2d 662, 664 (1967); Flowers v. K-Mart, 126 Ariz. 495, 497, 616 P.2d 955 (Ct.App.1980). The opinion of the court of appeals noted that David had admitted that he was aware of the danger of diving into shallow water and was also aware of the danger of diving into water of unknown depth. The court concluded, therefore, that the lack of a warning sign giving David “information he already knew was not a cause of [David’s] injuries.” 146 Ariz. at 264, 705 P.2d at 941. We disagree.
Portions of David’s deposition and affidavit indicate that he thought the water was not shallow because other people had dived into it and that if he had been told it was shallow water he would not have dived. Certainly, reasonable persons could find that if adequate warning had been given, David would have seen the sign and would have avoided diving. It would take a very foolish person to dive off a cliff in the face of a sign that said “Do not dive, shallow water.” Nothing in David's deposition can lead one to conclude as a matter of law that he would have been so foolhardy. It is one thing to know that it is dangerous to dive in shallow water. One may dive with such knowledge, thinking that the water is not shallow. It is quite different to dive knowing that the water actually is shallow.
The issues raised by David’s admissions with regard to knowledge of general danger are really matters of contributory negligence. See Hawk v. City of Newport Beach, 46 Cal.2d 213, 293 P.2d 48 (1956) and Miller v. United States, 597 F.2d 614 (7th Cir.1979). Proximate cause may be found even where the defendant’s act or failure to act is not the sole cause of injury. Wisener v. State, 123 Ariz. 148, 150, 598 P.2d 511, 513 (1979). Questions of contributory negligence are always for the jury under our constitution, and are not a proper subject for summary adjudication. Ariz. Const, art. 18, § 5; Boozer v. Arizona Country Club, 102 Ariz. 544, 434 P.2d 630 (1967). A contributory negligence issue cannot be taken from the jury by the simple expedient of calling it an issue of causation. Defendant gave no warning that there was a specific danger or that all diving was prohibited. For summary judgment purposes we assume the truth of David’s statement that he would not have dived if such specific warning had been given. One could say that David’s dive, with knowledge of inherent, general risk may be contributory negligence. This is a jury question in Arizona. One cannot say, however, that defendant’s failure to discover and remedy the danger or give warning was not a cause of the dive and the consequent injury.
CONCLUSION
We conclude, therefore, that the trial court and the court of appeals incorrectly decided the issues of duty and proximate cause. The concurring opinion incorrectly concluded that there was insufficient evidence to create a question of fact on the issue of negligence. We agree with the dissent that there is duty and there are questions of fact on the issue of negligence and proximate cause. The summary judgment granted by the trial court is reversed. The opinion of the court of appeals is vacated. The case is remanded for further proceedings.
GORDON, Y.C.J., and HAYS and CAMERON, JJ., concur.
. Also see especially, § 343A(2): “In determining whether the possessor should anticipate harm from a known or obvious danger, the fact that the invitee is entitled to make use of public land ... is a factor of importance indicating that the harm should be anticipated.” This, of course, does not mean that the state’s duty — to use reasonable care — is any higher. It is only a factor to be considered in deciding what is "reasonable.”
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OPINION
HAIRE, Judge.
This is an appeal from summary judgment against the creditor, Beatrice Stewart, in a foreclosure action. The primary issue urged by appellant Beatrice Stewart is that her right to proceed in rem to foreclose a deed of trust on property owned by the Underwoods was not affected by the Underwoods’ joint discharge in bankruptcy. We agree with appellant and reverse the summary judgment.
Tom Underwood executed a promissory note payable to Stewart in the sum of $20,000 plus interest. The note was secured by a deed of trust covering a residence owned by Tom Underwood in joint tenancy with his wife, Brenda. Brenda did not sign the deed of trust. The Under-woods subsequently filed a joint petition in bankruptcy under Chapter 7. 11 U.S.C. § 701 et seq. They listed the promissory note in the bankruptcy proceedings and the debt was eventually discharged. Stewart did not file a proof of claim in the bankruptcy proceedings, nor did she respond to an offer by the Underwoods to reaffirm the debt. Instead, approximately 18 months after the discharge, she commenced an action to foreclose the trust deed in the manner provided by law for the foreclosure of real property mortgages against the real property securing the debt.
Upon cross-motions for summary judgment, the trial court granted Underwood's motion, ruling that the deed of trust was null and void, presumably because of the discharge of the indebtedness in bankruptcy. Stewart’s primary argument on appeal is that the discharge of Underwood’s debt did not preclude her foreclosure action against the real property. She also contends that the trial court could not properly have ruled in favor of Underwood on any of the other arguments raised in the motion for summary judgment, arguing that the trial court had jurisdiction to foreclose the deed of trust and that the action was not barred by the statute of limitations.
We turn first to an analysis of Stewart’s rights as a creditor holding a valid pre-bankruptcy lien. The majority view is clear: a valid pre-bankruptcy lien that is not avoided during the bankruptcy proceedings survives those proceedings unaffected. Transamerica v. Trout, 145 Ariz. 355, 701 P.2d 851 (App.1985); In re Cassi, 24 B.R. 619 (Bkrtcy N.D.Ind.1982); In re Sillani, 9 B.R. 188 (Bkrtcy S.D.Fla.1981); In re Weathers, 15 B.R. 945 (Bkrtcy D.Kan.1981); In re Robertson, 4 B.R. 213 (Bkrtcy D.Colo.1980); In re Cornist, 7 B.R. 118 (Bkrtcy S.D.Cal.1980); Siltzer v. North First Bank, 445 So.2d 649 (Fla.App.1984); Ducker v. Standard Supply Co., Inc., 280 S.C. 157, 311 S.E.2d 728 (1984); Riggs National Bank of Washington D.C. v. Perry, 729 F.2d 982 (4th Cir.1984); Federal Deposit Ins. Corp. v. Davis, 733 F.2d 1083 (4th Cir.1984). The secured creditor may enter the bankruptcy arena by filing a proof of claim and attempting to have the stay lifted as to his collateral, or he may wait and enforce his rights after the automatic bankruptcy stay is terminated. See, e.g., In re Weathers; 3 Colliers on Bankruptcy, para. 501.01, p. 501-4 (15th Ed. 1984).
Underwood concedes that this is the scheme intended by Congress in the 1978 Bankruptcy Code. He argues, however, that under Arizona law Stewart does not have a valid lien on the property. Underwood relies on Best Fertilizers of Arizona, Inc. v. Burns, 116 Ariz. 492, 570 P.2d 179 (1977), which held that under Arizona law a mortgage is incidental to the underlying debt, and stated “... that whatever extinguishes, discharges or satisfies the debt or obligation will also discharge the mortgage.” 116 Ariz. at 493, 570 P.2d 179. Underwood therefore contends that the discharge of his debt in bankruptcy also discharged the mortgage, leaving no valid lien to be enforced.
The effect of a discharge in bankruptcy is determined by the bankruptcy Code. Stewart argues that the discharge acts only as a bar to enforcement of the debt- or’s personal liability, and that liens against the debtor’s property are enforceable in rem after the discharge. This view is obviously a corollary to the rule that liens pass through the bankruptcy unaffected. Underwood responds that while that was true under the 1898 Bankruptcy Act, discharge is given a different effect under the 1978 Bankruptcy Code. He contends that Congress, in order to prevent creditors from exerting pressure on debtors to reaffirm discharged debts, has modified the discharge to go beyond the bar created under the Act and completely extinguish the debt for all purposes.
Underwood relies for support of this argument on In re Williams, 9 B.R. 228 (Bkrtcy D.Kan.1981), in which the bankruptcy court set forth the novel proposition that Congress had intended this drastic change in pre-Code law governing the rights of secured creditors. The court interpreted 11 U.S.C. § 524(a)(2) of the Code as enjoining post-discharge in rem actions by creditors who had not made an effort to protect their rights in the bankruptcy proceedings. This interpretation, albeit arguable given the language of the provision, was widely criticized and rejected by other bankruptcy courts and ultimately resulted in an amendment deleting the reference to “property of the debtor” from § 524. Congress thereby clarified its intent to limit the injunction to preclude only actions taken to collect a discharged debt as a personal liability. This amendment corrected the ambiguity which led to the erroneous interpretation advocated by the Williams court and removed the primary basis of the court’s analysis.
A secondary basis of the decision, and of Underwood’s argument in this case, is the misapprehension that § 524’s injunction was intended to extinguish the debt and thus, necessarily, the lien. This conclusion was founded on an excerpt from the legislative history of § 524 reported at H.R. 95-595, 95th Cong. 1st Sess. 343 (1977). The House Judiciary Report, discussing how the injunction was intended to accomplish the objectives of the discharge, stated that “[i]n effect, the discharge extinguishes the debt, and creditors may not attempt to avoid that.” Id. at 366. Thus, the Williams court concluded, and Underwood urges now, that the discharge does, in fact, extinguish the debt and prevents secured creditors from foreclosing on their collateral.
We find this interpretation of the House Report unconvincing, given its context, which clearly speaks only to extinguishment of personal liability, and the use of the words “in effect” which undercuts any contention that the discharge actually extinguishes the debt for all purposes. Moreover, the continued existence of the debt after discharge is recognized for other purposes. For example, a suit against a debtor may be continued if necessary to establish the liability of a surety or co-obligor. See In re Cassi, 24 B.R. 619, 622 — 24; 3 Collier on Bankruptcy, para. 524.01[3], p. 524-15 (15th Ed.1985). In In re Hepburn, 27 B.R. 135 (Bkrtcy D.N.Y.1983), a bankruptcy court case analyzing the effect of a discharge under the Code, the court, noting that the rule was the same as it had been under the Act, held that a landlord was entitled to pursue remedies for breach of a lease in state court notwithstanding the discharge of pastdue rent. The court explained that “[a] discharge in bankruptcy does not constitute a payment, or extinguishment, or a cancellation of the debt.” We conclude, therefore, that the effect of discharge under the Code is the same as it was under the Act. It is not an extinguishment of the debt, but only a bar to enforcement of the debt as a personal obligation of the debtor.
Stewart asserts and we agree, that the Arizona court in Best Fertilizers did not contemplate this type of bar as destroying the mortgage when it stated that that which discharges the debt discharges the lien. The debtor in that case had completely paid his debt and the court forbade the holder of a mortgage executed as security for the loan from foreclosing on the property. The term discharge was utilized only in its general sense as meaning payment or satisfaction of an obligation, not in the technical sense in which it is employed by the Bankruptcy Code. We find Best Fertilizers inapplicable to this case. Similarly, we find Underwood’s reliance on a second Arizona decision, DeAnza, inappropriate.
In DeAnza Land & Leisure Corp. v. Raineri, 137 Ariz. 262, 669 P.2d 1339 (App. 1983), we explained that Arizona follows the minority rule that “since the mortgage is merely incidental to the debt, the remedy of foreclosure falls with the bar of the debt.” 137 Ariz. at 265, 669 P.2d 1339. Underwood contends, based on this language, that even if the bankruptcy discharge is only a bar to enforcement of his personal obligation, that the remedy of foreclosure is no longer available to Stewart. This interpretation is inconsistent with the DeAnza opinion read as a whole. The above-quoted language was merely a general statement of the incident rule. The issue before the court was whether a mortgage could be foreclosed several years after the statute of limitations had run on the underlying debt. We rejected the appellant’s argument that the rationale of Best Fertilizers should apply, recognizing that a statutory bar to enforcement of the debt is not equivalent to its extinguishment. We then held that the legislature intended that the same six year statute of limitations apply to both an action on the debt and an action to foreclose the mortgage. We did not, as Underwood contends, hold that the statutory bar of an action on the contract by the statute of limitations precluded an action on the mortgage. Therefore we do not read DeAnza as supporting Underwood’s argument that the statutory bar to enforcement of the debt created by the bankruptcy discharge should preclude an action to foreclose the deed of trust.
We hold that Underwood’s discharge in bankruptcy did not extinguish the debt, but only barred subsequent actions against him personally. We reject the contention that Stewart’s lien is invalid under Arizona law and accordingly we reverse the trial court’s grant of summary judgment in favor of Underwood. Stewart’s lien on the property is intact and may be foreclosed now that the bankruptcy stay has been terminated.
We consider next Underwood’s contention that the trial court lacked jurisdiction to foreclose the deed of trust. A.R.S. § 33-725(A) provides as follows:
“When a mortgage or deed of trust is foreclosed, the court shall give judgment for the entire amount determined due, and shall direct the mortgage property, or as much thereof as is necessary to satisfy the judgment, to be sold.”
Underwood argued in his motion for summary judgment, and reiterates on appeal, that the superior court lacked jurisdiction, apparently because it may not be able to award judgment for the entire amount due under the note. Underwood arrives at this result by a circuitous route, arguing that if the value of his interest in the property as of the time of discharge was less than the amount secured by Stewart’s lien, then the difference became unsecured and Stewart should not be allowed the benefit of improvements to the property after the discharge because that would amount to “re-securing” portions of the debt. We reject this argument, which assumes that principles which would have applied if Stewart had filed a proof of claim in the bankruptcy proceeding are applicable here, because it is inconsistent with the rule that the lien survives bankruptcy unaffected. The Code provision which governs delay of proofs of claim is clearly permissive: “(a) A creditor ... may file a proof of claim.” 11 U.S.C. § 501. Collier explains that although filing is a prerequisite to allowance by the bankruptcy court of the unsecured portion of a secured claim, and thus to a distribution from the estate, that filing is unnecessary if the secured creditor has not asserted a claim against the estate. 3 Collier para. 501.01, pp. 501-3-4. Where, as is the case here, the creditor chooses to wait and enforce her interest in the collateral after the stay has been lifted, her recovery is strictly limited to the value of that property. If there is a deficiency, she is without recourse because she can no longer pursue the debtor, his personal obligation has been discharged.
We see no conflict between the proper result under bankruptcy law and A.R.S. § 33-725(A). Bankruptcy law restricts the amount which the secured creditor may recover to the value of the collateral. State law permits the court to enter judgment in foreclosure for the entire amount due. The statute does not require the court to grant judgment for a deficiency, thereby subjecting the debtor to personal liability; it merely permits it to do so in non-bankruptcy foreclosures in order to avoid a multiplicity of actions. See generally Darnell v. Denton, 137 Ariz. 204, 669 P.2d 981 (App.1983). We conclude that the trial court had jurisdiction to enter judgment foreclosing Stewart’s deed of trust.
Underwood’s next contention is that Stewart’s action was barred either when Underwood’s debt was discharged or when the one year period within which a creditor may challenge the discharge of the debtor under 11 U.S.C. § 727(e) of the Code expired.
A.R.S. § 33-816 provides in part that:
“[A]ny action to foreclose a trust deed as provided by law for the foreclosure of mortgages on real property shall be commenced, within the period prescribed by law for the commencement of an action on the contract secured by the trust deed.”
Under A.R.S. § 12-548 an action on a contract must be commenced within six years. Underwood argues that the bankruptcy court’s order discharging the debt superseded the six year limitations period and immediately enjoined any further action on the contract. Thus, he concludes, the time within which an action could have been commenced on the contract has passed within the meaning of § 33-816. We are unpersuaded by this argument. A.R.S. § 33-816 was intended to do explicitly with trust deeds what this court found in DeAnza the legislature had intended implicitly with mortgages — to tie the limitation period for an action in rem to the same period applicable to an action on the contract. A.R.S. § 12-548 sets out a precise period of limitation, six years. There is no indication that our legislature intended to create some type of sliding scale in which enforcement of the lien is precluded if some fortuitous circumstance prevents an action on the contract. Neither is there any indication that Congress intended the bankruptcy discharge to interfere with state statutes of limitation. In fact, as discussed previously, the intent was to recognize the continued existence of the debt for purposes not inconsistent with the discharge of personal liability.
The Code provision cited by Underwood, 11 U.S.C. § 727(e), is obviously inapplicable to this situation. That statute provides that within one year a creditor may challenge a debtor’s discharge of personal liability. Stewart is not challenging the discharge of personal liability, but properly pursuing her in rem foreclosure rights which were not touched by the discharge. Stewart’s foreclosure action is not barred by any statute of limitations.
Finally, the Underwoods argue in their answering brief that Stewart has no rights against Brenda Underwood’s interest in the joint tenancy property because Brenda did not join in the encumbrance of the property, and thus that Stewart’s appeal is frivolous as to her. We do not agree. It is proper in a foreclosure action to join all parties having an interest in the real property in order that priorities may be established. As a joint tenant, Brenda Underwood was properly named in the action. Furthermore, Stewart points out that in the bankruptcy proceedings the Under-woods treated the note and deed of trust as a joint obligation. We do not purport to decide whether Brenda Underwood’s interest in the property became subject to the deed of trust as a result of Tom’s encumbrance of the property and the subsequent actions of the Underwoods relating thereto. Although that issue was apparently raised in the summary judgment proceedings in the trial court, there is nothing in the record to indicate that the trial court’s judgment in favor of Brenda Underwood was based on anything other than the discharge in bankruptcy issue. The determination of whether Brenda’s interest is subject to foreclosure is for the trial court to decide.
We therefore reverse the summary judgment in favor of the Underwoods, reinstate Stewart’s complaint and remand for further proceedings in conformance herewith.
MEYERSON, P.J., and GRANT, J., concur.
. The complaint by its terms also sought to impose personal liability on the Underwoods. Because of the discharge of the personal indebtedness in bankruptcy, the only remedy now sought to be exercised by Stewart is foreclosure of her claimed security interest.
. § 524(a)(2) at that time provided:
"(a) A discharge in a case under this title ... ******
"(2) operates as an injunction against the commencement or continuation of an action, the employment of process, or any act, to collect, recover or offset any such debt as a personal liability of the debtor, or from the property of the debtor, whether or not discharge of such debt is waived____’’ (Emphasis added).
. For discussion, see 3 Collier on Bankruptcy, para. 506.07, pp. 506-60-61 (15th Ed.1985).
. In order for a creditor to receive a distribution from the bankruptcy estate, the claim must be allowed by the bankruptcy court. § 502. If an allowed claim is secured by a lien on property, it is a secured claim to the extent of the value of the collateral. § 506. If the creditor is undersecured, the creditor also has an unsecured claim for the rest of the debt which may be paid, on a pro rata basis, out of the bankruptcy estate.
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OPINION
LACAGNINA, Judge.
In this case Alice Elenore Nieuwenhuis, having pled guilty to possession of marijuana for sale, a class 4 felony, was placed on three years’ probation. Following her arrest on a charge of conspiracy to distribute cocaine and following a probation revocation hearing, the court found that she had violated the conditions of probation and sentenced her to a four-year presumptive term to be served concurrently with the federal sentence imposed on the conspiracy offense.
The facts introduced as evidence at the probation revocation hearing, through the testimony of a DEA agent and tape recordings, concerned conversations between individuals in Canada and Tucson, intercepted in Canada from wiretaps set up by Canadian police regarding the purchase of drugs. Nieuwenhuis was implicated in those conversations and was a party to some of the conversations. A member of the Royal Canadian Mounted Police called the Tucson agent to relay the information; they exchanged information, and DEA began surveillance in Tucson. As a result of the Mountie’s wiretap information and DEA surveillance, the agent obtained a search warrant and seized drugs from a truck bearing Canadian plates. Individuals in Tucson and Canada were indicted as a result of the wiretap information. The trial court denied Nieuwenhuis’s motion to suppress the drugs seized, and she appeals arguing the trial court erred in admitting evidence resulting from the wiretaps, as unauthorized by federal wiretap statutes and in violation of the Fourth Amendment.
We disagree and affirm.
The Fourth Amendment does not apply to probation revocation proceedings, State v. Alfaro, 127 Ariz. 578, 623 P.2d 8 (1980), or to foreign searches made by foreign officials even if the persons arrested or from whom the evidence is seized are American citizens. U.S. v. Rose, 570 F.2d 1358, 1361, 1362 (9th Cir.1978). The Canadian authorities initiated the wiretaps in Canada as part of their own, independent drug investigation. As a result of information obtained from the wiretaps, the DEA began its own investigation.
Nieuwenhuis does not argue that the wiretapping violated any Canadian statutes or was otherwise of such a grievous nature as to shock the judicial conscience so as to require exclusion of the evidence. In addition, although there was an exchange of information concerning the separate investigations, there is no evidence of a “joint venture” or any showing that the foreign authorities were acting as agents for the DEA. U.S. v. Rose, supra at 1362; U.S. v. Morrow, 537 F.2d 120, 139 (2d Cir.1976), cert. denied, 430 U.S. 956, 97 S.Ct. 1602, 51 L.Ed.2d 806 (1977); Stonehill v. U.S., 405 F.2d 738, 743 (9th Cir.1968), cert. denied, 395 U.S. 960, 89 S.Ct. 2102, 23 L.Ed.2d 747 (1969).
Nieuwenhuis’s argument concerning the violation of federal wiretapping provisions also fails. Federal statutes generally apply only within the territorial jurisdiction of the United States. U.S. v. Cotroni, 527 F.2d 708, 711 (2d Cir.1975), cert. denied, 426 U.S. 906, 96 S.Ct. 2226, 48 L.Ed.2d 830 (1976). The federal statute governing wiretapping has no application outside the United States. U.S. v. Toscanino, 500 F.2d 267, 279 (2d Cir.1974). The location of the “interception” determines the applicability of the federal wiretap statute because interception involves acquiring the contents of the wire or oral communica tions through use of the electronic, mechanical or other device. The “interception” took place in Canada, and the trial court was correct in denying Nieuwenhuis’s motion to suppress even though one of the parties to the conversation was in Tucson. See Stowe v. Devoy, 588 F.2d 336, 341 n. 11 and 12 (2d Cir.1978), cert. denied, 442 U.S. 931, 99 S.Ct. 2862, 61 L.Ed.2d 299 (1979); 18 U.S.C. § 2510(4).
Affirmed.
HATHAWAY, P.J., and LIVERMORE, J., concur.
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OPINION
GREER, Judge.
This is an appeal from a suit to set aside a sheriffs sale ordered as a result of foreclosure proceedings upon the appellant Cagle’s default on a promissory note.
In August 1972, the appellant gave a note of $50,000 to his wife Mary Cagle (appellee Cagle Carlson). She thereafter assigned $15,000 of the note to her attorney Paul Mercer. Cagle subsequently defaulted on the note, and both Mercer and Cagle Carlson then brought foreclosure actions in March 1973 against the properties secured by the note. Mary Cagle was granted summary judgment in her suit and Ray Cagle was granted summary judgment in the Mercer action. Mary Cagle then proceeded to execute on the judgment in her suit, and Mercer, using a credit bid of $20,000, purchased the real property on Mary’s behalf. In January, 1975, the appellant brought the present action to set aside the December, 1974 sale.
On November 10, 1975, the trial court granted a motion to dismiss filed by the defendants (appellees in the present suit). Appeal was taken, and this court issued a memorandum decision in January 1980. Cagle v. Cagle, 1 CA-CIV 4135 Memorandum Decision (Ariz.App. Jan. 15, 1980). We held that the motion to dismiss should be reversed, since the trial court had improperly refused to deal with the issues raised. Specifically, we found that the trial court erred in ruling that the issues raised in the original complaint had been previously tried in another suit.
The matter was remanded and on July 29, 1980, the defendants filed a new motion for summary judgment on the issues of unclean hands, waiver, and tender. This motion was denied October 1, 1980. On October 2, the defendants filed a motion for dismissal claiming the plaintiffs had failed to join an indispensable party. This motion was also denied.
An amended complaint was filed on August 6, 1981, adding the claimed indispensable party, and offering to pay to the defendants the amount of the underlying judgment. On December 9, 1981, defendant Mary Cagle Carlson filed a motion for summary judgment, and on December 14, defendants Mercer and Doyel (the claimed indispensable party) did the same. In January, 1982, the court sought additional memoranda on the issue of tender. Judgments were subsequently entered for the defendants on April 26, 1982, from which the present appeal is taken.
The primary issue raised by the appellant is that the trial court was precluded from finding there were no material issues of fact in the case by virtue of this court’s memorandum decision. They argue that under a “law of the case” or “res judicata” theory, the memorandum decision was a mandate requiring the case to be heard on the merits. We disagree.
In the case of In Re Monaghan’s Estate, 71 Ariz. 334, 227 P.2d 227 (1951), our supreme court addressed the effect a prior appellate decision has on subsequent determinations in the same case. The court found two exceptions to the “law of the case” rule, stating, “[Wjhere the court expressly reserves its decision on any point raised in the first appeal it is not conclusive as to those matters reserved____ Nor is it conclusive on points where the first decision is ambiguous and conflicting.” 71 Ariz. at 336, 227 P.2d 227 (citations omitted). In the present case, although our first decision stated, “[I]t appears that Mr. Cagle may have stated a cause of action.” Slip op. at 5, we expressly reserved determination on the substantive issues, stating, “We wish to make it abundantly clear that our decision is not an adjudication of the merits of this case. Rather, this ease is remanded for the litigants and court to deal with the notice, conscionability and other matters claimed as error relating to the sheriff sale.” Slip op. at 5-6. In our opinion, the issues subsequently addressed by the trial court (and now this court) were not precluded by our previous memorandum decision.
Cases cited by appellant are distinguishable from the case at bar. In Tucson Gas and Electric Co. v. Superior Court, 9 Ariz.App. 210, 450 P.2d 722 (1969), for example, division two of this court dealt with specific errors that arose at trial, and found its earlier decision to implicitly require a “retrial.” Appellant also cites Hurst v. Hurst, 1 Ariz.App. 603, 405 P.2d 913 (1965). That decision, however, deals with waiver by failure to object at trial, and we do not find the case in point.
We hold, therefore, that the issues before the trial court had not been previously determined when it entered summary judgment for the defendants.
Turning to the merits of the case, the appellees argue that the grant of summary judgment was appropriate, and cite several grounds to support the judgment. They assert that the entry is proper since tender of the amount of judgment was not made. Since we find the tender issue dispositive, we will not discuss other contentions made by appellees.
The appellee argues that summary judgment was properly granted since the plaintiff did not tender the amount of judgment prior to moving to set aside the sheriff’s sale. In Young Mines Co. v. Sevringhaus, 38 Ariz. 160, 298 P. 628 (1931), our supreme court held:
This is an equitable proceeding for the foreclosure of a mortgage, and in passing on the motion the general rules of equity should apply. Prominent among these rules is the familiar one that he who seeks equity must do equity. It is not disputed that defendant is both legally and morally indebted to plaintiff for the amount of the judgment for which the property was sold. It is but equitable and the rule sustained by the weight of authority that, as a condition precedent to the setting aside of the sale, defendant should tender to plaintiff the amount of the judgment with costs and interest.
38 Ariz. at 166, 167, 298 P. 628 (citations omitted). Accord, Bracken v. Kyle, Inc., 589 S.W.2d 501 (Tex.Civ.App.1979); Pachter v. Woodman, 534 S.W.2d 940 (Tex.Civ.App.1976), rev’d on other grounds, 547 S.W.2d 954 (1977).
Appellants’ responses to the tender issue are that principles of res judicata, or more properly, claim preclusion, bar this issue; that an offer to make payment suffices as a tender; and that in any event payment of the judgment was made in full.
We first address appellants’ contention that prior denial of a motion for summary judgment constitutes res judicata when a new motion for summary judgment is made, based on the same grounds. In Mozes v. Daru, 4 Ariz.App. 385, 420 P.2d 957 (1966), division two of this court discussed the practice of renewing a motion for summary judgment after such a motion had been denied. The court characterized such a practice as an abuse of the system, and stated that repeated motions for summary judgment would not be allowed. The court also noted, however, that no purpose would be served by forcing a case to trial where no genuine issue of fact exists. Further, the court stated, “Hence, there is no iron clad rule that a denial of such a motion is res judicata and absolutely precludes renewal or the making of a subsequent motion for the same relief.” 4 Ariz. App. at 389, 420 P.2d 957. Here, further discovery was undertaken between the time of the denial of the July, 1980 motion for summary judgment and the December 1981 filing of the new motion. Therefore, even though successive motions were filed, we find no abuse of the system in the present case.
We also note that “tender” involves more than merely an offer to pay the amount of the judgment. The appellant argues, relying upon our decision in Nelson v. Cannon, 126 Ariz. 381, 616 P.2d 56 (App.1980), that his statement in the 1981 amended complaint offering to pay “any and all sums which may be, or found by the Court to be due and payable under or upon said promissory note and mortgage securing same” is sufficient to overcome the lack of tender at the time of the original complaint. Beyond the fact that the offer came over six years after institution of the action, we find that the statement does not constitute “tender” of the amount of judgment.
In Nelson, we noted that, as a condition precedent to entitlement to the remedy of specific performance, a buyer must show that he “stood ready, willing and able to perform.” 126 Ariz. at 385, 616 P.2d 56. That case, however, dealing with specific performance, does not render any less valid the decision in Young Mines Co. v. Sevringhaus. Furthermore, our supreme court, in an early decision, found “tender” to be more than merely the offer to pay. In Somerton State Bank v. Maxey, 22 Ariz. 365, 197 P. 892 (1921), the court held:
[Tender] imports, not merely the readiness and the ability to pay or perform at the time and place mentioned in the contract, but also the actual production of the thing to be paid and delivered over, and an offer of it to the person to whom the tender is to be made; and the act of tender must be such that it needs only acceptance by the one to whom it is made to complete the transaction. .
22 Ariz. at 369, 197 P. 892 (citations omitted). Accord, Bembridge v. Miller, 235 Or. 396, 385 P.2d 172 (1963). In the present case, we hold that appellant’s offer in the amended complaint to pay the amount of judgment did not satisfy the requirement of “tender” to the appellees as a condition precedent to setting aside the sale.
Finally, regarding appellant’s argument that he has already “tendered” sufficient amounts over to the appellees, we find that the amounts claimed were paid on other obligations owed by appellant, and are not “tender” or payment in the present suit.
Appellants next contend that they received no personal notice of the sheriff’s foreclosure sale; that statutory notice by publication, posting and recording after the sale does not provide due process notice. We disagree.
Although a review of the record discloses that the issue has not been clearly addressed throughout the proceedings, it is apparent that both sides concede compliance with statutory requirements. Appellants, however, assert that due process considerations require notification beyond that imposed by statute.
The requirements of notice pursuant to a sheriff’s sale are set forth in A.R.S. § 12-1621. That statute states, in part:
For the sale of real property, notice shall be given by posting notices for not less than fifteen days successively before the day of sale and three public places in the county, one of which shall be at or near the courthouse door, and publishing a copy thereof in a newspaper for three weeks before the day of sale.
A.R.S. § 12 — 1621(A)(3). In addition, A.R.S. § 12-1626 states:
B. ... In all other cases [not involving certain specified leaseholds], including sales under order of court in foreclosure suits, the property is subject to redemption.
C. The officer shall give to the purchaser a certificate of sale, setting forth a full description of the real property sold, the price bid and paid for each parcel if sold in lots or parcels and whether subject to redemption or not.
D. A duplicate of the certificate shall be recorded by the officer in the office of the county recorder.
As early as 1924, the United States Supreme Court held that a post-judgment debtor was not required to receive personal notice in a subsequent execution proceeding. In Endicott-Johnson Corp. v. Encyclopedia Press, Inc., 266 U.S. 285, 45 S.Ct. 61, 69 L.Ed. 288 (1924), a case dealing with post-judgment garnishment, the Court held:
“[I]n the absence of a statutory requirement, it is not essential that he be given notice before the issuance of an execution against his tangible property; after the rendition of the judgment he must take ‘notice of what will follow,’ no further notice being ‘necessary to advance justice.’ ”
266 U.S. at 288, 45 S.Ct. at 62 (citations omitted).
Admittedly, this decision has since come under attack. In Griffin v. Griffin, 327 U.S. 220, 66 S.Ct. 556, 90 L.Ed. 635 (1946), the Court held that a husband against whom á judgment for support arrearages was sought to be enforced required notice so as to not cut off the husband’s defenses to the arrearages proceedings. Notably, however, the Griffin holding concerned an enforcement proceeding based upon a judgment obtained in an ex parte proceeding. The Court distinguished between enforcement of such a judgment and enforcement of a judgment rendered upon notice and an opportunity for hearing. See Griffin, 327 U.S. at 233, 66 S.Ct. at 562. In that sense, the Griffin and Endicott-Johnson decisions do not conflict.
More importantly, in the 1950’s, the entire due process analysis began to evolve toward a more flexible analysis. In Mullane v. Central Hanover Bank and Trust Co., 339 U.S. 306, 70 S.Ct. 652, 94 L.Ed. 865 (1950), a case involving a judicial proceeding for approval of an account submitted by the trustee of a common trust, the Supreme Court held that due process required individual notice to beneficiaries whose names and addresses were known to the trustee. Mullane and its progeny, e.g., Walker v. City of Hutchinson, 352 U.S. 112, 77 S.Ct. 200, 1 L.Ed.2d 178 (1956); Schroeder v. City of New York, 371 U.S. 208, 83 S.Ct. 279, 9 L.Ed.2d 255 (1962), have come to stand for the broad proposition that when an adjudicatory proceeding is initiated in which the complaining party might directly and adversely have a legally protected interest effected, he is entitled to a hearing. This doctrine has gained wide acceptance in the courts of a variety of states, including Arizona. See, e.g., Laz v. Southwestern Land Co., 97 Ariz. 69, 397 P.2d 52 (1964); Mason v. Wilson, 116 Ariz. 255, 568 P.2d 1153 (App.1977), Brandt v. City of Yuma, 124 Ariz. 29, 601 P.2d 1065 (App.1979).
Further, the United States Supreme Court, in 1969, issued the first in a line of decisions affording additional due process rights to pre-judgment debtors. See Sniadach v. Family Finance Corp., 395 U.S. 337, 89 S.Ct. 1820, 23 L.Ed.2d 349 (1969); Fuentes v. Shevin, 407 U.S. 67, 92 S.Ct. 1983, 32 L.Ed.2d 556 (1972); Mitchell v. W.T. Grant Co., 416 U.S. 600, 94 S.Ct. 1895, 40 L.Ed.2d 406 (1974); North Georgia Finishing, Inc. v. Di-Chem, Inc., 419 U.S. 601, 95 S.Ct. 719, 42 L.Ed.2d 751 (1975).
Against this backdrop, the more recent cases dealing with the due process rights of post-judgment debtors have produced mixed decisions. In Chonowski v. Bonucci, 47 Ill.2d 519, 267 N.E.2d 671 (1971), the Illinois Supreme Court, in deciding a claim brought by a judgment creditor to set aside an execution sale because of a lack of due process, held that actual notice was not necessary. The court stated:
Assuming that the appellants lacked proper notice in advance of the sale, however, we are unable to see in what manner this prejudiced their rights. It must be stressed at the outset that the only rights of the appellants in question here are their rights as judgment creditors to. redeem the property. As judgment creditors they enjoyed no privilege to purchase the property at the execution sale beyond that of any other potential purchaser. As far as [their] rights as judgment creditors are concerned, the sale did not involve an adjudication of them, nor did it extinguish them.
267 N.E.2d at 675. In Langford v. Tennessee, 356 F.Supp. 1163 (W.D.Tenn.1973), the court relied upon Endicott-Johnson, ruling that a judgment debtor upon whose automobile had been levied was not entitled to personal notice of the execution proceeding. To the contrary, the Pennsylvania Supreme Court in Luskey v. Steffron, 461 Pa. 305, 336 A.2d 298 (1975), cert. denied, 430 U.S. 968, 97 S.Ct. 1651, 52 L.Ed.2d 360 (1977) specifically held that the owner of real estate subject to a sheriff’s sale was required to receive personal notice of the sale.
In decisions dealing with post-judgment garnishment, the results likewise vary. In Jahn v. Regan, 584 F.Supp. 399 (E.D.Mich. 1984), and Brown v. Liberty Loan Corp., 539 F.2d 1355 (5th Cir.1976), cert. denied, 430 U.S. 949, 97 S.Ct. 1588, 51 L.Ed.2d 797 (1977), federal courts found that state post-judgment garnishment proceedings did not require personal notice to the debtors. Other federal courts, however, have found similar statutes unconstitutional because they did not afford personal notice to the debtor. Dionne v. Bouley, 583 F.Supp. 307 (R.I.1984); Betts v. Tom, 431 F.Supp. 1369 (D.Hawaii 1977).
In Arizona, the rule of Endicott-Johnson enjoys continued vitality. In Knight v. DeMarcus, 102 Ariz. 105, 425 P.2d 837 (1967), cert. denied 390 U.S. 736, 88 S.Ct. 1437, 20 L.Ed.2d 270 (1968), for example, our supreme court held that a debtor was not entitled to actual notice when an appointed master sought to execute on real property to satisfy an award of compensation. The case was based upon Rule 53(a) of the Rules of Civil Procedure, and did not discuss the constitutional implications involved. Notably, the United States Supreme Court denied certiorari in the case despite a dissent by Justice Douglas, and joined by two others, in which a stinging criticism of the Endicott-Johnson doctrine was set forth.
More recently, in Huggins v. Deinhard, 134 Ariz. 98, 654 P.2d 32 (1982), this court held that a husband against whom a judgment had been taken for child support was not entitled to actual notice before a writ of garnishment was issued. The opinion briefly noted the developments in the due process analysis after Endicott-Johnson, but found nevertheless that appellant had had an adequate opportunity to be heard. We stated, “We know of no authority holding that, after judgment, due process of law requires that additional opportunities for notice and hearing must be offered the judgment debtor, such as appellant, before a writ of garnishment may be issued.” 134 Ariz. at 103, 654 P.2d 32.
We find that the Endicott-Johnson rationale remains fundamentally sound. In the present case, the appellant concedes that statutory notice procedures were complied with. Furthermore, the appellant received personal notice of the original foreclosure proceeding, was represented by counsel and appeared therein several times. The entry of judgment placed the appellant and certainly his counsel upon notice that execution could follow. Also, notice by recording was made subsequent to the sheriff’s sale, and the appellant still had the statutory redemption period under which to assert his rights.
It should be noted also that the situation at present is distinguishable from post-judgment garnishment cases in that exemption defenses are an important right in garnishment proceedings; whereas in a foreclosure case, the possibility of execution upon the property is established at the original proceeding.
We also find the post-Mullane Arizona decisions distinguishable from the case at bar. In Laz v. Southwestern Land Co., 97 Ariz. 69, 397 P.2d 52 (1964), the appellant never received actual notice of any proceeding until after the redemption period. In Mason v. Wilson, 116 Ariz. 255, 568 P.2d 1153 (App.1977), the appellants were not a party to the underlying foreclosure and therefore had no notice whatsoever of the judgment. Finally, in Brandt v. City of Yuma, 124 Ariz. 29, 601 P.2d 1065 (App. 1979), the City’s challenge was not to an execution sale, but to an application for a treasurer’s deed, which occurred subsequent to the redemption period.
We find that the appellant was not denied due process by his lack of actual personal notice to the execution on the property-
Finally, the appellant argues that the grant of summary judgment denied him his right to trial by jury under the United States and Arizona Constitutions. We find this claim to be without merit. In Morrell v. St. Luke’s Medical Center, 27 Ariz.App. 486, 556 P.2d 334 (1976), we addressed this precise question and held:
Finally, appellant argues that the entry of summary judgment precludes his right to a jury trial and to cross-examine witnesses. No authority is presented by the appellant, however, to in effect hold that Rule 56, Rules of Civil Procedure, 16 A.R.S., is unconstitutional.
It is obvious that the entry of summary judgment will preclude a later trial by jury. This is the design of Rule 56 — to resolve whether material issues of fact exist, and if none do, then to enter judgment for the moving party if he is entitled to it as a matter of law.
27 Ariz.App. at 490, 556 P.2d 334 (citations omitted). In short, the granting of summary judgment does not deprive a plaintiff of his constitutional rights to a jury trial because, in such cases, there are simply no genuine issues of fact for a jury to consider.
In conclusion, we find no due process violation in the notice afforded appellant, and hold furthermore, that appellant’s failure to tender to the appellees the amount of judgment precluded the appellants’ setting aside of the sale. Thus, the trial court correctly entered summary judgment for the appellees.
Accordingly, the judgment is affirmed.
FROEB, J., concurs.
. Appellant mentions the conscionability and irregularities of sale issues at various points in his brief. The brief, however, does not contain argument or citation in support of either claim. Hence, those issues are deemed abandoned. Valley Vendors Corp. v. City of Phoenix, 126 Ariz. 491, 616 P.2d 951 (App. 1980).
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OPINION
HAIRE, Judge.
On March 5, 1984, the appellant was found guilty of reckless endangerment in violation of A.R.S. § 13-1201(A), a class 1 misdemeanor, in Phoenix City Court. On that same day, sentence of a five day jail term and a fine was imposed.
Appellant filed a notice of appeal to superior court on March 9, 1984. On April 19, 1984, the superior court entered an order dismissing the appeal based upon the alleged failure of the appellant to arrange for the filing of appropriate transcripts. On April 24,1984, appellant filed a “Motion to Reconsider” which was denied by the superior court on May 14, 1984. Notwithstanding this denial, the appellant did not immediately appeal to this court, but instead filed, on May 23, 1984, a second motion in the superior court entitled “Motion for Rehearing.” This motion was denied on June 18, 1984, and appellant thereafter filed, on July 3, 1984, a notice of appeal to this court.
The state argues that this court lacks jurisdiction to consider this appeal under A.R.S. § 22-375, or, in the alternative, that the appeal should be affirmed on the merits of the . due process issues raised in appellant’s opening brief. After reviewing the record, we have determined that the appeal was not timely filed and, accordingly, that the appeal must be dismissed.
Appellant’s motion to reconsider filed on April 24, 1984, urged that appellant had made appropriate arrangements for a transcript and that dismissal was erroneous. A hearing was held, and on May 14,1984, the motion to reconsider was denied. Appellant then filed a second motion, purportedly pursuant to Rule 13 of the Superior Court Rules of Appellate Procedure — Criminal, restating the earlier argument and adding that the rule governing preparation of the record in lower court appeals denied him due process of law. The city responded that appellant’s earlier motion was tantamount to a Rule 13 motion for rehearing and that he could not file the same motion twice. After a hearing on this motion, it was denied on June 18,1984. As indicated, appellant then filed a notice of appeal to this court. Under Rule 13(b), Superior Court Rules of Appellate Procedure — Criminal, any appeal beyond the superior court in this matter is governed by the procedures set forth in Rule 31, Arizona Rules of Criminal Procedure. Accordingly, pursuant to Rule 13.3, appellant’s notice of appeal must have been filed within 20 days after the entry of the order dismissing his appeal, unless the time was somehow extended. Unlike the rules governing civil appeals from the superior court, see Rule 9(b), Arizona Rules of Civil Appellate Procedure, there are no provisions in Rule 31 itself which extend the time for the filing of a notice of appeal in criminal matters. Therefore, since appellant’s notice of appeal was filed almost three months after entry of the superior court’s order of dismissal, it was clearly untimely as an appeal from that order.
We note that Rule 13(a), Superior Court Rules of Appellate Procedure — Criminal, authorizes the filing of a motion for rehearing of a decision of the superior court which finally disposes of the case. Such motion, however, must be filed within ten days after the service of the superior court’s order. The only motion filed by appellant which met this filing requirement was his motion for reconsideration filed on April 24, 1984. The superior court entered its order denying that motion on May 14, 1984. Appellant’s notice of appeal was not filed until July 3, 1984. Accordingly, the notice of appeal was not timely insofar as concerns the superior court’s denial of that motion.
We consider next appellant’s second motion, the “Motion for Rehearing” filed by appellant on May 23, 1984. Since that motion was not filed within ten days from the service of the order of dismissal, it clearly was not a motion authorized by Rule 13(a), Superior Court Rules of Appellate Procedure — Criminal, nor do we find any other provision in the superior court rules which would authorize the filing of such a motion.
In situations where .no specific rule governs, the Arizona Rules of Criminal Procedure apply insofar as such rules are practicable. Rule 1(b), Superior Court Rules of Appellate Procedure — Criminal. Rule 31.-18 of the Arizona Rules of Criminal Procedure does authorize the filing of a motion for reconsideration, but expressly precludes the filing of a motion for reconsideration of an order denying a motion for reconsideration. Rule 31.18(d), Arizona Rules of Criminal Procedure. Therefore, if we assume that appellant’s “Motion for Rehearing” filed on May 23, 1984 was intended as a motion seeking rehearing or reconsideration of the order denying his prior motion for reconsideration, it was an unauthorized motion, and could not preserve for review the superior court’s previous order of April 19, 1984 dismissing the appeal, or its order of May 14, 1984, denying appellant’s timely filed post-dismissal motion.
In summary, appellant’s first motion filed on April 24, 1984 was essentially a motion for rehearing under Rule 13 and was the only post-decision motion to which he was entitled. As his notice of appeal was filed 50 days after the denial of this motion, the appeal was not timely filed. Rule 31.3, Arizona Rules of Criminal Procedure. The filing of a timely notice of appeal is essential to the exercise of jurisdiction by this court. State v. Berry, 133 Ariz. 264, 266, 650 P.2d 1246, 1248 (App. 1982). The filing of the second motion, an unauthorized pleading, did not extend the time for filing a notice of appeal in the absence of a rule so providing. Berry, supra, at 267, 650 P.2d 1246.
The appeal is dismissed.
KLEINSCHMIDT, P.J., and OGG, J., concur.
|
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OPINION
BIRDSALL, Presiding Judge.
Arrested in a “sting” operation, the appellant was convicted of two counts of reckless trafficking in stolen goods. The operation included the use of a camera and recorder so the appellant was actually both seen and heard by the jury as he committed the crimes. Two television sets he sold to the undercover officer running the “pawn” shop were found to have been recently stolen. In fact they were stolen and reported the very day they were sold.
On appeal appellant contends the trial court erred in admitting the videotape in evidence and in denying the appellant’s motion to direct a verdict based on the insufficiency of the evidence. He also asserts ineffective assistance of trial counsel.
We affirm.
The first issue is without merit. The appellant contends that because the videotape contained some inaudible portions it should not have been admitted. He also makes a vague due process claim. We have viewed and listened to the tape and although some background noise makes it difficult to understand some of the conversation, we were able to follow most of it. Likewise, the picture is not of the finest quality, but the parties could readily be identified by someone who knew them. We believe the requirements for admission of a videorecording should be the same as for a photo, that it fairly and accurately depicts that which it purports to show, see Slow Development Co. v. Coulter, 88 Ariz. 122, 353 P.2d 890 (1960). See also Lawler v. Industrial Commission, 24 Ariz.App. 282, 537 P.2d 1340 (1975) (admissibility of surveillance film). And the requirements for the audio recording would be no different than for any other recording. It would have to be shown that the actual words spoken were preserved by the recording device and the tape accurately reproduces that conversation. In other words, that the recording as a whole was accurate and sufficiently complete. Stubbs v. United States, 428 F.2d 885 (9th Cir.1970), cert. denied, 400 U.S. 1009, 91 S.Ct. 567, 27 L.Ed.2d 621 (1971). Of course, foundation must be provided, including the manner of making the videotape, location, time, identification of parties and objects, identification of voices. Stubbs, supra. See also Roy v. State, 608 S.W.2d 645 (Tex.Crim. 1980); State v. Newman, 4 Wash.App. 588, 484 P.2d 473 (1971); Williams v. State, 178 Ind.App. 567, 383 N.E.2d 444 (1978). All of these cases consider the admissibility of videotape evidence and generally make the above requirements. All of these requirements are satisfied by the record before us.
As for the vague reference to due process, the secret taping and photographing are proper when the recorded police officer consents. State v. Johnson, 121 Ariz. 545, 592 P.2d 379 (App.1979). Videotapes do not violate the privilege against self-incrimination. Hendricks v. Swenson, 456 F.2d 503 (8th Cir.1972); People v. Heading, 39 Mich.App. 126, 197 N.W.2d 325 (1972).
We believe the admission of videotape evidence is also peculiarly within the discretion of the trial court and will be upheld absent an abuse of that discretion. State v. Brooks, 30 Wash.App. 280, 633 P.2d 1345 (1981). Compare 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) (admission of photo).
We next consider the insufficient evidence issue.
One of the stolen television sets belonged to John Igou, the other was owned by George Hollins. With both sets, as well as with other merchandise taken in at the shop, the police maintained good records, i.e., with serial numbers, photos, and custody control. Thus in the Igou count, the victim testified that on February 21, 1983, his Sanyo 19" television was stolen. His original bill of sale for the purchase of the television was admitted as an exhibit. The serial number on the bill of sale was the same as that on the set itself and he checked the number when the set was returned to him. The police officer testified that on February 21 he purchased a color television from the appellant. He identified three photos of that Sanyo television and they were also admitted as exhibits. He testified that he was able to ascertain that the particular television was reported stolen by Mr. Igou. He did this by checking the police report and comparing the serial number on the report with that on the set. There was no objection to this latter testimony even though it was obvious hearsay. All of this evidence was sufficient to submit that count to the jury.
In the Hollins count we find the following evidence. On February 24 the appellant sold the officer a Curtis Mathes 19" color television. The officer testified that he followed the same procedures used with the Igou set to determine the true owner and it was Mr. Hollins, who had reported it stolen on February 24. Photos of that television were admitted as evidence. Mr. Hollins testified that he reported the’ theft of his television to the police; that he got the set back from the police after determining the correct serial number from the dealer from whom he had purchased it and showing this to the police. He further described it as a 19" color Curtis Mathes television. This was also sufficient evidence from which the jury could find guilt beyond a reasonable doubt.
Finally, the ineffective assistance argument concerns only an alleged failure to question the sufficiency of the evidence proving that the two television sets sold by the appellant were those alleged to have been stolen from the two victims. Although we believe defense counsel might have successfully required the state to have avoided the hearsay that was utilized without objection, it is apparent that the state could have done this and we fail to see how the appellant was prejudiced by the shortcuts employed. See State v. Lee, 142 Ariz. 210, 689 P.2d 153 (1984).
Affirmed.
HOWARD and FERNANDEZ, JJ., concur.
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OPINION
LACAGNINA, Judge.
In this case an employee hired at will was discharged allegedly for refusing to participate in his employer’s theft scheme. The superior court granted summary judgment in favor of the employer and dismissed the employee’s complaint for the reason that the employer could terminate an employee at will for any reason or for no reason at all. We disagree and reverse.
The sole issue is whether an employee terminable at will has a cause of action for wrongful discharge if the reason for discharge violates public policy.
The complaint alleged a scheme by the employer to conceal from a customer items of his property salvaged from a wreck. The employee was ordered to conceal the fact of the theft. The employee notified the customer that his employer had stolen the salvaged property, and he was fired.
The Arizona courts have stated repeatedly that an employer is free to terminate an employee at will for any reason or for no reason at all. Daniel v. Magma Copper Co., 127 Ariz. 320, 620 P.2d 699 (1980); Larsen v. Motor Supply Co., 117 Ariz. 507, 573 P.2d 907 (1978); Builder’s Supply Corporation v. Shipler, 86 Ariz. 153, 341 P.2d 940 (1959); Donner Copper Mining Co. v. Doenges, 40 Ariz. 349, 12 P.2d 288 (1932).
The employee urges us to adopt an exception to the general rule when an employer discharges an employee for a purpose which contravenes public policy. We adopt that exception and rule that to discharge an employee for not concealing a theft by his employer and reporting the theft violates the public policy of the State of Arizona as stated in Arizona Revised Statutes, § 13-1802 making theft a violation of law. This ruling is the logical conclusion drawn from the language of the Arizona appellate courts, in the above-mentioned cases.
The court in Larsen, supra, considered the issue of whether any constraints could be placed on the employer’s right to terminate at will, stating:
“Some jurisdictions have carved small exceptions to the general rule. In Peter mann v. International Brotherhood of Teamsters, 174 Cal.App.2d 184, 344 P.2d 25 (1959), a California court held that an employee could not be discharged for refusing to commit perjury before a legislative committee. The court noted that an employer’s right to discharge an employee under a terminable-at-will contract may be limited by statute or by considerations of public policy. Id. at 188, 344 P.2d at 27 * * * ” (Emphasis added). 117 Ariz. at 508, 573 P.2d at 908.
The court distinguished the facts at issue from those in the cases representing the limited exceptions to the general rule:
“ ‘In each of these cases the public policy was evidenced by either a criminal statute or a statute designed to specifically protect the rights of the employee vis-a-vis the employer,____’ ” Id., quoting Becket v. Welton Becket & Associates, 39 Cal.App.3d 815, 821, 114 Cal.Rptr. 531, 534 (1974).
Although the court in Larsen did not find the rationale in those cases applicable to their facts, it did add by footnote the following:
“1. The question could arise, for example, under A.R.S. § 16-897 (absence from employment for voting), A.R.S. § 12-236 (jury duty) or A.R.S. §§ 26-167, 26-168 (national guard duty).” Id.
The Daniel court noted the Larsen exception to the general rule but concluded:
“Assuming arguendo that Arizona would follow the public policy exception, we do not find this doctrine applicable to the instant case because the constitutional provision relied upon relates only to work-related injuries.” 127 Ariz. at 323, 620 P.2d at 702.
Most recently, in Leikvold v. Valley View Community Hospital, 141 Ariz. 544, 688 P.2d 170 (1984), by footnote the court again stated:
“1. We emphasize that the claim before us is only one for breach of contract, not one in tort. We expressly reserve comment on wrongful discharge or wrongful demotion tort claims founded on the various exceptions to the employment-at-will doctrine that the courts of other states have adopted. At least three exceptions have been recognized. One is the imposition of liability on an employer who discharges an employee for a purpose which contravenes public policy, see, e.g., Petermann v. International Brotherhood of Teamsters, 174 Cal.App.2d 184, 344 P.2d 25 (1959) (discharge for refusal to commit perjury); Kelsay v. Motorola, Inc., 74 Ill.2d 172, 23 Ill.Dec. 559, 384 N.E.2d 353 (1978) (discharge for filing workman’s compensation claim); Reuther v. Fowler & Williams, Inc., 255 Pa.Super. 28, 386 A.2d 119 (1978) (discharge for agreeing to jury duty). * * * ” (Emphasis added). Id. at 545-546, 688 P.2d at 171-172.
The facts before this court specifically involve a tort claim founded on an exception to the employment-at-will doctrine — where the purpose violates Arizona public policy (A.R.S. § 13-1802) making theft a violation of law, and for that reason, it was a wrongful discharge. Any other conclusion by this court would encourage unlawful conduct by employers and force employees to either consent and participate in a violation of law or risk termination.
The employee also urges us to find that the complaint stated a cause of action for breach of contract. Since we have reversed the trial court on the basis of the employer’s liability in tort for wrongful discharge, we need not determine whether the employer’s conduct would also support a claim for breach of an implied covenant of good faith. The appeal was based on the pleadings, and there are insufficient facts before us to decide that issue. The trial court can decide that matter in accordance with this opinion, and specifically whether or not the decision of the Arizona Supreme Court in Fleming v. Pima County, 141 Ariz. 149, 685 P.2d 1301 (1984), will support the employee’s claim for breach of contract.
REVERSED..
HATHAWAY, P.J., and FERNANDEZ, J., concur.
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OPINION
BIRDSALL, Presiding Judge.
Appellee Jerry and Appellant Jerome Roszko obtained a dissolution of their marriage in April 1974. Merged and incorporated into the decree was a property settlement agreement entered the same month. The agreement in part provided for the support of the couple’s three children, bom in June 1964, November 1966, and October 1969. The agreement provided that appellant pay appellee, the custodial parent, $150 per child per month until the individual children reached 18 years of age. Additional language covered support should the child decide to attend college, but that provision is not of concern here. A separate clause, No. 3, states:
“That in addition to the child support as set forth in Paragraph 2 above, Husband agrees to pay to the Wife 40% of the net monthly increase in the salary of Husband when said Husband receives periodic increases in salary by virtue of his employment.”
The parties agree that nothing in the property settlement agreement or the divorce decree was intended to be spousal maintenance for the wife but that all amounts payable were to be for the support of the children. They further agree, and the trial court found, that as to paragraph 3 above, any salary increases were intended to be based upon the appellant’s hourly wage, and not increased by overtime or “hot” time (hazardous) payment earned by him in his employment.
Both parties agree that for about a year after the dissolution, appellant kept up the required $450 per month payments, but that thereafter, he encountered “financial difficulties” which prevented him from paying the full amount, and they frequently discussed the fact that he was overdue and not keeping up the payments. No calculation was ever made of his salary increases, nor was .this a matter of discussion between them. In 1983 appellee began litigation to obtain the amount due her for the support of the children, and began garnishment of appellant’s earnings. A hearing was held in late 1983, and the trial court ruled that appellant was in arrears, that most of the arrearage was not barred by the statute of limitations, that appellant was no longer responsible for payment of child support for the child who had moved back into his home with him, that the 40 percent provision was not to be prorated among the children, but the total amount was due at all times, that interest from the due date of each required payment was due, and that appellee was entitled to attorney fees and all taxable costs. The court also calculated all amounts due plus interest under both pertinent paragraphs of the settlement agreement. An order reflecting these findings and calculations was prepared by appellee, and signed and filed by the court on May 1,1984. The total award under the order was $49,680.32. This appeal follows.
Appellant argues four general propositions: 1) the award is excessive and ignores the needs of appellant’s second family; 2) the appellee is barred by laches from parts of the award; 3) the 40 percent provision is an invalid escalator clause; and 4) the court erred in calculating the award due under the clause.
We affirm.
EXCESSIVENESS OF AWARD
Appellant has made an extensive argument that the amount of the award and the wage assignment necessary to accomplish its payment have a devastating effect on his ability to provide for his second wife, their two children, and the son from the first marriage who returned to live with him. He calculates the percentage of his take-home pay remaining to support each member of his present. household as evidence that too much must be deducted to pay the award and projects these figures for up to eight years into the future necessary to meet the obligation. This argument overlooks the fact that the son of his first marriage living with him reached 18 in November 1984, and that the youngest child will be 18 in three years. Quite simply, the answer to this question is that appellant was aware of his financial obligations to his first family before he went about creating a second family. The financial difficulties he pleaded for several years to permit him to postpone those obligations were a direct result of his remarriage, birth of his two children, and acquisition of a home, and he has cited absolutely no authority which would permit us to allow him to obtain relief from his obligations stemming from 1974 for such reasons.
LACHES
Appellant argues that because appellee did not seek to obtain the increase in support incorporated in the 40 percent escalator clause until the litigation began, she is now barred by laches from asserting it. Appellee argues that failure to raise the laches defense until now bars it. We disagree. The appellant raised this defense several times, most recently in his motion to quash the order to show cause, filed November 17, 1988, and in his post-trial memorandum, filed January 5, 1984. The defense of laches is properly before us.
However, we cannot find that the doctrine bars an award under the 40 percent clause. It is clear throughout the proceedings, in both parties’ testimony, memoranda, and affidavits, that appellee sought without success for nearly ten years to receive the base sum of child support payments which were due under Paragraph 2 of the settlement. At no time after the first several months following the dissolution was appellant current in his payments. Appellee constantly informed him of these arrearages. We do not require that she do a futile thing. It was manifestly obvious that if appellant was unable, due to financial difficulties, to pay the base amount, he would be unable to pay the additional amount of Paragraph 3. Her demand is not barred by laches.
THE VALIDITY OF THE 40 PERCENT ESCALATOR CLAUSE
Appellant cites our decision in Brevick v. Brevick, 129 Ariz. 51, 628 P.2d 599 (App. 1981) as mandating the invalidity of the 40 percent escalator clause in the property settlement agreement. Brevick was in a different legal posture than presented here, and is distinguishable. In Brevick, the former wife petitioned for a modification of the dissolution decree as to the child support. For the first two years following the modification, the award was to be a fixed sum of money. For the third and following years, the total sum was to be a percentage of the appellant’s net income. Appeal was from the modification and we found that basing the entire amount on a percentage of total salary was not “an amount” as required by A.R.S. § 25-320(A) (Supp.1984). We also held that the Brevick award was too uncertain and indefinite, and would not, for example, provide for any support to the children in a situation where appellant had no income, even though he might have other means to pay child support.
Appellant’s major problem in relying on that case is that it dealt with a modification judgment (an appealable order), and not with an original decree as to which the time for appeal has passed or with a property settlement agreement freely entered into by the parties and incorporated into the decree of dissolution. Appellant seeks to modify that earlier judgment by asserting its nullity now. He did not appeal. He at no time sought modification of the terms of the dissolution decree.
We find this argument similar to that propounded in Tippit v. Lahr, 132 Ariz. 406, 646 P.2d 291 (App.1982). There appel lee sought to modify his divorce decree, and thus avoid sharing a tort settlement with his minor children, by reopening, ten years later, his divorce decree through the device of a Rule 60(c) motion for relief from operation of judgment. The court observed,
“Appellee’s principal argument, as we understand it, is that paragraph 6 was never a part of the divorce decree. He reasons that the agreement embodied in that provision was a nullity, and therefore legally non-existent when the agreement was presented to the court, and that the incorporation of the agreement therefore did not incorporate paragraph 6. This interesting legal fiction is unpersuasive.” 132 Ariz. at 409, 646 P.2d at 294.
The same criticism applies here. Appellant seeks to modify his ten-year-old divorce decree by appealing the award of arrearages under its terms. The proper procedure would have been either to appeal from the decree or to have sought modification by a separate proceeding. The decree incorporating the questioned provision is res judicata.
We do not agree that the clause has been unenforceable from its beginning. The criticism this court made of a percentage escalator clause in Brevick, supra, is largely inapplicable to the present situation. In Brevick, the percentage of salary was the only amount of child support to be paid, and thus, according to the court, could have amounted to nothing in years when the payor had no income yet had the ability to pay, and could likewise have greatly increased his liability in some years in excess of the children’s reasonable support needs. In the present case, the percentage escalation is not the sole basis for the children’s support, but is only a factor in addition to a fixed sum. The percentage is likewise not based upon entire earnings, but only upon the increase in base wages, and thus is a more accurate reflection of the inflationary trend of the cost of living which we recognized as a legitimate concern in Brevick. There is also a public policy reason for upholding this award while rejecting an escalator clause such as in Brevick. The Brevick clause might have induced a parent to cease working inasmuch as it taxed each and every dollar earned by him. The instant provision taxes only part of the increases in appellant’s pay. This escalator clause encourages, rather than discourages, full employment of the wage earner.
The percentage escalator clause employed in this case avoids those evils cited in jBrevick, represents an agreement freely entered into by both parties at the time of their dissolution, provides a method for dealing with the hazards of inflationary cost-of-living increases without the requirement of returning to court at frequent intervals for modifications, and so does not unnecessarily exacerbate relations between parents trying to provide for their children. See Annot., 19 A.L.R. 4th 830, 1984.
COMPUTATION OF THE ESCALATOR CLAUSE
Appellant argues that the clause was erroneously computed in two respects. He first asserts that the 40 percent should have been apportioned among the children. Again, that is not the agreement the parties reached at the time they entered into the property settlement agreement. No evidence suggests this was their intent. To require apportionment among the three children would be to read something into the clause that has never been there. It would have been an abuse of the trial court’s discretion to rewrite the agreement when not even a modification was sought by either party.
Appellant then seeks to show that the calculation was made on a cumulative, rather than periodic, basis. We decline to follow his reasoning or his computation. His argument would seem to be that only once in each year that an increase in his base pay was made, a calculation of that 40 percent would be made, and his child support payment increased just that once, then his payments would revert to the $150 per child for the rest of the year, until another increase was given. Nothing indicates this strained interpretation represents the intent of the parties. As we have discussed, their probable intent was to protect the support award from inflation. A one-time increase in support because of a salary increase would not do this.
The cumulative method which appellant argues was used to arrive at his award would have involved granting a 40 percent increase in a year when appellant’s pay increased $100, for example, and then, while continuing the 40 percent increase, requiring an additional 40 percent of the total of a subsequent $100 raise, or $40 of the first $100 plus $80 of the total $200 after another $100 raise. This is not what was done. The trial judge properly calculated, on an annual basis, 40 percent of every payment over what appellant was earning at the time of the agreement in 1974. There was no error. The judgment of the trial court is affirmed.
HOWARD and FERNANDEZ, JJ., concur.
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OPINION
GRANT, Judge.
This is an appeal from an order of the superior court lifting the suspension and restriction of the transfer of a liquor license imposed by the Arizona State Liquor Board.
In November, 1979, a series 6 liquor license, No. 06L04015, previously held by Patricia Mathis, Virginia Gray and Betty Jarrell as trustees of the Charles and Ella Gould trust and by Arthur V. Helfenbein (the sellers) was transferred to Thomas W. Walsh. The transfer was part of Walsh’s purchase of the Oxbow Inn in Payson, Arizona in August, 1979. The sellers perfected their security interests in the property.
On July 31, 1980 new legislation concerning revocation and suspension of liquor licenses went into effect. A.R.S. § 4-210 provided that
A. The [state liquor] board may suspend, revoke, refuse to renew and the superintendent may suspend any license ... for any of the following reasons:
# * »is * * *
5. The licensed business is delinquent for more than one hundred twenty days in the payment of the taxes to the state or any political subdivision of the state.
* * * * * *
B. The board may refuse to transfer any license against which a complaint has been filed alleging a violation of any of the grounds set forth in subsection A until such time as said complaint has been finally adjudicated.
(Subsection 5 was amended by Laws 1984, Chap. 322 § 17 to provide for a ninety day delinquency period.)
The Arizona Department of Revenue filed a complaint on August 27, 1981 with the Liquor Department against Walsh for delinquent taxes and perfected tax liens against Walsh’s property and the license. The Liquor Department issued a citation to show cause why the license should not be suspended or revoked. Walsh made an arrangement for payment of the taxes with the Department of Revenue and the complaint was withdrawn. However, Walsh breached the agreement. The Department of Revenue filed a second complaint on May 12, 1982 against Walsh seeking $16,-757.60 in delinquent transaction privilege taxes and education excise (sales) taxes. The Liquor Department’s citation was issued on May 26, 1982 against Walsh and Ox Bow Inn.
Walsh also had defaulted in his obligations to the sellers. In September 1981, the Sellers filed suit in Gila County against Walsh to foreclose their security interests, including the interest in the liquor license. The suit named the Department of Revenue as an additional defendant because of the perfected tax liens against Walsh’s property. The sellers received judgment in their favor on May 24,1982, two days prior to the second citation from the Liquor Department. The judgment foreclosed all of Walsh’s right, title and interest in the property and license, and foreclosed the liens of the Department of Revenue, which were junior to the sellers’ liens. A.R.S. § 42-1824. The sellers repurchased the Oxbow Inn property and liquor license at the sheriff’s execution sale. They then sold the property and license to appellees Oxbow Inn, Inc., an Arizona corporation.
The liquor board conducted a hearing on August 5, 1982 to determine what action should be taken on the license. The board ordered suspension of the license and stayed the transfer of the license until the taxes were paid. The order was affirmed upon motion for rehearing and reconsideration. Thus, Walsh remained the named licensee even though his ownership interests reverted to third parties. The sellers and Oxbow Inn, Inc., timely appealed by filing a complaint against the state liquor control authorities (state). A.R.S. § 4-211 and A.R.S. §§ 12-901 — 12-914, the Administrative Review Act.
The trial court granted summary judgment for sellers and denied the state’s motion for summary judgment. The trial court ordered a lifting of the Liquor Board’s stay on transfer and of the suspension of the license without stating its basis for reversal of the board’s decision. The court also awarded attorneys’ fees and costs to the sellers. The state filed a timely notice of appeal.
The issues in this appeal are: (1) whether A.R.S. § 4-210(A)(5) limits the Liquor Board’s sanctioning power to the licensed business which incurred delinquent taxes; (2) whether the Department of Revenue’s foreclosed junior tax liens preclude sanctions against a liquor license; (3) whether the liquor board’s sanctions were arbitrary, capricious or involved an abuse of discretion in violation of due process.
According to Nunnally v. Moore, 116 Ariz. 508, 509, 570 P.2d 195, 196 (App. 1977), “[although a liquor license is a property right between the licensee and third parties, as between the licensee and the State, the license is merely a privilege subject to the State’s police power.” The state’s power to regulate the liquor industry is broader than its usual authority over public health, welfare and morals. Arizona State Liquor Board v. Poulos, 112 Ariz. 119, 538 P.2d 393 (1975). Pursuant to that authority, the legislature has pre scribed by statute certain standards of behavior that a licensee must meet to retain use of his license. A.R.S. § 4-210(A). See Clark v. Tinnin, 81 Ariz. 259, 304 P.2d 947 (1956).
A licensee is entitled to due process before a license can be suspended or revoked. Nunnally v. Moore. Anyone who has a legal or equitable interest in a liquor license properly filed with the Department of Liquor Licenses and Control is entitled to notice of proceedings on the license and the right to appear before the board. A.R.S. § 4-112; Ariz.Admin.Comp. R 4-15-239 (formerly Ariz.Admin.Comp. R4-15-58); Nunnally v. Moore.
SANCTIONING POWER UNDER A.R.S. § 4-210
The parties’ primary dispute concerns the proper use of sanctioning powers under A.R.S. § 4-210. While they agree that the liquor board has the authority to impose sanctions for delinquent taxes, they disagree over what the legal target of the sanctions may be. The sellers argue that only the licensed business which incurred the tax may suffer sanctions for tax delinquency. If sellers are correct then the Board’s action was illegal. The state emphasizes that the statute provides for action against “any license” and is not limited to sanctions against the business incurring the taxes. Thus, according to the state, the Liquor Board’s action was legal.
We agree with the state’s analysis of the Liquor Board’s powers. We believe that A.R.S. § 4-210 has four functions. It defines the sanctions which may be imposed against a liquor license, it authorizes transfer restrictions if there are complaints against a license, it prescribes the procedure for hearing complaints, and it specifies the grounds for sanctions and complaints. The statute targets the license for sanctions rather than the licensee or licensed business whose conduct furnished the grounds for sanctions.
To adopt the sellers’ analysis of the sanctioning scheme, we would have to infer a limitation that sanctions against the license are permissible only if third parties who did not engage in sanctionable activities, in this instance nonpayment of taxes, are not affected by the sanctions. We decline to construe the statute with this inference because the statute is unambiguous. Where statutory language is unambiguous, that language must ordinarily be regarded as conclusive absent any clearly expressed legislative intent to the contrary. State ex rel. Corbin v. Pickrell, 136 Ariz. 589, 667 P.2d 1304 (1983). The Liquor Board was authorized to impose the sanctions it did.
The requirement that tax payments by the licensed business must be kept current could not have surprised the sellers. Former A.R.S. § 4-210(A) and (C) (repealed by Laws 1980, Chap. 207 § 1) provided that “violation of, or noncompliance with, any provision of this title or any rule or regulation issued pursuant to this title, or any condition imposed upon the licensee by the license” was possible grounds for sanctions against a license. In the first Official Compilation of Administrative Rules and Regulations for Arizona (1975), R4-15-02 provided:
Delinquent Taxes. The Board may suspend or revoke a spirituous liquor license when it appears, after a hearing before the Board, that a municipal license, when required, or a state privilege sales tax license has not been obtained or kept in current status.
(Renumbered without change as R4-15102, effective October 8, 1982, repealed effective July 11, 1983.) This regulation was in effect even prior to the transfer to Walsh. The sellers, as licensees themselves, were on notice that tax delinquencies could affect a liquor license.
We recognize that the Liquor Board might not remove the sanctions until the taxes are paid, if not by Walsh then by someone else. This result is a legal function of the sanctioning scheme. A.R.S. § 4-210 provides that delinquent taxes related to the licensed business may cause sanctions against a license. The sanctions may include suspension and restriction on transfer. A.R.S. § 4-210(A). Someone who has an interest in a license is on notice that to free a license of sanctions, the tax obligation must be paid. If a licensee fails to pay it, another person may have to do so to protect an interest in the license. There is nothing inherently improper in one party with an interest in property being subject to liability for taxes incurred by another party with an interest in the property. See Levy v. Arizona State Liquor Board, 132 Ariz. 1, 643 P.2d 704 (1982).
FORECLOSED TAX LIENS AS BASES FOR SANCTIONS
The sellers also seek affirmance of the trial court’s decision on the theory that foreclosed junior tax liens are an invalid basis for imposing sanctions against a liquor license. They argue that A.R.S. § 4-210(A)(5) is a taxing statute and must be read together with the tax lien statutes, A.R.S. § 42-1821 to § 42-1825. The sellers point out that A.R.S. § 42-1824(B) limits the priority of a tax lien:
This subsection [sic] does not give this state a preference over any recorded lien which was recorded prior to the time the department recorded a notice of lien pursuant to § 42-1822.
Thus, conclude the sellers, § 42-1824 is a limitation on § 4-210 which prohibits use of foreclosed tax liens for sanctions. They consider the Department of Revenue’s complaint to the Liquor Board as an attempt to obtain indirectly something it could not obtain directly, a preference over the sellers’ senior liens.
A.R.S. § 4-210, however, is not a taxing statute; it is proper regulation of liquor sales. One of its effects is to encourage a seller to turn over a license only to a responsible purchaser to ensure the purchaser’s acts or omissions do not jeopardize the seller’s security interests. E.g., Nunnally v. Moore. Conduct which might affect a seller’s interests through sanctions imposed on a license include repeated acts of violence on the establishment premises, the felony conviction .of a licensee, and drunkenness by the licensee on the premises. Inclusion of the delinquent tax provision does not render A.R.S. § 4-210 a tax statute. Because § 4-210 is a proper exercise of regulatory power and not a taxing statute, the trial court is reversed and the Liquor Board’s decision is affirmed.
The result here is supported by another reason. A.R.S. § 4-210(A)(5) applies to a delinquent tax obligation, which is not to be confused with a lien it may give rise to. A lien is a method to secure payment of an obligation and is distinct from the obligation it secures. See Matlow v. Matlow, 89 Ariz. 293, 361 P.2d 648 (1961). An obligation to pay taxes is not relieved because there could be no further tax liens on the property. See Levy v. Arizona Department of Economic Security. Walsh’s tax obligations were delinquent, as the parties have admitted. Extinguishing the liens did not extinguish the tax obligation. The delinquent obligation was a legitimate basis for sanctions.
VIOLATION OF DUE PROCESS
The sellers maintain that they were deprived of due process at the August suspension hearing through arbitrariness, capriciousness, illegality or abuse of discretion by the Board. The allegation is based on one statement by a Board member. The member asked the assistant attorney general, after the sellers’ attorneys’ initial presentations, to clarify the state’s position because he was “completely lost with this legalized business.” The assistant attorney general then made his presentation and a discussion of the issues followed.
In determining whether there has been a violation of due process through abuse of discretion by arbitrariness or capriciousness, this court reviews the record to see if there has been
unreasoning action, without consideration and in disregard for facts and cir cumstances; where there is room for two opinions, the action is not arbitrary or capricious if exercised honestly and upon due consideration, even though it may be believed that an erroneous conclusion has been reached.
Petras v. Arizona State Liquor Board, 129 Ariz. 449, 452, 631 P.2d 1107, 1110 (App.1981) quoting Tucson Public Schools, District No. 1 of Pima County v. Green, 17 Ariz.App. 91, 495 P.2d 861 (1972).
We find no such abuse here. The Liquor Board member’s request for clarification early in the hearing cannot be construed as making his later vote against the sellers unreasoning and without consideration. This admission demonstrates the opposite: he wanted clarification so he could better understand the issues. Further, the member’s confessed lack of knowlege in an area of the law did not taint the whole proceeding with abuse of discretion. The sellers received a full hearing before the Liquor Board, the Board rendered a legal decision within its discretion, and the sellers therefore received due process.
The question of whether A.R.S. § 4-210 unconstitutionally impairs the sellers’ contract rights in the license, an issue urged by sellers in the lower court and addressed by the Department in its opening brief, was not pursued by the sellers in their brief and will not be considered in this appeal. The sellers raised for the first time on appeal an alleged conflict of interest by the assistant attorney general arising from his obligations to the state agencies involvéd here. This issue will also not be considered.
The Liquor Board’s decision to restrict or suspend the license for taxes incurred by the licensed business was proper. The judgment of the trial court is reversed. The sellers’ motion for award of attorney’s fees on appeal is denied.
MEYERSON, P.J., and HAIRE, J., concur.
. Donald R. Hakanson appears to be another purchaser of the Inn. The parties treat Walsh as the main actor in these events; this opinion follows the parties’ approach.
|
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OPINION
BIRDSALL, Chief Judge.
The state appeals from an order in the trial court granting a motion to suppress marijuana found in the trunk of the automobile driven by the appellee. The search was conducted without a warrant.
The state first learned of the possible existence and location of the marijuana through an anonymous call to 88-CRIME in Pima County. The information relayed to customs patrol officers in Nogales was that a trunk load of marijuana was going to be transported from Nogales to Pima County. The information included the appellee’s name and that a female would be with him in a 1974 brown Ford sedan, license number SRF-158; due to arrive in Nogales at 4:30 p.m., November 17, 1983.
A customs patrol officer saw the vehicle come into Nogales at 4:35 p.m. Later another officer saw it leave the “Short Street” area. That area is next to the Mexican border and notorious as a location for smuggling both drugs and aliens. The vehicle was followed on Interstate 19 toward Tucson for about 3V2 miles out of Nogales, then stopped. The driver gave his name as Miguel Torres. He refused to open the trunk so a trained sniffing dog was brought to the scene and alerted to the trunk. The vehicle was seized and taken to the station where the trunk was opened and found to contain 153 pounds of marijuana.
The trial court apparently relied on the Division One opinion in State v. Turney, 134 Ariz. 238, 655 P.2d 358 (App.1982). That opinion, following the Aguilar-Spinelli test, held that corroboration of an informant’s tip must be of incriminating details and not just innocent activity. This holding would have been correct under Turney. However, in Illinois v. Gates, 462 U.S. 213, 103 S.Ct. 2317, 76 L.Ed.2d 527, reh’g denied, 463 U.S. 1237, 104 S.Ct. 33, 77 L.Ed.2d 1453 (1983), the United States Supreme Court abandoned the rigid two-part test of Aguilar-Spinelli, substi tuting a totality of the circumstances approach.
Using the latter approach in the instant case we are unable to affirm the trial court. The citizen’s 88-CRIME call contained much otherwise innocent detail which was all confirmed by observations prior to the stop. The officers observed the car arrive at almost the exact time, with Torres as the driver and a female passenger; the description of the car was accurate including the license number. In addition the car was seen in a location known for its criminal activity, see State v. Eason, 124 Ariz. 390, 604 P.2d 654 (App. 1979), and the stop was made by Border Patrol agents near the Mexican border. See United States v. Brignoni-Ponce, 422 U.S. 873, 95 S.Ct. 2574, 45 L.Ed.2d 607 (1975).
The totality of the circumstances justified the investigatory stop and the dog’s drug alert at the trunk justified the search. State v. Morrow, 128 Ariz. 309, 625 P.2d 898 (1981).
Reversed.
HOWARD and HATHAWAY, JJ., concur.
. Aguilar v. Texas, 378 U.S. 108, 84 S.Ct. 1509, 12 L.Ed.2d 723 (1964); Spinelli v. United States, 393 U.S. 410, 89 S.Ct. 584, 21 L.Ed.2d 637 (1969).
|
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OPINION
LIVERMORE, Judge.
On April 18, 1984, police officers responded to a shooting at an apartment in North Phoenix. The victim had been shot through the floor from the apartment above. The officers were admitted to that apartment by the manager of the complex. In a quick search, they determined that no people were in the apartment. They did, however, seize several weapons. One of the officers, on seeing expensive stereo components which he believed to be out of keeping with the otherwise mean nature of the furnishings, became suspicious that those components were stolen. He moved the components so that he could locate and record the serial numbers. On checking by computer and department reports, he learned that these components had been taken in an armed robbery. These facts were presented in an affidavit, a search warrant issued, and the components were subsequently seized. The state appeals from the suppression of that evidence.
The parties are agreed that the initial entry into defendant’s apartment, although warrantless, was legal. The exigencies of the situation demanded it. When a random shooting of this nature, immediately after its occurrence, can be traced to a particular location, police need not delay to obtain a warrant. They can reasonably believe that others may have been shot or may be in peril and that weapons that could be used against them may be found. This justified the entry and the search for the shooter, weapons, and other possible victims. Mincey v. Arizona, 437 U.S. 385, 98 S.Ct. 2408, 57 L.Ed.2d 290 (1978).
Mincey also teaches, however, that a “warrantless search must be ‘strictly circumscribed by the exigencies which justify its initiation,’ Terry v. Ohio, 392 U.S. [1] at 25-26, 88 S.Ct. [1868] at 1882 [20 L.Ed.2d 889 (1968)].” Id. at 393, 98 S.Ct. at 2413, 57 L.Ed.2d at 300. The right to enter for one purpose is not enlarged to allow a general rummaging through a person’s effects however suspicious they may appear to the entering officer. The recording of the serial numbers was unrelated to the exigency justifying entry and involved an additional search not necessitated by the exigency. It was plainly unlawful. State v. Smith, 122 Ariz. 58, 593 P.2d 281 (1979).
The state argues that because the officer subsequently obtained a search warrant that his actions ought to be validated under the “good-faith” exception to the exclusionary rule. The state cites A.R.S. § 13-3925 and United States v. Leon, — U.S. -, 104 S.Ct. 3405, 82 L.Ed.2d 677 (1984). Neither is applicable. The statute simply does not speak to this situation. And, while Leon does hold that officers may reasonably rely on a magistrate’s assessment of probable cause in issuing a warrant and that exclusion need not be ordered if the magistrate is wrong in that assessment, it does not hold that a subsequent warrant validates an earlier illegal search. Police officers cannot launder their prior unconstitutional behavior by presenting the fruits of it to a magistrate.
The order of suppression is affirmed.
HATHAWAY, P.J., and LACAGNINA, J., concur.
NOTE: This cause was decided by the Judges of Division Two as authorized by A.R.S. § 12-120(E).
|
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OPINION
BIRDSALL, Chief Judge.
This is an appeal from two summary judgments, both in favor of the defendant/appellee, Citicorp Person-to-Person Financial Center. The first judgment dismissed Counts 1, 2, and 4 of the complaint of the appellants, Augustin V. Teran and wife, Soila, and the second dismissed Count 5. Count 3 did not involve Citicorp, being against other defendants, SMK Investments, Inc. and Sydney M. Katz and his wife. That count was also summarily dismissed.
According to the documentary evidence before the trial court, the Terans, in 1978, borrowed $9,854 from Citicorp to pay off other debts they owed and to make certain improvements to their home. The money borrowed was:
$5090 owed Pacific Finance
1000 owed U.S. Credit Life
3184 for Terans
$9274
An insurance premium of $580 brought the total to $9854. The loan was for 10 years and called for monthly payments of $165, a smaller monthly payment than the Terans had been paying before this consolidation.
The Terans signed a note, security agreement, deed of trust on their home, notice of right to rescind, and a request for life, health, and accident insurance.
Mr. Teran was a miner, and when the union went on strike, he had no work and failed to make his payments. In his affidavit, Mr. Teran says he called Citicorp and someone there, who remains unidentified, told him he did not have to make his payments during the strike.
In October 1980, Citicorp gave notice of default and election to sell under the deed of trust and the Terans’ home was sold to SMK and Katz in January 1981, giving rise to the proceedings in the trial court.
The complaint, after two amendments, was in five counts. Count 3 made no claim against Citicorp. Count 1 alleged a defective notice and sale under the deed of trust; Count 2 alleged willful or negligent conduct; Count 4, a violation of civil rights, 42 U.S.C. § 1983; and Count 5 alleged consumer fraud.
The thrust of the appellants’ case and this appeal arises out of the fact that they are Spanish-speaking and do not speak, .read, or understand English. In their affidavits they assert that they did not realize they were giving their home as security for payment of the loan.
The actual issues as presented on appeal by the appellants are:
1. There were disputed material issues of fact precluding summary judgment.
2. The appellants should not be bound by the documents.
3. Citicorp was estopped from declaring the default because payments were waived.
4. Notice of the trustee’s sale should have been given appellants in Spanish.
5. Failure to disclose that their home was the collateral for the loan was a consumer fraud violation.
We have attempted to state the facts in the light most favorable to the appellants, which is the appropriate standard of review when summary judgment has been entered in the trial court. We are handicapped because of the appellants’ total failure to comply with Rule 13(a)(4), Rules of Civil Appellate Procedure, 17A A.R.S., which requires specific citations to the record.
In order to discuss the first issue presented, it is necessary to also relate the facts pertaining to the loan transaction and the execution of the documents. The Terans had first gone to another lending institution to borrow funds to pay for the desired insulation in their home from Golden West Insulation. That lender would not finance the project because of the prior purchase money mortgage and the exist ence of two prior deeds of trust given on the home by the Terans, one to U.S. Credit Life and the other to Pacific Finance. The Terans and Golden West were referred to Citicorp. Golden West presented all the information to Citicorp for the Terans and the loan was approved and the necessary documents prepared. A Spanish-speaking salesman for Golden West and the Terans then went to the Citicorp office for the purpose of completing the transaction. At that time the documents were signed, the other debts were paid, the prior deeds were released, and the Terans got their money after the three day waiting period.
The appellants argue that there are twelve disputed fact questions as follow:
1. Whether at the time of the transactions in dispute, appellants comprehended the difference between a deed of trust instrument and a mortgage instrument.
2. Whether the appellants understood at the time of the transactions here in question, the significance of legal instruments provided for by state and federal law, which made their home equity security for a money loan.
3. What legal relationship existed, if any, between the Terans and the representative from Golden West Insulation Company, known only as “Alex,” at the time of the loan transaction here in dispute.
4. What legal relationship, if any, existed between appellee Citicorp and “Alex” of Golden West Insulation Company at the time of the transaction here in question.
5. Whether full disclosure and explanation in the Spanish language of the various loan documents associated with the transaction occurring in April and May 1978, were required by appellee Citicorp for the benefits of appellants herein; and further, whether such disclosure and explanation were in fact appropriately and properly made.
6. Whether any misrepresentations, concealments, or omissions occurred in the May 31, 1978, loan presentation to the appellants, by appellee Citicorp or its duly authorized agents and representatives.
7. Whether in fact the substance, terms, and provisions of the deed of trust securing the appellee Citicorp loan were made known in a meaningful fashion to the appellants herein.
8. Whether the Terans knowingly and intelligently assumed excessive financial obligations as a result of appellee Citicorp’s encouragement.
9. Whether appellee Citicorp deviated from its own established policies and practices at the time of negotiations and consummation of the loan with the Terans in May 1978.
10. Whether representations were made by agents of appellee Citicorp, at any time, that appellants could safely not make payments on their loan obligation during Mr. Teran’s unemployment between July 1980 and February 1981.
11. The actual cost appellee Citicorp would have had to incur to provide notice of trustee’s sale to the Terans in Spanish as well as English.
12. When in fact appellants learned that their home would be sold at a trustee’s sale.
For different reasons we reject each of these questions as excuses for avoiding summary disposition of the appellants’ complaint. In order to discuss questions one through seven, we must review the Arizona law and review additional facts concerning the meeting at Citicorp when the loan documents were signed. The general rule holds that one who signs a written document is bound to know and assent to its provisions in the absence of fraud, misrepresentation, or other wrongful acts by the other party. Nothing before the trial court even permitted any inference that Citicorp committed any fraud, misrepresentation, or wrongful act. The appellants received exactly that which the documents set forth. Thus, assuming arguendo that the appellants did not understand the documents or their legal significance, these fact questions are not material unless Citicorp undertook the responsibility to explain the documents to the Terans and, either intentionally or negligently, failed to adequately perform that undertaking. No facts presented to the trial court suggest that Citicorp attempted to interpret the documents for the Terans, or that Citicorp furnished the interpreter as they would have if they had used their own employee. The only facts bearing on this question come from Mr. Teran’s two affidavits and the deposition of Mr. Larry May, the branch administrator of Citicorp who handled the transaction. In his first affidavit, Mr. Teran says only:
“2. That on May 31, 1978, they went to the office of the defendant CITICORP to borrow certain funds. At that time, they met with an employee of CITICORP whose name is LARRY MAY. They were given certain documents in English to sign. These documents were signed in the presence of LARRY MAY and another person. The documents were not explained to them in Spanish and they were not aware that they signed a Deed of Trust on their property. They were not informed that if they fell behind in their payments they would lose their house.
3. That the employees of CITICORP knew that they did not speak, read or write English. If the documents had been explained to them and they had understood that they were signing a Deed of Trust on their property, they would not have borrowed this money.” (emphasis added)
In his second affidavit, Mr. Teran goes into more detail:
“(8) That on or about April 26, 1978, he entered into a retail installment sales contract with the predecessor in interest of said contract of Defendant CITICORP, a company named Copper Country dba Golden West Insulation Co.; that as part and parcel to said transaction, he was required to sign the above-said contract as well as a Deed of Trust permitting Golden West to secure the contract with the Affiant’s home; that at no time was it clearly or otherwise, explained to him by agents of Golden West what the legal and practical significance of said Deed of Trust truly was;
(9) That at the request of a representative and agent of Golden West, his true name being unknown at this time, and who will hereinafter be referred to by his stated surname, “Alex”, the Affiant went with his wife SOILA, to the offices of Defendant CITICORP located at the El Con Mall in Tucson, for the expressed purpose of borrowing funds to pay for the retail installment contract previously negotiated with Golden West, and to borrow funds under an arrangement already negotiated with Alex ostensibly on their behalf, to pay off other creditors of Affiant; that this singular visit to Defendant CITICORP’s office took place on or about May 31, 1978;
(10) That all discussions with the representative agent of Golden West, Alex, telephonic and personal, were conducted exclusively in the Spanish language;
(11) That upon entering the offices of Defendant CITICORP, he and his wife were directed by CITICORP’s Larry Mary [sic] to sign certain documents already prepared, in English; that no translator or other intermediary or third party was present; that no direct and real verbal communication in English or Spanish was ever established between CITICORP’s May and Affiant or his wife;
(12) That numerous documents were signed by him upon the prior assurance of Golden West’s Alex that their signatures were all that remained to be done before they could have the insulation work performed by Golden West and two (2) outstanding loans paid off;
(13) That at no time during their previous discussions with Alex, or during their visit of May 31, 1978 or thereabout, to Defendant CITICORP’s office, was explanation offered as to the legal or practical significance of Defendant CITICORP’s proferred new Deed of Trust, the Note, Security Agreement, or the Notice of Right to Recision;
(14) That the only definitive information communicated to the Affiant, which communication was by Alex and not Mr. May, was the fact that by the act of signing the documents placed before him by Mr. May, he would be able to receive sufficient funds to pay Affiant’s existing obligations to Pacific Finance Co., U.S. Life and Credit Co., and the retail installment sales contract which would now be owned by Defendant CITICORP;
(15) That neither he nor his wife were informed by anyone in a language they could comprehend and understand, that if they fell behind in their monthly payments to the Defendant CITICORP, they would be in jeopardy of losing their home in a physical sense as well as the financial equity they had invested therein;
(16) That at all times during the initial and only visit to CITICORP’S offices, no one was present to translate and explain to them the contents of the documents requiring their signatures; that the manager of CITICORP’s El Con Office, Larry May, actually knew they did not read, speak or write the English language; that if the documents placed before them for signature had been adequately explained to them beforehand, particularly the significance of the Deed of Trust, they would never have borrowed the money;
(17) That at no time did Larry May of CITICORP produce an employee of his own office to assist in the translation; that at no time during the Plaintiffs’ visit to the CITICORP office did Larry May suggest to the Affiant or his wife that they bring an adult with bi-lingual ability to inform them of the significance of their acts;”
In his deposition, Mr. May describes the meeting in his office:
“Q Who came in as far as the Terans? Did they both come, the husband and the wife?
. A Mr. and Mrs. Teran and the salesman from Golden West.
******
Q You can’t remember the salesman’s name?
A No, sir, because that’s the only time I ever met him. It indicates on my application that it was probably Alex. ******
Q And Alex you think is the salesman?
A Yes, sir, I think that was his name.
Q Tell us what happened on May 31 when they came in.
A Okay. Well, we introduced ourselves and sat down at a round table and we asked them for identification, asked them for two personal references.
I went over the loan documents in the Terans presence with the salesman from Golden West and I told him, you know, that I did not speak Spanish, that it would be necessary for him to explain everything to them that I was going over with him.
******
Q You said that there was some guy, Alex, acting as an interpreter. Were you going through these forms with the customers, the Terans, and he was translating what you were saying to them? Is that how it worked?
A Yes. I went over each item. I would go over like the disbursements. He would then point to the documents, the figures, and—
Q Talk to them in Spanish?
A —talk to them in Spanish and they would acknowledge indicating that they understood this, understood this and they understood the total disbursements, you know.
Q How could you tell that? Were they shaking their heads?
A They were shaking their heads and seemed like they were acknowledging what he was telling them.
Q Okay.
A You know, I pointed out the—
Q Did you do the same thing with the Deed of Trust?
A Yes, sir.
Q What did you tell them with regard to the Deed of Trust?
A I told them that this was the Deed of Trust which essentially put a second mortgage, similar to a second mortgage, on the property and that we were paying off the present second mortgage that they had with Pacific Finance and we were filing a new lien in the amount of $9,854.96.
Q This man that came in with them, he was telling them that in Spanish?
A Yes, sir.
Q You did that with the other form? What was the other form you talked about, the Notice of—
A —Notice of Right to Rescind.
We went over that in great detail because that gave them three business days in which they could change their mind and back out.
Q And the salesman again explained that form to them?
A Yes, sir.
Q And their rights under that form?” Even considering these facts in the manner most consistent with the appellants’ arguments, there is no way to conclude that Citicorp either attempted to interpret the documents for the Terans or selected the interpreter.
The law in Arizona is clear that the appellants were obligated to secure interpretation of the documents. Betancourt v. Logia Suprema De La Alianza HispanoAmericana, 53 Ariz. 151, 86 P.2d 1026 (1939). And see Condos v. United Benefit Life Insurance Co., 93 Ariz. 143, 379 P.2d 129 (1963); Sovereign Camp of the Woodmen of the World v. Daniel, 48 Ariz. 479, 62 P.2d 1144 (1936); and Mutual Benefit Health and Accident Association v. Ferrell, 42 Ariz. 477, 27 P.2d 519 (1933). In the instant case the Terans had a Spanish-speaking interpreter, albeit he was the insulation salesman.
In “fact questions” three and four, the appellants question the legal relationship of the salesman, Alex. They would have us infer that because he was not a disinterested party, he was dishonest. No such inference is permissible. Again, no misrepresentation, no overreaching, no fraud is shown. Nothing suggests there was any “legal relationship” between Alex and Citicorp. If three and four are fact questions, they are likewise immaterial.
We fail to see the legal significance of question eight. If every borrower has a cause of action when he is encouraged to borrow more than he should, the courts will become even more crowded. No authority is cited for the proposition that one’s lack of knowledge or intelligence concerning financial transactions permits him to recover from the party with whom he does business.
Turning to question nine, the facts before the trial court show that Citicorp did deviate from its own practice in that when doing business with a Spanish-speaking customer it usually furnished one of its Spanish-speaking employees to interpret. Obviously it did not do this since the insulation salesman who came with the Terans was available. Again, the materiality of this fact has not been shown. Indeed, under the appellants’ reasoning, if Citicorp had used their own employee, they might be liable for this interpretation of the documents.
Question ten concerns the appellant Augustin Teran’s statement in his affidavit that he “contacted representatives” of the Citicorp office “to explain the situation and they said to him, in effect, ‘do not worry about a default, just begin making payments when the strike is over.’ ” The problem with this assertion is that it is insufficient to create a fact question. Mr. Teran does not state the identity of the “representatives” to whdm he allegedly spoke. Since the identity is unknown, their authority to bind Citicorp cannot be shown. His bare averment, absent other detail, is insufficient to justify a trial of that issue. See Schock v. Jacka, 105 Ariz. 131, 460 P.2d 185 (1969); Markel v. Transamerica Title Insurance Co., 103 Ariz. 353, 442 P.2d 97, cert. denied, 393 U.S. 999, 89 S.Ct. 484, 21 L.Ed.2d 463 sub nom. Phoenix Title & Trust Co. v. Markel, (1968).
The final two questions of fact are immaterial in view of our disposition of the § 1983 claim.
Turning now to the legal issues presented, the appellants first contend that they should not be bound by the documents they signed. It is important to briefly state what this case is not. It is not a case of a finance company taking advantage of a poor non-English-speaking couple. Although we may generally be predisposed to dislike the high interest rates charged to persons who must resort to such methods of financing — 15.98% annual rate in this transaction — nothing suggests any illegality. Although we may also be generally predisposed to protect a consumer who cannot read, speak, or understand English, nothing suggest that a big, bad finance company took advantage of these consumers. Although we may generally be quick to protect a couple who, apparently because of a run of hard times, lost their home, there is again nothing to suggest any illegality in what occurred. There are no facts from which we can find or infer that the Terans should not be bound by the documents they signed. Nor is this a case involving any fiduciary relationship, mistake, or inadequate consideration. Compare Southern Pacific Co. v. Gastelum, 36 Ariz. 106, 283 P. 719 (1929). The transaction was purely contractual in nature. There was no misconduct on the part of Citicorp. Compare Hofmann Co. v. Meisner, 17 Ariz.App. 263, 497 P.2d 83 (1972). If there was a mistake (the Terans’ failure to understand their home was security for the debt), it was unilateral only, and cannot afford ground for relief. See Nationwide Resources Corp. v. Massabni, 134 Ariz. 557, 658 P.2d 210 (App.1982).
We have previously rejected the estoppel and waiver theory because the proof offered is insufficient to create a fact question.
Turning now to the alleged § 1983 violation, the appellants contend that because SMK and Katz utilized the sheriff to secure possession of the home they had purchased at the sale pursuant to the deed of trust, state action occurred; or alternatively, that the Arizona legislature, by adopting legislation permitting the use of deeds of trust, A.R.S. §§ 33-801 to 821, has engaged in such action. For either reason they conclude the notice of sale should have been given in Spanish. We disagree. Although the statutes regulate a trustee’s sale, the power of sale is set forth in the contractual agreement. The sale is strictly private, as are the proceedings leading to it. The issue presented has already been decided by the United States District Court in Arizona. In Kenly v. Miracle Properties, 412 F.Supp. 1072 (D.Ariz.1972), a three-judge panel held that the Arizona statute did not involve sufficient state action so as to invoke due process guarantees under 42 U.S.C. § 1983. See also Niedner v. Salt River Project Agricultural Improvement and Power District, 121 Ariz. 331, 590 P.2d 447, (1979), and Dimond v. Samaritan Health Service, 27 Ariz.App. 682, 558 P.2d 710 (1976).
There are at least three other federal cases involving extra-judicial foreclosure or. repossession statutes and proceedings, each of which supports the summary disposition of the § 1983 count by the superior court. Barrera v. Security Building & Investment Corp., 519 F.2d 1166 (5th Cir. 1975) (involving Spanish-speaking migrant workers); Bryant v. Jefferson Federal Savings and Loan Assoc., 509 F.2d 511 (D.C.Cir.1974) (mortgage foreclosure); and Adams v. Southern California First National Bank, 492 F.2d 324 (9th Cir.1973), cert. denied, 419 U.S. 1006, 95 S.Ct. 325, 42 L.Ed.2d 282 (1974) (automobile repossession).
But, the appellants argue, the Arizona statute, like A.R.S. § 12-2406(C), the provisional remedy statute, should have required notice in both English and Spanish. We do not agree. The state is directly involved in the taking of property through provisional remedies. It is undoubtedly for that reason that Spanish notice was required by the Arizona legislature. It is not required in many other notice requirements contained in other legislation.
The federal courts have likewise held that Spanish-speaking persons are not deprived of equal protection or due process in other state actions. Frontera v. Sindell, 522 F.2d 1215 (6th Cir.1975) (civil service examinations); Carmona v. Sheffield, 475 F.2d 738 (9th Cir.1973) (unemployment benefits).
The last issue presented is a private action under our consumer fraud statute. The alleged fraud is the concealment of the contract rights created by the documents by failing either to have them printed in Spanish or to provide an interpreter. That occurred in May 1978. The lawsuit was not commenced until March 1981. The Consumer Fraud Act statute of limitations is one year. Murry v. Western American Mortgage Co., 124 Ariz. 387, 604 P.2d 651 (App.1979). The statute commences to run when the fraud was, or could have been, discovered. The Terans could (should) have discovered the alleged wrongdoing immediately. An Arizona case on point is Condos v. United Benefit Life Insurance Co., supra. The fraud count is barred by the statute.
By separate motion, attorney fees have been requested. In our discretion, we deny that request and refuse to assess fees against the appellant®.
Affirmed.
HOWARD and HATHAWAY, JJ., concur.
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OPINION
HAIRE, Judge.
This appeal is from summary judgment awarded in favor of Preferred Risk Mutual Insurance Company (Preferred Risk) in a declaratory judgment action filed to determine whether it was obligated to provide coverage pursuant to the underinsured motorist provision of an automobile insurance policy. The trial court held that the contract was valid, was contrary neither to Arizona law nor public policy and that Preferred Risk was not required to pay appellants anything under the underinsured motorist provision. The appellants, the personal representative of two insureds and the conservator of the estates of two minor insureds, argue on appeal that the exclusion upon which Preferred Risk based its denial of coverage is an impermissible attempt to narrow the coverage mandated by Arizona’s underinsured motorist statute, and thus is in derogation of public policy. We disagree and affirm the .trial court’s judgment.
The injured persons were all passengers in a truck being driven by Harold Presley when it was involved in an accident caused by his negligence. Harold Presley’s wife, their daughter, and the driver of the other vehicle were killed and two of his wife’s children by a prior marriage were seriously injured.
At the time of the accident, Preferred Risk insured the Presleys under an automobile insurance policy providing for bodily injury liability of $50,000 for each person and $100,000 for each occurrence. The policy also provided uninsured and and under-insured motorist coverage for bodily injury of $15,000 for each person and $30,000 for each occurrence. All four of the passengers were “insureds” under the terms of the policy.
Preferred Risk paid out the policy limit of $100,000 for bodily injury, distributing it among the injured persons or their estates. The defendants then requested payment under the Underinsured Motorist Coverage Endorsement contained in the policy, which provided that:
“The company will pay such uncompensated damages which the insured or his legal representative shall be legally entitled to recover from the owner or operator of an underinsured highway vehicle because of bodily injury____”
Preferred Risk denied coverage based on the policy definition of an “underinsured highway vehicle” which excluded the in sured vehicle. The company then filed this declaratory judgment action to determine whether the passengers were entitled to coverage under that portion of the policy.
The issue on appeal is whether an insured, injured by the negligence of the named insured driver while occupying the insured vehicle, is entitled to recover under the underinsured motorist provision of the policy when his damages exceed the liability coverage purchased by the named insured. We hold that he may not, and accordingly affirm the trial court’s grant of summary judgment.
In Arizona every insurer is required to offer underinsured motorist coverage as a part of its automobile insurance policies:
“Every insurer writing automobile liability or motor vehicle liability policies, as provided in subsection A of this section shall also make available to the named insured thereunder and shall by written notice offer the insured and at the request of the insured shall include within the policy underinsurance motorist coverage which extends to and covers all persons insured under the policy____”
A.R.S. § 20-259.01(C).
The statute further describes the type of coverage contemplated:
“ ‘Underinsurance motorist coverage’ includes coverage for a person if the sum of the limits of liability under all bodily injury or death liability bonds and liability insurance policies applicable at the time of the accident is less than the total damages for bodily injury or death resulting from the accident. To the extent that the total damages exceed the total applicable liability limits, the underinsurance motorist coverage provided in subsection C of this section is applicable to the difference.” A.R.S. § 20-259.01(E).
The appellants argue that although the coverage is optional, if the named insured chooses coverage, then the statute mandates that coverage extend to all persons insured under the policy. They conclude that as persons insured under the policy they are covered under the terms of the statute because the liability policy applicable to the accident did not cover the total damages they incurred. This would, in effect, transform underinsured motorist coverage into additional liability coverage for the named insured — a result we reject as contrary to the legislative intent.
The issue is clearly one of statutory interpretation. The cardinal rule of statutory construction is to ascertain and give effect to the legislative intent behind the statute. Calvert v. Farmers Ins. Co. of Arizona, 144 Ariz. 291, 293, 697 P.2d 684, 686 (1985). In doing so, we look to the policy behind the statute and the evil it was designed to remedy. Id. What is necessarily implied in the statute is as much a part of it as what is expressed. Coggins v. Ely, 23 Ariz. 155, 162, 202 P. 391, 394 (1921); Mountain Shadows Resort Hotel v. Industrial Commission, No. 1 CA-IC 3120, slip op. at 4 (Ariz.App.July 5, 1985).
Although the precise issue before us has not yet been addressed by an Arizona court, the legislative intent behind underinsured motorist coverage as a part of the overall scheme of A.R.S. § 20-259.01 was addressed in State Farm Mut. Auto. Ins. Co. v. Eden, 136 Ariz. 460, 666 P.2d 1069 (1983). The court explained that:
“The concept of uninsured motorist coverage as it now exists in Arizona is of recent evolution. Prior to 1965, an insured could purchase liability coverage in the event claims were made against him, but could not acquire comparable protection in the event he was seriously injured in an accident caused by a negligent uninsured motorist. The legislature responded to this inadequacy by promulgating A.R.S. § 20-259.01, requiring insurance companies to provide uninsured motorist coverage to their purchasers____ The legislature again revised A.R.S. § 20-259.01 in 1981, now requiring insurance companies to offer under-insured motorist coverage to their purchasers as well as uninsured motorist coverage in limits not less than the liability limits for bodily injury or death contained within the policy. Thus, a purchaser can now acquire protection against the negligent uninsured and underinsured motorists in amounts comparable to his liability insurance coverage.” Id. at 461, 666 P.2d at 1070. (Emphasis added).
This discussion of underinsured motorist coverage is compatible with the definition in Appleman on Insurance, which explains that the purpose of underinsured motorist coverage is to permit the insured to recover for damages caused by a negligent motorist as if the motorist had carried liability insurance. Id., § 5071.45.
The three other state courts which have thus far discussed the issue presented in this appeal have all concluded that underinsured coverage may not be “stacked” so as to increase the liability coverage purchased by the named insured. Millers Casualty Ins. Co. v. Briggs, 100 Wash.2d 1, 665 P.2d 891 (1983); Myers v. State Farm Mut. Auto. Ins. Co., 336 N.W.2d 288 (Minn. 1983); Hoffpauir v. State Farm Mut. Auto Ins. Co., 427 So.2d 560 (La.App.1983). As stated by the Washington Supreme Court in Briggs:
“Our conclusion is also dictated by common sense and the consuming public’s general understanding of coverage under these circumstances. The owner of a vehicle purchases liability insurance to, among other things, protect passengers in the vehicle from his, or another driver’s, negligent driving. He purchases underinsured motorist coverage to protect himself and others from damages caused by another vehicle which is under-insured. An insured wishing to avoid personal liability, and protect his passengers, may simply increase the liability insurance. The result of dual recovery in the instant case would transform underinsured motorist coverage into liability insurance. This result would cause insurance companies to charge substantially more for underinsured motorist coverage in order to match the cost of that coverage with the presently more expensive liability coverage. This increase in cost would discourage consumers from purchasing underinsured coverage, an important protection presently available for a minimum cost.” 665 P.2d at 895.
The statute relating to underinsured motorist coverage was clearly designed to permit the prudent insured to protect himself and his family and passengers against the possibility of injury caused by another motorist with insufficient insurance. This is a completely different type of insurance from liability insurance, which protects those who are injured by the negligence of the insured, and which is dealt with by the legislature in a separate statute. See A.R.S. § 28-1251 et seq. The exclusion challenged by the appellants does not improperly limit the scope of the coverage mandated by A.R.S. § 20-259.01(0) and (E); in fact, it achieves precisely the purpose envisioned by the legislature. When operation of the insured vehicle causes an injury, liability coverage is available to the injured party. By refusing to pay underinsured motorist benefits in addition, that type of coverage is limited to the situation for which it was created — compensation for injuries caused by other motorists who are underinsured. Thus, although the statute lacks specific terms permitting the exclusion, we find it consistent with the legislative purpose.
The appellants also argue that the exclusion violates public policy, relying on decisions which have invalidated certain exclusions limiting coverage in uninsured motorist policies. We find the policy considerations discussed in those cases completely inapplicable to the problem before us. First, because the two types of insurance are fundamentally different, opinions analyzing uninsured motorist coverage do not consider problems arising only under the underinsured motorist provision. For example, the question whether a named insured should be allowed to stack his uninsured motorist coverage with liability coverage from his own policy simply cannot arise; an individual cannot be insured and uninsured at the same time. A person can, however, be insured but voluntarily choose to acquire liability coverage which later proves inadequate, giving rise to the problem at hand.
In addition, appellants have failed in their attempt to draw an analogy between the two types of exclusions. The “other vehicle” exclusion struck down by our supreme court in Calvert v. Farmers Ins. Co. of Arizona, 144 Ariz. 291, 697 P.2d 684 (1985) frustrated the statutory purpose by denying any and all benefits to a person who had suffered the very harm insured against — injury by a third party who was uninsured. The exclusion addressed here does not affect coverage for the harm insured against — injury caused by a third party underinsured motorist, nor does it prevent the injured party from recovering the liability benefits to which he is entitled.
We conclude that refusing to permit recovery under the underinsured motorist portion of a policy for injuries caused by the insured vehicle is consistent with the purpose and policy of the legislature in requiring that underinsured motorist coverage be made available. Accordingly, we uphold the exclusion in this contract and affirm the judgment in favor of Preferred Risk. Appellee’s request for attorney’s fees on appeal is granted, in an amount to be determined pursuant to Rule 21(c), Arizona Rules of Civil Appellate Procedure.
MEYERSON, P.J., and GRANT, J., concur.
. The issue of Presley’s negligence was never litigated, but was presumed by the insurance company which paid in full the liability coverage provided for in the policy.
|
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CAMERON, Justice.
This is a special action brought by defendant from an order of the trial court compelling defendant’s attorney to deliver potentially inculpatory, physical evidence to the state and requiring that the attorney withdraw from representation. We have jurisdiction pursuant to Ariz. Const. Art. 6, § 5(3) and Rule 7, R.P.Sp.Act., 17A A.R.S.
We must decide three questions:
1. Does a defense attorney have an obligation to turn over to the state potentially inculpatory, physical evidence obtained from a third party?
2. If so, in what manner may this be done?
3. Must he then withdraw as attorney for the defendant?
The essential facts are not in dispute. Defendant was indicted for first degree murder and is currently awaiting trial on that charge. In the course of their investigation, the police interviewed defendant’s girlfriend, Diane Heaton, who told them that the victim was in possession of a certain wristwatch shortly before his death. Subsequently, an investigator for the Pima County Public Defender’s Office contacted Ms. Heaton and she informed him that she had found a wristwatch in defendant’s suit jacket. She also stated that she did not want to turn the evidence over to the police. The investigator contacted defendant’s attorney who told him to take possession of the watch and bring it to the attorney’s office. The attorney indicated that he did this for two reasons. First, he wanted to examine the watch to determine whether it was the same one that Ms. Heaton had described to the police. Second, he was afraid that she might destroy or conceal the evidence. Shortly thereafter, defendant informed the police that he had taken a watch from the victim. The police were, however, unaware of the location of that watch.
On 11 June 1984, defendant’s attorney filed a petition with the Ethics Committee of the Arizona State Bar, requesting an opinion concerning his duties with respect to the wristwatch. The Ethics Committee informed the attorney that he had a legal obligation to turn over the watch to the state and that he also might be compelled to testify as to the original location and source of the evidence. Opinion No. 85-4 (14 March 1985).
Defendant’s attorney informed the Respondent Judge of the Committee’s decision. Judge Veliz ordered that the watch be turned over to the state and that the attorney withdraw from the case. He also stayed the order to allow the filing of this petition for special action. We accepted jurisdiction because this case presents an issue of statewide importance in an area of the law that is unsettled.
I.
Must Defendant’s Attorney Turn the Evidence Over to the State?
We have previously held that an attorney need not turn over physical evidence obtained from his client if the evidence was such that it could not be obtained from the client against the client’s will, State v. Superior Court, 128 Ariz. 253, 625 P.2d 316 (1981). We have not, however, ruled as to physical evidence obtained from a third party. As to this question, cases from other jurisdictions are few in number. We do note, however, two cases that have dealt with the issue before us and have found that a defense attorney, as an officer of the court, has an obligation to turn over to the state material evidence obtained from third parties.
The Alaska Supreme Court was confronted with a case in which the defendant’s attorney in a kidnapping case had received from a third party written plans for the kidnapping drawn by the client. In reviewing whether counsel violated defendant’s right to adequate representation by making the existence of the plans known to the state, the court stated:
As Morrell notes, authority in this area is suprisingly sparse. The existing authority seems to indicate, however, that a criminal defense attorney has an obligation to turn over to the prosecution physical evidence which comes into his possession, especially where the evidence comes into the attorney’s possession through acts of a third party who is neither a client of the attorney nor an agent of a client. After turning over such evidence, an attorney may have either a right or a duty to remain silent as to the circumstances under which he obtained such evidence, but Morrell presents no authority which establishes that a criminal defendant whose attorney chooses to testify regarding to these matters is denied effective assistance of counsel. Morrell v. State, 575 P.2d 1200, 1207 (Alaska 1978).
The California Court of Appeals, in a case in which the defendant’s wife had given his attorney a pair of shoes, linked to the murder, which the state seized from defendant’s attorney, stated:
In any event, in the final analysis the controlling question is whether the State’s seizure of the evidence violated defendant’s rights. It did not. Neither the public defender nor substituted counsel for defendant had the right to withhold the evidence from the State by asserting an attorney-client privilege.
People v. Lee, 3 Cal.App.3d 514, 526, 83 Cal.Rptr. 715, 722 (1970).
Both cases relied on dictum from State v. Olwell, 64 Wash.2d 828, 394 P.2d 681 (1964), in finding that counsel had acted properly. In Olwell, defense counsel was served with a subpoena duces tecum in which he was asked to produce, at a coroner’s inquest, all knives in his possession and control relating to the defendant. The attorney refused to indicate whether or not he was in possession of these knives, arguing that to do so would violate the confidential relationship of attorney and client. The Washington Supreme Court found that the subpoena was defective on its face because it required the attorney to reveal information given to him in the course of discussions with his client. The court stated, however:
The attorney should not be a depository for criminal evidence * * * which in itself has little, if any, material value for the purposes of aiding counsel in the preparation of the defense of his client’s case. Such evidence given the attorney during legal consultation for information purposes and used by the attorney in preparing the defense of his client’s case, whether or not the case ever goes to trial, could clearly be withheld for a reasonable period of time. It follows that the attorney, after a reasonable period, should, as an officer of the court, on his own motion turn the same over to the prosecution.
Id. 394 P.2d at 684-85.
Of course, if the physical evidence is contraband, the attorney may be required to turn over the property even if he obtained that evidence from his client. For example, in a case where the attorney obtained from his client the money taken in a bank robbery and a sawed-off shotgun used in the crime, the attorney was required to turn the property over to the state. In Re Ryder, 381 F.2d 713 (4th Cir.1967). See Comment, The Right of a Criminal Defense Attorney to Withhold Physical Evidence Received from his Client, 38 U.Chi.L.Rev. 211 (1970); Note, An Attorney in Possession of Evidence Incriminating his Client, 25 Wash. and Lee L.Rev. 133 (1968).
At issue is the conflict between a defense attorney’s obligation to his client and to the court. As the Preamble to the Rules of Professional Conduct notes, a lawyer is both “a representative of [his] clients, an officer of the legal system and a public citizen having special responsibility for the quality of justice.” As a representative of his client, a lawyer must act as a zealous advocate, demonstrating loyalty to his client and giving him the best legal advice possible within the bounds of the law. As part of this zealous representation, the lawyer is admonished not to reveal information relating to representation of his client. ER 1.6.
The Comment to ER 1.6 states:
The principle of confidentiality is given effect in two related bodies of law, the attorney-client privilege (which includes the work product doctrine) in the law of evidence and the rule of confidentiality established in professional ethics. The attorney-client privilege applies in judicial and other proceedings in which a lawyer may be called as a witness or otherwise required to produce evidence concerning a client. The rule of client-lawyer confidentiality applies in situations other than those where evidence is sought from the lawyer through compulsion of law. The confidentiality rule applies not merely to matters communicated in confidence by the client but also to all information relating to the representation, whatever its source. A lawyer may not disclose such information except as authorized or required by the Rules of Professional Conduct or other law.
Because clients are aware that their lawyers will not repeat their communications, they feel that they may make both full and honest disclosure. Trial counsel is thus better able to evaluate the situation and prepare a proper defense. Thus, it has been said that “it is in the interest of public justice that the client be able to make full disclosure.” Clark v. State, 159 Tex.Crim. App. 187, 199, 261 S.W.2d 339, 346, cert. denied, 346 U.S. 855, 74 S.Ct. 69, 98 L.Ed. 369 (1953).
We note also that the lawyer’s role as a zealous advocate is an important one, not only for the client but for the administration of justice. We have chosen an adversary system of justice in which, in theory, the state and the defendant meet as equals —“strength against strength, resource against resource, argument against argument.” United States v. Bagley, — U.S. —, — n. 2, 105 S.Ct. 3375, 3390 n. 2, 87 L.Ed.2d 481 (1985) (Marshall, J. dissenting). In order to close the gap between theory and practice and thereby ensure that the system is working properly, a defendant must have an attorney who will fight against the powerful resources of the state. It is only when this occurs that we can be assured that the system is functioning properly and only the guilty are convicted.
Balanced against the attorney’s obligation to his client is the attorney’s obligation as an officer of the court, which requires him “[to aid] in determining truth whenever possible.” Note, Ethics, Law and Loyalty: The Attorney’s Duty to Turn Over Incriminating Evidence, 32 Stan.L.Rev. 977, 992 (1980). Both sides must have equal access to the relevant information. As the American Bar Association had noted: “[wjhere the necessary evaluation and preparation are foreclosed by lack of information, the trial becomes a pursuit of truth and justice only by chance rather than by design, and generates a diminished respect for the criminal justice system, the judiciary and the attorney participants.” II ABA Standards for Criminal Justice, comment to Standard 11-1.1(a) (2nd ed.1982) (footnote omitted); see also Wardius v. Oregon, 412 U.S. 470, 474, 93 S.Ct. 2208, 2211, 37 L.Ed.2d 82 (1973) (“[tjhe growth of * * * discovery devices is a salutory development which, by increasing the evidence available to both parties, enhances the fairness of the adversary system”). Thus, in order to aid the truth determining process an attorney must refrain from impeding the flow of information to the state. The defendant’s attorney can neither assist nor obstruct the prosecution in its efforts to discover evidence.
Defendant asks us, in balancing these competing interests, to hold that there is “no affirmative duty on the part of defense counsel to disclose possible inculpatory evidence obtained by counsel during the course of his representation of the client.” Defendant maintains that to hold otherwise would cause irreparable harm to the attorney-client relationship.
The National Legal Aid and Defender Association in its amicus brief agrees with defendant that there should be no “absolute affirmative duty rule” requiring defendant’s attorney to routinely disclose all physical evidence discovered during investigation of a case. The National Legal Aid and Defender Association suggests that we adopt the “Ethical Standard to Guide [A Lawyer] Who Receives Physical Evidence Implicating His Client in Criminal Conduct,” proposed by the Criminal Justice Section’s Ethics Committee. This standard reads as follows:
(a) A lawyer who receives a physical item under circumstances implicating a client in criminal conduct shall disclose the location of or shall deliver that item to law enforcement authorities only: (1) if such is required by law or court order, or (2) as provided in paragraph (d).
(b) Unless required to disclose, the lawyer shall return the item to the source from whom the lawyer receives it, as provided in paragraphs (c) and (d). In returning the item to the source, the lawyer shall advise the source of the legal consequences pertaining to possession or destruction of the item.
(c) A lawyer may receive the item for a period of time during which the lawyer:
(1) intends to return it to the owner; (2) reasonably fears that return of the item to the source will result in destruction of the item; (3) reasonably fears that return of the item to the source will result in physical harm to anyone; (4) intends to test, examine, inspect or use the item in any way as part of the lawyer’s representation of the client; or (5) cannot return it to the source. If the lawyer retains the item, the lawyer shall do so in a manner that does not impede the lawful ability of law enforcement to obtain the item.
(d) If the item received is contraband, or if in the lawyer’s judgment the lawyer cannot retain the item in a way that does not pose an unreasonable risk of physical harm to anyone, the lawyer shall disclose the location of or shall deliver the item to law enforcement authorities.
(e) If the lawyer discloses the location of or delivers the item to law enforcement authorities under paragraphs (a) or (d), or to a third party under paragraph (c)(1), the lawyer shall do so in the way best designed to protect the client’s interest.
29 Cr.L.Rep. 2465-66 (26 August 1981).
We agree with defendant that any requirement that the defendant’s attorney turn over to the prosecutor physical evidence which may aid in the conviction of the defendant may harm the attorney-client relationship. We do not believe, however, that this reason, by itself, is sufficient to avoid disclosure. We have stated that
“[t]he duty of an attorney to a client * * * is subordinate to his responsibility for the due and proper administration of justice. In case of conflict, the former must yield to the latter.” State v. Kruchten, 101 Ariz. 186, 191, 417 P.2d 510, 515 (1966). Thus, although we respect the relationship as an important one, we believe it must sometimes be subordinate to the free flow of information, upon which our adversary system is based. Other courts have shared our attitude. As the Kentucky Court of Appeals explained:
It has been said that the reason underlying the attorney-client privilege is to encourage a client to disclose fully the facts and circumstances of his case to his attorney without fear that he or his attorney will be compelled to testify to the communications between them. Since the privilege results in the exclusion of evidence it runs counter to the widely held view that the fullest disclosure of the facts will best lead to the truth and ultimately to the triumph of justice. In reconciling these conflicting principles the courts have pointed out that since the policy of full disclosure is the more fundamental one the privilege is not to be viewed as absolute and is to be strictly limited to the purpose for which it exists.
Hughes v. Meade, 453 S.W.2d 538, 540 (Ky. App.1970), citing, Annot., 16 A.L.R.3d 1047, 1050 (1967). Consistent with this philosophy, we feel that the potential damage to the adversary system is greater, and in need of greater protection, than the attorney-client relationship. We do not wish to create a situation in which counsel is made a repository for physical evidence — a serious and inevitable problem once clients become aware that evidence given to their attorneys, even by friends, may never be turned over to the state.
We, therefore, adopt essentially the ethical standard proposed by the Ethics Committee of the Section on Criminal Justice of the American Bar Association with regards to inculpatory evidence delivered to the attorney by a third party. Our holding is as follows: first, if the attorney reasonably believes that evidence will not be destroyed, he may return it to the source, explaining the laws on concealment and destruction. Second, if the attorney has reasonable grounds to believe that the evidence might be destroyed, or if his client consents, he may turn the physical evidence over to the prosecution. Applying this test to the instant facts, the trial court was correct in ordering the wristwatch to be turned over to the state.
II.
How Should the Evidence be Returned?
Having decided that the evidence must be turned over to the prosecution, we must determine how this can best be done without further prejudice to the defendant. The Ethics Committee’s proposed standards provide that when this is done “the lawyer shall do so in [a] way best designed to protect the client’s interest.” Standards, supra.
Amicus National Legal Aid and Defender Association suggests that if the lawyer decides to disclose the item he should do so by delivering the evidence to an agent who would then deliver it to the police without disclosing the source of the item or the case involved. Defendant, however, suggests that the procedure followed in the District of Columbia be considered. According to defendant, inculpatory evidence is delivered to the District of Columbia’s bar counsel for subsequent delivery to law enforcement officials. Defendant urges that this Court adopt a system whereby an attorney could anonymously deliver evidence to State Bar counsel, or presidents of local county bar associations, in a sealed package which indicates that it is being delivered due to the affirmative disclosure requirement.
We disagree with both suggestions. Not all items have evidentiary significance in and of themselves. In this case, for instance, the watch is not inculpatory per se; rather, it is the fact that the watch was found in defendant’s jacket that makes the watch material evidence. By returning the watch anonymously to the police, this sig nificance is lost. Assuming investigating officials are even able to determine to what case the evidence belongs, they may never be able to reconstruct where it was originally discovered or under what circumstances. Cf. People v. Meredith, 29 Cal.3d 682, 175 Cal.Rptr. 612, 631 P.2d 46 (1981) (“to bar admission of testimony concerning the original condition and location of the evidence * * * permits the defense to ‘destroy’ critical information; it is as if * * * the wallet in this case bore a tag bearing the words ‘located in the trash can by Scott’s residence,’ and the defense, by taking the wallet, destroyed this teg.” Id. at 691, 175 Cal.Rptr. at 617, 631 P.2d at 53.
We believe it is simpler and more direct for defendant’s attorney to turn the matter over to the state as long as it is understood that the prosecutor may not mention in front of the jury the fact that the evidence came from the defendant or his attorney. As the Michigan Court of Appeals explained:
[Permitting the prosecutor to show that defendant’s attorney had such evidence in his possession invites the jury to infer that defendant gave the evidence to her attorney. The prosecution should not be allowed to accomplish by inference what he is clearly prohibited from doing by direct proof. People v. Nash, 110 Mich.App. 428, 447, 313 N.W.2d 307, 314 (1981).
If a defendant is willing to enter a stipulation concerning the chain of possession, location or condition of the evidence, then the evidence may be admitted without the jury becoming aware of the source of the evidence. Cf. People v. Meredith, supra, at 695 n. 8, 175 Cal.Rptr. at 620 n. 8, 631 P.2d at 54 n. 8. Under these circumstances, the attorney need not be called as a witness.
III.
Must the Attorney Withdraw as Counsel?
Under these procedures, the attorney need not withdraw as counsel. If the attorneys can stipulate as to the chain of possession and no reference is made to the fact that the defendant’s attorney turned the matter over to the prosecution, then there is no need for the attorney to withdraw as counsel for the defendant. There may be some cases where the client will believe that his attorney no longer has his best interest in mind. In such a case, it may be wise for the attorney to ask to withdraw. Such request should be liberally granted by the court. Where, however, the client does not object, there is no need for the attorney to withdraw from the case.
DISPOSITION
As to the instant case, we find that defense counsel was forced to take possession of the evidence because of a reasonable fear that to do otherwise would result in its destruction. Because the source was a nonclient, and because he had reason to believe that the witness (source) would conceal or destroy the evidence, the attorney had an obligation to disclose the item and its source to the prosecution.
The order requiring disclosure is affirmed and the order requiring defendant’s attorney to withdraw is reversed. The matter is remanded for further proceedings consistent with this opinion.
HOLOHAN, C.J., and HAYS, J., concur.
. The Ethics Committee, in issuing its opinion, relied on the previous Code of Professional Responsibility, Rule 29, Sup.Ct. Rules, 17A A.R.S. New rules went into effect on 1 February 1985, and we will decide this issue pursuant to these new rules. Rules of Professional Conduct, effective 1 February 1985, Rule 42, Arizona Sup.Ct. Rules, 17A A.R.S. The outcome would be the same regardless which rules we would apply.
. The Comment also states that "[a] lawyer may not disclose such information except as authorized or required by the Rules of Professional Conduct or other law" (emphasis supplied); see also ER 3.4 ("[a] lawyer shall not: (a) unlawfully * * * alter, destroy or conceal a document or other material having potential evidentiary value * * * ").
The Arizona Bar Ethics Committee opinion focused on A.R.S. § 13-2809, Tampering with Physical Evidence, and § 13-2510, et seq., Hindering Prosecution, and stated that these two sections created a legal obligation of disclosure. We do not agree. Both statutes require an intent to make unavailable certain evidence for prosecution. In this case, however, the attorney was not acting to impede prosecution but rather to preserve evidence. If he were acting otherwise he would not retain the evidence and then request advice as to what to do with it but would destroy it, preventing the state from being able to obtain it through normal discovery channels.
. We note that the prosecution in this matter has been suspended for over a year while this issue is being resolved. We believe that the recourse to the State Bar Ethics Committee, while proper and commendable, resulted in an excessive delay. We hope that in the future the State Bar Ethics Committee will be more prompt in responding to requests for opinions when, as here, a criminal prosecution is held in abeyance awaiting the opinion of the Committee.
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OPINION
BIRDSALL, Chief Judge.
This appeal is from a signed minute entry order of the Pima County Superior Court denying the appellant any relief in a special action proceeding. The trial court made requested findings of fact and conclusions of law. Rule 52(a), Rules of Civil Procedure, 16 A.R.S. The trial court also explained the reasons for its decision in the minute entry.
The appellant has been a commissioned Tucson police officer since 1961. In 1982 he applied for a non-commissioned position in the Tucson Police Department, as Evidence and Supply Supervisor (E and S). The opening had not been advertised publicly, only by internal department announcement. He was the only applicant and he was chosen for the position by the chief of police. He gave notice of his retirement as a commissioned officer. This retirement would have entitled him to receive benefits from the Public Safety Personnel Retirement System. Further, in his notice the appellant said, in part,
“I do this with the understanding that I will have no break in service with the City of Tucson. Also, I understand that I will retain my longevity and all related benefits.”
This document signed by the appellant was labeled “Retirement/Transfer.”
The appellant began working as the E and S supervisor on March 1, 1982. However, his transfer was never approved by the Personnel Department or the city manager. Although he continued to perform the duties of E and S supervisor he also continued to receive pay as a commissioned police officer which was greater than that for the non-commissioned supervisor position. In April his application for retirement benefits was withdrawn and he never received any such benefits. He is still an active participant in that system. The personnel actions for the transfer of the appellant were terminated by the police department upon being advised by the city attorney that the proposed action would violate Civil Service Rules and Regulations. The E and S position was subsequently advertised and by open competitive examination another person was selected for the position in May 1983. The appellant, at time of trial, was working in the Warrants Section as a commissioned officer. By his petition for special action the appellant sought to be permanently appointed as E and S supervisor.
The trial court’s findings were consistent with the facts we have recited. In its conclusions of law the trial court noted that the relationship between a public employer and employee was governed by applicable statutes, ordinances, rules, and regulations creating the terms of employment. It then concluded that the relationship between the City of Tucson and its employees was governed by Chapter XXII of the City Charter, Tucson Code Chapter X, both entitled Civil Service, and the Tucson Civil Service Commission Rules and Regulations. The court held as a matter of law that the appellant had no property interest, entitlement, or vested right to employment as E and S supervisor.
In the minute entry the trial court explained:
“Basically, the final step necessary to legally accomplish the transfer of the plaintiff, i.e., approval by the City Manager, was not accomplished. The personnel action that was contemplated with respect to Mr. Woolison was, legally, a transfer rather than an appointment be cause it was, as executed, conditional upon his having no break in service with the City of Tucson and conditional upon his retaining his longevity and all related benefits____ Such transfer was not effective until approved by the City Manager, Civil Service Commission Rule X(d), the transfer from commissioned status to non-commissioned status being a transfer from one class to another as that term is defined by the City Code, Ch. 10, Sec. 3(5). The plaintiff, in short, was never legally appointed to or transferred to the position of civilian Evidence and Supply Supervisor.
Notwithstanding the plaintiffs ostensible retirement and ostensible commencement of employment as a civilian, the City is not estopped from denying that the plaintiff was transferred to civilian status because, among other reasons, any detriment suffered by the plaintiff was mitigated by the plaintiffs reinstatement to his previous commissioned position.”
In the only issue presented on appeal the appellant contends that Woolison’s voluntary demotion was not a transfer and therefore did not require the approval of the city manager.
We affirm.
The Civil Service Rules and Regulations were admitted as an exhibit at trial. Civil Service Rule X(l)(d) provides, in part, that all transfers from a position in another class are subject to review and approval from the city manager. The trial court found the transfer from commissioned to non-commissioned status is a transfer from one class to another. The City Code, Sec. 10-3(5), cited by the trial court defines classification.
“Sec. 10-3(5). Classification means a class of positions sufficiently similar as to duties performed, degree of supervision exercised or required, minimum qualifications and other characteristics that the same title, the same test of fitness, and the same schedule of compensation may be applied with equity to each position in the group.”
The appellant contends that his move was not a transfer but rather a demotion. He points to Sec. 10-10(8) of the Code which requires that the Civil Service Rules and Regulations shall provide:
“For the transfer of employees from one position to another position in the same class or from a position in one class to a position in another class; provided, however, ... a transfer from one class to a position in another class which has a lower salary range shall be deemed a demotion which shall be accomplished only in the manner provided in the rules and regulations of the commission for making demotions.” (emphasis added.)
Rule X, Sec. 1(a) of the Rules and Regulations then provides:
“An employee holding a position in any given class may at any time be transferred or request a transfer to another position in the same class, or to another position in another class which in accordance with the compensation plan is at the same salary range.... Promotions and demotions shall be accomplished only in the manner provided elsewhere in these rules for promotions and demotions.” (emphasis added.)
Rule XI of the same Rules and Regulations contains the procedure for voluntary demotions:
“(a) Upon written request from an employee, an appointing officer may demote such employee to any class of positions for which the employee is qualified. No such demotion however, shall be made unless there is a vacancy in the class to which the employee requests demotion. A copy of the employee’s request and the appointing officer’s approval thereof shall be filed with the Director.” (emphasis added)
This reasoning does not apply in the instant case. Assuming, arguendo, that a department head (chief of police) could approve a demotion and the approval of the city manager was not required, the appellant sought much more than that. What he proposed and attempted to accomplish was retirement from his commissioned po lice officer position in order to draw his pension under the Public Safety Personnel Retirement System (A.R.S. §§ 38-841 to 855) and yet continue his city employment without a break in service. Because A.R.S. § 38-842(23) defines retirement as termination of employment, it is obvious that he could not accomplish his objectives. It was necessary that he, at least momentarily, cease to be a city employee. Had he actually terminated his employment, then he could neither be transferred nor demoted. The Civil Service Rules and Regulations, Rule V requiring advertised, competitive, open examinations would come into play and he would have to be certified for the position and selected over any other applicants.
In view of these considerations, the city did not abuse its discretion when it rejected his appointment by the chief of police to the E and S position. The trial court properly refused to grant relief in the special action.
Affirmed.
HOWARD and HATHAWAY, JJ., concur.
|
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OPINION
FERNANDEZ, Judge.
This is an appeal in a civil commitment case in which the appellant, sometimes also referred to as the patient, was ordered to undergo treatment.
On February 22, 1985, an application for evaluation of the patient was made at the Southern Arizona Mental Health Center, and thereafter a psychiatrist filed a petition for evaluation. Based upon the petition and the screening report, the court ordered the patient to be evaluated on an in-patient basis at Kino Community Hospital. Following evaluation, a petition for court-ordered treatment was filed. Appellant’s motions for review of the detention order and to dismiss the petition were denied after a hearing at which the patient testified.
A hearing was held on March 13 and 14, 1985, at which two psychiatrists and three persons acquainted with the patient testified. The patient had testified at length at the probable cause hearing, and the tape of that testimony was considered at the commitment hearing. The court found that the patient was suffering from a mental disorder and was, as a result thereof, a danger to himself and unable or unwilling to accept voluntary treatment. He was ordered to undergo in-patient treatment at Kino Hospital.
Appellant contends that the court erred as follows:
(1) the record does not support the court’s finding that appellant was a danger to himself, and
(2) he was denied due process of law during the commitment hearing.
We find no error and affirm.
Appellant cites the First Amendment guarantee of freedom of speech against government action, restraint or limitation as a right that should forbid any interference with his conduct. We fail to see the connection between the right of free speech and the issues in this case.
A.R.S. § 36-501(4) states:
“4. ‘Danger to self’ means:
“(a) Behavior which, as a result of a mental disorder, constitutes a danger of inflicting serious physical harm upon oneself in the near future, including attempted suicide or the serious threat thereof, if the threat, made in the recent past, be such that, when considered in the light of its context and in light of the individual’s previous acts, it is substantially supportive of an expectation that the threat will be carried out.
“(b) Behavior which, as a result of a mental disorder, will, without hospitalization, result in serious physical harm or serious illness to the person in the near future, except that this definition shall not include behavior which establishes only the condition of gravely disabled.”
Appellant contends he had made no recent suicide attempts and that the court’s ruling was based simply on verbal expressions of despair and confusion. The evidence shows otherwise. Appellant’s mother testified about an incident 15 months earlier in which he had taken a shotgun and threatened to kill both himself and his mother. He had been confined to hospitals throughout much of the six-month period following that attempt. During the three-month period immediately preceding the hearing on this petition, he again began to talk of suicide and on one occasion when the police were called he asked them to kill him. She also related an incident when he had called her and said he was going to kill himself unless the government met a list of needs he had drawn up, including providing him with a castle he had sketched. A psychiatric technician from Kino Hospital testified that appellant had spoken of killing himself three weeks before the hearing upon his most recent admission to the hospital and had admitted that if he were not there he would probably try to kill himself. Another psychiatric technician testified that the patient had recently spoken of sharpening the silverware so as to kill himself. Finally, the patient himself told the court that maybe he would hurt himself in the near future “as a result of finding out what [he had] found out,” (that he had started a couple of wars by singing on the radio) and that he did feel suicidal. The two psychiatrists who examined him both determined that appellant was a danger to himself, as did the independent evaluator appointed by the court. We find more than ample evidence to support the court’s findings.
At the beginning of the hearing appellant had requested that his attorney withdraw and, after the request was denied, both he and his attorney were permitted to act as counsel. Appellant contends that he was denied due process because the court improperly cut off his cross-examination and limited the presentation of his case to one hour.
The record shows that the court permitted appellant to testify at length regarding his life and recent suicidal thoughts. It shows that appellant used only forty minutes of the hour allotted him. Finally, the record also shows that appellant spent a great deal of time on irrelevant topics.
The trial court has wide discretion in controlling the proceedings. We have reviewed the record and find the appellant’s contention to be meritless.
Affirmed.
BIRDSALL, P.J., and HOWARD, J., concur.
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HAYS, Justice.
Petitioner, Hydro-Dynamics, Inc., brings this special action to challenge an order compelling it to pay approximately $80,000 in prejudgment attorneys’ fees to Robert and Dorothy Butterworth (“the Butterworths”), real parties in interest. We have jurisdiction pursuant to Ariz. Const, art. 6, § 5(3) and Rule 8, Rules of Procedure for Special Actions, 17A A.R.S. The issue presented is whether, in a shareholder’s derivative lawsuit, the trial court erred in ordering a corporation to pay prejudgment indemnification of attorneys’ fees to a shareholder-plaintiff. We find that it was error and therefore vacate the order of the trial court.
FACTS
Hydro-Dynamics, Inc. (“the corporation”) is in the business of manufacturing waterbed sheets and accessories. The Board of Directors consists of Bob Butterworth, Norm Brown and Betty Brown. Norm Brown is the president of the corporation. He, his wife, and his mother Betty Brown own 60% of the corporation; each holds a 20% interest. The Butterworths own the remaining 40%.
In 1982, a disagreement arose between Norm Brown and Bob Butterworth concerning the management of the corporation. Thereafter, in October of 1982, the Butterworths filed a shareholder derivative action in Mohave County Superior Court against Norm Brown, the corporation, and others. The Butterworths alleged several acts of self-dealing and mismanagement on the part of Norm Brown. Trial was set for July, 1985.
In July, 1984, the Butterworths filed a motion for extraordinary relief requesting that Brown be removed as an officer and director of the corporation. They further requested that Brown be required to repay the corporation any attorney fees previously advanced to him to defend the suit. Brown asserted that such indemnification was proper under the General Corporation provisions of A.R.S. § 10-005. The Butterworths replied that they too were entitled to indemnification for their attorney fees, and that this would be within the court’s authority to order. The trial court denied the Butterworths’ motion to remove Brown as president, but directed the corporation to pay the Butterworths’ attorneys’ fees, theretofore incurred, of approximately $80,000. This order was subject to the Butterworths’ indemnification of the corporation should they not prevail on the merits. The corporation filed a motion for reconsideration of this order. The motion was denied, and the corporation subsequently filed the instant petition for special action and application for interlocutory stay of proceedings. We granted the stay and thereafter accepted jurisdiction. The stay was vacated June 20, 1985, with the exception of the order granting an interim award of attorneys’ fees to the Butterworths.
1. IS A SHAREHOLDER-PLAINTIFF ENTITLED TO PREJUDGMENT INDEMNIFICATION OF ATTORNEYS’ FEES UNDER A.R.S. § 10-005?
The Butterworths maintain that the trial court properly awarded them prejudgment indemnification of attorneys’ fees pursuant to A.R.S. § 10-005. This statute provides indemnification in two situations. First, A.R.S. § 10-005(A) pertains to lawsuits “... other than an action by or in the right of the corporation, by reason of the fact that he is or was a director, officer, employee or agent of the corporation____” (Emphasis added). Second, A.R.S. § 10-005(B) states,
A corporation shall have power to indemnify any person who was or is a party ... to any ... pending ... action or suit by or in the right of the corporation to procure a judgment in its favor by reason of the fact that he is or was a director, officer, employee or agent of the corporation, ... against expenses, including attorneys’ fees, ... actually and reasonably incurred by him in connection with the defense or settlement of such action or suit ... (emphasis added).
A shareholder derivative suit is by its nature an action “by or in the right of the corporation.” 19 Am.Jur.2d, Corporations § 528. Therefore, § 10-005(A) is clearly inapplicable and thus we look to § 10-005(B) to see if recovery is available.
First, although this court has found no case authority interpreting § 10-005(B), we find that the Butterworths do not come within its provisions. The Butterworths are not directors, officers, employees, or agents of the corporation, as that term is used in the statute. Rather, pursuant to Rule 23.1, Arizona Rules of Civil Procedure, 16 A.R.S., the plaintiff, in a derivative action, sues in his capacity as a shareholder. As such, the Butterworths are not entitled to relief under § 10-005(B).
Second, the power to indemnify “any person” is limited to expenses incurred in the “defense or settlement” of an action. The Butterworths clearly were not forced to spend money for this purpose. Rather, the Butterworths, as shareholders, were prosecuting an action on behalf of the corporation. We reject, in the context of this statute, the Butterworths’ argument that by prosecuting the matter, they are defending the corporation itself. Such an interpretation is not warranted by the plain language of the statute.
The Butterworths further urge this court to allow indemnification of attorneys’ fees pursuant to the language in § 10-005(D). Specifically, the subsection states that, unless ordered by a court, indemnification shall be made by the corporation only upon a determination that the elements of subsections (A) or (B) have been met. The Butterworths contend that the phrase “unless ordered by a court” grants the court broad discretion in ordering indemnification. The Butterworths’ reliance is misplaced. Subsection (D) merely sets forth the procedure to be followed in determining whether a party shall be indemnified. It in no way provides that a court can order indemnification without regard to the constraints set forth in the other sections of the statute. Rather, any court ordered indemnification must relate to expenses incurred in connection with the defense or settlement of a suit as required in subsections (B) and (E). Thus, the Butterworths’ claim fails.
The Butterworths neglect to disclose to this court any case in which prejudgment indemnification of attorneys’ fees were awarded to a derivative plaintiff pursuant to § 10-005. To now adopt such an interpretation would be tantamount to forcing a corporation to spend money out of one pocket for its defense, while simultaneously providing shareholders with funds from its other pocket to prosecute the suit. Such a result is unacceptable.
Finally, the Butterworths maintain that they are entitled to equitable relief under the substantial benefit doctrine. They did not raise this issue in the pleadings, nor argue it before the trial court. We therefore find it unnecessary to reach this issue. Jennings v. Roberts Scott & Co., 113 Ariz. 57, 546 P.2d 343 (1976).
The order of the trial court granting the Butterworths prejudgment indemnification of attorneys’ fees is vacated. The matter is referred to the trial court for further proceedings.
HOLOHAN, C.J., GORDON, Vice Chief Justice, and CAMERON and FELDMAN, J., concur.
|
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HATHAWAY, Judge.
OPINION
In 1978, petitioners (hereinafter referred to collectively as ‘‘Tankersley”) and the real parties in interest, except Pioneer Trust Company of Arizona, (hereinafter referred to collectively as “Nelson”) entered into two joint venture agreements to subdivide, develop and sell certain real property owned by Tankersley and located in Pima County. Stated in the simplest terms, the agreements provided that Tankersley was to contribute the property to the joint ventures and Nelson was to serve as managing agent of the joint ventures and to develop the property as general contractor. The terms of the agreements, which are lengthy, are irrelevant here except for Article XIX, which pertains to the term of the agreement, default and remedies, and which is virtually identical in both agreements. In addition to stating the term of each agreement and defining the events constituting an event of default under the same, this article sets forth the remedies available to each party in the event of a default. Specifically, subparagraphs B and E of Article XIX provide:
“B. In the event [Tankersley] or NELSON shall file a bankruptcy petition, either voluntary or involuntary, or shall be the subject of the invocation of the jurisdiction of the bankruptcy court, under any provision of the Bankruptcy Act, and said petition and jurisdiction of the Bankruptcy Court is not discharged and terminated within forty-five (45) days thereafter, or makes an assignment for the benefit of creditors or is otherwise insolvent or is suspended from doing business by any other governmental agency, then the remaining party shall have a ninety (90) day option in which to purchase the entire interest of said retiring party for a purchase price equal to the then remaining capital account of such party, or may elect to terminate and liquidate the joint venture by the exercise of any of its remedies provided in subparagraph E of this Article XIX.
E. In the event the defaulting party does not cure its default as provided in subparagraph D of this Article XIX, the non-defaulting party may elect to exercise any of the following remedies:
(1) In the event NELSON is the defaulting party [Tankersley] may elect to terminate the joint venture and exercise the remedies afforded it under the terms of the deed of trust provided for in Article VIII.
(2) The non-defaulting party may elect to terminate the joint venture and purchase all of the defaulting party’s right, title and interest in the joint venture for an amount equal to the defaulting party’s capital account at the time of default.
(3) The non-defaulting party may elect to terminate the joint venture and obtain a partition of the joint venture property so that each party shall receive that percent of the joint venture property which is equal to the percent that its capital contribution bears to the total capital contribution of the parties, and the non-defaulting party shall be entitled to recover from the defaulting party the costs of curing the default including reasonable attorney’s fees, interest and costs.
(4) In the event of a default under Article XIX(c)(7), NELSON may acquire the entire right, interest and title in and to, the property of the joint venture by paying in cash to [Tankersley] or the parties then entitled, within thirty days of appraisal an amount equal to 50% of the then fair market value of project (as determined by agreed MAI appraisal) after deduction for capital accounts then due each party. If necessary each party shall designate an arbitrator who shall select a third arbitrator who with the two original selected arbitrators determine the fair market value. In the event NELSON determines not to so acquire, [Tankersley] may acquire such complete interest by paying to NELSON an amount equal to 35% of the then fair market value as above determined. If neither elects to purchase as provided above, the project property shall be partitioned in accordance with applicable law.
(5) The non-defaulting party may elect to exercise any other remedy available at law or in equity.
(6) The various rights and remedies herein contained and reserved to each of the parties shall not be considered as exclusive of any other right or remedy of such party, but shall be construed as cumulative and shall be in addition to every other remedy now or hereafter existing at law, in equity, or by statute.
(7) No delay or omission of the right to exercise any power by either party shall impair any such right or power, or shall be construed as a waiver of any default or as acquiesence therein. One or more waivers of any covenant, term or condition of this lease by either party shall not be or be deemed to be a waiver of a subsequent breach of the same or any other covenant, term or condition. The consent or approval by either party to or of any act by the other party of a nature requiring consent or approval shall not be deemed to waive or render unnecessary consent to or approval of any subsequent similar act.
(8) In all cases in which acts, approvals, denials, requests, notices, demands, compromise or settlements are required or requested of, or permitted to [Tankersley], NELSON shall be entitled to deliver to, or receive from, actions and decisions of, Ronald Tankersley and to rely upon information received from Ronald Tankersley, who shall act in all matters on behalf of [Tankersley].” (Emphasis added)
Pursuant to the agreement, title to the property was transferred in trust to Pioneer Trust Company, Nelson obtained necessary financing, and development and construction commenced. By 1982, however, only a few homes had been constructed and the project began experiencing severe financial difficulties. Notice of default was apparently first given to Nelson in August of 1982. In September of 1982, the parties executed an addendum to the joint venture agreements which permitted Nelson to obtain additional financing from another lender and to encumber six of the lots in the joint venture property. The addendum provided, inter alia, that in the event of a default by Nelson on the financing agreement and upon notice from Tankersley, Pioneer was to convey the lots to Tankersley free and clear of any claim or right by Nelson.
The situation continued to worsen during the next few months. As of November, materialmen’s and mechanic’s liens in the total amount of more than $600,000 were filed against the property, Nelson apparently defaulted on the underlying financing agreements, and all construction ceased. By letter dated January 20, 1983, Tankersley notified Pioneer of Nelson’s uncured default on the addendum agreement and instructed Pioneer to convey the lots subject to that agreement to Tankersley. Six days later, Tankersley instructed Pioneer to convey all of the joint venture property to a separate trust, of which Nelson was not a beneficiary, and Pioneer did so. By letter dated January 28, 1983, Tankersley then notified Nelson of its decision to exercise its right to terminate the joint ventures pursuant to Article XIX of the agreements. Although the letter does not specify sub-paragraph (E)(2), it is apparent from Tankersley’s request in the letter for “detailed and audited statements of expenses in your capital account, so that we can make the necessary arrangements to fund you any monies due under the terms of our contract” that Tankersley was electing to purchase Nelson’s interest in the property for the amount of its capital account.
In February 1983, Nelson filed suit on its own behalf and on behalf of the joint ventures against Tankersley and Pioneer Trust Company, seeking damages for breach of the joint venture agreements, fraud, conversion, racketeering, and breach of fiduciary duties; seeking to impose a constructive trust on the joint venture property; and seeking to enjoin Tankersley from denying Nelson access to joint venture property and records and from selling or encumbering the joint venture property. Tankersley answered and filed a four-count counterclaim seeking dissolution of the joint ventures, an accounting, and declaratory relief. More specifically, count three of the counterclaim alleged that Tankersley was entitled to a declaration of their rights “including, but not limited to, these Defendants’ rights to purchase Plaintiffs’ respective interests in the ... project, as specified by the various Joint Venture Agreements and addenda thereto.” This count also sought a declaration that the joint ventures were dissolved on or about January 28,1983, that Tankersley was entitled to wind up the affairs of the joint ventures, and that Nelson was entitled to its unrecouped capital contribution. Nelson’s request for preliminary injunctive relief was denied, the court finding, inter alia, that the action was primarily for money damages, that Nelson had not demonstrated a reasonable probability of prevailing in the litigation, and that “[o]n the contrary the Court finds that payment on the property mortgages was in default at the time that defendants took the action which precipitated plaintiff’s lawsuit....” (Emphasis in original)
Subsequently, Tankersley moved to sever and accelerate the trial of count three of the counterclaim. The motion was granted and trial set for September 25, 1984. Nelson’s motion to reconsolidate was denied on August 20, 1984. Five days prior to the date set for trial of count three, Nelson again moved to reconsolidate or, in the alternative, dismiss. Following a hearing, the trial court granted the motion to reconsolidate and ordered the matter referred to a special master for an accounting. In response to questions from counsel for Tankersley as to the basis for its ruling, the court stated: “Well, I feel certainly that in any joint venture type agreement, any partnership agreement where the financial transactions are not simple, an accounting has to be done before you go into any other issues.”
This special action was taken from the aforementioned order reconsolidating the case and referring the matter to a special master for an accounting. Because we agree with the petitioners that the trial court abused its discretion or failed to exercise a discretion which it had a duty to exercise, and petitioners have no equally plain, speedy and adequate remedy by appeal, we accept jurisdiction and grant relief.
The trial court’s decision was apparently based on -a literal application of the general rule, frequently applied to joint ventures, that one partner cannot sue another partner at law, as distinguished from an action in equity, with respect to partnership transactions except after a full accounting and balance has been had. See, e.g., Seguin v. Boyd, 134 Ariz. 172, 654 P.2d 808 (App.1982); Clark v. Edris, 120 Ariz. 244, 585 P.2d 264 (App.1978); Miner v. Rogers, 115 Ariz. 463, 565 P.2d 1324 (App.1977). Without expressing any opinion as to the continuing validity of this rule or the propriety of its application to joint ventures, see Rubi v. Transamerica Title Insurance Company, 131 Ariz. 403, 641 P.2d 891 (App.1981), we hold simply that the rule does not apply automatically and without exception where, as here, the parties have by contract otherwise agreed.
As noted above, the parties to these joint ventures expressly set forth in detail their agreement as to the remedies to be available in the event of default by either party, which included the right of the non-defaulting party to terminate the joint ventures and purchase the defaulting party’s interest for the amount of his capital account on the date of default. The petitioners have made clear their election of this remedy and, assuming that Nelson has in fact committed an event of default which would permit such an election under the terms of the parties’ agreement, there is no reason why this remedy should not be enforced. Severance and acceleration of the trial of count three of the counterclaim was therefore eminently appropriate, and the trial court abused its discretion in reconsolidating the action and referring the matter to a special master for an accounting. Since the parties have agreed that one-permissible remedy shall be the right to buy out the defaulting party’s interest, and Tankersley has elected that remedy, it was incumbent upon the trial court to decide initially the question of whether or not Nelson’s conduct constituted an event of default within the meaning of Article XIX of the agreements. In determining this issue, the court will of necessity consider the issues of whether Tankersley complied with provisions of the agreement pertaining to notice and opportunity to cure, and whether Tankersley by such conduct as ordering Pioneer to convey all joint venture property to a separate trust or otherwise has waived or is estopped from asserting its right to elect this remedy. If the court determines that Nelson’s conduct constituí ed an event of default and that Tankersley was entitled to elect the buy-out remedy, the only remaining question is the amount of Nelson’s capital account on the date of default. Only in the event that the court determines that Tankersley was not entitled to elect the buy-out remedy must the action proceed to a full accounting.
The order of the trial court reconsolidating the action and referring the matter to a special master for an accounting is vacated, and the cause is remanded to the trial court for further proceedings consistent with this opinion.
BIRDSALL, C.J., and HOWARD, J., concur.
|
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OPINION
LIVERMORE, Judge.
On September 28, 1983, a man presented a package to United Parcel Service (UPS) for transport. The man prepared a label giving defendant’s name and address as the shipper. The UPS clerk became suspicious of the contents of the package. She had a UPS security officer determine the license plate of the man’s car, which was listed to defendant’s roommate. A UPS supervisor opened the package, concluded that it contained marijuana, and notified the Department of Public Safety (DPS). A DPS officer picked up the package, reopened it, and came to the same conclusion about its contents. He interviewed the defendant at the defendant’s apartment. Defendant admitted that he had shipped the marijuana. Defendant now appeals from his conviction for unlawful transfer of marijuana.
Defendant first contends that the search of the package by UPS employees was unconstitutional and that, in any event, the DPS officer needed a warrant to reinvade the already opened box. Both arguments fail under United States v. Jacobsen, 466 U.S. 109, 104 S.Ct. 1652, 80 L.Ed.2d 85 (1984).
Defendant’s second argument is that the UPS receipt in his name, recovered from his home, and the package with its label showing him as shipper were improperly admitted because there was inadequate foundation to show that he wrote the receipt and label and without such foundation the writings were hearsay. This borders on the frivolous, given defendant’s admission that he was the shipper and evidence to the same effect from his roommate. But even without that, it could be inferred that defendant wrote the documents from the fact that the receipt was recovered at his home and that the shipper departed in a car belonging to defendant’s roommate. Under Rule 901(b)(4), Rules of Evidence, 17A A.R.S., authentication can be accomplished by circumstantial evidence. State v. Adamson, 136 Ariz. 250, 257, 665 P.2d 972, 979, cert. denied, 464 U.S. 865, 104 S.Ct. 204, 78 L.Ed.2d 178 (1983). See also State v. Emery, 141 Ariz. 549, 551, 688 P.2d 175, 177 (1984); State v. Fisher, 141 Ariz. 227, 241-42, 686 P.2d 750, 764-65 (1984).
A fingerprint examiner lifted defendant’s fingerprints from the plastic bags containing marijuana that were within the package shipped at UPS. The examiner died two weeks before trial. The day before trial this fact was revealed to the court. During her opening statement, the prosecutor said:
“But because it’s standard police practice and because it’s the proper way to do things before you lodge such a serious charge against someone, they sent it through forensics to have it checked for fingerprints and to make sure it was marijuana.
And we will do our best to bring you the scientific evidence on that as well. We’re going to have some difficulty. The lady who did the fingerprints died about two weeks ago, very unexpectedly.”
During his opening statement, defense counsel said:
“And I would just ask you to listen carefully to what we say about what evidence is going to be heard or what has been heard and what you actually hear from the witness stand. Because I don’t think you’re going to hear all the evidence that Miss Davidon told you you’re going to hear. I think there are going to be some problems there.
But as you heard the charge read, Bill is charged with transferring marijuana. It doesn’t matter how much. As long as it’s a useable quantity, it could be a pound, it could be a thousand pounds. But he’s charged with transferring marijuana. And to him you bet it’s a serious charge. But maybe to the police it wasn't so serious. And so maybe the police, and I think you’ll agree with me by the time you hear the evidence, did shoddy police work.”
When it came time to introduce the fingerprint evidence, it appeared that only the records of the deceased examiner could establish that certain fingerprints had been lifted from the plastic bags. Another available witness could testify that prints had been lifted from the bags but not that the labeled prints were the ones lifted. If the labeled prints were admitted, the witness could personally identify them as defendant’s prints. The trial court excluded the labeled prints because the deceased examiner could not be cross-examined and thus admission of the prints would violate the confrontation clause. He did allow the prosecutor to prove that the packages had been dusted for prints and that the examiner had died. Defendant contends that this allowed proof by innuendo that defendant’s prints were on the bags and that this is prosecutorial misconduct.
Although not addressed in these terms below, there is a substantial argument that the examiner’s report was inadmissible hearsay under Eule 803(8)(B), Eules of Evidence, 17A A.E.S., because of the exclusion from the official records exception to the hearsay rule “in criminal cases matters observed by police officers and other law enforcement personnel.” One court has held that a publicly employed chemist is a law enforcement officer under that rule. United States v. Oates, 560 F.2d 45 (2d Cir.1977). Other courts have looked to the purpose of the exclusion expressed in the Senate Eeport accompanying the rule:
“Ostensibly, the reason for this exclusion is that observations by police officers at the scene of the crime or the apprehension of the defendant are not as reliable as observations by public officials in other cases because of the adversarial nature of the confrontation between the police and the defendant in criminal cases.” 1974 U.S. Code Cong. & Ad. News 7051, 7064.
They have then held that routine, non-adversarial observations, even of police officers, are admissible. See, e.g., United States v. Quezada, 754 F.2d 1190 (5th Cir. 1985); United States v. Orozco, 590 F.2d 789 (9th Cir.), cert. denied, 442 U.S. 920, 99 S.Ct. 2845, 61 L.Ed.2d 288 (1979). We have reached the same conclusion with respect to the use of a police report of a deceased officer to prove chain of custody. State v. Silva, 137 Ariz. 339, 670 P.2d 737 (App.), cert. denied, 464 U.S. 999, 104 S.Ct. 500, 78 L.Ed.2d 692 (1983). We believe the analysis in Quezada to be the correct one because it comports with the purpose of the hearsay rule and its exceptions, that is, to assess the admissibility of evidence in terms of its probable reliability.
Applying the purposes of the exclusion of observations of law enforcement officers to the facts of this case, we Conclude that the report of the deceased examiner that certain prints had been lifted from certain bags should have been admitted. Such lifting and recording is, for a fingerprint examiner, the type of routine daily task that has always been thought to be reliably done under both the business and official records exceptions to the hearsay rule. The adversarial, confrontational risk of misperception and misrecording present at an arrest of a criminal at the scene of the crime is about as far removed from this routine exercise in a police laboratory as it is possible to imagine. While it is always conceivable that there has been misrepresentation as to where particular prints were lifted, there is nothing in the facts of this case to suggest any motive to falsify, or indeed any risk of falsification. That is demonstrated here by the corroborative evidence of an independent witness that prints had been lifted from the particular bags in question. Under normal hearsay analysis, therefore, the examiner’s report should have been admitted under Rule 803(8)(B). Even if inadmissible under that rule, admission could be equally well-premised, as we said in Silva, supra, under Rules 803(24) and 804(b)(5).
What we have said above also answers any confrontation problem in this case. The witness was unavailable because deceased; the evidence fit a well-established hearsay exception; its reliability was assessable independently of the exception; and because it was cumulative, it was neither crucial nor devastating. Ohio v. Roberts, 448 U.S. 56, 100 S.Ct. 2531, 65 L.Ed.2d 597 (1980); State v. Martin, 139 Ariz. 466, 679 P.2d 489 (1984).
Because the evidence excluded was admissible, any claimed innuendo was true. Reversal would not be appropriate if a retrial would involve admission of what is presently objected to. State v. Garrison, 120 Ariz. 255, 258, 585 P.2d 563, 566 (1978). In any event, any error in the innuendo would, on this record, be harmless.
There is an additional reason why the manner in which the fingerprint evidence that came in was proper in this case. Defense counsel was following the old adage that when the evidence and law are against you, try the police or the prosecutor. The defense theory was that, had the police but tried harder, they would have discovered the “bushy-haired intruder” responsible for the crime. It was perfectly proper to rebut this innuendo, as the trial court found, by proving police efforts to obtain other evidence that a jury might expect to hear, even though those efforts were thwarted by an untimely death. See Saltzburg, A Special Aspect of Relevance: Countering Negative Inferences Associated With the Absence of Evidence, 66 Calif. L.Rev. 1011 (1978). The evidence in this case, which we hold properly admitted to rebut the defense innuendo, proved exactly what the prosecutor said would be proved in her opening statement. There is no error.
Defendant’s final contention is that the prosecutor failed to plea bargain because of personal animus toward the defense counsel. State v. Martin, supra 139 Ariz. at 481, 679 P.2d at 504. Defendant was charged with a class two felony, he was offered a plea to a class six felony, and he was further offered a plea to a charge that could be treated as a misdemeanor if he would take a lie detector test to demonstrate that his present involvement was an isolated incident. On these facts, notwithstanding evidence of ill-feeling between defense counsel and some members of the prosecutor’s office, a failure to bargain cannot be established. It is not impermissible to condition reduction of what the legislature has designated as a serious felony to a misdemeanor by some demonstration that the defendant is not involved in the trade in controlled substances. See King v. Neely, 143 Ariz. 329, 693 P.2d 984 (App.1984). There is no presumption that one’s first involvement with the law is one’s first descent into criminality.
What defense counsel appears to want in this case is that we serve as referee in one of the distressingly common professional spats between prosecutors and defense counsel in Pima County. See State v. Noriega, 142 Ariz. 474, 483-86, 690 P.2d 775, 784-87 (1984); State v. Webb, 140 Ariz. 321, 681 P.2d 473 (1984). We decline that invitation. We observe, however, that many in the criminal bar seem to believe that exercising warm zeal on behalf of one’s client is best demonstrated by impugning the integrity of one’s opponent. Nothing could be less true. Such conduct invites retaliation and distracts the trier, whether court or jury, from the real issues in the case. We hope that this admonition may cause some mature reflection on the requirements of professionalism in the trial of criminal cases.
The judgment and sentence are affirmed.
HATHAWAY, P.J., and LACAGNINA, J., concur.
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OPINION
LACAGNINA, Judge.
In the dissolution proceedings between the parties, Ronald McCarthy and Mary McCarthy, the trial court awarded wife spousal maintenance of $800 per month for four and one-half years with leave given to both parties to petition for modification within that period of time and awarded wife 50% of husband’s retirement income vested, but not matured, to be paid when husband retires and receives those benefits. We need not discuss the other disposition of property and orders for payment since they are not pertinent to the opinion.
On appeal wife argues two issues: (1) that the award of spousal maintenance is insufficient and should be paid for an indefinite time, and (2) that she is entitled to an award of one-half the present cash value of the husband’s pension plan.
We agree with the court’s judgment on both issues and affirm.
I. AWARD OF SPOUSAL MAINTENANCE IS WITHIN THE DISCRETION OF THE TRIAL COURT.
Arizona courts have uniformly held that an award of maintenance to a wife is left to the sound discretion of the trial judge, and this court will not intervene without a clear showing of abuse. In re Marriage of Hinkston, 133 Ariz. 592, 653 P.2d 49 (1982); Bender v. Bender, 123 Ariz. 90, 597 P.2d 993 (1979).
The court received evidence regarding wife’s present health, education and opportunities for employment, and since there was reasonable evidence to support the trial court’s determination, no abuse of discretion has been shown. In the judgment ordering spousal maintenance, the court retained jurisdiction to entertain petitions for modification which could alter both the amount and duration of maintenance payments if future circumstances should warrant.
II. REJECTION OF WIFE’S CLAIM FOR AWARD BASED ON “PRESENT CASH VALUE” OF RETIREMENT BENEFITS WAS PROPER.
The parties have cited to the court numerous cases dealing with retirement and pension benefits. Each decision was based on the terms of the individual plans, the present status of the party’s interest in the plan, and the underlying factors which lead each court to distribute the community interest in the plan to the parties. There was insufficient competent evidence for the trial court to make any determination of a “present cash value” as claimed by wife. The IBM Pension Plan is a deferred pension plan. Contributions are made by the employer only, and no specific account exists for any individual employee. In order for husband to receive benefits from the plan, he must retire either at age 55 (with 15 years service), or at 65 years of age. The benefits to be received would be computed at the time of retirement and paid monthly for life. There are no provisions for lump sum payment if he terminates his employment or dies.
At the trial, the facts showed that husband had 14 years’ service with IBM. His pension was vested but not matured, meaning that if he did not continue to work for IBM, he still would receive a pension when he reached retirement age based on the years of service before termination.
Evidence at the trial supported the trial court’s finding that at age 65 husband’s pension, based upon the vested portion, would be $6,695.35 per year, and if he qualified for retirement at age 55, then the vested pension would be $4,686.75 per year. The trial court awarded wife one-half of these future benefits to be paid when and if husband qualified and received the benefits. This was a fair and equal distribution of the community’s interest in the IBM Pension Plan. Two recent Arizona appellate decisions dealing with the Arizona Public Safety Retirement Fund are instructive but not dispositive of this case. In Koelsch v. Koelsch, Ariz. (1 CA-CIV 6091, filed February 28, 1984 [review granted May 30, 1984]), and Haynes v. Haynes, Ariz. (1 CA-CIV 6278, 6323 and 6377, filed September 11, 1984) [review granted January 29, 1985], retirement benefits could have been realized at the time of trial, but the working spouse chose not to retire. The court dealing with that specific problem approved a formula to determine the interest of the community in the pension benefits at the time the benefits matured. We approve of the use of the formula as applied to the circumstances of those cases but find it was not error for the trial court here to adopt a different but fair method based on the evidence of the value of the community interest in the pension plan and dividing that amount in half.
Appellant Mary McCarthy’s request for award of attorney’s fees is denied.
AFFIRMED.
HATHAWAY, P.J., and LIVERMORE, J., concur.
|
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OPINION
BIRDSALL, Presiding Judge.
Appellants present one single and unique question of first impression in this state, whether there is a cause of action available to parents in Arizona for the loss of consortium of an injured child. We are convinced that such a cause of action ought to be available and we affirm.
The facts of the case are of little significance to the legal question involved. Frank Reben, age 10, was administered a dosage of liquid cocaine, mistakenly thought to be liquid Tylenol. He suffered severe and permanent brain damage as a result of the mistake. In addition to damages awarded to the injured boy’s estate, $5 million, his parents were awarded $500,-000 for past and future services to their son, and $1,000,000 for loss of consortium, or as framed in the complaint, “the loss of his love, society, companionship and the right of every parent to have the society and companionship of a normal child free from injury caused by the wrongful conduct of another.” Appellants do not contest the finding of liability or the damages awarded to the child’s estate. Nor do they contest the $500,000 award to the parents for services. Their sole issue is that loss of filial consortium is not a cognizable cause of action in Arizona and that therefore the judge erred in permitting evidence and in instructing on that element of the parents’ injury.
Loss of consortium is a recognized cause of action in Arizona as it is applied to spousal relations. Originally only the husband was entitled under common law to damages for the loss of consortium of his wife. As recently as 1954, the common law of this state denied the wife equivalent damages for loss of consortium. In Jeune v. Del E. Webb Construction Co., 77 Ariz. 226, 269 P.2d 723 (1954), the court declined the offered opportunity to rewrite the common law. Jeune was subsequently overruled by City of Glendale v. Bradshaw, 108 Ariz. 582, 503 P.2d 803 (1972). There, our supreme court traced the history of the common law as it applied to a husband’s right to loss of consortium damages, then observed that there were no reported cases in Arizona recognizing that right. Nevertheless, the court felt that the time had come to change the common law as it applied to a wife’s recovery.
Quoting Lueck v. Superior Court, 105 Ariz. 583, 469 P.2d 68 (1970), the Bradshaw court observed,
“ ‘When we find that the common law or “judge-made law” is unjust or out of step with the times, we have no reluctance to change it.’ ” 108 Ariz. at 584, 503 P.2d at 805.
Appellees the Rebens argue that it is not necessary to declare a change in the common law of Arizona to accomplish an award of damages for filial loss of consortium. They argue that Arizona Revised Statute § 12-641 is a sufficient vehicle, read broadly, to allow such award. This view echoes the suggestion in a recent law review. Comment, the Parental Claim for Loss of Society and Companionship Resulting From the Negligent Injury of a Child: A Proposal for Arizona, 1980 Ariz.St.L.J. 909.
We decline to resort to such statutory manipulation. The purpose of § 12-641 is to specify who may bring an action to represent an injured child, and it amends a previous statute which allowed only the father of the child, except in the case of death or desertion by the father, to bring such action. We do not feel that a broadening of a cause of action can be read into the statute.
Appellants argue that such expansion of the law in this state should await a legislative declaration of public policy. They similarly rely on the Comment, supra, which proposed wording to amend § 12-641, or alternatively, Arizona’s wrongful death statute to include “injury” as well as death. Noting that the legislature has entirely failed to act upon these suggested changes, the appellants conclude that the inaction is an indication of public policy of the state which mandates no change. We disagree equally with this position. Like Justice Feldman of our supreme court, we cannot find an expression of intent in the absence of legislative action. See Ontiveros v. Borak, 136 Ariz. 500 at 512, 667 P.2d 200 at 212 (1983). We note Justice Feldman’s explanations of legislative inaction:
“There are many reasons why bills are not reported out of committee. For example: the bill may be opposed by a particular committee member or by the chairperson; efforts of special interest groups and lobbyists may be successful at the committee level; or a lack of time for consideration of the bill may prevent passage by the committee.
* * * The legislature may well believe that when a judge-made common law rule has become obsolescent, anachronistic and unjust, the responsibility for change is ours, not theirs. There is no reason that we should refuse to act within our power and perform our duty when by so doing we further legislative objectives.” Id.
Likewise, we also add that expansion of tort law claims is peculiarly within the realm of our judicial, rather than legislative, system. Tort law, like contract law, concerns private relations between parties. Our legislature’s concern is with public law, the relation of the state to its citizens. For that reason, we are content to read A.R.S. § 12-641 to reflect a policy of who may come into court on behalf of another, not what law or claims they will argue there.
Having thus explained our reasons for concluding that recognizing this claim for filial loss of consortium due to the negligence of a third party is a function of the courts rather than the legislature, we now proceed to examine whether the time has arrived for Arizona law to so recognize the claim.
Our analysis recognizes a tension between the parties’ understandings of the rationale behind a negligent tort action. Appellants state an assumption that the purpose of such action is to deter the tortfeasor, noting that statutory wrongful death causes of action prevent a tortfeasor from escaping liability simply because the victim dies rather than survives the injury. Such assumption goes hand in hand with the public policy appellants propound of discouraging behavior v/hich leads to tortious injury. This analysis falls short, we feel, in the area of negligent torts. Nevertheless, the appellants argue that the jury verdict in the instant case is sufficient to “send a message” discouraging such behavior in other potentially negligent tortfeasors. Our modification of the jury’s award would likely go unnoticed by such tortfeasors, if appellants’ argument is followed to its logical conclusion. We shudder to think that any modification reducing the award, if noticed, would encourage potential tortfeasors to further negligence.
Appellees counter this assumption with the understanding that the purpose of a negligence cause of action is to make the injured party whole. Noting that one of the elements of a cause of action founded upon negligence from which liability will follow is actual loss or damage resulting to the interests of another, Prosser (W. Prosser and W. Keeton, Law of Torts, 5th ed. 1984, p. 165) writes:
“Negligent conduct in itself is not such an interference with the interests of the world at large that there is any right to complain of it, or to be free from it, except in the case of some individual whose interests have suffered.”
In a broader sense,
“[t]he law of torts, then, is concerned with the allocation of losses arising out of human activities; and since these cover a wide scope, so does this branch of the law. ‘Arising out of the various and ever-increasing clashes of the activities of persons living in a common society, carrying on business in competition with fellow members of that society, owning property which may in any of a thousand ways affect the persons or property of others — in short, doing all the things that constitute modern living — there must of necessity be losses, or injuries of many kinds sustained as a result of the activities of others. The purpose of the law of torts is to adjust these losses, and to afford compensation for injuries sustained by one person the result of the conduct of another.’ ” Prosser and Keeton, supra, at 6, quoting Wright, Introduction to the Law of Torts, 8 Camb.L.J. 238 (1944).
Our task, therefore, is to determine whether the loss of love, companionship, society, affection; in short, of consortium, of a child is such a loss and if it is compensable by the party liable for the loss. Our courts have frequently been presented this question in cases of wrongful death. Our wrongful death statute provides:
“§ 12-613. Measure of damages; nonliability for debts of decedent. In an action for wrongful death, the jury shall give such damages as it deems fair and just with reference to the injury resulting from the death to the surviving parties who may be entitled to recover, and also having regard to the mitigating or aggravating circumstances attending the wrongful act, neglect or default. The amount recovered in such action shall not be subject to debts or liabilities of the deceased, unless the action is brought on behalf of the decedent’s estate.”
In particular, Southern Pacific Co. v. Barnes, 3 Ariz.App. 483, 415 P.2d 579 (1966) concerned the allowance of damages to the survivors of an eleven-year-old girl killed in an auto-train crash, and State v. Watson, 7 Ariz.App. 81, 436 P.2d 175 (1975) concerned the deaths of a mother and her twelve-year-old daughter. In that case, this court observed that while granting generous awards to several injured parties for their medical and pain and suffering damages, the jury had granted $1,000 each to the estates of Mrs. Watson and her daughter Charm in their wrongful death actions. We declared that such award, particularly in the light of Mrs. Cole’s medical and funeral expenses of $818.37 and Charm’s funeral expenses of $593.12, shocked the conscience of the court at first blush and upon further reflection. We said,
“Our Supreme Court has said that in a wrongful death action such as this, the jury should consider ‘loss of companionship, comfort and guidance.’ [citation omitted] Surely, these items in the case of the loss of this wife and mother have a value of more than $181.63. And, surely, the loss of this child to her surviving father cannot be approximated at $406.88. In Southern Pacific Co. v. Barnes, [supra] this court approved an award of $35,000 for the loss of an 11-year old daughter whose scholastic accomplishments may have been slightly higher than those of Charm, but whose life was otherwise comparable.” 7 Ariz. App. at 87-88, 436 P.2d 175 (emphasis added).
We are convinced that there is an equal ground for finding an injury in the instant case, where the damage to the child is so great as to likewise deprive the parents of the companionship, comfort, love, and society to be reasonably expected from the child during his minority. We believe that the Rebens have thus been deprived. The uncontroverted facts show that at the time of trial Frank had the mental age of' a three-year-old, yet was less able to communicate or respond than a three-year-old. We are unable to justify denial of an award in such circumstances when only the bare fact of the child’s existence distinguishes this from a wrongful death case.
Appellants argue that among the policy considerations militating against allowing parents to recover are the intangible character of the loss, the difficulty of measuring damages, and the dangers of double recovery. Both the intangible character and measure of damage arguments are refuted by the operation of our wrongful death statute, and we need not discuss them further.
Unfortunately, the double recovery argument is linked to appellants’ perception of tort law as punishing the wrongdoer. They contend that in a wrongful death action, the victim is not alive to pursue a claim, so the surviving family is allowed to do so, and there is only one recovery. In the case of negligent (or, presumably, intentional) injury, the victim may recover for losses suffered, therefore the other persons injured by the tortfeasor’s action ought not to have an additional recovery. The fallacy of this argument is demonstrated by the fact that the survivor of a decedent may recover for the estate of the victim for medical expenses incurred by the victim between the act and the death and for funeral expenses, as well as for the survivor’s own loss of consortium, in a wrongful death action, so the only difference in allowing both Frank Reben’s estate and the Reben parents to recover here is that the child’s medical and other extraordinary expenses will continue longer than those of one who dies in a wrongful death action, possibly for his normal lifetime. We will not be understood as suggesting that a more negligent act would have resulted in an earlier death, thus limiting the liability of the tortfeasors. That is certainly not indicated in the record on appeal in this case.
Our supreme court has addressed both the intangible character and the double recovery-burden on the tortfeasor issues in its opinion in University of Arizona Health Sciences Center v. Superior Court of Maricopa County, 136 Ariz. 579, 667 P.2d 1294 (1983). There the court analyzed the damages to be allowed in a wrongful pregnancy action when the pregnancy resulted in a healthy child. Again quoting Justice Feldman,
“Some cases base their decision on the speculative nature of the necessity to assess ‘such matters as the emotional affect [sic] of a birth on siblings as well as parents, and the emotional as well as pecuniary costs of raising an unplanned and, perhaps, an unwanted child in varying family environments,’ [citation omitted] ... We think, however, that juries in tort cases are often required to assess just such intangible factors, both emotional and pecuniary, and see no reason why a new rule should be adopted for wrongful pregnancy cases.” 136 Ariz. at 582-83, 667 P.2d at 1297-98.
And as to undue burden on the negligent tortfeasor,
“A third basis ... is the argument that the ‘injury is out of proportion to the culpability of the [wrongdoer]; and that the allowance of recovery would place too unreasonable a burden upon the [wrongdoer], since it would likely open the way for fraudulent claims ... ’ ... This, of course, is the hue and cry in many tort cases and in essence is no more than the fear that some cases will be decided badly. Undoubtedly, the system will not decide each case correctly in this field, just as it does not in any field, but here, as in other areas of tort law, we think it better to adopt a rule which will enable courts to strive for justice in all cases rather than to rely upon one which will ensure injustice to many.” [citations omitted] 136 Ariz. at 583, 667 P.2d at 1298.
Appellants finally argue that it ill serves Arizona to be in the forefront of states permitting this cause of action. Asserting that “many bastions of progressive thought, such as California, Illinois, New York, Pennsylvania, and New Jersey,” have denied recovery for loss of filial consortium, they urge us to do likewise. Initially, we note that California has not dealt with the issue since 1977 in Baxter v. Superior Court of Los Angeles County, 19 Cal.3d 461, 138 Cal.Rptr. 315, 563 P.2d 871 (1977). We can only presume that they have not been presented with the question since then, and we do not speculate as to what the California Supreme Court might do if deciding the issue today. We can only indicate what we feel today’s needs and concepts as to the family and its relationships dictate.
Additionally, Illinois has, since appellants’ count of the “progressive thought” jurisdictions, approved the maintenance of a cause of action for the loss of a minor child’s society and companionship apart from a wrongful death action in Dymek v. Nyquist, 128 Ill.App.3d 859, 83 Ill.Dec. 52, 469 N.E.2d 659 (1984). Basing its result on an earlier Illinois Supreme Court decision in a wrongful death case, Bullard v. Barnes, 102 Ill.2d 205, 82 Ill.Dec. 448, 468 N.E.2d 1228 (1984), the Dymek court quoted Bullard, stating, “ ‘parents are entitled to a presumption of pecuniary injury in the loss of a child’s society, ... Defendants may rebut the presumption by presenting evidence that a parent and child were estranged.’ ”, 83 Ill.Dec. at 59, 469 N.E.2d at 666, emphasis in Dymek. Dymek did not concern the death, but rather the “brainwashing” of the child.
We do not advance into this area of common law completely alone among our sister jurisdictions. Ohio in 1983 adopted the cause of action in Norvell v. Cuyahoga County Hospital, 11 Ohio App.3d 70, 463 N.E.2d 111 (1983), by analogizing to the legislature’s recently amended wrongful death statute. The court stated:
“The public policy governing a parent’s claim for a child’s death is analogous to the policy controlling the parent’s derivative claim for a child’s injury. Indeed the [Ohio] Supreme Court made that analogy when it denied recovery for loss of a child’s society in wrongful death actions before the 1982 amendment, [citation omitted]. Defendants rely on that language to show that there is no right to recover for loss of an injured child’s ‘society, companionship and comfort.’ Now that the wrongful death act has been changed to allow recovery for such losses, the analogy compels the opposite conclusion.” 463 N.E.2d at 115.
Similarly the Wisconsin Supreme Court adopted the cause of action for injured minor children against a negligent tortfeasor in Shockley v. Prier, 66 Wis.2d 394, 225 N.W.2d 495 (1975). Colorado acknowledges such a cause of action by implication, see Miller v. Subia, 514 P.2d 79 (Colo.App.1973). Similarly, see Yordon v. Savage, 279 So.2d 844 (Fla.1973) wherein the court said,
“In Wilkie v. Roberts [91 Fla. 1064, 109 So. 225 (1926) ], this Court held that the parent, or guardian, of an unemancipated minor child, injured by the tortious act of another, has a cause of action in his own name for medical, hospital, ... and for the loss of the child’s companionship, society, and services, including personal services to the parent ... We hold today that this cause of action is available to either the father or the mother, or to the two parents together, ...” [emphasis in original] 279 So.2d at 846.
Three other states have amended their wrongful death statutes to include injury to children, and provide for loss of consortium damages by statute. See Idaho, Idaho Code § 5-311; Iowa, Iowa Rule of Civil Procedure No. 8; Washington, R.C.W. 4.24.010. .
Because the appellants urge that a decision affirming the trial court in this case will open the floodgates, thus giving rise to a vast number of related causes of action and damages beyond control, we deem it advisable to limit the possible implications of this decision. We are not deciding, for example, whether a loss of consortium claim for damages exists in other relationships. The most obvious of these is that most recently recognized in Ueland v. Reynolds Metals Co., 103 Wash.2d 131, 691 P.2d 190 (1984), that of minor children for severe injuries to their father. Nor do we decide whether the cause of action which we do recognize, the loss of the Rebens’ consortium with Frank, extends beyond a child’s reaching the age of majority. Although the award in the present case may well have extended beyond that age (the jury was instructed as to the life expectancy of the parents) that was not an issue presented in this appeal.
The loss of consortium claim in the instant case was submitted to the jury by separate verdict because the trial judge recognized that it was an extension of the common law. In the future, such a separate verdict would be unnecessary and the claim for this damage would be only one element of the parents’ damages.
The common law is fluid and responsive. The facts of this case illustrate a real loss of companionship with the injured child, and it is our duty today to affirm the verdict and judgment of the trial court.
Affirmed.
LIVERMORE and FERNANDEZ, JJ., concur.
. A.R.S. § 12-641. Persons who may maintain action for injury to child or ward. Either parent may maintain an action for the injury of a child, and a guardian may maintain an action for the injury of his ward.
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OPINION
LACAGNINA, Judge.
This is an action to recover the balance due Allwood Electric Company owned by Max and Bessie Milberger (AEC) by Chaney Building Company, Inc. (CBC) under a construction contract. The trial court found the existence of a contract and entered judgment in favor of AEC for the balance due plus costs and attorney’s fees.
CBC alleges three errors by the trial court:
1. Finding as a fact.that there existed a contract with enforceable modifications;
2. Failing to find as a fact that tender by CBC of checks in a lesser amount than claimed by AEC discharged the debt even though the checks were not cashed; and
3. Permitting the admission of evidence of the balance due although AEC failed to comply with Rule 12(f), Rules of Civil Procedure, 16 A.R.S., by not filing and serving a copy of the account within 10 days after demand.
I. THE TRIAL COURT FINDING OF AN ENFORCEABLE CONTRACT BASED ON CONFLICTING EVIDENCE AND NOT CLEARLY ERRONEOUS IS AFFIRMED.
The law is well settled that we are bound by the trial court’s findings unless clearly erroneous, giving due regard to the opportunity of the trial court to view the evidence and weigh the credibility of witnesses. Donahoe v. Marston, 26 Ariz.App. 187, 547 P.2d 39 (1976); Aztec Film Productions v. Tucson Gas & Electric Co., 11 Ariz.App. 241, 463 P.2d 547 (1970); Rule 52(a), Rules of Civil Procedure, 16 A.R.S.
The trial court’s finding of a contract with enforceable terms was necessary and based upon a conflict in the evidence; therefore, we will not disturb that finding since it is supported by reasonable evidence in the record. O’Hern v. Bowling, 109 Ariz. 90, 505 P.2d 550 (1973); Universal Investment Company v. Sahara Motor Inn, Inc., 127 Ariz. 213, 619 P.2d 485 (App. 1980).
II. A CONDITIONAL TENDER IS NOT VALID AND A VALID ACCORD AND SATISFACTION MUST INCLUDE A MEETING OF THE MINDS BY THE PARTIES.
CBC tendered two cheeks at different times to AEC in amounts less than that claimed due by AEC. Each check was void on its face after 60 days, and each was accompanied by a lien release. The checks were neither cashed nor returned.
A tender to be valid must be unconditional. Here there was a dispute as to the amount due under the building contract. The rule in Arizona is clearly stated in the case of Pleasant v. Arizona Storage and Distributing Co., 34 Ariz. 68, 267 P. 794 (1928):
“The general rule of law, of course, is that a tender, in order to be valid, must be unconditional. 38 Cyc. 152. Is there any test we can use to determine whether a tender is conditional or not? When there is a bona fide dispute between a debtor and a creditor as to the amount due, we think the true rule is well and succinctly stated in the case of Moore v. Norman, 52 Minn. 83, 53 N.W. 809, in which the court says:
‘The debtor has no right to the benefit of a tender, as having the effect of a payment, when it is burdened with such a condition that the creditor cannot accept the money without compromising his legal right to recover the further sum which he claims to be due.’ (Italics ours.)
The legal effect of a valid tender is to take the place of the necessity of proving payment of the sum tendered when such payment is a proper or necessary defense in an action. It cannot be used for any other purpose, and, if the tender is so made that its acceptance would be evidence, not only that such sum was paid, but that it was admitted to be the amount which should be paid to settle the controversy, the tender is not valid. This is but justice and common sense. It is not fair to say to the creditor: ‘By accepting what is admittedly your right, you may waive a further sum justly due you.' ” (Emphasis in opinion). 34 Ariz. at 78, 267 P. at 798.
The evidence before the trial court supports its refusal to find a valid tender and the necessary acceptance to create an accord and satisfaction by AEC to discharge the debt of CBC. The elements of accord and satisfaction are clearly stated in the case of Frank Culver Electric, Inc. v. Jorgenson, 136 Ariz. 76, 664 P.2d 226 (App.1983), where the court found that an essential element of accord and satisfaction was an assent or meeting of the minds of the parties and concluded that in that case a party’s assent could be inferred from its acceptance and cashing of a check.
III. THE PURPOSE OF RULE 12(f) IS TO PROVIDE INFORMATION TO AN ADVERSE PARTY.
We can answer the claim of error (No. 3 above) without deciding the quarrel between the parties over whether this is or is not an account contemplated by Rule 12(f), Rules of Civil Procedure, 16 A.R.S.
The rule is not designed to be oppressive or unrealistic when applied nor is there public policy forbidding its nonapplication in any given situation. It is sufficient to state that the purpose of Rule 12(f) is to inform an adverse party of what he owes and why, so that he can prepare his defense. Holmes v. Graves, 83 Ariz. 174, 318 P.2d 354 (1957).
There is sufficient evidence in the record to show that CBC knew all the particulars, and compliance with Rule 12(f), after a 37-day delay but approximately one year before trial, did not prejudice CBC, and therefore did not prevent the court from receiving evidence supporting the claim.
AEC is awarded attorney’s fees and costs on appeal.
AFFIRMED.
HATHAWAY, P.J., and LIVERMORE, J., concur.
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OPINION
LACAGNINA, Judge.
In this case Karen Bret Harte and Lawrence K. Bret Harte, wife and husband, claim damages from Stuttgart Autohaus, Inc. because a rebuilt Volkswagen engine purchased from and installed by Stuttgart failed after 1,400 miles. An express written warranty given at the time of sale warranted the engine for 12 months or 12,000 miles, whichever came first, under normal driving conditions. The only stated exclusion in the warranty was for offroad vehicles including dune buggies. Prior to selling and installing the rebuilt engine, Stuttgart knew the Bret Hartes were going to take a trip to Mexico to see the annual migration of whales.
The trial court was sitting in a trial de novo from an arbitration award in favor of Bret Hartes and made findings of fact and conclusions of law entering judgment in favor of Stuttgart with an award of attorney’s fees. A motion for new trial was denied.
Bret Hartes claim on appeal that the court misinterpreted the terms of the express warranty and erroneously concluded that in the absence of a proven defect they could not recover damages and that driving the vehicle on a trip to Mexico was not driving under normal conditions.
We reverse.
I. THE EXPRESS WARRANTY GIVEN WAS NOT LIMITED TO DEFECTIVE PARTS OR IMPROPER INSTALLATION.
The interpretation of an instrument is a matter of law to be determined by this court independent of the trial court’s findings. We are not bound by the trial court’s legal conclusions. Polk v. Koerner, 111 Ariz. 493, 533 P.2d 660 (1975); Huskie v. Ames Brothers Motor Supply, 139 Ariz. 396, 678 P.2d 977 (App.1984); Phillips v. Flowing Wells Unified School District, 137 Ariz. 192, 669 P.2d 969 (App.1983).
The express warranty given to Bret Hartes was a guarantee that the engine would perform for 12,000 miles or twelve months, whichever occurred first under normal driving conditions. The exact, pertinent language from the warranty is as follows:
“Rebuilt engine guaranteed 12 months or 12,000 miles, whichever comes first. Warranty covers entire engine under normal driving conditions, but does not cover the following engine components: clutch, generator, carburetor, fuel pump, fan belt, distributor, muffler.
Vehicles used for off road driving (including Dune Buggys) are excluded from warranty.”
The above-quoted warranty is not a warranty against defects in materials or workmanship, and the trial court’s conclusion of law to that effect was erroneous as no proof of defect was required by Bret Hartes, but merely a failure of promised performance. There was uncontradicted evidence before the trial court that the engine failed after only 1,300-1,400 miles. Bret Hartes needed only to prove this in order to recover damages from Stuttgart so long as the failure occurred under normal driving conditions, that being the only disclaimer in the warranty relevant to this case. Huebert v. Federal Pacific Electric Co., 208 Kan. 720, 494 P.2d 1210 (1972); McCarty v. E.J. Korvette, Inc., 28 Md.App. 421, 347 A.2d 253 (1975); Realmuto v. Straub Motors, Inc., 65 N.J. 336, 322 A.2d 440 (1974); Collins v. Uniroyal, Inc., 64 N.J. 260, 315 A.2d 16 (1974).
Stuttgart refers us to many warranty cases to substantiate the trial court’s finding that Bret Hartes had failed to prove a defect in workmanship or materials, but we find the cases are not controlling since the warranty given for Stuttgart was not one for defect in materials or workmanship.
II. WARRANTY REQUIREMENT OF DRIVING UNDER NORMAL CONDITIONS INCLUDES TRIP TO MEXICO.
The trial court found as facts from the evidence the following:
“3. At the time the Defendant sold the rebuilt engine to Plaintiffs, its service manager knew specifically that Plaintiffs intended to take the Volkswagen Van on an extended trip to Mexico.
4. After learning that Plaintiffs intended to take the Van to Mexico, Defendant said nothing to indicate to the Plaintiffs that the warranty would be inapplicable if the Van was used in Mexico.
* # * * * *
6. People who live in Southern Arizona frequently travel in Mexico and purchase Mexican fuel in connection with that travel.
♦ * * * * *
14. Plaintiffs operated said vehicle in a normal manner with no off the road driving and no excessive speeds, and their vehicle was not overloaded. No persons had access to the vehicle as Plaintiffs were with it at all times while in Mexico.”
The court’s conclusion of law that driving in Mexico on an extended trip, due to the quality of Mexican fuel, is not “normal driving conditions” is not supported by its findings. “Normal” has been held to be synonymous with common. 66 C.J.S. Normal at 606 (1950). The expression “normal use” has been construed to mean reasonably foreseeable uses. Branch v. Chevron Int’l Oil Co., 681 F.2d 426 at 429 (5th Cir.1982); Reed v. John Deere, 569 F.Supp. 371 (M.La.1983). The Random House Dictionary states that a synonym for “normal” is “ordinary, regular and usual.”
Having found as a fact that people living in Southern Arizona frequently travel in Mexico and purchase Mexican fuel in connection therewith, the court could not logi cally conclude that the trip by Bret Hartes constituted abnormal driving conditions. All of the findings stated above lead to only one conclusion — a resident of Tucson, Arizona, driving a vehicle on a trip to Mexico is a common, usual and forseeable use— and damages suffered by Bret Hartes were covered by the warranty. With knowledge of the planned trip, there is no explanation given for Stuttgart’s silence regarding Bret Hartes’ use of the rebuilt engine in Mexico or that the warranty given would not be valid. If Stuttgart intended its warranty not to apply for travel in Mexico, it should have so limited it.
The award of attorney’s fees to Stuttgart by the trial court is reversed.
Having disposed of this case on the issue of breach of an express warranty, we need not consider the issues raised on appeal regarding implied warranties and the trial of an issue by consent though not raised by the pleadings.
The trial court made findings of fact to support the damages suffered by Bret Hartes from a failure of the engine in Mexico. We reverse the judgment of the trial court and remand for entry of judgment in favor of Bret Hartes and against Stuttgart as follows:
1. $1,065.94 conditioned upon return of the engine to Stuttgart in the same or similar condition as it existed on April 14, 1981, with a deduction in an amount to be determined by the trial court equal to a reasonable value for the use of the engine by Bret Hartes since that time (Finding of Fact No. 2).
2. $60.00 for towing charges in Mexico. (Finding of Fact No. 15).
3. $625.22 repairs incurred in Mexico. (Finding of Fact No. 16).
4. $411.91 living expenses in Mexico incurred while the engine was being repaired. (Finding of Fact No. 17).
5. Interest on the above amounts from April 14, 1981, the date of the written notice of revocation of acceptance. (Finding of Fact No. 18).
6. Costs and reasonable attorney’s fees pursuant to A.R.S. § 12-341.01.
Seekings v. Jimmy GMC of Tucson, Inc., 130 Ariz. 596, 638 P.2d 210 (1981); Mobile Home Sales Management, Inc. v. Brown, 115 Ariz. 11, 562 P.2d 1378 (App.1977).
Bret Hartes are awarded attorney’s fees and costs on this appeal.
HATHAWAY, P.J., and LIVERMORE, J., concur.
. A.R.S. § 47-2313 express warranty, governs this case and states in part the following: "A. Express warranties by the seller are created as follows: 1. Any affirmation of fact or promise made by the seller to the buyer which relates to the goods and becomes part of the basis of the bargain creates an express warranty that the goods shall conform to the affirmation or promise"
|
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OPINION
JACOBSON, Judge.
In this special action review of an Industrial Commission award, we are asked to decide whether the Commission was correct in finding that it does not have jurisdiction to impose sanctions or assess penalties against an insurance carrier for the tort of bad faith.
The facts are not in dispute. On November 19, 1970, the claimant, Heard Still, sustained an industrially related injury to both of his legs. His claim for benefits was accepted. On February 21, 1974, his claim was closed with a finding of a 25% permanent impairment of the right lower extremity. Claimant filed a petition to reopen on December 16, 1982, which was denied by the carrier by notice of claim status issued on January 14, 1983. The claimant then filed a timely protest and request for rehearing. Hearings were held, and on September 12, 1983, the Commission issued its decision granting reopening. After resolv ing a conflict in the medical testimony in favor of the claimant, the Commission found that the claimant was entitled to continuing medical treatment until his condition became stationary. Claimant was awarded benefits and reimbursement of expenses from December 16, 1982 (the date he filed the petition to reopen).
Less than a month later, the carrier sent a letter to the claimant requiring him to submit to an additional medical examination by a group of doctors selected by the carrier. The claimant appeared for the examination two weeks later. Based upon the report issued by the examining doctors, the carrier terminated benefits as of October 19, 1983 (the date of the exam) by notice of claim status dated November 8, 1983. The basis for the termination was the carrier’s determination that the claimant’s condition was stationary and that he required no further active medical treatment.
Up to this point, the carrier had not paid any benefits to the claimant, notwithstanding the fact that the Industrial Commission had determined in its September 12, 1983, award that the claimant was entitled to benefits and reimbursement of expenses from December 16, 1982. The claimant’s attorney wrote to the Commission on November 10, 1983, requesting an investigation of the carrier pursuant to A.R.S. § 23-1061(J). The carrier paid claimant his benefits almost immediately thereafter.
The claimant filed a timely protest and request for a hearing regarding the carrier’s termination of benefits. The claimant also requested the Commission to assess damages against the carrier for bad faith, arguing that the carrier’s termination of benefits constituted a breach of the carrier’s duty to deal fairly and in good faith with its insureds.
Hearings were held on April 25 and June 25, 1984. On July 25, 1984, the Commission issued its decision finding that the claimant was entitled to additional medical, surgical and hospital expenses, as well as to additional compensation benefits for temporary total or temporary partial disability. However, the Commission declined to impose sanctions or to assess penalties against the carrier for bad faith stating that it was without jurisdiction to do so. The award was affirmed on administrative review and this special action followed.
On review the sole claim of error by the claimant goes to the Commission’s ruling that it had no jurisdiction to impose sanctions or assess penalties against an insurance carrier for bad faith.
In arguing that such jurisdiction exists, the claimant reasons as follows: Arizona recognizes the tort of bad faith when an insurance company breaches its duty of good faith and fair dealing to its insureds. Noble v. Nat’l Am. Life Ins. Co., 128 Ariz. 188, 624 P.2d 866 (1981); Sparks v. Republic Nat’l Life Ins. Co., 132 Ariz. 529, 647 P.2d 1127, cert. denied, 459 U.S. 1070, 103 S.Ct. 490, 74 L.Ed.2d 632 (1982). Prior case law has established that the superior court does not have jurisdiction to consider tort claims between an employee and either his self-insured employer or the insurance carrier regarding the administration and processing of workers’ compensation claims; rather, claims of this nature are exclusively within the jurisdiction of the Industrial Commission. Sandoval v. Salt River Project, etc., 117 Ariz. 209, 571 P.2d 706 (App.1977); Hixon v. Morse, 120 Ariz. 356, 586 P.2d 201 (App.1978). Therefore, the claimant concludes, the Industrial Commission impliedly must have the authority to assess damages for bad faith, or else the carrier is free to breach its duty of good faith and fair dealing with impunity and the employee has no remedy to redress this wrong. We must disagree.
The Industrial Commission may enter only those awards provided for in the Workers’ Compensation Act. West Chandler Farms Co. v. Indus. Comm., 64 Ariz. 383, 173 P.2d 84 (1946); Sims v. Moeur, 41 Ariz. 486, 19 P.2d 679 (1933). Pursuant to A.R.S. § 23-1022(A), the exclusive remedy under the Act for employees against an employer’s workers’ compensation insurance carrier is to recover compensation and benefits as provided for in the Act. There is no statutory provision which permits an award of damages for bad faith, thus, the Commission was correct in holding that it could not assess penalties or impose sanctions against the carrier for bad faith.
Claimant’s argument that the Commission should have the authority to penalize carriers for bad faith is best addressed to the legislature, as rights and remedies under the workers’ compensation laws are completely statutory. See Sandoval v. Salt River Project, etc., supra.
We note that contrary to claimant’s assertion that an employee is without any avenue of relief for the wrongful withholding of benefits by a carrier, there is a remedy under A.R.S. § 23-1061(J). Pursuant to that statute, the Commission is authorized to investigate any claim by an employee that he or she has been wrongfully deprived of benefits. If the carrier then refuses to pay a claim as ordered by the Commission, the claim will be assigned to the state compensation fund, which will pay the amounts due. A.R.S. § 23-966(A). Thus, the claimant will receive the benefits to which he or she is entitled.
Award affirmed.
KLEINSCHMIDT ánd OGG, JJ., concur.
|
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OPINION
FROEB, Judge.
The principal issue on appeal is whether reinstatement of corporate status under A.R.S. § 10-095(E) is retroactive to the date of revocation of the corporate charter for purposes of individual liability of officers, directors and stockholders.
Scottsdale Dodge, Inc., was an Arizona corporation from October 13, 1971, to July 10, 1979, when its articles of incorporation were revoked due to its failure to file a report and pay a filing fee. Appellants Joseph A. Soldevere and Arlene Soldevere, the principal stockholders, were unaware of the revocation until after it had taken effect. Thereafter, Scottsdale Dodge, Inc., complied with the requirements of A.R.S. § 10-095(E) and sought reinstatement of its corporate status. On November 6, 1979, the Corporation Commission reinstated the corporation. During the period of revocation, the business continued to operate as a corporate entity and bought auto parts from T-K Distributors in the amount of $9,515.39. On November 16, 1979, Scottsdale Dodge closed due to its insolvency.
T-K Distributors filed suit against Scottsdale Dodge and the Soldeveres which included a claim for merchandise sold by T-K Distributors to Scottsdale Dodge after revocation of the charter but before reinstatement. A default judgment against Scottsdale Dodge was entered after its failure to appear and answer. Another default judgment was entered against the Soldeveres; however, this default judgment was later set aside for improper service of process. The case then proceeded against the Soldeveres individually.
The trial court entered judgment against the Soldeveres for $9,515.39, plus attorney’s fees, on the basis that Scottsdale Dodge was not a corporate entity during the revocation period and, therefore, the Soldeveres were jointly and severally liable for Scottsdale Dodge’s debts and liabilities incurred during this period.
Arizona statutes relating to corporations were completely revised by the legislature in 1975, followed by additional changes in 1976. See A.R.S. §§ 10-002 to 10-149. The revisions were patterned upon the Model Business Corporation Act with some changes and additions. See Cocanower and Hay, The New Arizona Business Corporation Act, 17 Ariz.L.Rev. 559 (1975). The purpose of the legislation was to codify and clarify requirements for the formation and operation of corporations. See A.R.S. §§ 10-003 and 10-146. T-K Distributors bases its claim against the Soldeveres, in part, upon A.R.S. § 10-146, which states:
All persons who assume to act as a corporation without authority so to do or who procured incorporation through fraudulent misstatements or omissions of material fact in documents filed with the commission shall be jointly and severally liable for all debts and liabilities incurred or arising as a result thereof. Ratification of preincorporation acts constitute authority to act in a corporate capacity as used herein.
The focus in this appeal is upon A.R.S. § 10-095 which authorizes the Corporation Commission to revoke articles of incorporation for various reasons, including the failure to file an annual report and to pay fees. Subsection (D) of A.R.S. § 10-095 provides that: “[ujpon the issuance of such certificate of revocation, the existence of such corporation shall terminate, subject to the provisions of subsection E of this section.” Subsection E allows reinstatement of the corporation within six months following revocation of the articles of incorporation. There is no statutory language providing that reinstatement relates back to the date of revocation.
Appellants contend that when a corporation has been reinstated pursuant to § 10-095(E), it is as though corporate existence was uninterrupted and revocation never occurred. We disagree.
Under prior law, reinstatement following revocation had a retroactive effect and liability for debts occurring during the revocation period would not attach to the individual stockholders. This is so because former A.R.S. § 10-213 provided that the “commission shall enter an order reinstating the corporation and vacating its order of revocation____” [Emphasis added] This was consistent with the doctrine of de facto corporations also recognized by Arizona courts prior to revision of the corporation statutes in 1975 and 1976. See Rice v. Sanger Brothers, 27 Ariz. 15, 229 P. 397 (1924). Under this doctrine, if a corporation had not been legally incorporated, the stockholders would not be individually liable if there had been a bona fide attempt to organize and use corporate powers. Terrell v. Industrial Commission, 19 Ariz. App. 468, 508 P.2d 355 (1973).
Included among the many statutory changes relating to corporations was A.R.S. § 10-095 which provided for reinstatement of corporate status following involuntary dissolution; however, this statute omitted the specific language as was used in A.R.S. § 10-213 “vacating” the order of revocation. We assume from this action a change in substance was intended by the legislature. Not only was the “vacating its revocation order” language removed from the statute, but a version of A.R.S. § 10-095 passed by the legislature in 1975 to become effective July 1, 1976, contained the “vacating” language; however, it was amended during 1976 prior to its effective date and the “vacating” language was removed. The net result is that effective July 1, 1976, Arizona corporation statutes have had no express provision vacating the revocation of a corporate charter once reinstatement has occurred.
In addition to the foregoing statutory change, the doctrine of de facto corporations was also statutorily abolished in Arizona by reason of A.R.S. §§ 10-056 and 10-146, which are based upon sections 56 and 146 of the Model Business Corporation Act. A.R.S. § 10-146, earlier quoted, sets forth no exception for individual liability which might arise during the period of revocation and reinstatement of a corporation under A.R.S. § 10-095(E).
Decisions from other states have held that personal liability for purported corporate debts will arise during the period in which a corporation charter was revoked. In Kessler Distributing Company v. Neill, 317 N.W.2d 519 (Iowa App.1982), personal liability was imposed upon a corporate president for debts incurred after the corporate certificate of authority was revoked. The rationale of the court was based upon an Iowa statute similar to A.R.S. § 10-146. The court held:
Reinstatement of the corporate charter should not be viewed as retroactively restoring the privilege of limited liability with respect to transactions which took place during the period of time when the corporate charter was revoked.
317 N.W.2d at 522.
In Adam v. Mt. Pleasant Bank & Trust Co., 355 N.W.2d 868, 873 (Iowa 1984), the Iowa State Supreme Court, relying on Moore v. Occupational Safety and Health Review Comm’n., 591 F.2d 991, 995-996 (4th Cir.1979), stated:
[I]n the absence of a statutory direction, a majority of jurisdictions suspend limited liability and find personal liability for occurrences during suspension of a corporate charter, notwithstanding a later reinstatement.
Since we have affirmed the judgment of the trial court, we do not reach the cross-appeal filed by T-K Distributors.
The final issue is the request for attorney’s fees on appeal by T-K Distributors. Pursuant to A.R.S. § 12-341.01(A), it is ordered granting this request and appellee is directed to submit an affidavit in accordance with rule 21(c), Arizona Rules of Civil Appellate Procedure.
Affirmed.
CORCORAN and OGG, JJ., concur.
|
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OPINION
GRANT, Judge.
This appeal is brought by a teacher from a judgment finding that she was not entitled to a renewal of her teaching contract with Holbrook School District No. 3 for the 1979-80 school year. The following issues are raised:
1. Whether the teacher was entitled to a preliminary notice of the inadequacy of classroom performance pursuant to A.R.S. § 15-252(C) and § 15-265(A) [repealed by Laws 1981, Ch. 1, § 1; now A.R.S. § 15-536(B) and § 15-538(A) as amended by Laws 1983, Ch. 281 §§ 6 and 9],
2. Whether such notice was given by an authorized representative of the school board.
3. Did the letter of January 5, 1979 set forth with sufficient particularity the grounds for charging the teacher with inadequacy of classroom performance?
4. Were the defendants required to re-evaluate the teacher prior to the board’s action?
5. Was the April 10, 1978 letter to the teacher effective notice of the governing board’s intention not to renew her teaching contract?
6. Was the board’s action in not renewing the contract arbitrary and capricious and did it constitute an unlawful delegation of a board function?
This action was submitted to the Navajo County Superior Court on an agreed statement of facts and exhibits. Briefly stated, the pertinent facts are as follows:
Judith Prichard was employed by Holbrook School District No. 3 (the district) as a certificated teacher for three consecutive years beginning with the school year 1976-77. Had Ms. Prichard’s teaching contract been renewed for the 1979-80 school year, she would have attained tenure. See former A.R.S. § 15-501(A)(2), now A.R.S. § 15-501(A)(3).
Ms. Prichard’s immediate supervisor was Mildred Johnson, principal of Pittman School. On January 5, 1979, Ms. Johnson delivered a letter to Ms. Prichard giving her notice of inadequacies as follows:
[Y]ou have failed to maintain appropriate student conduct; you have not provided effective classroom management; you have shown a disregard for punctuality; you have used poor judgment in working with students.
The letter was signed by Ms. Johnson and Luther Flick, superintendent of the district. No evaluations, documents or supporting materials were attached to the letter. However, in February, 1979 Ms. Prichard met with Ms. Johnson to discuss the letter.
On April 10, 1979, Ms. Prichard received a letter signed by Superintendent Flick which stated in part:
This letter is to officially inform you that your contract of employment with the Holbrook Public Schools will not be renewed for the 1979-80 school year. The reasons for not renewing your contract are:
You have failed to maintain appropriate student conduct
You have not provided effective classroom management
You have shown a disregard for punctuality
You have used poor judgement in working with students.
The letter also stated that copies of past evaluations were attached.
Prior to April 10, 1979, the district governing board had neither discussed nor taken any action relating to Ms. Prichard’s employment with the district. At its meeting of April 12, 1979, the governing board, without discussion, voted to approve a general recommendation made by Superintendent Flick concerning several personnel matters including the nonrenewal of Ms. Prichard’s contract. The evidence is conflicting as to whether Ms. Prichard was informed of the April 12, 1979 board meeting. In any event, she did not attend the meeting nor did she receive written notification of the governing board’s action.
On the last day of the 1978-79 school year, Ms. Johnson conducted á second evaluation of Ms. Prichard in response to a letter from Ms. Prichard’s attorney stating that the district had failed to comply with the evaluation requirements for probationary teachers.
The board took no action to renew Ms. Prichard’s contract and Ms. Prichard commenced this lawsuit seeking a court order to require the district to offer her a contract for the 1979-80 school year. The trial court entered judgment on October 6, 1982 in favor of the school district and the individually named school administrators and board members. This appeal followed.
Ms. Prichard contends that she was entitled to a written preliminary notice of inadequacy of classroom performance 90 days prior to a notice of intent not to reemploy her. She argues that the. January 5, 1979 letter did not constitute proper notice because: (1) it was not issued by an authorized representative of the district governing board and (2) it was not sufficiently specific to comply with the statutory notice requirements of A.R.S. §§ 15-252(C) and 15-265(A) (now §§ 15-536(B) and 15-538(A) respectively).
ENTITLEMENT TO PRELIMINARY NOTICE
We consider first whether Ms. Prichard was entitled to a preliminary notice. A.R.S. § 15-252(C), at times pertinent to this appeal, provided in part:
If the reasons [for dismissal or nonrenewal of a teaching contract] are charges of inadequacy of classroom performance, the board, or its authorized representative, shall, at least 90 days prior to such notice, give the teacher written preliminary notice of his inadequacy, specifying the nature thereof with such particularity as to furnish the teacher an opportunity to correct his inadequacies and overcome the grounds for such charge.
A.R.S. § 15-265(A), at times pertinent to this appeal, provided:
The governing board of any school district shall give any continuing or probationary teacher notice of intention to dismiss or not to reemploy if such intention is based on charges of inadequacy of classroom performance. The board, or its authorized representative, shall, at least ninety days prior to such notice, give the teacher written preliminary notice of his inadequacy, specifying the nature thereof with such particularity as to furnish the teacher an opportunity to correct his inadequacies and overcome the grounds for such charge. The written notice of intention to dismiss or not to reemploy shall include a copy of any evaluation pertinent to the charges made and filed with the board.
The district argues that the trial court correctly found that the district was not required to give Ms. Prichard preliminary notice because one of the reasons for its failure to renew her contract was not based on inadequacy of classroom performance. Specifically, it points to that portion of the April 10, 1979 letter which states “you have shown a disregard for punctuality.” It argues that “disregard for punctuality” is either insubordination and unprofessional conduct, rather than inadequacy of classroom performance.
Our supreme court defined insubordination in School District No. 8, Pinal County v. Superior Court, 102 Ariz. 478, 433 P.2d 28 (1967) as follows:
Insubordination imports a willful disregard of express or implied directions of the employer and a refusal to obey reasonable orders [citation omitted] and lack of cooperation is characteristically a subtle species of insubordination. Both terms are descriptive of a class of censurable practices destructive of the efficiency of the employer’s organization.
102 Ariz. at 480, 433 P.2d at 30. See also Siglin v. Kayenta Unified School Dist. No. 27, 134 Ariz. 233, 236, 655 P.2d 353, 356 (App.1982).
Ms. Prichard argues that there is nothing in the record to indicate that the letter’s reference to “punctuality” was related in any way to a willful disregard of directions or lack of cooperation. She also maintains that there is no evidence that it was related to any acts of “unprofessional conduct.”
The district points to a written October 1978 evaluation that indicates Ms. Prichard was late in response to deadlines for turning in reports or appearing for duty assignments. However, there is nothing in the record to demonstrate that this evaluation was considered by the board. Board members testified to receiving a copy of a letter from the superintendent to Ms. Prichard but did not indicate whether the evaluations referenced as attachments were included in their materials.
We are faced with a record that demonstrates board action based only on the April 10, 1979 and possibly the January 5, 1979 letter without any open discussion of the reasons. Depositions of board members reflect that their individual actions were based on the general feeling that the administration ought to be supported on personnel matters. To the extent that any board members recalled the basis for the nonrenewal, they referred to the educational progress of Ms. Prichard’s pupils.
The district relies on the case of Cervantez v. Morenci Public Schools, 124 Ariz. 484, 605 P.2d 462 (App.1979). In Cervantez, the letter of nonrenewal came directly from the governing board stating that its reason for not renewing the contract was “(f)ailure to follow regulations and procedures set by the administration.” The teacher in Cervantez relied upon a prior letter which he had received from the principal of his school, which stated that Cervantez needed to establish a closer working relationship with “regular classroom teachers and the Director of Special Education Services regarding students enrolled in your Resource Program.” He argued that this proved he was fired for inadequate classroom performance and was entitled to a 90-day preliminary notice. Division 2 of this court concluded that even if the principal’s letter was a charge of inadequate classroom performance, it did not preclude the board from terminating Cervantez’ employment on other grounds as stated in the letter from the school board. The district argues that Cervantez stands for the proposition that a preliminary notice of intent not to reemploy is not required where any of the reasons given by the board are unrelated to classroom performance. We adopt the reasoning in Cervantez and agree with the district that the preliminary notice was not required in this case because the charge of lack of punctuality was unrelated to classroom performance. Simard v. Bd. of Educ. of the Town of Groton, 473 F.2d 988 (2nd Cir.1973); Fulton v. Dysart Unified School District No. 89, 133 Ariz. 314, 651 P.2d 369 (App.1982).
In any event it appears that the preliminary notice was valid even as to alleged classroom deficiencies.
WAS NOTICE GIVEN BY AN AUTHORIZED REPRESENTATIVE OF THE BOARD?
As to the second issue raised on appeal we hold that the preliminary notice was given by an authorized representative of the school board. Both parties agree that the governing board did not expressly direct Superintendent Flick or Ms. Johnson to give Ms. Prichard a preliminary notice of inadequacy of classroom performance. Nevertheless, the district argues that Superintendent Flick was their authorized representative based upon two written board policies. Board Policy 5-200 states in part:
Authority and responsibility for the management of the Holbrook Schools in accordance with board-adopted policies and legal requirements of the State of Arizona shall be delegated to the Holbrook Public School superintendent.
Board Policy 5-204 further provides:
The powers and duties delegated to the superintendent of schools shall be executed in accordance with the policies adopted by the Board. All acts performed by the superintendent which assume a “discretionary judgment” shall be subject to review and final approval by the Board, unless specific authority by the Board has authorized such acts to be executed in a particular manner. ******
The authority to suspend may be delegated to supervisory staff personnel, but in no case shall the recommendation for dismissal be the responsibility of anyone but the superintendent.
Ms. Prichard argues that neither of these two policies grant specific authorization to the superintendent to issue preliminary notices of classroom inadequacy and further that Board Policy 5-204 requires that a preliminary notice of classroom inadequacy, a discretionary act, requires board approval.
The board delegation of authority to the superintendent contained in Board Policies 5-200 and 5-204 is sufficient to demonstrate that Superintendent Flick was authorized to issue preliminary notices of inadequate classroom performance. Although Ms. Prichard relies on Orth v. Phoenix Union High School System No. 210, 126 Ariz. 151, 613 P.2d 311 (App.1980) to support her contention that the January 5th letter was not given by the “authorized representative” of the board, we believe Orth is distinguishable from the present case. In Orth the preliminary notice was given by the school’s principal, not by the superintendent of the district, as here. Moreover the sole authority which purportedly gave the principal power to issue such notices was a clause in the school’s Teacher Assessment and Evaluation Manual found to be totally insufficient. Here notice was issued by the superintendent of the district pursuant to legal action adopted by the district. The board plainly delegated the authority to issue preliminary notices of inadequacy of classroom performance to the superintendent. Peck v. Bd. of Educ. of Yuma Union High School Dist., 126 Ariz. 113, 612 P.2d 1076 (App.1980).
PARTICULARITY OF THE JANUARY 5TH LETTER
Ms. Prichard contends that the January 5, 1979 letter did not set forth the grounds for charging her with inadequacy of classroom performance with sufficient particularity to comply with the provisions of A.R.S. § 15-252(C) and § 15-265(A). We hold that the reasons, although not detailed, state the inadequacies of the teacher with sufficient particularity to enable her to correct them and overcome the grounds for the charge. See Tilton v. Southwest School Corp., 151 Ind.App. 608, 281 N.E.2d 117 (1972). Moreover, the discussion between Ms. Johnson, the principal and Ms. Prichard in February, 1979 provided Ms. Prichard with specific examples of her substandard conduct.
WERE THE DEFENDANTS REQUIRED TO RE-EVALUATE THE TEACHER?
Ms. Prichard argues next that the defendants were required to re-evaluate her before the governing board could validly act not to renew her teaching contract. The district responds that any failure to evaluate Ms. Prichard in a formal manner prior to the April 15 deadline for nonrenewal does not vitiate the power of the board not to renew her contract. Haverland v. Tempe Elementary School Dist. No. 3, 122 Ariz. 487, 595 P.2d 1032 (App.1979). We agree with the holding in Haverland that the teacher evaluation program does not take precedence over the specific statutory deadline of April 15 for notification of non-renewal of probationary teachers.
WAS THE LETTER OF APRIL 10 EFFECTIVE NOTICE?
Ms. Prichard contends that the April 10, 1979 letter was not effective notice of nonrenewal of her teaching contract. She relies on Peck v. Bd. of Education of Yuma Union High School District. In Peck, the court held that the school board’s ratification of action of the superintendent, after the statutory deadline for giving notice to teachers of nonrenewal of the contracts, could not operate retroactively to comply with the statutory deadline. Peck however is distinguishable from the case before us. Here the board’s action not to renew occurred on April 12, three days before the statutory deadline and two days after the notice of intent was given to the teacher. The board chose to adopt the superintendent’s letter of April 10, 1979 as its own and was not required by statute to give Ms. Prichard a second written notice prior to April 15.
WAS THE BOARD’S ACTION ARBITRARY AND CAPRICIOUS AND DID IT CONSTITUTE AN UNLAWFUL DELEGATION OF ITS DUTY?
Ms. Prichard relies upon the cases of Gordon v. Santa Cruz Valley School Dist., 125 Ariz. 312, 609 P.2d 582 (App. 1980) and Knollmiller v. Welch, 128 Ariz. 34, 623 P.2d 823 (App.1981) for the proposition that the board’s decision violated her substantive due process right to a decision which was not arbitrary and capricious. As the district points out both the cases involve discharge of a tenured teacher and not the nonrenewal of the contract of a probationary teacher. Since the preliminary notice to Ms. Prichard was valid, the board was entitled to act upon the question of renewal at the April 10, 1979 meeting. The decision not to renew the contract complied with former A.R.S. § 15-252. The reasons given for the nonrenewal of the teaching contract were reasonable, not arbitrary and capricious. Limited as they are, the rights of the probationary teacher under Arizona law were adequately observed by the board.
The judgment is affirmed.
GREER, Acting P.J., and FROEB, J., concur.
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HAYS, Justice.
Petitioners, Larry and Winifred Walker, and their daughter, Rebecca, were injured when their car was struck by a car driven by respondent, Melanie Toyofuku Dallas (hereinafter “Dallas”). Petitioners sued respondents, Dallas and her husband, John Doe Dallas, for personal injuries caused by this auto accident. Respondent failed to appear and petitioner obtained a default judgment for $150,000. Respondent’s insurer, Liberty Mutual Insurance Co. (hereinafter “Liberty”), appeared and moved to set aside the default judgment. See 16 A.R.S., Rules of Civil Procedure, Rule 60. Liberty argued that the judgment was void. See Civil Rule 60(c)(4). Among other reasons, Liberty argued that service of process was deficient. The trial court refused to quash service of process and refused to set aside the default judgment for any other reason. The Court of Appeals reversed in a memorandum decision. Walker v. Dallas, 2 CA-CIV, filed December 21, 1984 (Memorandum Decision No. 5111). The court concluded that service of process was deficient and dismissed the default judgment. Id. We have jurisdiction. Ariz. Const. art. 6, § 5(3); 17A A.R.S.R.Civ. App.P., rule 23; A.R.S. § 12-120.24. We vacate the opinion of the Court of Appeals.
FACTS
On February 14, 1979, Dallas allegedly ran a stop sign at an intersection in Tucson and crashed her rental car into petitioner’s car. All the persons involved in the accident, including the three persons in petitioner’s car, were taken to the hospital for treatment. Dallas’ car, which had been rented from Selby Motors Rent A Car, was described as a “possible total loss” after the accident. The rental car was insured by Liberty, who conceded below that they were liable for any valid judgment against the insured, Dallas.
Two days after the accident, Liberty received a report about the accident from the rental car agency. This report referred to the persons injured in the accident and to the accident report prepared by the Pima County Sheriff’s Department. Settlement discussions between petitioner’s attorney and Liberty’s claims adjuster were conducted on February 12th and 16th of 1980. As part of these discussions, Liberty received medical reports on the Walkers’ injuries and a record of lost wages. Settlement negotiations were last conducted on March 9, 1980. On February 17, 1981, petitioner sued Dallas for the personal injuries caused by Dallas’ alleged negligent driving. A process server tried to serve the summons at the local Tucson address Dallas gave the police at the accident scene. On April 7, 1980, the summons was returned with the notation that Dallas had not lived at this address for at least eight months. Further investigation was conducted to determine Dallas’ new address. This inquiry included checking for her address on voter registration lists, the tax rolls, the phone directory, the city directory, investigator records, and at the post office. The only address for Dallas uncovered by this investigation was the New York residence listed on her New York driver’s license. Dallas presented this driver’s license to the police at the accident scene.
On January 28, 1982, counsel served the Superintendent of Motor Vehicles as the statutory agent for a nonresident driver. See A.R.S. § 28-502. Petitioner also sent copies of the summons and complaint to Dallas’ local and New York addresses. See A.R.S. § 28-503. It is not, however, argued on appeal that service complied with this statute. Both letters were returned undelivered. On February 23, 1982, petitioners again mailed a copy of the complaint and summons to the New York address and it was again returned undelivered.
Starting on January 26, 1982, petitioner published the summons once a week in a newspaper of general circulation in Pima County for four weeks. By February 16, 1982, petitioner had completed service by publication. See Civil Rule 4(e)(3).
On July 21, 1982, a New York process server personally delivered a copy of the summons and complaint to the New York residence listed on Dallas’ driver’s license. The process server listed this address in its affidavit as Dallas’ “dwelling house or usual place of abode.” Civil Rule 4(d)(1). The process was delivered to Helen Putnam who resided at this address. Putnam was a close friend of Dallas who had known her since 1961 or 1962. From the mid-1960’3 to late 1978, Putnam and Melanie Dallas (at that time Melanie Toyofuku) lived together off-and-on for a total of three to four years. Putnam revealed additional facts about respondent. In late 1978, Melanie Dallas married and moved to Arizona. The accident occurred on February 14, 1979. Shortly after the accident, Dallas and her husband moved to England. Putnam received several letters since that time from Dallas, each from a different address in England. After she received the process, Putnam tried to deliver the papers to Dallas. She initially could not find Dallas’ address. She wrote Dallas’ sister in Washington at her last known address. The letter was returned undelivered because Dallas’ sister had moved without leaving a forwarding address. Putnam did not know the address of any of Dallas’ other relatives. Eventually, Putnam lost the suit papers. Since Dallas left for Arizona in 1978, Putnam has not spoken to her. She has also never informed Dallas of the lawsuit by letter. In 1983, Dallas’ renewal for her New York driver’s license was received by Putnam at her address. The license was renewed, again listing this residence at Dallas’ address.
Below, appellant argued that service of process at Dallas’ New York address was service at her “dwelling house or usual place of abode.” Civil Rule 4(d)(1). Petitioner contended that because Dallas had lived in a series of temporary residences in Arizona and England since the accident, her New York address was as fixed an abode as her transitory life style permitted. Petitioners contended that their various attempts to discover Dallas’ address and serve process were reasonably diligent. They argued that there was a reasonable probability that Dallas would receive process by leaving it at her New York address and that no better address for service of process has since been uncovered. Alternatively, petitioners contended that Dallas was estopped to deny service of process. They charged that she left Arizona suspiciously soon after the accident without leaving a forwarding address. They contended that she left Arizona knowing that she had no intention to return to either of the addresses given to the police at the accident scene. The trial court refused to quash service of process. The Court of Appeals reversed. The court narrowed the issue to whether Dallas’ New York address was her abode for purposes of Civil Rule 4(d)(1). See Walker v. Dallas, supra. The court found insufficient evidence that this was the residence of Dallas.
We need not reach the question as to whether there was sufficient abode service in this case. We conclude that there was adequate service of process by other means. Unlike the Court of Appeals, we find the controlling statutory provision in this case is Civil Rule 4(e)(1), which states in relevant part:
When a defendant is a non-resident of the state, or is absent from the state, or is a transient person, or is owe whose residence is unknown to the party ... or is concealing himself to avoid service of summons [then] ... service may be made in accordance with Sections 4(e)(2) [personal service outside the state] or 4(e)(3) [service by publication]. (Emphasis added).
We assume without deciding that the New York address was not Dallas’ abode. We believe, however, that the defendant could certainly be served as “one whose residence is unknown” and perhaps also as “a transient person” within the meaning of Rule 4(e)(1). It is undisputed that petitioner served Dallas by publication. Due diligence in attempting to serve the defendant personally is required before service by publication is warranted. See Brennan v. Western Savings & Loan Ass’n, 22 Ariz.App. 293, 296, 526 P.2d 1248, 1251 (1974). The trial court apparently concluded that petitioners exercised diligence in serving Dallas by attempting to serve her last known residences and trying to discover her present residence. These attempts to locate Dallas were frustrated by her migratory life-style. Rule 4(e)(3) authorizes service by publication “[w]here by law personal service is not required____” According to the State Bar Committee Note to Rule 4(e), the drafters of the statute did not attempt to determine when personal service is required because “[t]his question is one of constitutional law which it has seemed impractical to attempt to solve by rale.”
We must therefore decide whether obtaining in personam jurisdiction by service through publication and reasonable diligence in attempting to personally serve the defendant offends the due process clause of the Constitution. In Knight v. Mewszel, 3 Ariz.App. 295, 413 P.2d 861 (1966), the Court of Appeals held that in personam jurisdiction could not be obtained over a nonresident motorist by service by publication, Rule 4(e)(3). According to the court, this is true even if the plaintiff diligently searches for an elusive defendant. Id. at 297, 413 P.2d at 863. The same result also obtains even if the defendant willfully evades service of process. Id. See also O’Leary v. Superior Court, 104 Ariz. 308, 312-13, 452 P.2d 101, 105-06 (1969) (Rule 4(e)(3) applies only to in rem or quasi in rem actions).
We believe that the time has come to overrule these cases. It is apparent from the State Bar Committee Note to Rule 4(e) that the court intended to permit service by publication as far as the Constitution allows. In refusing to determine “where personal service is required,” we believe the court intended to also permit the range of service by publication to expand as necessity demands.
In addressing the requirements of due process, the Supreme Court in Mullane v. Central Hanover Bank & Trust Co., 339 U.S. 306, 315, 70 S.Ct. 652, 657, 94 L.Ed. 865 (1950), declared that there must be a reasonable probability that the method of notice will inform the affected parties. The court further stated, however, that
[t]his Court has not hesitated to approve of resort to publication ... where it is not reasonably possible or practicable to give more adequate warning. Thus it has been recognized that, in the case of persons missing or unknown, employment of an indirect and even a probably futile means of notification is all that the situation permits and creates no constitutional bar to a final decree foreclosing their rights.
Id. at 317, 70 S.Ct. at 658, 94 L.Ed. at 875. See also Walker v. Hutchinson, 352 U.S. 112, 115-16, 77 S.Ct. 200, 202, 1 L.Ed.2d at 178, 182 (1956); Schroeder v. New York, 371 U.S. 208, 212-13, 83 S.Ct. 279, 282, 9 L.Ed.2d 255, 259 (1962); cf. McDonald v. Mabee, 243 U.S. 90, 92, 37 S.Ct. 343, 344, 61 L.Ed. 608, 609-610 (1917) (suggestion that delivery of notice to last usual place of abode after the defendant has left for another state may be constitutional).
We note first that, contrary to the announced rule in Knight v. Mewszel, supra, the prevailing view is that service by publication is constitutionally sufficient where the defendant willfully leaves the state to evade service of process. See 62 Am. Jur.2d Process § 70 (1972); 72 C.J.S. Process § 56b (1951).
Additionally, other courts have authorized in personam jurisdiction over a nonresident motorist who cannot be located with due diligence through service by publication. See Krueger v. Williams, 410 Mich. 144, 300 N.W.2d 910, 917-18 (1981); Cradduck v. Financial Indemnity Corp., 242 Cal.App.2d 850, 52 Cal.Rptr. 90 (1966); Rasmussen v. Vance, 34 Ohio Misc. 87, 293 N.E.2d 114 (Ohio App.1973). Cf. United National Bank v. Searles, 331 N.W.2d 288, 291 (S.D.1983); Comment, Court Ordered Service of Process, 33 Alb.L.Rev. 330 (1969); Comment, Service by Publication of a Defendant Who Cannot be Located in California, 3 U.S.F.L.Rev. 320 (1969); Note, Constitutionality of Constructive Service of Process on Missing Defendants, 48 N.C.L. Rev. 616 (1970), Comment, Personal Jurisdiction over Absent Natural Persons, 44 Cal.L.Rev. 737 (1956); 62 Am.Jur.2d Process § 73 (“According to the prevailing view, a personal judgment may be rendered against a resident of the state who has been notified by means of service by publication and provided it appears that actual service could not be made ... ”).
Finally, we note that the insurer received prompt notice of the lawsuit in this case. The insurer arguably has more at stake in the present lawsuit than the named defendant. The insurer concedes that there are no questions relating to whether the accident or the insured is covered by the insurance policy. Although the default judgment may be overturned on remand, the present judgment is within policy limits. There has been increasing recognition of the insurer as the real party in interest in these types of lawsuits. See Bailey & Bailey, Joinder of Insurance Companies: Arizona’s Changing Policy, Ariz.St.L.J. 225, 226 (1978). Courts have even allowed the plaintiff to serve the insurer where the named defendant cannot be located. See Annot., Validity of Substituted Service of Process Upon Liability Insurer of Unavailable Tortfeasor, 17 A.L.R. 4th 918 (1982); Appleman, Insurance Law & Practice § 11564 (1980); Note, supra, 48 N.C.L.Rev. at 625; Note, Substituted Service on Nonresident Motorist Liability Insurance Carrier, 11 S.C.L.Q. 385 (1958).
We concede that the insurer may be prejudiced by the absence of the named defendant, especially if the defendant doesn’t cooperate in the defense of the insurer’s claim. The degree of prejudice is a factor the trial court may consider in requiring more or less diligence in attempting to serve the defendant. However, we believe that a lawsuit should not be halted by the simple expedience of leaving the state and avoiding service of process. Evading substituted service of process is not at all difficult to do. See Note, Service of Process by Mail, 74 Mich.L.Rev. 381, 393 (1975) (includes a tortfeasor’s guide on evading service of process by mail).
Even in cases wherein the action may be tolled by the absence of the defendant, see A.R.S. § 12-501, this postpones recovery for an injured plaintiff and makes the case more difficult to prove because evidence may be lost and witnesses’ memories fade. See Comment, supra, 44 Cal.L.Rev. at 742. Often, the defendant’s absence cheats justice, and both the defendant and the insurer receive a windfall by a lawsuit dismissed for lack of service of process. In particular, even if the defendant is not willfully evading service of process, the insurer and insured defendant gain a windfall because of the defendant’s negligent conduct in leaving without providing a forwarding address. As the court noted in Cradduck v. Financial Indemnity Co., 52 Cal.Rptr. at 96-97:
It is true that a defendant who is secreting himself is in a morally inferior position to one who cannot be found after due diligence. It does not follow that only the former is vulnerable to a personal judgment after published summons. Due process requires no more than “fair notice.”
It is, of course, not altogether easy to believe that it slipped Dallas’ mind that she was involved, a short time before she left town, in a car accident that caused extensive damage to both cars and sent all participants involved to the hospital. The absent defendant also may often set aside the default judgment on a proper showing of excusable lack of notice and no intent to evade process pursuant to Rule 60. See also Rule 59(j).
Finally, we acknowledge that it is critical to insist upon a showing of reasonable diligence before service by publication is appropriate. As the United States Supreme Court remarked about the efficiency of service by publication,
It would be idle to pretend that publication alone ... is a reliable means of acquainting interested parties of the fact that their rights are before the courts. It is not an accident that the greater number of cases reaching this Court on the question of adequacy of notice have been concerned with actions founded on process constructively served through local newspapers. Chance alone brings to the attention of even a local resident an advertisement in small type inserted in the back pages of a newspaper, and if he makes his home outside the area of the newspaper’s normal circulation the odds that the information will never reach him are large indeed.
Mullane v. Central Hanover Bank & Trust Co., 339 U.S. at 315, 70 S.Ct. at 658, 94 L.Ed. at 874. See also Restatement (Second) of Judgments § 2 comment g (“The rule in Mullane v. Central Hanover Bank & Trust Co. recognizes that persons can be bound even if they cannot be found through reasonably diligent search. Assuming that such a search has been made, the fiction is indulged that publication notifies the absentee____ It is the search for the absentee that gives expression to the concern for the protection of his opportunity to be heard [rather than the notice by publication] ... publication of notice is a ceremony whose performance assures that the termination of the absentee’s rights is not done in secret.”). Cf. Dobkin v. Chapman, 21 N.Y.2d 490, 236 N.E.2d 451, 460, 289 N.Y.S.2d 161 (1968) (upheld service on an unavailable motorist by attempted mailings and publication but noted that the publication added little of value). Precisely because the potential for abuse of Rule 4(e)(3) by allowing in personam jurisdiction to be obtained by the ritual of service by publication, we shall limit its use to cases involving absent nonresident motorists wherein the insurer is on notice of the lawsuit. Although this distinction may be artificial, we reserve the right to balance the burdens and the benefits of liberalizing the requirements for service of process in other areas of the law.
We note that because petitioner did not remain satisfied with mere service by publication, it is considerably easier to uphold the constitutionality of the service of process in the present case. Apparently, the trial court found that petitioner had exercised due diligence in serving Dallas. We find no error in the sendee of process in this case.
The memorandum decision of the Court of Appeals is vacated. The matter is remanded for further proceedings consistent with this opinion.
GORDON, V.C.J., and FELDMAN, J., concur.
HOLOHAN, Chief Justice, dissenting.
I dissent.
CAMERON, Justice, concurring.
I concur in the dissent of Chief Justice Holohan.
. 16 A.R.S., Rules of Civil Procedure, will be hereinafter referred to as "rule” followed by the number.
. Selby Motors has never been a named defendant in this lawsuit.
. Petitioner also claims that he threatened to sue Liberty during this conversation. We need not decide whether or not this is true.
. In Mervyn’s, Inc. v. Superior Court, 144 Ariz. 297, 697 P.2d 690, 693 (1985), we noted that in Arizona, traditionally an in personam judgment required personal service.
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OPINION
LACAGNINA, Judge.
Petitioner has brought this special action from the trial court’s refusal to strike an expert witness. Because petitioner is without an adequate remedy by means of an appeal, and because we believe the trial court abused its discretion in refusing to grant the motion to strike, we assume jurisdiction and grant relief.
Petitioner is the plaintiff in a wrongful death action filed on March 29, 1984. The case was scheduled for trial on September 4, 1985. The real parties in interest are an anesthesiologist and a nurse anesthetist who are alleged to have been negligent in rendering medical care and treatment to petitioner’s decedent. A joint pretrial statement was timely filed by the parties 20 days before the trial date in accordance with Rule VI(a)(4) of the Uniform Rules of Practice of the Superior Court, 17A A.R.S., and Rule 111(h), Rules of Pima County Superior Court, 17A A.R.S. The list of witnesses did not include Dr. Allen Cohn. Two days after the joint pretrial statement was filed and 18 days prior to the scheduled trial date, counsel for the real parties in interest received a two page letter from Dr. Cohn containing his opinion as to the cause of death. Counsel immediately notified petitioner’s counsel that Dr. Cohn would be a witness but did not furnish his report until 13 days later. The witness was unavailable for deposition until trial. Further, his report indicated the need for additional discovery from a hematologist.
Rule VI(a)(4) of the Superior Court Rules requires the pretrial statement to contain
“A list of the witnesses intended to be used by each party during the trial, other than those intended to be used solely for impeachment. No witness shall be used at the trial other than those listed, except for good cause shown; ____”
That rule is to be read in conjunction with Rule 111(h) of the Rules of Pima County Superior Court which requires a joint pretrial statement be filed 20 days before the trial date.
While preclusion of a witness is permitted as a sanction under Uniform Rule VI, given the law's preference for resolution on the merits, it should only be invoked where there is both an absence of good cause for the untimeliness and prejudice to the opposing party. Both conditions are met on the facts of this case. Counsel for the real parties in interest has suggested no reason for the late revelation of the witness save failure of his clients to discover him until the eve of trial. This is not good cause; dilatoriness never is. Beyond this, no reason was advanced for withhold; ing the content of the witness’ testimony for an additional two weeks.
The issue of prejudice is even clearer. Substantial effort had been expended by petitioner’s counsel to obtain special visas for witnesses from the Republic of Mexico for the scheduled trial days. If the trial date were changed to permit additional discovery, that effort would be lost. In addition, a fixed trial date is a valuable asset. Once lost, substantial delay of up to a year could result. Finally, there is prejudice to the administration of justice where trials are delayed; courts cannot effectively function if their calendars are subject to the control of dilatory parties.
Because good cause was not shown and because of prejudice to the petitioner which would result from a continuance of the trial, we believe the respondent court abused its discretion in denying the motion to strike. That order is vacated, and the court shall enter an order granting said motion.
HATHAWAY, P.J., and LIVERMORE, J., concur.
. While the record shows a willingness on the part of the respondent court to attempt to reschedule the trial date quickly to allow petitioner time to counter Dr. Cohn’s testimony, both counsel agreed that such rescheduling was beyond the respondent court’s power, and a lengthy delay was probable.
|
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OPINION
HOWARD, Judge.
Appellant, convicted by a jury of two counts of molesting his stepdaughter, was sentenced to concurrent prison terms of seven years each. The victim, who was fourteen at the time of trial, testified that appellant began molesting her when she was four years old. The molestations consisted, inter alia, of sexual intercourse at least once per week. This conduct continued until 1982, when the victim had attained 12 years of age. The reason it stopped was that the victim threatened to tell her mother if appellant did not stop molesting her. The victim finally did tell her mother in June 1983. The molestations which were the subjects of the two counts upon which appellant was convicted occurred in 1981 and 1982.
Appellant contends that the trial court committed reversible error in allowing evidence of prior bad acts which occurred more than ten years earlier and further committed reversible error by admitting his taped confession. We do not agree and we affirm.
In those cases in which the offense charged involves the element of abnormal sex acts such as sodomy, child molesting, lewd and lascivious acts, etc., there is sufficient basis to accept proof of similar acts near in time to the offense charged as evidence of the accused’s propensity to commit such perverted acts. State v. McFarlin, 110 Ariz. 225, 517 P.2d 87 (1973). The McFarlin rule admitting such acts was clarified in State v. Treadaway, 116 Ariz. 163, 568 P.2d 1061 (1977), wherein the court held that where the act is not similar in nature to that charged or where it is remote in time to the crime charged (three years or more) the prior act is not admissible unless there is reliable expert medical testimony that such prior act tends to show a continuing emotional propensity to commit the crime charged. However, as was stated by the court in State ex rel. LaSota v. Corcoran, 119 Ariz. 573, 583 P.2d 229 (1978), reliable expert medical testimony is not always required before a prior act may be admitted pursuant to the emotional propensity exception. It is only when there is a remoteness problem that such expert medical testimony is necessary.
The reason for requiring the other, uncharged sex acts to have been committed near in time to the offense charged is to ensure that the emotional propensity, the reason for allowing the other acts into evidence, was in existence when the crime was committed. In other words, a character trait is being used to prove that the defendant committed the instant offense. As one goes further back in time, the predictive value of the other acts diminishes. However, we do not have a remoteness problem in this case. Although the original act of molestation against the victim occurred when she was four years old, there never was a break in appellant’s conduct. It continued incessantly until the instant crimes were committed. Under such, circumstances there is no remoteness problem and no medical testimony is required.
At the hearing on the motion to suppress appellant’s two statements made to the police, Officer Seligman testified that she first spoke to appellant on July 6, 1983. Appellant had come to the police station at the request of the police. He was given and waived his Miranda rights. Officer Seligman testified that she did not threaten appellant. After making his first statement, appellant was arrested and jailed.
Several hours later, at appellant’s request, Officer Seligman returned to his cell and took a second taped statement. It is the second taped statement that appellant contends was involuntarily made. Officer Seligman testified that when she spoke with appellant the second time he was very depressed, nervous and upset. The issue on the voluntariness of the second statement was whether or not Officer Seligman had made any promises to appellant in order to secure his statement. Appellant testified that Officer Seligman told appellant about the Parents United program and the possibility of probation if he got into the program. Officer Seligman testified that she did make statements to appellant about the program, but these were made after he had made his second statement.
Appellant also testified that he had called Officer Seligman to his cell because he had asked God for forgiveness and wanted to be as honest as he could. Toward the end of his second taped statement, appellant agreed that he had not been promised anything.
Confessions are prima facie involuntary and the burden is upon the state to show that a confession is freely and voluntarily made. State v. Edwards, 111 Ariz. 357, 529 P.2d 1174 (1975). A confession, to be free and voluntary within the meaning of the Fifth Amendment to the United States Constitution, must not have been obtained by any direct or implied promise, however slight. State v. McFall, 103 Ariz. 234, 439 P.2d 805 (1968). A determination by the trial court that a confession is voluntary will not be disturbed on appeal in the absence of clear and manifest error. State v. Hensley, 137 Ariz. 80, 669 P.2d 58 (1983). The trial court apparently believed Officer Seligman when she testified that she had been taught never to make any promises to anybody prior to taking a statement and she did not do so in this case. We do not believe that the trial court erred in believing Officer Seligman and disbelieving appellant.
Affirmed.
BIRDSALL, P.J., and FERNANDEZ, J., concur.
|
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OPINION
GRANT, Judge.
The plaintiff Wilford M. Gurr (Gurr) appeals from the granting of motions for summary judgment in favor of all defendants in his medical malpractice suit. The plaintiff argues that the superior court was without jurisdiction to rule on a motion for summary judgment until his claim had been heard by a medical liability review panel. He also argues that granting summary judgment on the issue of informed consent was improper. We hold that the trial court had jurisdiction to render summary judgment and that granting summa-' ry judgment was proper.
FACTS
In June, 1981, Gurr, then 62 years old, became ill after a strenuous hiking trip. He had irregular heartbeats, shortness of breath and tightness in his chest. His family physician referred him to defendants Robert B. Willcut, D.O., and Richard H. Beck, D.O., internal medicine specialists. Defendant William L. Hull, D.O., cardiologist and internal medicine specialist, who practiced with defendant Central Arizona Medical Associates, was called in for a second opinion. Gurr was also referred to Thomas J. Trahan, D.O., thoracic and cardiovascular surgeon, also a defendant, who practiced with defendant Thoracic Cardiovascular Associates, Ltd.
These physicians diagnosed Gurr’s condition as a second degree atrioventricular heart block. Gurr claims he was told he was having a “rheumatic fever heart attack.” Gurr had a history of rheumatic fever as a young adult. The hospital records show the diagnosis as “rheumatic heart disease with second degree AV block,” as “second degree AV block ... possibly representing exacerbation of rheumatic carditis,” and as “secondary AV block, secondary possibly to rheumatic heart fever.” Gurr was admitted to Mesa General Hospital (named as defendant Mesa Hospital Medical Center) for treatment on July 9, 1981. The next day, the doctors recommended implantation of a pacemaker. Defendant Trahan performed the surgery.
Gurr felt that his condition was worse after the surgery, that his “heart was fighting against this pacemaker.” and that his earlier symptoms were aggravated by the pacemaker. Gurr consulted with another physician, Mark S. Stern, M.D. Dr. Stern wrote in a letter to plaintiff’s attorney: “From the information I have, it is most difficult for me to say why a permanent pacemaker was implanted and why this particular model was selected.” Dr. Stern adjusted the pacemaker to a much slower beat and Gurr felt quite improved.
Gurr filed suit against the treating physicians and against Mesa Hospital Medical Center on December 23, 1982. He alleged that “[t]he defendants conspired with one another and between themselves to give Wilford M. Gurr unneeded emergency medical treatment and an unneeded permanent pacemaker for the purpose of obtaining unwarranted and unreasonable financial gain.” The treatment was unnecessary, Gurr alleged, because the doctors gave him a false diagnosis that he was suffering from a rheumatic heart attack caused by a relapse of his rheumatic fever and a false prognosis that unless he received immediate treatment he would suf fer death or severe disability. The plaintiff further alleged that these acts fell below the applicable standard of care for each class of health care professionals named as defendants.
Interrogatories were propounded to the plaintiff by Dr. Trahan, Drs. Willcutt, Beck and Hull, and by the hospital. Each set inquired about violations of the applicable standard of care and about expert witnesses. When no answers were forthcoming, Drs. Willcutt, Beck and Hull filed a motion for summary judgment arguing that the plaintiff provided no factual or legal bases for his claims. The plaintiff answered the interrogatories shortly thereafter. His answers essentially were that his illness was misdiagnosed and was not serious enough to have required emergency surgery, to which he would not have consented had he known the truth. His answers referred to two experts who had furnished letters to his attorney, Dr. Stern and Joe C. Ehrlich, M.D.
Neither of these letters described the applicable standard of care or any violation of that standard. Dr. Stern’s letter, which was referred to above, concluded by suggesting that plaintiff contact another physician who could better evaluate the case. Dr. Ehrlich wrote that there was no basis for a diagnosis of rheumatic heart disease. However, he had no question “that Mr. Gurr had serious AV nodal disease ... which, in a man of sixty-two years of age ... calls for pacemaker insertion____ I think the diagnosis was wrong, but I think the treatment was correct.”
When the plaintiff provided similar answers to Dr. Trahan’s interrogatories, Dr. Trahan also moved for summary judgment. Dr. Trahan argued that whether a physician possesses the requisite skill or fails to apply that skill is a material issue of fact, and that the plaintiff failed to show there was a genuine issue of material fact. The hospital also filed a motion for summary judgment. The plaintiff concedes that if the superior court had jurisdiction to grant summary judgment, the hospital was entitled to it.
The plaintiff filed a motion to quash the motions for summary judgment and in the alternative an opposition to the motions. The motion to quash alleged that the superior court had no jurisdiction to render summary judgment until a medical malpractice review panel reached a decision. He opposed the motions for summary judgment by describing how the diagnosis of rheumatic heart disease was incorrect and how there was a failure to provide informed consent. Further facts regarding the motions will be set forth as needed.
The trial judge granted summary judgment for all defendants. The plaintiff filed a petition for special action in the Arizona Supreme Court, which was not granted. He then filed a motion for new trial. This motion was denied.
On appeal two issues are raised: (1) whether in a medical malpractice suit the superior court is divested of “jurisdiction” to rule on a motion for summary judgment until a medical liability review panel has reached a decision, and (2) whether the trial judge was correct in granting summary judgment for the defendants on the issue of informed consent.
WHETHER THE TRIAL COURT WAS DIVESTED OF “JURISDICTION”
We place the word “jurisdiction” in quotation marks here because it is the word used by the plaintiff. We question its use in this context. The superior court clearly has jurisdiction over medical malpractice claims. A.R.S. §§ 12-561 to 12-569. What the plaintiff is questioning is whether the superior court has legal authority to rule on a motion for summary judgment in a malpractice action before the medical malpractice review panel has reached its decision. See In Re Marriage of Hinkston, 133 Ariz. 592, 653 P.2d 49 (App.1982). The question then is whether the trial court committed legal error in ruling on the motion for summary judgment when it did. See Estes v. Superior Court, 137 Ariz. 515, 672 P.2d 180 (1983). In Estes the supreme court said that subject matter jurisdiction is the power to hear and determine cases of the general class to which the particular proceedings belong. The power to hear and decide the general class of medical malpractice tort cases devolves upon the superior court.
The plaintiff's complaint was filed under the provisions of the Medical Malpractice Act, A.R.S. §§ 12-561 to 12-569. Under the Act, a complaint for medical malpractice is filed with the superior court. The presiding judge of the superior court refers the matter to a medical liability review panel within 20 days after the expiration of the time for the defendant’s answer. A.R.S. § 12-567(A). The presiding judge appoints the members of the panel, which is comprised of one superior court judge, one attorney and one health care provider who engages in the same area of practice as that involved in the case. A.R.S. § 12-567(B). The panel’s responsibility is to “determine, with respect to each claim against each defendant, whether the evidence presented to the panel by all parties supports a judgment for the plaintiff or for the defendant.” A.R.S. § 12-567(F). The panel’s conclusion may be admitted into evidence at any subsequent trial. A.R.S. § 12-567(K). For background on the Act and an examination of the effectiveness of the panel system, see Comment, A Practical Assessment of Arizona’s Medical Malpractice Screening System, 1984 Ariz. St.L.J. 335.
The superior court has original jurisdiction of cases and proceedings in which exclusive jurisdiction is not vested by law in another court. Ariz. Const. art 6, § 14, cl. 1. “[T]he presumption is in favor of retention rather than divestiture of jurisdiction.” Daou v. Harris, 139 Ariz. 353, 356, 678 P.2d 934, 937 (1984). The legislature must express an intent to divest the superior court of jurisdiction or legal authority explicitly and clearly. Id.
Daou v. Harris held that the Medical Malpractice Act did not divest jurisdiction of the superior court to enter default judgment before the claim had been referred to and acted upon by a medical liability review panel. The defendant physician Harris argued that A.R.S. § 12-567(A) requiring the presiding judge to refer the matter to a panel within ten days after answer, was a jurisdictional divestiture of the superior court. (By Laws 1982, ch. 224, § 1 the time limit was extended to 20 days.) The Arizona Supreme Court rejected the argument because the act did not contain a clear and explicit divestiture of jurisdiction.
The Daou court found a lack of explicit language on two grounds. First, the legislature was presumed to know the existing laws, including the rules pertaining to answer and default. The Act’s failure to specifically address the effect of these rules meant the legislature did not intend to foreclose jurisdiction by the superior court over these matters. Second, the purposes of the panel system are to separate frivolous claims from meritorious ones and to encourage pretrial settlements. The purposes would be frustrated if a panel were required even when one party had not appeared.
These grounds are equally applicable to motions for summary judgment as well as to defaults. Rule 56(b), Arizona Rules of Civil Procedure provides:
A party against whom a claim ... is asserted ... may, at any time, move with or without supporting affidavits for a summary judgment in his favor as to all or any part thereof, [emphasis added.]
The Medical Malpractice Act does not remove the applicability of rule 56 with its broad rule on timing from these actions.
Nor would the purpose of the panel be furthered by limiting the legal authority of the superior court to rule on motions for summary judgment. “[I]f there is the slightest doubt as to whether a factual issue remains in dispute, the granting of summary judgment is erroneous and the doubt must be resolved in favor of a trial on the merits.” Brown v. Sears, Roebuck & Co., 136 Ariz. 556, 562, 667 P.2d 750, 756 (App.1983). If a claim cannot muster the minimal requirements to withstand a motion for summary judgment, it would be a waste of time, effort and expense to submit the matter to a panel.
The Daou court also pointed out that the legislature has expressly divested a court of jurisdiction. E.g. A.R.S. § 13-4040 (after remission to the trial court in a criminal matter the Arizona Supreme Court “shall have no further jurisdiction of the appeal ... ”); A.R.S. § 12-902 (unless provisions of the Administrative Review Act are followed, parties seeking review of an administrative decision “shall be barred from obtaining judicial review of such decision”).
The Medical Malpractice Act contains no similar divestment language. Instead it is the jurisdiction and legal authority of the panel that is delineated. The panel is to hear “[a]ny motion for relief arising out of the use of ... discovery procedures____” A.R.S. § 12-567(D). The judge assigned to the panel “shall not ... hear any motions or matters in the case not connected with the panel’s duties.” A.R.S. § 12-567(J). The limitation on the panel’s jurisdiction and legal authority and the absence of such limitation on the trial court strongly suggest that no superior court jurisdiction or legal authority divestiture was intended by the legislature.
The nature of the system chosen by the legislature to deal with medical malpractice claims supports our conclusion. Other states require that a claim be submitted to an arbitration panel before a suit may be filed with the courts. E.g. MD.CTS. & JUD.PROC. CODE ANN. § 3-2A-02 (1984 Repl. vol.); Schwartz v. Lilly, 53 Md.App. 318, 452 A.2d 1302 (1982) (submission of medical malpractice claim to non-binding arbitration was a condition precedent to suit; failure to comply left circuit court without jurisdiction to transfer to arbitration); and, WIS.STAT.ANN. § 655.04 (West 1980), State ex rel. Strykowski v. Wilkie, 81 Wis.2d 491, 261 N.W.2d 434 (1978) (statute prohibiting suit for medical malpractice until claim reviewed by patients’ compensation panel did not violate federal or state constitutional provisions).
Indiana provides a method for concurrent jurisdiction of the panel and the trial court, but expressly limits the legal authority of the trial court. Until the panel has reached its result, the trial court may rule only on specified matters. The limited legal authority includes ruling on material issues of fact for which no expert testimony is required. IND.CODE ANN. §§ 16-9.5-1-1 to 16-9.5-10-5 (Burns 1981); Johnson v. Padilla, 433 N.E.2d 393 (Ind.App.1982).
Our legislature did not choose a method such as those above for withholding or limiting jurisdiction or legal authority of the trial court. We presume the legislature chose the system it did for a reason: it intended for the panel and the superior court to hold concurrent jurisdiction. The panel has the limited legal authority granted by statute and the superior court retains the legal authority not specifically removed by statute.
Daou v. Harris also recognized that a right to a panel hearing is a substantive right. 139 Ariz. at 358, 678 P.2d at 939. Although panel review is a substantive right, the methods of perfecting and processing such rights are procedural. Id.
The defendants have analogized this substantive right to the constitutional right of trial by jury. U.S. Const.Amend. VII; Ariz. Const, art. II, § 23. Arizona has held that rule 56 does not unconstitutionally deprive a party of the right to trial by jury.
It is obvious that the entry of summary judgment will preclude a later trial by jury. This is the design of Rule 56 — to resolve whether material issues of fact exist, and if none do, then to enter judgment for the moving party if he is entitled to it as a matter of law. It is not the intention of the rules to grant a trial on the merits when there is no genuine fact issue or where a claim may be frivolous.
Morrell v. St. Luke’s Medical Center, 27 Ariz.App. 486, 490, 556 P.2d 334, 338 (1976) (citations omitted). Accord, Wright, Miller & Kane, Federal Practice and Procedure: Civil 2d § 2714.
The above reasoning is applicable to the granting of summary judgment in a medical malpractice suit. There is no purpose to be served in a review panel if the non-moving party cannot raise a material issue of fact within the lenient standard of rule 56.
WHETHER SUMMARY JUDGMENT ON THE ISSUE OF LACK OF INFORMED CONSENT WAS PROPER
The plaintiff claims that there was a material issue of fact regarding the lack of informed consent. Such a claim falls within the definition of a claim for malpractice:
“Medical malpractice action” or “cause of action for medical malpractice” means an action for injury or death against a licensed health care provider based upon such provider’s alleged negligence, misconduct, errors or omissions, or breach of contract in the rendering of health care, medical services, nursing services or other health-related services or for the rendering of such health care, medical services, nursing services or other health-related services, without express or implied consent.
A.R.S. § 12-561(2).
In his brief, Gurr states he “would not have accepted the pacemaker implant had he been informed that he was not suffering from rheumatic heart disease with increasing symptoms; that there was no risk that he would suffer a sudden death; that his heart block did not warrant a pacemaker; and that he had no symptoms that warranted a pacemaker.” The diagnosis of Gurr’s condition was that he suffered an AY heart block, the treatment was the implantation of the pacemaker. Gurr consented to the surgery in writing.
Every action for medical malpractice must be proven by showing:
1. The health care provider failed to exercise that degree of care, skill and learning expected of a reasonable, prudent health care provider in the profession or class to which he belongs within the state acting in the same or similar circumstances; and
2. Such failure was a proximate cause of the injury.
A.R.S. § 12-563. These same elements must be proven to withstand summary judgment. Morrell v. St. Luke’s Medical Center (decided under law existing prior to the Medical Malpractice Act).
The letters of Dr. Stern and Dr. Ehrlich failed to meet the requirements of A.R.S. § 12-563. Both letters confirmed the diagnosis of AV heart block. Neither letter described a failure to use the proper degree of care; in fact Dr. Ehrlich, in his letter and by affidavit attached to pleadings of Drs. Willcutt, Hull and Beck, approved of the surgery. Dr. Stem’s letter merely suggests he might have used a different type of pacemaker. He did not express any opinion as to a standard of care or violation of the standard. Finally, the letters made absolutely no reference to any of the complaints of Gurr.
The medical literature offered by the plaintiff does not provide adequate support for his opposition to the motions. Each, article recognizes that an AV block warrants implantation of a pacemaker. The articles suggest limits on the use of pacemakers in other situations. Because Gurr did in fact suffer from an AV block, the articles do not raise a material issue of fact.
The articles have other problems as well. They are highly technical and quite difficult, if not impossible, for the court to analyze without the aid of expert testimony to explain points raised in the articles and to apply them to Gurr’s situation. The articles also do not set forth a relevant standard of care or explain how a violation might have occurred in the instant matter.
Our conclusions regarding jurisdiction, legal authority, and the propriety of summary judgment in this matter do not contradict the holding of Phoenix General Hospital v. Superior Court, 138 Ariz. 504, 675 P.2d 1323 (1984). Phoenix General held that a plaintiff who refused to present any evidence at a panel hearing was not subject to a summary judgment as a sanction. Presentation of evidence at a panel is not mandatory under A.R.S. § 12-567(D). The panel’s decision is only one piece of evidence to be considered in subsequent proceedings. Id. 138 Ariz. at 507, 675 P.2d at 1326.
In contrast, a plaintiff must prove the elements of A.R.S. § 12-563 to have a cause of action. If a plaintiff wants to bring his case before a jury, at some point he will have to provide expert testimony that there was a violation of the applicable standard of care. Certainly that point may occur after a panel hearing, if a defendant moves for summary judgment. We find nothing in the pertinent rules or statutes that prohibits that point from occurring prior to the panel hearing.
A motion for summary judgment by a defendant prior to a panel hearing may in some cases present an added hardship to the plaintiff. However, rule 56(f) provides a remedy for a party who needs additional time or other relief to prepare a response to a motion for summary judgment.
CONCLUSION
The trial court had jurisdiction and legal authority to grant a motion for summary judgment prior to any action by a medical liability review panel. The plaintiff failed to raise a material issue of fact as to any defendant’s failure to meet the applicable standard of care. Summary judgment was proper and the trial court is affirmed.
MEYERSON, P.J., and HAIRE, J., concur.
. M. Melvin Gentile, D.O., the anesthesiologist for the surgery, and Anesthesia Associates of Arizona were also named as defendants. By stipulation these parties were dismissed from the suit.
. The plaintiff in his opening brief seems to argue that the trial court erroneously failed to consider the records and reports of Dr. Stern and Dr. Ehrlich. There is no motion or order to preclude the use of these items in the record. In fact both sides of this dispute relied on the letters for their respective arguments. It appears the trial judge considered these documents in reaching her decision to grant summary judgments. We do not address this issue.
. Traditionally, a claim of lack of informed consent focuses on disclosure regarding treatment or surgery, the risks and the alternatives. See W. Prosser and W.P. Keeton, The Law of Torts 5th Ed. § 32 at 189-90; Restatement of Torts 2d § 892B comment i (1977). The plaintiffs claim of lack of informed consent is broader than the usual concept as it criticizes the diagnosis of the cause of the heart block. Regardless of the label of the claim, the plaintiff must make the showing required in A.R.S. § 12-563.
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HOLOHAN, Chief Justice.
We granted review in this case to resolve an issue which evaded our review in Sanson v. Gonzales, 141 Ariz. 633, 688 P.2d 641 (1984). The issue is presented again in this case: What is the effect of a clause which provides for nonwaiver of time is of the essence provision in a deed of trust when the holder accepts late payments?
The resolution of the above issue by Division II of the Court of Appeals in this case is consistent with the views of this court, and we, therefore, approve the decision, Clayton K. Miller III v. Susan Uhrick, 146 Ariz. 413, 706 P.2d 739 (App.1985).
GORDON, Vice Chief Justice, and HAYS, CAMERON and FELDMAN, JJ., concur.
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OPINION
HOWARD, Judge.
Appellant was arrested by a Department of Public Safety patrolman in Cordes Junction, Arizona, after the officer discovered narcotics and other illegal substances in the vehicle in which appellant and two others were traveling. Following a jury trial, appellant was convicted of possession of marijuana for sale, a class 4 felony, transportation of marijuana, a class 2 felony, and possession of an imitation controlled substance with intent to distribute, a class 6 felony. Imposition of sentence was suspended for a period of two years, and appellant was placed on probation pursuant to A.R.S. § 13-901(A).
In his first argument on appeal, appellant urges that we reverse his convictions because, although appellant was charged only as a principal, the trial court instructed the jury on the accountability of an accomplice. Appellant refers to the following instruction given by the trial court:
“ ‘In Arizona, one person can be liable under the criminal law for the conduct of another person if the first person is an accomplice of the other person in the commission of an offense. “Accomplice” is defined to mean a person who, with the intent to promote or facilitate the commission of the offense, aids, counsels, agrees to aid or attempts to aid another person in planning or committing an offense or provides means or opportunity to another person to commit the offense.’ ”
The indictment charges appellant as a principal. It does not allege that appellant committed the charged offenses as an accomplice, nor does it cite A.R.S. § 13-301 or § 13-303, from which the disputed instruction was derived. Nevertheless, appellant’s contention is without merit. There is no requirement that the indictment charge appellant as an accomplice in order to permit a jury instruction to that effect. Browning v. State, 53 Ariz. 174, 87 P.2d 112 (1939); State v. Mendibles, 25 Ariz. App. 392, 543 P.2d 1149 (1975). Under Arizona law, an accused is a principal regardless of whether he directly commits the illegal act or aids or abets in its commission. Browning v. State, supra. Appellant was afforded due process through adequate notice of the charges against him. He was not entitled to notice of the precise method of proving those charges. See State v. Tison, 129 Ariz. 526, 633 P.2d 335 (1981), cert. denied 459 U.S. 882, 103 S.Ct. 180, 74 L.Ed.2d 147 (1982) (“conspiracy” instruction was proper although the defendant was not indicted for conspiracy). Appellant was convicted as charged in the indictment. We find no error.
Appellant’s second contention is that the trial court committed reversible error by refusing appellant’s proffered jury instruction on the definition of the word “transportation.” The rejected instruction stated:
“Transportation means carrying property by means of some form of conveyance from a starting point toward a destination with the intent of delivering or putting the property down at the destination." (Emphasis added.)
The thrust of the proffered instruction is that the “transportation” required for conviction must be done with a specific intent and with a definite starting point and destination or else the “transportation” is nothing more than possession. See People v. Kilborn, 7 Cal.App.3d 998, 87 Cal.Rptr. 189 (1970), cert. denied, 404 U.S. 998, 91 S.Ct. 478, 27 L.Ed.2d 449 (1971). This is not the law in Arizona. In State v. Mahoney, 106 Ariz. 297, 475 P.2d 479 (1970), 401 U.S. 917, 91 S.Ct. 898, 27 L.Ed.2d 818 (1971), the court stated:
“The defendant next contends that the state failed to prove a prima facie case of transporting marijuana as required under A.R.S. § 36-1002.07, as amended. He maintains that it was the intent of the legislature that the word ‘transport’ would indicate more than finding of [sic] marijuana in a car traveling approximately more than one mile. With this contention we cannot agree. No duty is upon the state to establish great distance or change in locality where transportation is required.” 106 Ariz. at 302, 475 P.2d at 484.
Appellant further argues that his conviction for transportation of marijuana is barred by the substantive due process clauses of the United States and Arizona constitutions because there is no rational basis for criminalizing the transportation of marijuana separately from, and more severely than, the mere possession of the drug. We agree that the rational basis test applies to this type of constitutional inquiry. See State v. Murphy, 117 Ariz. 57, 570 P.2d 1070 (1977). However, we do not agree that appellant’s conviction must be reversed.
There is a presumption that the legislature acts constitutionally, and when there is a reasonable, even though debatable, basis for the enactment of the statute, we will uphold the statute unless it is clearly unconstitutional. State v. Murphy, supra; State v. Also, 11 Ariz.App. 227, 463 P.2d 122 (1969). If the court can discover any purpose related to public health, safety or welfare which the statute could serve, we will not question the wisdom of the legislation. State v. Murphy, supra. Although Murphy dealt only with the prohibition of home use of marijuana, independent rational bases exist in the present case for the separate proscription of transportation of that same illegal substance. Transporting an intoxicating substance in the cabin area of a motor vehicle may encourage its use or consumption by the driver, which in turn could threaten the safety of those riding in the vehicle and of the public as well. In addition, the transportation of illegal substances facilitates their distribution, contrary to the state’s interest. Applying the rational basis test, we find these considerations alone to be sufficient support for the state’s enactment of the statute.
Appellant next argues that his convictions for possession of marijuana for sale and for transportation of marijuana cannot both stand because they constitute double punishment in violation of A.R.S. § 13-116. We do not agree. Unlike its predecessor, former A.R.S. § 13-1641, the present statute permits multiple convictions and sentences for offenses having some identical elements, so long as the sentences are concurrent. State v. Thurman, 134 Ariz. 465, 657 P.2d 878 (App. 1982); State v. Harmon, 132 Ariz. 54, 643 P.2d 1024 (App.1982); State v. Moroyoqui, 125 Ariz. 562, 611 P.2d 566 (App.1980). Relying on State v. Rogowski, 130 Ariz. 99, 634 P.2d 387 (1981), appellant asserts that we must reverse either one or the other of his marijuana convictions because, under Rogowski, the paper sack of marijuana “lids” found under the vehicle’s seat can be used as evidence in support of only one conviction under the “identical elements” test. 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____”
(Emphasis added.)
In Rogowski the court stated:
“A.R.S. § 1-116 (previously § 13-1641) bars double punishment for ‘an act or omission which is made punishable in different ways by different sections of the laws * * *.’ The provision also bars double convictions for one act or offense. State v. Castro, 27 Ariz.App. 323, 554 P.2d 919 (1976).” 130 Ariz. at 101, 634 P.2d at 389.
With all due respect to the Rogowski court, this statement is clearly contrary to A.R.S. § 13-116, and it is evident that the court went astray by relying on State v. Castro, supra, which was decided under the former statute, A.R.S. § 13-1641. In any event, appellant’s reliance on dictum in Rogowski is misplaced. In fact, in the Rogowski opinion the Rogowski court implies that the same stolen property can be used as evidence to support convictions for theft and for trafficking in stolen property, in direct contradiction to appellant’s position. Likewise, the marijuana in the instant case can be used to support both convictions related to it. Neither offense is a lesser-included of the other, nor was appellant sentenced consecutively for offenses arising out of the same circumstances. Both convictions are proper, and we affirm.
Appellant’s fourth argument on appeal is that the trial court committed reversible error when it refused to defer the designation of appellant’s conviction for possession of an imitation controlled substance until the period of probation was completed. Under A.R.S. § 13-702, the trial court may under certain conditions designate a class 6 felony as a class 1 misdemeanor. The trial court refused appellant’s request to defer the designation and designated the conviction as a class 6 felony. At the time of appellant’s sentencing, A.R.S. § 13-702(G) provided, in pertinent part:
“Notwithstanding any other provision of this title, if a person is convicted of any class 6 felony not involving the intentional or knowing infliction of serious physical injury or the use of a deadly weapon or a dangerous instrument and if the court, having regard to the nature and circumstances of the crime and to the history and character of the defendant, is of the opinion that it would be unduly harsh to sentence the defendant for a felony, the court may enter judgment of conviction for a class 1 misdemeanor and make disposition accordingly.”
In State v. Wright, 131 Ariz. 578, 643 P.2d 23 (App.1982), we interpreted the above provision to mean that the trial court could not delay the designation of the offense, but instead had to decide whether or not it would designate the offense as a class 1 misdemeanor when it entered a judgment of conviction. State v. Wright, supra. The legislature later decided to amend the statute to allow trial courts to delay designating the offense until the termination of probation. See A.R.S. § 13-702(H). Appellant concedes that the amendment was not in effect at the time of his sentencing. Furthermore, even if it had been, the trial court still would have had the discretion to decide whether or not to defer designating the offense. Appellant’s position is without merit.
Appellant’s final contention, that the prosecution denied him due process and equal protection when it conditioned its plea offer upon certain conduct by appellant’s co-defendants, deserves no further discussion because appellant has no right to a plea offer from the prosecution and thus has no ground to complain about the terms of any such offer.
We have searched the entire record for fundamental error and have found none.
Appellant’s convictions and the sentence imposed are affirmed.
BIRDSALL, P.J., and FERNANDEZ, J., concur.
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OPINION
BIRDSALL, Chief Judge.
This appeal is from a conviction of second degree murder entered pursuant to a plea agreement which reduced the charge from first degree. The appellant was given the maximum aggravated sentence of 21 years’ imprisonment. For several reasons we must reverse.
The questions presented on appeal concern the court’s failure to appoint new counsel to represent the appellant, failure to advise the appellant about a special condition pertaining to her sentence, and failure to provide an interpreter. Our own review of the record has also disclosed an error in the procedure for determination of the appellant’s competency and a serious question concerning her understanding of all the plea proceedings.
Insofar as relevant, we discuss the facts of the substantive offense in our discussion of the issues. However, the following review of the record in the trial court is necessary to an understanding of the issues.
The appellant was indicted on September 9, 1983. Prior to that date, attorney Gary Ramaeker of Sierra Vista had been appointed to represent her. She was arraigned on September 19 in the Cochise County Superior Court. Mr. Ramaeker informed the court at that time that he did not believe she understood the English language well enough to respond, that she spoke several other languages, and that her strongest appeared to be German. Attorney Ramaeker had secured a German interpreter and she was sworn to interpret. However, from our understanding of the record, the interpreter did not translate all of the proceedings but rather only interpreted particular questions or other matters when asked to do so by counsel or the court. This same problem appears in other hearings where an interpreter was present.
At the arraignment the court granted the appellant’s motion for a Rule 11 examination. According to the written motion, the purpose of the examination was both to determine competency and to investigate her mental condition at the time of the offense. The notice of appointment did not, however, request the latter investigation. Since the motion was granted, the trial court found reasonable grounds for such an examination. Contrary to the requirement of Rule 11.3(a) that at least two mental health experts be appointed, only one psychiatrist was appointed. Subsequently, on the basis of only that one report, the trial court found the appellant competent. There was never any objection to this procedure.
The next hearing was held October 3. The interpreter was not present. Mr. Ramaeker advised the court that “we’ve” concluded the appellant knows and understands English probably better than German. As a result, the hearing was conducted without an interpreter. At that hearing the court also granted the appellant’s motion to have an associate of Mr. Ramaeker’s, John Kelliher, appointed as additional counsel for the appellant.
The appellant was also present without an interpreter at the next hearing, October 17. The motions presented involved disclosure, modification of conditions of release (the appellant was always in custody), and the filing of an addendum to the indictment alleging the dangerous nature of the offense.
At the next hearing, the Rule 11 motion was submitted on the report of the psychiatrist and the court found the appellant competent. Another brief hearing was held concerning the appointment of a medical doctor to examine the appellant for neurological and hearing complaints, and the trial was set for January 10, 1984.
On January 16, trial having been continued, the court was presented a plea agreement signed January 13 in which the appellant agreed to plead guilty to second degree murder. Again, no interpreter was present. The court examined the appellant concerning the agreement, and she responded with “yes” answers to several questions, thus indicating her understanding of the agreement until the following éxchange:
“THE COURT: Now, as your lawyers have explained to you, do you understand that by pleading guilty you give up the following constitutional rights? You give up the right to keep your plea of guilty [sic] and have a trial by jury at which you would be represented by counsel. Do you understand that you give up that right?
“THE DEFENDANT HANSEN: What that mean? I don’t understand.
“MR. KELLIHER: We went over that Friday. We’re not going to have a jury trial now, right here.
“THE COURT: Do you understand that?
“THE DEFENDANT HANSEN: (No Response)
“THE COURT: Well, in other words, when you plead guilty, you give up the right to have a trial at which the evidence is produced and the jury decides the case. You give up that right; do you understand that?
“THE DEFENDANT HANSEN: I don’t remember what happened to us.
“THE COURT: No. I’m not asking you that. But just by pleading guilty, you give up the right to a jury trial; do you understand that?
“THE DEFENDANT HANSEN: Yeah.
“THE COURT: You don’t get a trial if you plead guilty; do you understand that?
“MR. KELLIHER: I explained this.
“THE DEFENDANT HANSEN: I don’t understand what that means.
“MR. KELLIHER: I explained it to her Friday, before having her sign this, Your Honor, and she at that time did not know what a jury trial was. I attempted the best I could to explain to her what a jury trial was. I don’t know, without her background in American History and Constitutional Law and so forth, that she would ever understand what a jury trial is any better than I could explain it to her.
“THE COURT: Well, of course if she can’t understand what it is, how can she waive it?
“MR. KELLIHER: I don’t know, without going to at least a high school-level education, that she would ever understand that.
“THE COURT: Well, how many years in school did you have, Miss Hansen?
“THE DEFENDANT HANSEN: Pardon me?
“THE COURT: How many years in school did you have?
“THE DEFENDANT HANSEN: How many what?
“MR. KELLIHER: • How many years did you go to school? In Germany; how many years of school?
“THE DEFENDANT HANSEN: I don’t know.
“MR. KELLIHER: You went to school in Yugoslavia?
“THE DEFENDANT HANSEN: I don’t understand what you mean.
“MR. KELLIHER: School; do you know what school is? Teachers?
“THE DEFENDANT HANSEN: Yeah.
“MR. KELLIHER: Did you go to school like, you know, your daughter goes to school? Did you do that when you were younger?
“THE DEFENDANT HANSEN: I went one or two. I think only one and two. I don’t know.
“MR. KELLIHER: But that’s a different system there from what they have here; right?
“THE DEFENDANT HANSEN: I can’t hear.
“MR. KELLIHER: Does your other ear work better?
“THE COURT: Well, Miss Hansen, I feel that I have to — are you able to understand English?
“THE DEFENDANT HANSEN: Yeah.
“THE COURT: You can understand English.
“MR. KELLIHER: I don’t think it’s her comprehension of the English language that’s lacking. It is just her comprehension of the system and the terms that define the system that are bewildering her.
“MRS. WARD: Your Honor, I do have an interpreter, a Serbian-speaking individual, who has spoken with Miss Hansen before, that could be up here in court within ten minutes, if you would perhaps feel more comfortable proceeding with an interpreter, even though the defendant earlier denied her need for an interpreter. We could provide that.
“THE COURT: Miss Hansen, what is the language in which you can understand and speak the best?
“THE DEFENDANT HANSEN: I have to tell him what happened?
“MR. KELLIHER: No. What language do you feel most comfortable with? German? Yugoslavian?
“THE DEFENDANT HANSEN: No.
“MR. KELLIHER: Hungarian? Which language do you speak best?
“THE DEFENDANT HANSEN: Okay.
“MR. KELLIHER: What do you feel most comfortable?
“THE DEFENDANT HANSEN: I don’t understand what you’re talking about.
“MR. KELLIHER: Don’t worry about this right now (indicating the plea agreement). Which language to [sic] you feel most comfortable with?
“THE DEFENDANT HANSEN: Yeah.
“MR. KELLIHER: Which one? Which one?
“THE DEFENDANT HANSEN: Well, I don’t know.
“MR. KELLIHER: Hungarian, Yugoslavian?
“THE DEFENDANT HANSEN: Pardon me?
“MR. KELLIHER: Which language do you feel most comfortable with? Not German though; is it?
“THE DEFENDANT HANSEN: I don’t know.
“MR. KELLIHER: Which language do you speak best?
“THE DEFENDANT HANSEN: Well—
“MR. KELLIHER: How many languages do you speak? How many languages do you speak? You speak English; right?
“THE DEFENDANT HANSEN: Uh-huh.
“MR. KELLIHER: You speak German? Do you speak French?
“THE DEFENDANT HANSEN: How many language?
“MR. KELLIHER: Uh-huh.
“THE DEFENDANT HANSEN: I speak —Oh, I don’t understand, because of my ears.
“MR. KELLIHER: That’s all right.
“THE DEFENDANT HANSEN: I speak seven languages. But French, I forgot it because I grew up on (sic) my mom, you know. So I born in Hungary, but I have French citizenship. And I was a little— when I was a little and when I go back to my mom and I lost again, and I got married to French guy, then I get again French citizenship. So I grew up in Yugoslavia.
“MR. KELLIHER: What language do you feel most comfortable with?
“THE DEFENDANT HANSEN: Any language, you know. I can talk in German, Hungary, Yugoslav, French, and a little bit Swedish, a little bit Hawaiian.
“MR. KELLIHER: Can you understand English?
“THE DEFENDANT HANSEN: Well, the best language I understand, German and Hungarian and you know. That’s all I can better to talk, you know. English I have to learn. And I just learned English 11 months, but I still not understand all. So I got grammar book here and they take it away from me because they didn’t like me to learn. I don’t know why.
“MR. KELLIHER: Well, have you understood the questions that I have been asking you?
“THE DEFENDANT HANSEN: Those other languages, when I know it, I learn it by my school in Germany.
“MR. KELLIHER: But my question was — now listen. Do you understand the questions?
“THE DEFENDANT HANSEN: How many school?
“MR. KELLIHER: No. Do you understand the questions I have been asking you before? Did you understand those questions?
“THE DEFENDANT HANSEN: I don’t understand what he means.
“MR. KELLIHER: The questions we went over earlier on these papers, did you understand those? Remember I explained them to you Friday? He asked you the same questions I told you that he would ask; did you understand them?
“THE DEFENDANT HANSEN: Not all of those (indicating).
“MR. KELLIHER: Up to this point though have you understood everything?
“THE DEFENDANT HANSEN: I understand when you read me, yeah.
“MR. KELLIHER: Yes.
“THE DEFENDANT HANSEN: But when I read, I don’t know all of them. I read, yes, but—
“MR. KELLIHER: She cannot read it herself.
“MR. RAMAEKER: May I, Your Hon- or?
“THE COURT: Yes.
“MR. RAMAEKER: Excuse me. Have you understood what the judge has been asking you about up to this point?
“THE DEFENDANT HANSEN: Yeah.” After a few additional questions the trial court concluded that the appellant did not understand what was going on. The judge suggested that perhaps the proposed new interpreter and defense counsel could explain the agreement to her, and it might still be possible to accept the plea. The hearing adjourned on that note.
Despite the difficulties demonstrated at the January 16 hearing, the matter was back before the court three days later with the same plea agreement, but a different interpreter using the Slav language. The new interpreter had spent two hours going over the agreement with defense counsel and the appellant and, in response to the court’s inquiry as to whether she was able to communicate with the appellant, said:
“THE INTERPRETER: Yes, I think so. She claims there was some — there was some maybe parts that she didn’t understand; merely that she thought I spoke too fast. However, I feel like she did understand a lot that I.did interpret for her.”
The hearing then continued using the interpreter who indicated, although most of the time not in the first person, satisfactory one word answers to the court’s questions. When it came to the matter of a factual basis, Mr. Kelliher gave the following narrative.
“MR. KELLIHER: Yes, sir.
On or about August 28th, 1983, early in the Sunday morning hours, a fight of some sort broke out between the victim, Rory Cochise Cody, and the defendant, Zsanet Hansen. A scuffle of some sort took place and the defendant wound up with a handgun in her possession, a .22 caliber pistol. The handgun was discharged six times. The defendant shot the victim, Mr. Cody, three times, twice superficially and once the fatal wound, killing him some time that morning of the 28th.”
The interpreter translated only part of this question when the appellant again had difficulty. We quote again from the transcript:
“THE DEFENDANT: I don’t know what I did. I was told by the police.
THE INTERPRETER: She was drunk.
THE DEFENDANT: I was drunk.
MR. KELLIHER: But she did. Tell her that’s what she told the police too.
THE DEFENDANT: I told the police that I had done something, but I didn’t know what I did.
THE INTERPRETER: And she said: He gave me the drink and I drank because he made me drink it. And he beat her.
THE COURT: Does she remember shooting him?
THE INTERPRETER: She says: I know that I did something, but I don’t know what I did because I was under the influence.
THE COURT: Does she remember?
THE DEFENDANT: That’s why I went to the police, to tell them I did something. But at the time I didn’t know what I did.
THE COURT: Does she remember having a gun in her hand and pulling the trigger?
THE INTERPRETER: Originally the gun was in Mr. Cody’s hand. However, the little girl was in the room with them and he hit the little girl with the gun and they scuffled over the gun. It fell to the floor and he picked it up and she feels at that time she must have shot him, although she still contends she doesn’t remember, that she was under the influence.”
After this the court concluded, “Well, I think there’s enough there,” and found that the appellant knowingly, intelligently, and voluntarily entered a plea of guilty and that there was a factual basis. A sentencing date was set. The guilty plea proceeding form, which was written in English, was also signed by the appellant without in-court translation.
On February 27 the case was again before the court in a most extraordinary proceeding. The Slav interpreter was present with the appellant but not interpreting the proceedings for her. Mr. Kelliher notified the court that the appellant had accused him of “fooling her into entering the plea agreement” and that he could no longer represent her and have “her best interests at heart.” Although the court agreed with Kelliher, it ruled that Mr. Ramaeker should continue to represent the appellant. At the conclusion of the hearing the court directed the interpreter to communicate what had taken place to the appellant.
On March 9 the court commenced what was intended to be a “presentence hearing.” However, Mr. Ramaeker immediately reminded the court that there was a question concerning the plea and that the court might want to reconsider accepting the plea. Although agreeing that it was appropriate for the court to hear the appellant’s position in that regard, Ramaeker questioned whether he was in a position to properly examine her. However, the court disagreed and Ramaeker was obliged to call the appellant. Thus he was in the conflicting position of attempting to represent appellant while at the same time upholding the actions of his associate and himself. The resulting examination of the appellant by her counsel and the county attorney, while finally accepted by the trial court as sufficient to allow the plea to stand, was at best questionable and certainly did not afford the appellant the independent legal assistance to which she was entitled. In addition, the same problems we have previously noted with regard to interpretation, i.e., some of the proceedings not interpreted, use of the second person, and paraphrasing of her answers by the interpreter, are apparent. Sentencing occurred on March 19, and although the Slav interpreter was present, she was not used.
Turning now to the issues presented by appellant’s appellate counsel, we agree that reversible error has been shown. When the court was advised that the appellant was claiming that counsel had fooled her into signing the plea agreement, new counsel should have been appointed to represent her. Mr. Ramaeker stood in the same position as his co-counsel and law associate, and it was error to either require or permit him to continue to represent the appellant. Rule 29(a), DR 5-105(D), Rules of the Supreme Court, 17A A.R.S. (Re pealed effective February 1, 1985; see now Rule 42, ER 1.10); see Rodriguez v. State, 129 Ariz. 67, 628 P.2d 950 (1981).
At the first change of plea proceeding, the trial court asked the appellant if she understood she would have to serve two-thirds of the seven-year minimum sentence if that was the sentence. The appellant without an interpreter answered: “Yeah.” That plea was rejected, and this special sentencing condition was never mentioned again in any subsequent hearings. It was not in the written plea agreement. We do not believe, at least in this case, that there was sufficient compliance with Rule 17.2:
“Before accepting a plea of guilty or no contest, the court shall address the defendant personally in open court, informing him of and determining that he understands the following:
* # * * * *
b. The nature and range of possible sentence for the offense to which the plea is offered, including any special conditions regarding sentence, parole, or commutation imposed by statute;”
The requirement that a defendant convicted of a dangerous nature Class 2 or 3 felony must serve at least two-thirds of the sentence imposed is contained in A.R.S. § 13-604(G) (Supp.1984) and is a special condition regarding sentence, parole, or commutation. See State v. Levario, 118 Ariz. 426, 577 P.2d 712 (1978) (discussing former A.R.S. § 36-1002.02, ineligibility for parole or other release for 5 years). And see State v. Lamas, 143 Ariz. 564, 694 P.2d 1178 (1985). This was again reversible error, or at least cause for remand to determine whether the appellant understood the special condition.
Finally, the appellant contends on appeal that she was not provided a competent interpreter at all crucial stages of the trial proceedings. We agree. Although an interpreter was provided at times for the purpose of translating questions asked of the appellant and interpreting her answers, it appears that the interpreter never simultaneously translated the proceedings for the appellant. At least for the crucial hearings, which would surely include the sentencing, this is necessary. State v. Rios, 112 Ariz. 143, 539 P.2d 900 (1975); State v. Natividad, 111 Ariz. 191, 526 P.2d 730 (1974). Nor can we find any waiver of this right to participate effectively in the proceedings by means of the interpreter. Natividad, supra. We fully recognize that there is some indication that the appellant possessed some understanding of English and that the trial court is in the best position to determine whether a defendant is able to proceed without an interpreter. However, the record is, at best, ambiguous in this regard. We believe the entire record shows that the interpretation afforded the appellant was so inadequate that she was deprived of due process of law.
In addition to these issues raised by the appellant, it was error for the trial court to appoint only one mental health expert for the Rule 11 examination. This is not a case in which the expert was appointed to express an opinion as to whether reasonable grounds for Rule 11 proceedings existed. That had been determined. This was an examination for competency, and perhaps mental condition at the time of the offense. Although there was no objection, we do not believe we can say in this case that the error was waived. The medical doctor subsequently appointed was for diagnosis of medical, not mental, problems. If Rule 11 proceedings are again granted in the trial court, two experts must be appointed.
We also express our opinion based on our review of the entire record that the finding that the appellant’s plea was made knowingly and intelligently was not supported by the evidence before the trial court.
We reverse for further proceedings consistent herewith.
HOWARD and HATHAWAY, JJ„ concurs.
. Unless otherwise indicated, all references to Rules are to the Rules of Criminal Procedure, 17 A.R.S.
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OPINION
HATHAWAY, Judge.
This case involves a claim for a real estate commission. The trial court granted summary judgment against the broker, finding that the commission agreement “is so ambiguous in the face of the facts of this case that it cannot be enforced.” Because we believe any ambiguity raises a genuine issue of material fact rather than rendering the agreement fatally deficient, we find disposition on summary judgment to be error and remand for trial.
This is a statute of frauds case. A.R.S. § 44-101 provides in pertinent part:
“No action shall be brought in any court in the following cases unless the promise or agreement upon which the action is brought, or some memorandum thereof, is in writing and signed by the party to be charged, or by some person by him thereunto lawfully authorize:
* * * * * *
7. Upon an agreement authorizing or employing an agent or broker to purchase or sell real property, or mines, for compensation or a commission.”
The identical provision was interpreted by this court in Gray v. Kohlhase, 18 Ariz. App. 368, 502 P.2d 169 (1972). In Gray, the missing term was the amount of commission. Distinguishing Arizona real estate cases from California case law involving the statute of frauds, this court reiterated that “the chief element required to be shown in writing is the fact of employment.” (Emphasis in original) 18 Ariz.App. at 370, 502 P.2d at 171. The holding of Gray added as an “essential element” the “amount of commission.” (Emphasis in original) Id. If these two items — fact of employment and amount of commission— are missing, they cannot be supplied by the court by pleading ambiguity. Id.
What other terms must be found in a real estate commission agreement so that it is sufficiently definite and certain to be enforced? Appellee asserts that the lack of terms regarding the time and manner of the future commission payments mentioned in the agreement voids the agreement. Appellee cites cases from other jurisdictions for the proposition that a real estate commission must contain an expiration date in order to satisfy the statute of frauds. Yet no Arizona cases on these points which involve written agreements are cited to us. Pyeatte v. Pyeatte, 135 Ariz. 346, 661 P.2d 196 (App.1983), found the lack of a time frame in an oral agreement, whereby each spouse agreed to provide in turn the sole support for the marriage while the other spouse was obtaining further education, to be fatal. But in Pyeatte it is clear that the lack of time frame went to the heart of the agreement itself. Conceivably the very consideration of the agreement — the mutual promises to support — might never kick in, given the way the agreement was structured.
The instant case is quite different in its terms. The commission agreement signed by the parties is as follows:
“This is a commission agreement between GENE ANDERSON and LANCER REALTY AND INVESTMENT, INC., Broker. If Lancer Realty is successful in consumating [sic] a business agreement between William Hudson and Mildred Hudson, owners of 305 acres in Maraña, and GENE ANDERSON, developer, Anderson will pay Lancer Realty a commission of 5% of his profits, or $50,-000.00, which ever [sic] is greater. $5,000/SCGA is to be paid to Lancer Realty upon execution of the agreement between HUDSON and ANDERSON. The balance of payments to be agreed upon by Lancer Realty and Anderson.”
The requirement in the agreement that $5,000 be paid upon execution of agreement was deleted by the parties, leaving the question of how and when the commission was to be paid to a later agreement of the parties.
The essential terms under Gray v. Kohlhase, supra, the fact of employment and the amount of commission are present and explicit here. Lancer, as a real estate company, will act in its usual capacity as an agent to put together a deal between three specifically named parties concerning 305 specifically named acres in Maraña. Anderson will pay the greater of two possible sums: $50,000 (a definite amount) or 5% (a definite percentage) of "his profits” (an indefinite but definable sum). While the schedule of payment is not specified, an agreement to agree on such a schedule is specified. A party to a contract cannot be permitted to escape the obligations of an agreement to which he is a signatory by pleading “no meeting of the minds” just because a condition of that contract has been left to be ironed out later. We are reminded,
"... contracts should be interpreted, whenever reasonable, in such a way as to uphold the contract, and ... this is particularly true where there has been performance by one party. We are aware of these general legal concepts, and also note that reasonableness can be implied by the courts when interpreting agreements.” Pyeatte v. Pyeatte, 135 Ariz. at 351, 661 P.2d at 201. (Emphasis added)
Following this counsel to reasonableness, we find that the condition precedent which triggers Anderson’s obligation to pay at least $50,000 is the time at which profits could be determined. On the facts of this case this condition precedent occurred (1) when Anderson and the Hudsons consummated a business agreement concerning the subject property, thereby making it possible for Anderson to derive profits, and (2) when Anderson no longer had any interest, right, or title in the subject property, namely, when the option agreement between the Hudsons and Anderson died and no other agreement was offered in its place to suggest any further interest. The point at which Anderson’s interest in the property ended and the profit, if any, was gained by Anderson out of the option agreement are questions of fact to be decided at trial.
An additional question of fact would be whether the execution of the option agreement by Lancer Realty on behalf of Anderson with the Hudsons comes within the meaning of the term “consumating [sic] a business agreement.” While we do not decide this question, we believe that rather than- being hopelessly “ambiguous” as decided by the trial judge it merely reflects the wheeling and dealing common to real estate speculation and development in Arizona. Contemporary contract law must keep up with modern business practices. Any ambiguity in the facts may be determined at trial, not in summary judgment. Cf. Lewis v. Lockhart, 379 P.2d 618 (Alas. 1963), in which the Alaska Supreme Court approved of the trial court’s decision to see if time for payment could be made certain in a disputed lease-option-to-buy contract.
Reversed and remanded for further proceedings.
LACAGNINA, J., and LILLIAN S. FISHER, Superior Court Judge, concur.
|
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PER CURIAM.
This matter involves a disciplinary proceeding against respondent, George M. Ireland, a member of the State Bar of Arizona, arising under the Code of Professional Responsibility Rule 29(a), Arizona Supreme Court Rules, 17A A.R.S. On February 1, 1983, the Local Administrative Committee for District No. 1 of the State Bar of Arizona filed a five count complaint against Ireland alleging professional misconduct. Respondent filed objections to the complaint, and the Administrative Committee conducted hearings on the issues. The Administrative Committee dismissed Counts III and IV, but found that the allegations of misconduct charged in Counts I, II, and V were supported by the evidence. The Committee recommended that respondent be disbarred. The State Disciplinary Board affirmed the Committee’s findings, but recommended that respondent not be disbarred but be suspended from the practice of law for a period of two years.
In determining whether discipline is appropriate, we are guided by certain well-defined principles: (1) this court is the ultimate trier of both fact and law in disciplinary proceedings; (2) disciplinary violations must be established by clear and convincing evidence; and (3) the recommendation of the State Bar is entitled to serious consideration. In re Moore, 110 Ariz. 312, 313, 518 P.2d 562, 563 (1974). We proceed to address each count individually.
COUNT I DOCKET NO. 82-3-1
Respondent is charged in Count I with several acts of impropriety in connection with his representation of Mrs. Dona Cochran in a marriage dissolution proceeding. The most serious charge is respondent’s alleged efforts to obtain a favorable spousal maintenance award for his client by misrepresenting her assets and liabilities to the court both in documentary evidence and by instructing his client to give false testimony. The Bar also charges that respondent charged Cochran unreasonable or excessive attorney’s fees by separately charging her for the services of secretaries or other non-lawyer personnel when these fees were not agreed to by Cochran. The facts are highly contested.
Mrs. Cochran hired respondent in May 1980 to represent her in a marriage dissolution proceeding. On August 14, 1980, as payment for legal work rendered, Cochran tendered some silver coins to respondent. He accepted the coins, giving them a market value of $566.80, and issued a dated receipt to Mrs. Cochran in the amount of $566.80. These coins, part of a community property coin collection, form the basis of the Bar’s charge that respondent misrepresented Cochran’s assets and liabilities to the court. Specifically, the Bar contends that respondent informed Cochran that he would credit her account after the dissolution proceeding so that, in the interim, her liabilities would appear larger to the court. It is further alleged that respondent instructed Cochran, prior to a hearing on August 20, 1980 on pre-dissolution child support and spousal maintenance, to inform the court that the coin collection was sold for the necessities of life. We find these charges clearly substantiated by the evidence presented.
Respondent’s records show that Cochran’s account for attorney’s fees was not credited until one year following respondent’s receipt of the coins. We reject respondent’s contention that he “forgot” to credit Cochran’s account.
As to the Bar’s charge that respondent suborned perjury, Cochran testified at the August 20 Order to Show Cause hearing about the disposition of the community property coin collection. On cross-examination by Mr. Cochran’s attorney, Richard Walraven, Mrs. Cochran clearly misrepresented the status of the coin collection:
Q [Walraven] Do you have the coin collection?
A [Mrs. Cochran] Yes, I do.
Q Is it still—
A Right where he left it.
(August 20, 1980, Order to Show Cause Hearing, T.R. at 7) (emphasis added). Knowing Cochran’s testimony to be false, respondent nonetheless permitted the court to be misled. Respondent was perfectly aware that the coin collection was not where Mr. Cochran had left it. Respondent was in possession of $566.80 worth of the coins as attorney’s fees. Admittedly, Cochran did not testify that she sold the coins for the necessities of life. Nevertheless, respondent permitted the court to believe that the collection was intact, when, in fact, a portion had been transferred to respondent in satisfaction of attorney’s fees.
At another point during the August 20 hearing, respondent intentionally misled the court concerning Cochran’s expenses and liabilities. The testimony elicited by respondent was being introduced to establish total expenses for the court’s use in a maintenance and child support determination. Respondent examined Mrs. Cochran concerning her expenses covering the time period from May 5 to August 11, 1980. Mrs. Cochran correctly testified that she had paid attorney’s fees through August 11 amounting to $695.90. The August 14 payment of $566.80, however, was not revealed by respondent. The Bar argues, and we agree, that respondent had a duty to reveal the $566.80 payment made six days prior to this hearing. The August 14 payment was clearly relevant to the court’s determination, and respondent was under an obligation not to mislead the court through an intentional omission. See In re Hubert, 265 Ore. 27, 507 P.2d 1141 (1973) (disciplinary sanction imposed when attorney, in divorce proceeding, misrepresented to court amount of attorney’s fees paid to date, and failed to disclose billing sent to client for an additional sum); cf. In re Caffrey, 63 Wash.2d 1, 385 P.2d 383 (1963) (attorney suspended after obtaining an order of default without disclosing to the court that a special appearance had been served on his office, and serving a copy of the order on opposing counsel knowing it had been wrongfully obtained); Sullins v. State Bar, 15 Cal.3d 609, 613, 542 P.2d 631, 632, 125 Cal.Rptr. 471, 472 (1975) (attorney reproved where he “withheld ... material facts bearing upon issues which were before the Court for decision”).
Respondent filed a contempt petition, dated November 19,1980, on behalf of Mrs. Cochran, requesting the court to impose sanctions on Mr. Cochran for nonpayment of temporary maintenance. This petition included a statement that Mrs. Cochran had complied with an earlier court order to turn over the entire community property coin collection. The petition was intentionally misleading as respondent had in his possession the coins previously paid to him by Mrs. Cochran. In addition, respon dent sent a letter to Judge Greer, dated December 22, 1980, which set forth Mrs. Cochran’s suggested division of property. Attached to this letter was an entry which indicated that Mrs. Cochran had sold silver coins in the amount of $200. This entry indicates that respondent intentionally concealed information from the court about respondent’s possession of $566.80 worth of coins from the coin collection.
DR 7-102 provides in pertinent part:
(A) In his representation of a client, a lawyer shall not:
******
(3) Conceal or knowingly fail to disclose that which he is required by law to reveal.
(4) Knowingly use perjured testimony or false evidence.
(5) Knowingly make a false statement of law or fact.
(6) Participate in the creation or preservation of evidence when he knows or it is obvious that the evidence is false.
(7) Counsel or assist his client in conduct that the lawyer knows to be illegal or fraudulent.
* ft * * * *
Arizona Code of Professional Responsibility DR 7-102, Ariz.Sup.Ct.R., 17A A.R.S. Attorney candor and honesty form the bulwark of our judicial system. As is evidenced by the oath of admission each attorney must take prior to admission to the Arizona Bar, “[an attorney] will never seek to mislead the judge or jury by any artifice or false statement of fact or law[,]” the judicial system relies on the truthfulness of attorneys in their appearances before courts of law. The disciplinary rules give force to the general prohibition contained in the oath of office. The evidence in this disciplinary action establishes that respondent purposely misrepresented his client’s assets and liabilities before the superior court. In doing so, respondent transgressed the bounds of zealous representation of his client and violated the provisions of DR 7-102(A). Because of the necessity for reliance on attorney honesty, courts have not been reluctant to impose sanctions against a lack of candor toward the tribunal. See Matter of James, 452 A.2d 163 (D.C.1982) (two year suspension for misleading the court and commingling client funds); Davis v. State Bar of California, 33 Cal.3d 231, 655 P.2d 1276, 188 Cal.Rptr. 441 (1983) (three year suspension for, among other violations, wilful deception of the court); cf. Matter of Nulle, 127 Ariz. 299, 620 P.2d 214 (1980) (six month suspension for, among other things, counseling and facilitating filing of false liquor license application); see generally, Annot., 40 A.L. R.3d 169 (1971) (“Fabrication or Suppression of Evidence as Ground of Disciplinary Action Against Attorney.”) In examining the evidence in this case we find that respondent engaged in a pattern of deception and misrepresentation to the superior court; the seriousness of respondent’s actions warrants discipline.
The Bar also alleges that respondent charged Mrs. Cochran an “illegal or clearly excessive fee.” This allegation stems from charges included in Mrs. Cochran’s bill for secretarial services in contravention of a signed fee agreement. A fee agreement, dated May 9, 1980, and prepared by respondent, provided for a flat billing rate of $70 per hour. The agreement further provided for the reimbursement of costs advanced on the client’s behalf. The Bar contends that “charges for legal services, not including the services of licensed attorneys, which are not agreed to by the client, constitute unreasonable or excessive fees.” State Bar of Arizona’s Answering Brief at 13. Respondent claims that “[w]hether or not it is common for a lawyer to make an extra charge for such services, there is no authority for a conclusion that it is unethical or illegal.” Respondent’s Opening Brief at 13. We disagree. DR 2-106 provides:
(A) A lawyer shall not enter into an agreement for, charge, or collect an illegal or clearly excessive fee.
Arizona Code of Professional Conduct DR 2-106, Ariz.Sup.CtR., 17A A.R.S. In Matter of Bums, 139 Ariz. 487, 679 P.2d 510 (1984), we construed this provision to apply “not only to excessive fees regardless of agreement, but to situations ... when the fee charged is in excess of the fee agreed to by the parties.” Id. at 491, 679 P.2d at 514. The fee agreement in the present case provided for a flat hourly billing rate without mention of billing for the services of secretaries. In the absence of an express agreement by the- client to be charged separately for secretarial services, we find the fee charged in this case to violate DR 2-106(A). See id. People v. Belfor, 200 Colo. 44, 611 P.2d 979 (1980) (discipline imposed for charging in excess of contingency fee agreement).
COUNT II DOCKET NO. 82-6-1
Count II arises out of respondent’s legal representation in the formation and operation of a closely-held Arizona corporation, Léroal Mining Company (“Leroal”). The Bar charges that a conflict of interests caused respondent to render incomplete legal advice to several of the Leroal incorporators, ultimately causing them to be defrauded out of their investment. It is also contended that this conflict prevented respondent from disclosing that funds from the account were used to satisfy the private debts of one of the incorporators. As in Count I, the facts are highly contested, We choose to focus on the most serious allegations. The Bar claims that respondent was retained in March 1981 by the entire group of Leroal incorporators, Hal LeRoy Fenison and Alfred and Roland Daniel [the “Daniel brothers”], for advice on the formation of an Arizona corporation. During a March 2, 1981 meeting of the group, respondent failed to inform the Daniel brothers that property which Fenison would contribute to the corporation was at risk because it was the subject matter of pending litigation against Fenison. Respondent argues that he was representing Fenison in his personal capacity, not the broader group of incorporators, and therefore had no duty to inform the Daniel brothers. The evidence clearly shows otherwise. On March 1, 1981 respondent completed an internal “New Client/Matter Memo” listing the client as Leroal Mining Company. According to this document, respondent’s attorney’s fees were to be billed to Leroal. His duties as listed in the memo were preparation of a pre-incorporation agreement and the corporate documents. The evidence compels the conclusion that respondent was counselling the group, and not Fenison alone.
It is uncontested that respondent had been defending Fenison and his wife against claims by another group of investors [the “Becky Mines litigation”] involving the same property which was to form the assets of the new corporation. A “Notice of Lis Pendens” had been received by respondent’s office in February 1981, on the 29 mining claims listed as assets in the Leroal pre-incorporation agreement.
On March 2, 1981 respondent met with Fenison and the Daniel brothers to discuss the formation of Leroal. As set forth in the pre-incorporation agreement, the Daniel brothers were to invest a total of $50,000 in the Leroal Company and receive 30% of the stock of the corporation. Each was to receive a seat on the Board of Directors. Fenison was to receive a 70% share for his contribution of mining property and equipment, and serve as President of the Company and also sit on the Board. The Bar maintains that although respondent was aware on March 2 that the assets which Fenison would transfer to Leroal were the subject of the Becky Mines litigation, respondent failed to make this disclosure to the Daniel brothers.
The Bar also charges that on March 12 respondent met privately with Fenison and accepted delivery of a check written on the Leroal Mining corporate account for $11,-166 which represented a $1,000 retainer fee for respondent’s work on the incorporation, and $10,166 to be sent to Houston Mining for payment of a $10,000 personal obligation of Fenison’s, plus accumulated interest. The Bar contends that respondent had a duty to disclose the release of these corporate funds to the Daniel brothers.
We find these charges substantiated by the evidence.
DR 5-105 provides in pertinent part:
(A) A lawyer shall decline proferred employment if the exercise of his independent professional judgment in behalf of a client will be or is likely to be adversely affected by the acceptance of the proffered employment, except to the extent permitted under DR 5-105(C).
(B) A lawyer shall not continue multiple employment if the exercise of his independent professional judgment in behalf of a client will be or is likely to be adversely affected by his representation of another client, except to the extent permitted under DR 5-105(C).
(C) In the situations covered by DR 5-105(A) and (B), a lawyer may represent multiple clients if it is obvious that he can adequately represent the interests of each and if each consents to the representation after full disclosure of the possible effect of such representation on the exercise of his independent professional judgment on behalf of each.
Arizona Code of Professional Responsibility DR 5-105, Ariz.Sup.Ct.R., 17A A.R.S. The conflict of interests provisions of the disciplinary rules prohibits multiple representation when an attorney’s independent judgment may be compromised. Ethical Consideration 5-18 discusses conflicts of interests when an attorney represents a corporation or a similar entity:
A lawyer employed or retained by a corporation or similar entity owes his allegiance to the entity and not to a stockholder, director, officer, employee, representative, or other person connected with the entity. In advising the entity, a lawyer should keep paramount its interests and his professional judgment should not be influenced by the personal desires of any person or organization. Occasionally a lawyer for an entity is requested by a stockholder, director, officer, employee, representative, or other person connected with the entity to represent him in an individual capacity; in such case the lawyer may serve the individual only if the lawyer is convinced that differing interests are not present.
ABA, Model Code of Professional Responsibility EC 5-18 (1980) (emphasis added). In the present case, respondent’s representation of Fenison adversely affected his representation of the entire group of incorporators of Leroal, which included the Daniel brothers. Rather than fully disclosing the existence of the Becky Mines litigation, which clearly put the Daniel brothers’ investment at risk, respondent withheld the information, hoping the litigation would be resolved prior to formal incorporation. Respondent’s Opening Brief at 35. Obviously, respondent was attempting to serve both Fenison and the other incorporators; this mistaken strategy eventually resulted in the Daniel brothers losing their $50,000 investment. Their loss was the subject of a malpractice action against respondent which was ultimately settled for an undisclosed amount.
With respect to the use of funds from the corporate account to pay Fenison’s private debts, respondent was apparently so intimately involved with the private affairs of Fenison that he neglected his duty to the Daniel brothers. The funds, to be sent to the Houston Mining Company, were drawn on the corporate account, but were not used for the limited purposes set forth in the pre-incorporation agreement, i.e., to put Leroal into operation. Respondent was aware that these funds were being spent in satisfaction of Fenison’s personal obligation.
The conflict of interests provisions of the disciplinary rules are designed to avoid precisely the kind of injury which occurred in Count II. Respondent should have fully disclosed his conflict pursuant to DR 5-105(C), or declined multiple representation.
Attorneys who undertake to represent parties with divergent interests owe the highest duty to each to make a full disclosure of all facts and circumstances which are necessary to enable the parties to make a fully informed decision regarding the subject matter of the litigation, including the areas of potential conflict and the possibility and desirability of seeking independent legal advice.
Klemm v. Superior Court of Fresno County, 75 Cal.App.3d 893, 901, 142 Cal.Rptr. 509, 514 (1977). By failing to disclose or decline representation, respondent’s behavior warrants discipline. Cf. Matter of Kali, 116 Ariz. 285, 569 P.2d 227 (1977) (discipline warranted when attorney arranges loan between clients with adverse interests without revealing dual representation).
COUNT V DOCKET NO. 82-9-1
In Count V, the Bar charges respondent with failing to act competently in handling the personal injury claim of Al and Elaine Sandri. The Sandris, residents of Arizona, were involved in an automobile accident in Needles, California with a California resident. Respondent was retained by the Sandris in April 1977, one month after the accident. Respondent waited, however, until May 1978 to file a complaint and then did so in the United States District Court for the District of Arizona. A default judgment was entered in November 1978. When a demand was made on defendant’s insurance company, the company filed a motion to set aside the default and judgment on the grounds that there was no jurisdiction in Arizona and the California one year statute of limitations on personal injury actions barred suit. The district court set aside the judgment and dismissed the Sandris’ complaint. Respondent admits negligence in his handling of the case, but contends that disciplinary action is not warranted under the circumstances.
DR 6-101 provides:
(A) A lawyer shall not:
* * * * * *
(2) Handle a legal matter without preparation adequate in the circumstances.
(3) Neglect a legal matter entrusted to him.
Arizona Code of Professional Responsibility DR 6-101, Ariz.Sup.CtR., 17A A.R.S. Researching a question of jurisdiction and the applicable statute of limitations in a personal injury action of this nature is so rudimentary to the practice of law as to warrant no further comment. We disagree with respondent, however, that such behavior is not actionable under the disciplinary rules. See, e.g., Matter of Egan, 127 Ariz. 105, 618 P.2d 599 (1980) (neglect of personal injury defense and incorporation warrants one year suspension); Matter of Haggard, 123 Ariz. 27, 597 P.2d 180 (1979) (six month suspension for inadequate preparation, and misrepresentation to client). In addition to respondent’s negligence, we are concerned with his apparent lack of candor before the Local Administrative Committee regarding what transpired with the Sandris following dismissal of their suit in district court. Respondent claimed before the Committee that he advised the Sandris by letter of the district court's dismissal, and suggested a meeting to further discuss the matter. He advised the Committee that his intention was to suggest that the Sandris file a claim against his malpractice carrier. Respondent claimed that the Sandris never contacted him. The Sandris vehemently denied this to the Committee, and claimed that they met with respondent and that he advised them that they had gotten “shot out of the saddle” and would have a difficult time collecting. No suggestion was made for them to contact respondent’s malpractice carrier. We note that the Sandris have evidently never been compensated for their injuries.
More serious than respondent’s negligence in handling the Sandris’ suit was his misrepresentation to his client. DR 1-102(A)(4) prohibits attorney “dishonesty, fraud, deceit, or misrepresentation.” This court has previously imposed disciplinary sanctions for similar conduct. See Matter of Haggard, 123 Ariz. at 29, 597 P.2d at 182.
IMPROPRIETY BY LAC MEMBER
In addition to contesting the State Bar's factual allegations, respondent claims that his disciplinary proceeding was prejudiced when David Babbitt, a member of the Committee, privately dined, on two occasions, with Alfred Daniel, a primary witness before the Committee on Count II. On the first occasion, Babbitt apparently asked Mr. Daniel to dinner following his first day of testimony, as neither had dinner plans and each was staying at the same motel in Prescott. They also met at breakfast the next morning. Regardless of the motive for the private meetings between Babbitt and Daniel, we find such conduct by a member of the Committee improper. The Local Administrative Committee acts as a quasi-judicial body. Any private meeting of a witness and committee member, whether or not anything of substance transpired between them, calls into serious question the impartiality of the body. Were we convinced that the disciplinary proceedings were discussed, a new hearing might be necessary. We are convinced, however, that respondent suffered no prejudice, based upon the sworn statements by Babbitt, Daniel, and other members of the Committee. Both Babbitt and Daniel claim to have engaged only in small talk, with the disciplinary action never being discussed. These statements are corroborated by Evelyn Fosteson, court reporter for the State Bar, who had dinner at a table nearby to Daniel and Babbitt and who was included in some of their conversation. In addition, Raymond Brown, the Acting Chairman of the Local Administrative Committee, in his affidavit, stated that the decision reached by the Committee was unanimous as to Count II, that Babbitt did not attempt to influence the Committee based on any private conversation held with Daniel, and that in his opinion there was no evidence that Babbitt was influenced by any contacts he may have had. While there was no prejudice to respondent, we condemn the actions of the Committee member in this instance.
CONCLUSION
The Disciplinary Board has recommended that respondent be suspended for a period of two years. This court is cognizant of the seriousness of suspension as a disciplinary alternative. We are also aware of respondent’s repeated impropriety. His type of behavior can seriously undermine public confidence in the legal profession. The most serious charge is respondent’s wilful deception of the superior court. Such activity erodes the foundation of the judicial system. As to the other counts, the evidence establishes that respondent permitted a conflict of interests to interfere with his obligation to adequately counsel his client. In another instance, respondent failed to adequately prepare a simple legal matter to his clients’ grave detriment. The significant breaches of the disciplinary rules shown in this record fully support the imposition of a two year suspension.
It is therefore ordered that respondent, George M. Ireland, be suspended from the practice of law in this state for two years commencing upon the issuance of this court’s mandate. It is further ordered that respondent pay costs in the sum of $9,300.89 pursuant to Rule 37(g), Ariz.Sup. Ct.R., 17A A.R.S. Respondent is directed to comply with the provisions of Rule 37(h), Ariz.Sup.CtR., 17A A.R.S.
HOLOHAN, C.J., GORDON, Y.C.J., HAYS, J., and ROBERT J. CORCORAN and BRUCE MEYERSON, Court of Appeals Judges, concur.
CAMERON and FELDMAN, JJ., did not participate in the determination of this matter. ROBERT J. CORCORAN and BRUCE MEYERSON, Court of Appeals Judges, Division One, were called to sit in their stead.
. Effective February 1, 1985, the Arizona Code of Professional Responsibility was replaced by the Rules of Professional Conduct. Pursuant to the order establishing the new disciplinary rules, all disciplinary matters pending before this Court or the State Bar of Arizona on February 1, 1985 in which a determination of probable cause has been made as of February 1, 1985 are governed by the disciplinary procedures in force and effect prior to February 1, 1985.
. Throughout Count I the credibility of Cochran and respondent is directly in question. We rely on the findings of the Committee which was in a position to adjudge the demeanor of the witnesses:
18. One important consideration in the Committee’s determination and findings with respect to Count One is that of the credibility of the witnesses.
******
A judgment has to be made as to who is being truthful and honest and who is not. In addition to the many clear, independent facts that were developed and corroborated in various ways, the credibility of Mrs. Cochran and her sincere belief in the truthfulness of her testimony in the proceedings before the Committee were communicated repeatedly.
******
The Committee members were unanimous in their conclusion that, as between Mr. Ireland and Mrs. Cochran, Mrs. Cochran was the one who was telling the truth.
FINDINGS OF FACT AND RECOMMENDATION, LOCAL ADMINISTRATIVE COMMITTEE at 29, 32 (filed with the State Bar November 15, 1983) (emphasis added).
. In addition to the Code of Professional Responsibility, Rule 29(b)(3), Ariz.Sup.Ct.R., 17A A.R.S. provides that any violation of the oath of office can suffice as grounds for disbarrment, suspension or censure.
. The question of whether separately billing the time of paralegals or messengers without express client agreement violates the disciplinary rule is not squarely presented by this case.' We therefore decline to address it. Suffice it to say that it would be the better practice to have client agreement before such charges are billed.
|
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OPINION
LACAGNINA, Judge.
In this case, Paul Norman Bayliss, released on his own recognizance on a trafficking in stolen property charge, failed to appear and was tried and convicted in absentia, with a true finding as to three prior felony convictions. After Bayliss was apprehended, the court sentenced him to a presumptive term of 11.25 years and made it consecutive to the sentences being served on the prior convictions.
Bayliss appeals, arguing error by the trial court in its use of the prior convictions for sentence enhancement. Specifically, he argues the court erred:
1. By failing to strike the allegations as untimely filed without notice to Bayliss, and without proper documentation, and
2. By failing to instruct the jury to make a finding that the three prior convictions were separate offenses for enhancement purposes under § 13-604(K).
We disagree with both of his arguments and affirm.
The facts show that Bayliss filed his own pro se motion for release. The court granted his motion acknowledging that Bayliss was presently on parole. He failed to appear for his pretrial conference, and the court issued a bench warrant. Having subsequently failed to appear for three different times set for trial, he was tried in absentia. The state filed its allegation of prior convictions after Bayliss disappeared, and some 43 days before the actual trial date. Defense counsel, in his absence, filed a motion to strike the allegation of prior convictions at the close of the state’s case, renewed it following the guilty verdict, and again after Bayliss was taken into custody. All these motions were denied.
An accused must receive adequate notice, as required under A.R.S. § 13-604(K), of the charge of an allegation of prior convictions, so as not to be misled, surprised or deceived in any way by the allegations. State v. Hodge, 131 Ariz. 63, 638 P.2d 730 (App.1981). Such right may be waived, however, where defendant is voluntarily absent from the proceedings. Rule 9.1, Rules of Criminal Procedure, 17 A.R.S. See State v. Little, 121 Ariz. 377, 590 P.2d 916 (1979). In this case, Bayliss failed to appear at the scheduled pretrial conference and the first scheduled trial date, both stated conditions of release. Prior to his disappearance, as support for his motion for release, the AID program for Maricopa County Superior Court recommended to the court that Bayliss be released on his own recognizance. The written report furnished to the court acknowledged superior court records showing the existence of the prior convictions and date of sentencing. With notice to all parties of the existence of the prior convictions prior to Bayliss’ disappearance, we find no showing of surprise or prejudice, and no error. See State v. Davis, 137 Ariz. 551, 672 P.2d 480 (App.1983); A.R.S. § 13-604(K).
In addition, we find the trial court acted properly with instructions to the jury regarding the prior convictions. They made a true finding as to the existence of the prior convictions and connected Bayliss to those convictions. Any question as to the separateness of the offenses, which could be counted under § 13-604(H) as only one conviction if committed on the same occasion, was considered by the court in sentencing. In doing so, it could have taken judicial notice of its own superior court files indicating Cause No. 85453 (committed 12-9-74), Cause No. 85160 (committed 12-9-74) and Cause No. 85734 (committed 11-16-74). State v. Hunter, 137 Ariz. 234, 669 P.2d 1011 (App.1983). M. Udall and J. Livermore, Law of Evidence § 152 at 333 (2d Ed.1982). Bayliss does not argue he was a spree offender, as defined in State v. Hannah, 126 Ariz. 575, 617 P.2d 527 (1980), and the evidence shows he was not.
This court has searched the record for fundamental error in accordance with A.R.S. § 13-4035, and has found none.
Affirmed.
HATHAWAY, P.J., and LIVERMORE, J., concur.
NOTE: This cause was decided by the Judges of Division Two as authorized by A.R.S. § 12-120(E).
. The question of whether Bayliss was on parole at the time of the present offense was a question for the court. Since the record reflects sufficient evidence for the court to have made such a finding, the fact that it was unnecessarily submitted to the jury is of no moment. State v. Turner, 141 Ariz. 470, 475, 687 P.2d 1225, 1230 (1984); State v. Weigel, 702 P.2d 709, 710 (Ariz. 1985).
. Our independent review of the record, including the Presentence Report, indicates the trial court did not have before it at the time of sentencing any correct copies of minute entries concerning the dates the offenses underlying the prior convictions occurred. Therefore, it appears sentence was imposed under § 13-604(K) without adequate knowledge as to the separateness of the offenses. If this action on the part of the prosecutor and trial court constituted error, it was harmless because this court can take judicial notice of the separate dates on which the offenses occurred, even though the trial court did not do so. State v. McGuire, 124 Ariz. 64, 65, 601 P.2d 1348, 1349 (App.1978).
|
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OPINION
LACAGNINA, Judge.
In this case Jack Stinson, Jr. was found guilty by a jury of possession and sale of cocaine, one count each. Entrapment was the only defense raised and was submitted to the jury for its consideration. After the verdicts were returned, the trial court granted Stinson’s motion for acquittal on the basis that the conduct of the confidential informant was so outrageous that due process and fundamental fairness barred the convictions.
The state argues on appeal that the court erred because the conduct of the informant did not deprive or violate Stinson’s right to due process. We agree and reverse.
The only conduct of the informant upon which the trial court based its judgment of acquittal is best described by quoting statements made by Stinson’s attorney while arguing the motion for acquittal and statements of the trial court when ruling on the motion.
At the hearing on Stinson’s motion to dismiss, defense counsel argued the following:
“Your Honor, I have filed a written motion following the oral motion I made at the close of the trial, and, your Honor, the bases of this case and the motion to dismiss is on the actions of the state’s agent, the informant, Waco Jackson. Your Honor, there were allegations made by the defendant and his girlfriend as to certain actions of Waco Jackson. However, Mr. Jackson himself took the stand and admitted the fact that he did distribute a narcotic drug, Talwin, to one person in the Tombstone area, and also, your Honor, that he did essentially take marijuana and amphetamines that were given by the defendant, Mr. Stinson, and gave them back or re-distributed them back to the defendant.” (T. at p. 2, 19-25; p. 3, 1-6).
The court at the same time and place prior to granting dismissal, said:
“He admitted under oath that he had given prescription medication to a person not a defendant in this case, but a defendant in another case, a defendant whose conviction was the direct result of this informant’s activities. The informant also admitted that he had released back into the stream of commerce, to the defendant himself, the fake amphetamines that turned out to be caffeine, and the marijuana itself.” (T. at p. 18, 21-25; p. 19, 1-3).
After reading the many cases cited by the parties, and referred to by the trial court, giving the trial court the right to dismiss an indictment or conviction because of the outrageous conduct of the government and its agents which violates due process and fundamental fairness, it is very clear none can support the actions of the trial court in this case. The charge upon which Stinson was convicted was possession and sale of cocaine occurring on the date alleged. His guilt for these crimes is unquestioned. From the evidence, the court could not find entrapment as a matter of.law and submitted the issue to the jury, which found against Stinson on this defense. The court’s judgment of acquittal after the verdicts were returned was not based on any conduct of state law enforcement officers or the informant relating to the possession and sale of cocaine by Stinson charged in the indictment. A sampling of the cases urged as authority for approving the trial court’s dismissal include the following: State v. Boccelli, 105 Ariz. 495, 467 P.2d 740 (1970), where state agents supplied the plan, the marijuana, the buyer and the money; People v. Strong, 21 Ill.2d 320, 172 N.E.2d 765 (1961), where government agents supplied the very narcotics giving rise to the offense (government sup plied the sine qua non of the offense); U.S. v. Twigg, 588 F.2d 373 (3rd Cir.1978), where the government provided the locations and all necessary chemicals and equipment for a “speed laboratory.”
The conduct of the informant and the undercover agents in this case never came close to violating Stinson’s due process rights. First, the only connection which the informant had with Stinson and the government agent involved in the transaction for which Stinson was later convicted was when the informant introduced Stinson to the agent. All subsequent negotiations that were part of the cocaine transaction occurred between Stinson and the government agent and did not involve the informant, except that he drove the two parties as directed to the transaction and back. Second, the act of providing three pills to someone other than the de-. fendant is insufficient to suggest a due process violation; the court’s inquiry about such a violation is limited to the actions of the government or its agents relating to Stinson and not their actions relating to others. U.S. v. Jannotti, 673 F.2d 578 (3rd Cir.1982), cert. denied 457 U.S. 1106, 102 S.Ct. 2906, 73 L.Ed.2d 1315.
Finally, the return to Stinson of his own marijuana and caffeine pills by the informant is not so outrageous that the court should intervene and find a violation of his due process rights. This court in an opinion written by Judge Howard in State v. Gessler, 142 Ariz. 379, 690 P.2d 98 (1984), has described with approval the task facing narcotics officers:
“Thus, while infiltrating the drug milieu, agents must be permitted to behave in a manner which is consistent with the image they are attempting to portray. Generally, the providing of samples is a routine part of any marijuana transaction. In fact, the practice is so common that it would inevitably arouse suspicion if agents were not permitted to do so. To rule otherwise would subject undercover narcotics agents to the danger of exposure.” 142 Ariz. at 385, 690 P.2d at 104.
See also, U.S. v. Russell, 411 U.S. 423, 432, 93 S.Ct. 1637, 1643, 36 L.Ed.2d 366 (1973); Hampton v. U.S., 425 U.S. 484, 96 S.Ct. 1646, 48 L.Ed.2d 113 (1976).
The courts have approved infiltration and' participation by enforcement personnel as a recognized and permissible means of investigation, including supplying drugs or other items of value in order to gain the confidence of illegal dealers, and in this case, giving back to a dealer his own drugs can hardly be said to violate notions of fundamental fairness and due process.
We reverse and remand to the trial court for sentencing.
HATHAWAY, P.J., and LIVERMORE, J., concur.
|
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OPINION
LIVERMORE, Judge.
Defendant was convicted of aggravated assault with a deadly weapon (a rifle) and sentenced to the minimum term of five years. He appeals his conviction on several grounds. We reach only a single issue and reverse.
Defendant was arrested on March 4, 1984. At his preliminary hearing eight days later he was represented by the Maricopa County Public Defender’s Office. On April 30, 1984, the same public defender represented the defendant in a probation revocation proceeding. Probation was not revoked. A pre-trial conference on June 4, 1984, was devoted entirely to the public defender’s motion to withdraw since it appeared that defendant’s income had come to exceed an amount which would qualify him as an indigent. The hearing concluded with the following exchange:
“THE COURT: I think I’ll relieve the Public Defender and ask you to get an attorney within 10 days. Do you understand, Sir?
THE DEFENDANT: Yes.
THE COURT: Do you have any papers in your hand or in your possession that you can show to an attorney when you go to represent him — I mean when you go to see if he’ll represent you?
THE DEFENDANT: No, sir.
[THE PUBLIC DEFENDER]: I have copies of everything. I have a copy of the preliminary hearing transcript. It’s the only copy I have, but I’ll release it to Mr. Jones, now.
THE COURT: Why don’t you keep that but give him a copy of the Indictment and two or three sheets, whatever a private attorney might need to represent him, and then when he asks—
[THE PUBLIC DEFENDER]: Fine, Your Honor. I'll give him a copy of whatever I have in the file.
THE COURT: Tom can make you a copy.
[THE PROSECUTOR]: Will the trial date remain the same until we have—
THE COURT: Yes, sir. I would ask that you go to somebody promptly [so] he can begin work on the case.
(Adjourned).”
On June 18, 1984, the first trial date, a four-minute proceeding was held in superi- or court. We reproduce the proceeding as it relates to counsel.
“THE COURT: ... You’ve got to either get a lawyer or represent yourself, apparently.
THE DEFENDANT: I have an application at the bank for a loan to pay—
THE COURT: Sir?
THE DEFENDANT: I have an application in from the bank; I’m supposed to hear from that sometime today or tomorrow.
THE COURT: And who are you thinking about, going back to Mr. Magee or—
THE DEFENDANT: Yes, he’s handling the divorce and he has handled this before.
THE COURT: Sir?
THE DEFENDANT: He has handled this before when my wife has brought charges against me.
THE COURT: Suppose I just leave the trial date firm on 7/1/84 and if you show up without a lawyer, we’re going to trial anyway.
THE DEFENDANT: Okay.
THE COURT: You can either show up with a lawyer or without a lawyer. See you about 10:00 on 7/1/84.
THE DEFENDANT: At 10:00 a.m., 1st of July?
THE COURT: Yes, sir.
[THE PROSECUTOR]: For trial.
THE DEFENDANT: Trial; okay.
(Adjourned).”
The case went to trial before another judge on July 2,1984. Defendant appeared without a lawyer and represented himself. The court made no inquiry about the absence of counsel.
The Arizona Constitution states
“In criminal prosecutions, the accused shall have the right to appear and defend in person, and by counsel ... and in no instance shall any accused person before final judgment be compelled to advance money or fees to secure the rights herein guaranteed.” Ariz. Const., art. 2 § 24.
The right to counsel is furthered by statute (A.R.S. § 13-114(2)) and court rule (Rule 6, Rules of Criminal Procedure, 17 A.R.S.). Of course, this right is not absolute and can be “forfeited” by conduct of the accused where the accused is “dilatory” or otherwise subverts the orderly criminal process. State v. Miller, 111 Ariz. 321, 322, 529 P.2d 220, 221 (1974) (in division). But there is nothing in this record to indicate that defendant was deliberately trying to impede the orderly criminal process.
The case at bench does not fit well with most right to counsel precedents. In general these cases arise in conjunction with indigent defendants who are either denied an attorney, Gideon v. Wainwright, 372 U.S. 335, 83 S.Ct. 792, 9 L.Ed.2d 799 (1963) or affirmatively assert a right to represent themselves, McKaskle v. Wiggins, 465 U.S. 168, 104 S.Ct. 944, 79 L.Ed.2d 122 (1984); Faretta v. California, 422 U.S. 806, 95 S.Ct. 2525, 45 L.Ed.2d 562 (1975); State v. Hartford, 130 Ariz. 422, 636 P.2d 1204 (1981), cert. denied, 456 U.S. 933, 102 S.Ct. 1987, 72 L.Ed.2d 452 (1982).
What these cases do establish with respect to indigents is that the record must reflect that the decision to waive the assistance of counsel “must be intelligent and competent,” State v. Reese, 111 Ariz. 249, 527 P.2d 508 (1974), and made following a determination that the defendant has been “made aware of the dangers and disadvantages of self-representation.” Faretta v. California, supra, 422 U.S. at 835, 95 S.Ct. at 2541. These tests are equally applicable to non-indigents.
All that the present record reflects is that the defendant’s appointed attorney was discharged four weeks before trial, that the defendant attempted to raise money to hire an attorney, and that he was told that if he did not hire‘an attorney he would be required to represent himself. A valid waiver of counsel cannot be established by these facts. Defendant was not warned of the dangers of self-representation. He was not asked if he wished to represent himself. No inquiry was made as to why he had not been able to hire an attorney. No continuance was offered to permit that. Instead he was simply required to represent himself. This is constitutionally impermissible. See City of Bellevue v. Acrey, 103 Wash.2d 203, 691 P.2d 957 (1984). That these failures undoubtedly resulted from the change of judge so that the trial judge understandably assumed that a valid waiver had occurred at an earlier time cannot change the result.
The conviction is reversed and the case remanded for a new trial.
HATHAWAY, P.J., and LACAGNINA, J., concur.
NOTE: This cause was decided by the Judges of Division Two as authorized by A.R.S. § 12-120(E).
|
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CAMERON, Justice.
This is a petition for review of an opinion of the Court of Appeals reversing the trial court’s decision quieting title to certain property in the petitioner. Kries v. Allen Carpet, Inc., Ariz. [No. 1 CA-CIV 6832, filed 24 December 1984]. We have jurisdiction pursuant to Art. 6, § 5(3) of the Arizona Constitution, A.R.S. § 12-120.24 and Rule 23, Arizona Rules of Civil Appellate Procedure, 17A A.R.S.
We answer two questions on appeal:
1. May a judgment creditor execute and sell real property redeemed by a judgment debtor to satisfy a deficiency resulting from a prior execution and sale?
2. If the answer is yes, does the judgment creditor have the same right against property redeemed by the grantee of the judgment debtor?
The facts of this case are essentially not in dispute. Raymond and Susan Kleinfeld purchased carpeting from Allen Carpet (Allen) but failed to pay for it. Allen sued, obtained a default judgment in the amount of $5,705, and caused a writ of execution to issue. The property in question was then, pursuant to statute, sold on 23 April 1981. Allen purchased it for $550.
Thereafter, the Kleinfelds sold their interest in the property to Utah Valley Properties, Inc., which in turn redeemed and conveyed the property to the petitioner, Kries. Later, Allen caused a second writ of execution to issue against the same property and again purchased it at sale, this time for $5,542.85. Kries did not redeem the second time but sued to quiet title in the property. At trial, Kries moved for summary judgment, which the trial court granted, in effect quieting title to the property in her and invalidating the second sale. On appeal, the Court of Appeals reversed the trial court and Kries petitioned this Court for review. We granted the petition because of confusion in the law and because we believe the Court of Appeals reached an incorrect result.
I. May the Creditor Execute on the Same Property?
After a creditor has obtained a judgment against a debtor, he may cause a writ of execution to issue. A.R.S. § 12-1551, et seq. Property belonging to the judgment debtor is then sold for the purpose of satisfying the judgment. Id. If the proceeds of the sale are less than the amount of the judgment, the creditor may have what is commonly referred to as a deficiency judgment, although it is not a separate judgment as such:
Technically speaking, there is no such thing under our law as a “deficiency judgment” in the sense that a formal judgment of that description is rendered by the court, or entered by the clerk for the amount not made by the sale of the mortgaged property. There is only the original judgment for the full amount of the indebtedness, upon which a deficiency may exist after the issuance and return of the special execution, or even perhaps of one or more general executions in addition. It has nevertheless been customary in ordinary parlance to refer to the amount still due after the return of the special execution as a “deficiency judgment * *
Bank of Douglas v. Neel, 30 Ariz. 375, 381-82, 247 P. 132, 134 (1926).
A deficiency judgment does not relate to any particular item of property but rather represents the debtor’s personal obligation. Darnell v. Denton, 137 Ariz. 204, 207, 669 P.2d 981, 984 (App.1983). The judgment creditor can, therefore, execute against other property belonging to the judgment debtor, including that after-acquired, to satisfy the deficiency.
Our statute provides that “[t]he judgment debtor or his successor in interest may redeem [property sold at a judicial sale] at any time within six months after the date of the sale * * * [,]”, A.R.S. § 12-1282(8), by paying “the amount of the purchase price with eight percent added thereto, together with the amount of any assessments or taxes which the purchaser has lawfully paid thereon after purchase, and interest on such amount[,]”, A.R.S. § 12-1285(A). Thus, by statute, the judgment debtor may redeem his property. The effect of this redemption by the judgment debtor is to restore him to his original position as owner of the property. His property can, therefore, again be reached by the judgment creditor, it making no difference that the property is the same as that sold before. The judgment debtor, by redeeming, runs the risk of subjecting the property to a second execution and sale, just as would his interest in any other property acquired before or after judgment. Under these circumstances, the judgment creditor may re-execute on the same property to satisfy the deficiency judgment.
II. Is An Assignee of the Judgment Debt- or Bound by the Same Result?
The statute states that not only may the judgment debtor redeem the property after sale but also “his successor in interest” may do so. A.R.S. § 12-1282(B). In the instant case, the judgment debtors assigned their redemption right to a third party who exercised it and in turn conveyed the property to Kries. At the time of the assignment and redemption, no special execution had been again issued against the property. Kries claims that, under these circumstances, the creditor was precluded from reselling the property a second time. The trial court agreed, stating:
The issue here is what rights a redeemer of property under the first judicial sale of real property has as against the judgment creditors’ attempt to make a second levy and sale where the bid at the first sale is less than the amount of the judgment and the judgment creditor attempts to make a levy for the deficiency balance remaining after the first sale. This issue appears to not have been specifically decided by Arizona’s appellate courts previously. There are two lines of authority based upon statutory interpretation which are represented by the California, Nevada, New Mexico, Montana and Idaho courts on one side and the courts of South Dakota and Oregon on the other.
The courts in Simpson v. Castle, 52 Cal. 644 (1878); Wommack [Wammack] v. Sheriff Washoe County, 166 [466] P.2d 849 (Nev.1970); First State Bank of Taos v. Wheatcroft, [36 N.M. 88], 8 P.2d 1061 (N.M.1932); McQueeney v. Toomey, [36 Mont. 282], 92 P. 561 (Mont. 1907); and Evans v. City of American Falls, [52 Idaho], 11 P.2d 363 (Idaho 1932) all holding the redeemer gets clear title and the second sale is a nullity. Flanders v. Aumack, [32 Or. 19], 51 P. 447 (Ore.1901) and Seamen v. Galligar, [Galligan 8 S.D. 277], 66 N.W. 458 (S.D. 1896) hold to the contrary.
The rationality of the California rule, plus this Court’s examination of First National Bank v. Maxey, 34 Ariz. 438, 272 P. 641 (1928) and Metcalf v. Phoenix Title & Trust, 33 Ariz. 13, 261 P. 633 (1927) and the general proposition of 42 C.J. 353 § 2081 that Redemption Statutes are to be liberally construed so that the debtor can pay as many debts as possible all lead this Court to believe that Arizona appellate courts would follow the California rule. For those reasons, Plaintiff’s Motion for Summary Judgment is granted and Defendant’s is denied.
On appeal, both parties cite Simpson v. Castle, 52 Cal. 644 (1878), as authority for their respective positions. Simpson involved a mortgage foreclosure in which the mortgagee successfully bid for a sum less than the amount of his judgment or the fair market value of the property. As in the instant case, the debtor then conveyed his interest in the property prior to the expiration of the applicable redemption period. The plaintiff-purchaser then redeemed. This was followed by the mortgagee’s second execution upon the property to satisfy the deficiency and the plaintiff's suit to enjoin the sale. In holding for the plaintiff-purchaser, the California court relied upon an amendment to its redemption statute which specifically provided that “after the sale of any real estate, the judgment under which such sale was had shall cease to be a lien on such real estate.” Id. at 647. Arizona, in amending its statute, did not follow California’s lead in providing that judgment liens are extinguished after the sale of the subject property. Allen, therefore, argues that Simpson is not controlling.
Kries, on the other hand, argues that our redemption statutes were adopted from California. See Historical Note following A.R.S. § 12-1285. She asserts that Simpson is persuasive authority because it is a California case construing that state’s statutes. Ordinarily, we would be constrained to agree. See Cottonwood Development v. Foothills Area Coalition of Tucson, Inc., 134 Ariz. 46, 50, 653 P.2d 694, 698 (1982). As noted, however, the holding in Simpson was premised upon an amendment to the California statute not adopted in Arizona. We are then not compelled to give special effect to the judicial interpretation California put upon a statute that has come to differ from our own. This does not mean, however, that we may not reach the same result as the California court. Our task is to determine the legislative purpose in enacting redemption laws, and to choose the course best serving that purpose.
Interpreting the intent of our legislature, the United States Court of Appeals for the Ninth Circuit stated:
The underlying purpose of the * * * Arizona statutes is to prevent the injustice that occurs when a debtor’s property is sold on foreclosure sale for a price significantly less than its fair market value. * * * The Arizona device is to secure to the debtor redemption rights and thus pose an economic threat to purchasers, including the creditor, that an artificially low bid can be defeated by redemption.
United States v. MacKenzie, 510 F.2d 39, 41 (9th Cir.1975) (emphasis supplied; footnote omitted).
We believe that our legislature’s purpose was and is clear: bids not reflecting the true value of the property bid on are to be discouraged. It follows that the redemptioner takes the property free of the debt. If the redemptioner is the judgment debtor, then, as noted above, the creditor may execute on the property again. In absence of fraud or collusion, if the redemptioner is an assignee of the judgment debtor, then the property is taken free of any claims the judgment creditor may have against the judgment debtor.
The result we reach is consistent with case law developed in this and other jurisdictions. A deficiency judgment represents a judgment debtor’s personal obligation. Darnell v. Denton, supra. Relying on a similar rationale, the Supreme Court of Illinois held that property redeemed by a judgment debtor’s grantee was not subject to a second execution to satisfy a deficiency judgment:
[A] grantee redeeming takes the property free from any lien arising from the deficiency judgment, for the reason that he bought the equity at a time when there was no lien, either active or suspended, against it, and he not being liable to pay the mortgagor’s debt, the property he thus acquires is not subject to the deficiency judgment.
Johnson v. Zahn, 380 Ill. 320, 328, 44 N.E.2d 15, 19 (1942). The eourt also stated that “[b]y bidding in the property at less than fair cash value, in the hope that the mortgagor might redeem, and so afford appellant an opportunity to levy on the property to satisfy the deficiency judgment, she followed the course of her own choosing.” Id. at 324, 44 N.E.2d at 17. See also Rose v. Loughborough, 182 Ark. 782, 32 S.W.2d 1066 (1930) (judgment debt- or’s grantee who redeems takes property free from judgment lien and property was not subject to a second execution to recover any deficiency); Moody v. Funk, 82 Iowa 1, 4, 47 N.W. 1008, 1009 (1891) (“[Tjhere is a marked difference between the case of a redemption by the judgment debtor and that of a redemption by his grantee. It is the policy of the law to secure to the debt- or, as nearly as is practicable, the full value of his property sold on execution. If the execution creditor fail to bid for the land sold a just amount, the debtor should be permitted to transfer his interest to another for a fair consideration; and, if his grantee redeem, the execution creditor has no right to complain, for he might have bid for the land a larger sum.”).
We hold that the plaintiff, Kries, took the property free from any lien arising from the deficiency after redemption by the judgment debtor’s grantee, Utah Valley Properties, Inc.
The opinion of the Court of Appeals is vacated and the judgment of the superior court is affirmed. Remanded for proceedings not inconsistent with this opinion.
HOLOHAN, C.J., GORDON, V.C.J., and HAYS and FELDMAN, JJ., concur.
|
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OPINION
HATHAWAY, Presiding Judge.
Appellants, owners of real property situated in Gila County, brought a declaratory judgment action in Gila County Superior Court on December 17, 1979, for a declaration of rights with respect to a ditch located in Gila County and waters from Tonto Creek diverted through that ditch to lands owned by dozens of property holders. The complaint, brought pursuant to the Uniform Declaratory Judgments Act, § 12-1831, et seq., sought an equitable and legal declaration of rights with respect to the ditch and waters of Tonto Creek. The United States of America, one of the original defendants, was dismissed upon petition of appellants.
On June 10, 1983, appellees filed an amended answer and counterclaim and a motion for judgment on the pleadings dismissing the complaint for failure to join indispensable parties and for lack of jurisdiction of the subject matter. On September 1, 1983, the court entered its order to dismiss, finding,
“... there are parties who.have not been joined with rights necessary for the adjudication of this proceeding and further ... that [the court] lacks jurisdiction of the subject matter pursuant to the General Adjudication of Water Rights Act and A.R.S. § 45-252(C)....”
After appellees lodged a proposed form of judgment, appellants filed objections thereto and moved to further amend the complaint by adding the previously deleted United States of America as a defendant. The court denied all appellants’ motions and objections, awarding judgment against appellants and in favor of all appellees. Appellants timely appeal that judgment.
Two issues presented on appeal are: (1) whether the Gila County Superior Court has jurisdiction of a case in equity and at law to resolve a controversy among owners of real property in Gila County involving water and ditch rights in consideration of A.R.S. § 45-252, which provides for a general adjudication in the county with the largest number of potential claimants when the nature, extent, and priority of water rights are involved, and (2) whether the United States is an indispensable party to the complaint.
The ground stating lack of subject matter jurisdiction pursuant to the General Adjudication of Water Rights Act and A.R.S. § 45-252(C) would seem to refer to the already pending action, In Re Adjudication of Conflicting Claims to the Salt River and Its Tributaries, Maricopa County Cause No. W-l (“In Re Salt River”). In that action, a general adjudication of the water rights in the Salt River watershed is in the lengthy process of being decided. While the parties involved in the Gabel suit are not named parties in the Salt River suit, since the naming of all actual or potential users as parties is not contemplated by § 45-252, et seq., all parties in the present section have been noticed as claimants in the Maricopa County action in accordance with § 45-253. In addition, the United States is a noticed party in In re Salt River, while appellants had the United States dismissed from the Gila County action.
Subject matter jurisdiction abates when another county has already assumed jurisdiction in the same matter. Sierra v. Perry, 121 Ariz. 437, 590 P.2d. 1383 (1979). While In Re Salt River is not the same action as the present case, it is inclusive of all issues raised in appellants’ complaint. A general adjudication of “the nature, extent and relative priority of the water rights of all persons in the river system____” A.R.S. § 45-252(A), is undoubtedly sufficient to sort out the water rights of ninety families abutting or using a ditch located in the larger system. Water rights are specifically mentioned as one issue of the Gila County suit. Dubbing the later action a declaratory judgment invokes semantics, not the public policy of this state.
“Since there is not enough water to meet everyone’s demands, a determination of priorities and a quantification of the water rights accompanying those priorities must be made. Obviously, such a task can be accomplished only in a single proceeding in which all substantial claimants are before the court so that all claims may be examined, priorities determined, and allocations made.” (Emphasis added) United States v. Superior Court, 144 Ariz. 265, 697 P.2d 658, 663 (1985).
While ditch “maintenance and management” could theoretically be separated from the water rights issue, and thus litigated in a separate action, as a practical matter maintenance duties follow water rights. The larger action, already underway, can efficiently and fairly decide the problem of duties correlative with rights. We do not intend, however, by our decision to foreclose the adjudication in Gila County of traditional property disputes, e.g. trespass or easement rights. There is no showing that the claims raised in the present litigation cannot adequately be resolved in the general adjudication.
Because we believe the trial court properly dismissed without prejudice the action for lack of subject matter jurisdiction we need not decide the other issues raised by appellant.
Affirmed.
LACAGNINA and LIVERMORE, JJ., concur.
|
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OPINION
BIRDSALL, Chief Judge.
This appeal concerns the fiduciary duty of a real estate broker to her principal. We find certain responsibilities are not mandated as a matter of láw and we affirm the verdict and judgment of the court below. The facts follow.
Appellee, representing herself and her brokerage firm as specialists in northwestern Tucson property, contacted appellants, owners of roughly ten acres of undeveloped land in the area, for the purpose of selling the property for them. Appellants, not Arizona residents, investigated the value of their property, traveling to Tucson and talking to several authorities in the area. Appellee was one of several realtors and brokers who had recently expressed an interest in the property. Appellants determined that they would sell the land for $300,000 net to them, meaning they would receive $300,000 after any closing and commission costs had been paid.
Appellee did find a potential purchaser and a contract resulted, the buyer was to pay the appellee’s commission and appellants would net the asked price. The contract was entered into before June 1, 1979, and less than six months after appellants had established with appellee their asking price. The contract to sell was contingent on several factors, however, and by late 1979 appeared to be falling through. Appellants seemed very anxious to consummate a sale and appellee suggested a “backup” contract with a second buyer, who would perform if the first contract did not result in a sale. A backup buyer was located, and a second contract entered into on May 27,1980, with closing scheduled for September 1, 1980. The second contract was for the same $300,000 and with buyer paying appellee’s commission.
Sometime after this contract was made but before the scheduled closing, appellee brokered the sale of the property from the buyer to a third party, with the buyer/seller paying her commission. The agreed upon price of $479,000 was later lowered to $431,000. Yet a third sale, not involving either of the present parties, was then agreed to for a price of $680,000.
Also prior to closing the first deal, appellants were contacted by a Tucson realtor who was unaware of the contract for sale and inquired as to availability of the property. From this call, appellants were apprised that the price for which they had contracted to sell was grossly under prices being obtained for comparable land in that part of the city, which was undergoing a remarkable period of growth and appreciation in value. Appellants refused to perform on the contract and did so only after litigation. They then brought this action against appellee, grounding their claims in theories of agency/contract breach, tort, and fraudulent misrepresentation. The count of fraud was directed out in the court below, a jury returned a verdict for appellee, and judgment and this appeal followed.
Three issues are raised on appeal. The trial judge ruled as a matter of law that an agency relationship of broker-principal was established between the parties and neither side contests this ruling. Appellants urge that we find first that the trial court erred in failing to direct a verdict or declare judgment notwithstanding the verdict on the liability of appellee; second, that the trial judge erred in refusing appellants’ instructions and substituting the court’s own; third, that it was error to direct a verdict against appellants on the third count.
Appellants first argue that the trial judge was obligated on the facts of the case to direct a verdict or grant judgment notwithstanding the verdict for appellants as to the broker’s liability. This would require that the court find as a matter of law that she had breached her duty to appellants and that there are no facts before the court which could lead to another conclusion. We disagree. While an agency relationship imposes on an agent the duty of utmost good faith, integrity, honesty, and loyalty in her transactions with the principal, it yet remains a question for the finder of fact to determine whether such duty was breached.
Appellants would have us hold that as a matter of law an agent-broker is obligated to obtain the highest price possible for the property being sold. This we decline to do. While such language has been used by this court and other Arizona courts, we have examined the cases and do not find that such was meant to be held as law in Arizona. The first use of the language appears in Vivian Arnold Realty Co. v. McCormick, 19 Ariz.App. 289, 506 P.2d 1074 (1973), and the facts of that case did not concern the price obtained by the agent but instead whether the agent breached a duty to inform the vendor that the buyer stood ready to close. Thus, language concerning the highest price is mere dictum not related to the holding of the case. The Arizona case which it purports to cite for that proposition is Haymes v. Rogers, 70 Ariz. 257, 219 P.2d 339, modified, 70 Ariz. 408, 222 P.2d 789 (1950), but no language concerning a duty to obtain the highest price appears in that opinion. Indeed, Haymes cites an Alabama case for the following,
“ ‘The law requires that a real estate agent, employed to sell land, must act in entire good faith and in the interest of his employer, [citation omitted] To this end he must exact from the purchaser the price, the terms, and conditions of sale which his employer has fixed.’ 23 Am. & Eng.Ency.Law (2d Ed.) p. 902.” 70 Ariz. 260, 219 P.2d 339, citing Alford v. Creagh, 7 Ala.App. 358, 62 So. 254.
Subsequent courts have quoted the McCormick language, but have not dealt with a case where a broker obtains the price specifically asked by the vendor for the property. See Marmis v. Solot Co., 117 Ariz. 499, 573 P.2d 899 (App.1977); Morley v. J. Pagel Realty and Insurance, 27 Ariz.App. 62, 550 P.2d 1104 (1976); Norville v. Palant, 25 Ariz.App. 606, 545 P.2d 454 (1976). Nor can we find any other authority for the proposition that the broker is obligated as a matter of law to obtain the highest price possible for the property. See M. Romero, Theories of Real Estate Broker Liability: Arizona’s Emerging Malpractice Doctrine, 20 Ariz.L. Rev. 767 (1978).
There is a variety of reasons why a seller would be willing to sell property for a price under the optimum price available. Among these are tax considerations, quicker liquidity, concession from the purchaser, or a simple wish to expedite a sale. The facts of this case were considered by the jury in arriving at their determination of whether a breach had occurred and they may have found, on the facts presented, that the desirability of obtaining an immediate backup offer was preferable to re-listing and advertising the property at a higher price, particularly as the original contract had not been rescinded at the time the backup was entered into.
More troublesome to the appellants was an alleged duty to inform the vendor of any changes in the value of the land which might influence his decision to sell. Again, this becomes a fact question as to whether the actions of this particular agent breached overall duties of good faith, integrity, honesty, and loyalty. An examination of the cases annotated in Annot., 33 A.L.R.4th 944 (1984), “Real Estate Broker’s or Agent’s Misrepresentation to, or Failure to Inform Vendor Regarding Value of Vendor’s Real Property,” convinces us that while such a duty may exist as a sub-duty of those duties previously mentioned, a breach of it depends upon the facts of the case, and the jury is entitled to look at the agent’s knowledge and any special arrangements or instructions between the principal and agent. Again, we find there were sufficient facts in this case upon which a properly instructed jury could find no breach. There was no error in failing to direct a verdict or grant judgment notwithstanding the verdict for appellants on the issue of liability.
All of the foregoing relative to findings of fact by a jury presumes a properly instructed jury. Appellants argue that if it was proper to send the question of liability to the jury, they are entitled to reversal at any rate because the judge failed to properly instruct the jury. Appellants submitted the following instructions:
“# 3. The defendants owed plaintiffs a duty to use their best efforts to obtain the highest and best price for the property-
# 9. An agent is under a duty to her principal to exercise reasonable care to disclose to her principal, before a transaction is completed, matters known to her that the other is entitled to know because of the fiduciary relationship of trust and confidence between them.
# 10. An agent is under a duty to her principal to exercise reasonable care to disclose to her principal before a transaction is completed, material known to her which, if known to the principal, might influence the principal’s decision on the subject matter of the agreement.”
The court instructed the jury as to the duty as follows:
“A real estate agent for a seller owes a duty of utmost good faith and loyalty to the seller, and has the specific duty of exercising reasonable due care and diligence to effect a sale to the best advantage of the seller. The agent is also under a duty to disclose to his client information he possesses pertaining to the transaction in question, or which affect the sellers’ interest.”
As we have already held, there is no duty to obtain the highest and best price for a property, except a statutory duty applicable in the sale of estate property, when the agent in fact obtains the price asked by the sellers. Therefore, requested instruction number three is an erroneous statement of the law. We find numbers nine and ten are redundant. The subject matter in contention is adequately covered in the instruction given. The appellants’ principal objection to the court’s instruction is the omission of the word “might,” which appears in requested instruction ten. The authorities cited by the appellants do not support this argument. The only language in Mason v. Bulleri, 25 Ariz.App. 357, 543 P.2d 478 (1975) even remotely pertaining to the subject is the following:
“it is the broker’s duty to deal with his principal, the seller, in the utmost good faith and bring to the seller’s attention such information as the broker might have concerning the buyer’s financial inability to complete the purchase. The broker may not withhold from the seller any material information which he might have on this subject. Here the broker prepared and presented to the defendants a contract which arguably provided for the retention by the defendants of a security interest in the property for the entire balance due, without advising defendants that the buyers had represented that they would be financially unable to complete the purchase if a security interest were in fact retained by the sellers. Under these circumstances, the brokers’ failure to disclose constituted a serious breach of their fiduciary duty to the sellers.” 25 Ariz.App. at 359-60, 543 P.2d at 480-81, citations omitted.
Clearly the use of the word “might” is with reference to information which the agent might have, not to information which might influence the principal’s decision. Kimmell v. Clark, 21 Ariz.App. 455, 520 P.2d 851 (1974) involves only the specific rule that a real estate broker is under a fiduciary duty to disclose that the broker or a close relative is the purchaser.
There are other Arizona cases discussing the duty of a real estate broker (agent) to disclose information. In Jennings v. Lee, 105 Ariz. 167, 461 P.2d 161 (1969) our supreme court used the language, “A broker is under a duty to disclose to his client information which he possesses pertaining to the transaction in question.” 105 Ariz. at 173, 461 P.2d at 167.
In Walston & Co. v. Miller, 100 Ariz. 48, 410 P.2d 658 (1966) our supreme court con sidered the duty of a commodity broker to his customer. The court approved the legal proposition that when a broker serves as his customer’s agent, he is a fiduciary and owes his principal a duty to communicate certain information to him. The court noted that this duty is outlined in the Restatement (Second) of Agency § 381 (1958):
“Unless otherwise agreed, an agent is subject to a duty to use reasonable efforts to give his principal information which is relevant to affairs entrusted to him and which, as the agent has notice, the principal would desire to have and which can be communicated without violating a superior duty to a third person.”
See also Morley v. J. Pagel Realty & Insurance, supra, quoting Jennings v. Lee, supra, and Haymes v. Rogers, supra. And see also Vivian Arnold Realty Co. v. McCormick, supra, quoting Haymes and Jennings and citing 12 Am.Jur.2d Brokers § 96 (1964). It is true that both 12 C.J.S. Brokers § 57 (1980), and 12 Am.Jur.2d, Brokers § 89 (1964), use the word “might” in the exact context employed in requested instruction ten. However in two recognized treatises on agency, the word is not employed. W. Seavey, Law of Agency, § 143, p. 238 (1964), states, concerning an agent’s duty to give information:
“An agent who acquires information relevant to matters within his province and of which he should know the principal would want to know, has a duty to reveal it, unless it was received confidentially.”
F. Mechem, 1 Law of Agency § 1353, pp. 993-94 (2d ed. 1914), “Duty of agent to give principal notice of facts material to agency,” says:
“It is the duty of the agent to give his principal reasonable and timely notice of every fact relating to the subject-matter of the agency, coming to the knowledge of the agent while acting as such, and which it may fairly be deemed material for the principal to know for the protection or preservation of his interests.”
To require the agent to give the principal notice of any conceivable information which might possibly influence the principal would create an oppressive burden on the agent. Such a rule would lead to the consideration of information extraneous to the issues in the case. It would permit speculation and could easily lead to unwarranted results. In the instant case, the trial court admitted all the evidence concerning the appreciation in land values in northwest Tucson. This is the information which the appellants contend the appellee should have related to them. Although we do not have a transcript of the closing arguments, we conclude from a reading of the entire appellate record that the fact of this appreciation was the focal point of those arguments. The court’s instruction surely permitted counsel to argue that the increased value of the property pertained to the transaction and affected the sellers’ interest. The jury was instructed on the burden of proof. They were told that the plaintiff had the burden to prove the defendant had breached a duty owed plaintiff and they must be persuaded that this was more probably true than not. We find no error in the refusal of the instructions and further find that the jury was properly instructed as to the agent’s duty.
Appellants’ final issue concerns the granting of appellee’s motion for a directed verdict on Count 3. The appellants claim that at the time the backup contract was being negotiated by appellee, they inquired of her whether the price was reasonable. It was their testimony that she replied “[the price was] still a good price,” “she said we were getting a good value,” “everything seemed to be fine, still a good price.” The appellee denied that she was asked and that she gave these responses. Nevertheless the jury could have found that these representations were made. The apparent reason for granting the directed verdict was that representations as to value will not support a claim for fraud. Frazier v. Southwest Savings & Loan Association, 134 Ariz. 12, 653 P.2d 362 (App. 1982). Even assuming, arguendo, that representations as to value could create liability when made by a real estate agent to her principal, the jury could consider this evidence in deciding whether the appellee breached her fiduciary duty to the appellants to disclose information. Any error in directing the verdict was harmless in view of the submission of the case to the jury under the instructions given.
Affirmed.
HOWARD and HATHAWAY, JJ„ concur.
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OPINION
LIVERMORE, Judge.
Plaintiff, Clayton Miller, purchased real property from defendant Susan Uhrick for $46,000. $33,500 was paid in cash; the remainder, secured by a deed of trust, to be paid in monthly installments on the first of each month beginning January 1, 1981. The deed of trust provided that time was of the essence, that acceptance of late payments was not a waiver of that provision, and that in the event of any default the beneficiary, by written notice, could “declare all sums secured ... immediately due and payable” and could elect to sell the property. Payments that were two weeks late were accepted in January and February 1981; a late payment in March was returned and a notice of sale was sent to Miller. Prior to this Miller had not been informed of Uhriek’s dissatisfaction with his payments. He offered to pay a month in advance to avoid any further late payments. This was declined unless he paid the costs incurred ($121.00) in the notice of sale. He refused and this suit to enjoin the sale followed.
The trial judge initially ruled that by accepting late payments, Uhrick had waived her right to invoke the remedies contained in the deed of trust without notifying Miller of her insistence on timely payment. On reconsideration, after the supervening decision in Sanson v. Gonzales, 142 Ariz. 30, 688 P.2d 676 (App.1984), the court entered judgment for Uhrick. Miller appeals this judgment; Uhrick has cross-appealed from the denial of an award of attorney’s fees. We have jurisdiction under A.R.S. § 12-2101.
Because Sanson v. Gonzales, supra, was vacated by the Supreme Court at 141 Ariz. 633, 688 P.2d 641 (1984), we could remand this matter to the trial court for reconsideration. We decline to do so. The trial court’s judgment, in the absence of that case, is a matter of record. The expenditure of additional judicial time when the facts are clear is not warranted.
Miller points to authority that acceptance of late payments is a waiver and that forfeiture cannot occur without actual notice to him of an intention to insist on strict performance. See, e.g., Arizona Title Guarantee and Trust Co. v. Modern Homes, Inc., 84 Ariz. 399, 330 P.2d 113 (1958). Uhrick contends that authority does not apply to remedies other than forfeiture and that in any event acceptance of two late payments is not a waiver. We believe these arguments to be too aridly formalistic on the facts of this case.
It is undisputed that Uhrick did not complain to Miller about the late payments though she easily could have done so. It is also clear, given Miller’s behavior in paying two weeks in advance after notice of the proposed sale, that such a complaint would have been effective to achieve the desired result. The question then is whether the dramatic remedy of sale provided in the deed of trust can be invoked without any notice to the person allegedly in default. We hold in this instance that it cannot. We take notice that payments are often delayed by two to three weeks and that most creditors are not upset in such circumstances. See 3A A. Corbin, Contracts § 716 at 367 (2d ed. 1960) (“Delays are frequent in these transactions; and it is the custom of men to overlook them, even though they may have stated in advance they would not.”). If a contract term is to be insisted upon, notwithstanding a commercial practice to the contrary, some notice more pointed than contract boilerplate must be given. See generally Darner Motor Sales, Inc. v. Universal Underwriters Ins. Co., 140 Ariz. 383, 682 P.2d 388 (1984). It was not in this case and, accordingly, Uhrick cannot prevail. We do hot believe this result to be inconsistent with our holding in First Federal Savings and Loan Association v. Ram, 135 Ariz. 178, 659 P.2d 1323 (App.1982). There, we held that a formal notice of reinstatement of the time is of the essence clause was unnecessary where the remedy of acceleration was invoked after a history of late payment and nonpayment, despite letters of objection from the mortgagee. Those facts are not remotely similar to the facts in the present case.
The parties each request attorneys’ fees. In an instance in which the trial court has discretion, as it did under A.R.S. § 12-341.01 in this case, a proper consideration is whether the invocation of the processes of the law was really necessary. See Associated Indemnity Corp. v. Warner, 143 Ariz. 567, 694 P.2d 1181 (1985). Miller could have avoided this suit by paying $121.00. Uhrick could have accomplished what she wanted simply by asking. The trial court’s order denying attorneys’ fees was proper.
The judgment is reversed and the matter is remanded for an entry of judgment in Miller’s favor.
HATHAWAY, P.J., and LACAGNINA, J., concur.
|
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CAMERON, Justice.
Defendant, Donald James Lucas, was convicted by a jury of two counts of kidnapping, A.R.S. § 13-1304; three counts of sexual assault, A.R.S. § 13-1406; and one count of aggravated assault, A.R.S. § 13-1204. Each offense was of a dangerous nature and committed while defendant was on release from confinement for prior felonies. A.R.S. § 13-604.01. Defendant was sentenced to serve a term of life imprisonment for each offense. Id. Three of the offenses related to one victim, and three related to another. The concurrent sentences for the offenses against the second victim were to run consecutively to those relating to the first victim. A.R.S. § 13-708.
In addition to his appeal to this court, defendant sought post-conviction relief, pursuant to Rule 32, Arizona Rules of Criminal Procedure, 17 A.R.S., in propria persona. Defendant also moved in pro pria persona to expand the record, requesting that he be allowed to file a supplemental brief as well as other pleadings and exhibits. We granted these motions. We have consolidated all these matters and considered defendant’s contentions, as well as those of his attorney, in this opinion. We have jurisdiction pursuant to art. 6 § 5(3) of the Arizona Constitution and A.R.S. §§ 13-4031 and -4035.
We must answer the following questions:
1. Did the trial court improperly refuse to sever counts relating to the first victim from those relating to the second?
2. Did the trial court improperly refuse to grant a directed verdict pursuant to Rule 20, Arizona Rules of Criminal Procedure, 17 A.R.S.?
3. Did the trial judge improperly instruct the jury by:
a. failing to give a justification instruction?
b. failing to instruct the jury sua sponte on unlawful imprisonment as a lesser-included offense of kidnapping and sexual abuse is a lesser-included offense of sexual assault?
c. giving an erroneous instruction on aggravated assault?
4. Did defendant receive effective assistance of counsel?
5. Did the trial court improperly deny the request for relief pursuant to Rule 32?
6. Did the police violate defendant’s Miranda rights?
About 7:30 on the morning of 9 May 1983, defendant entered a bar in downtown Phoenix, Arizona. There he met the first victim, Jeanie B. After a drink and brief conversation, Jeanie accepted a ride from defendant to a restaurant where she could purchase breakfast. Instead, defendant drove to another downtown area bar where he and Jeanie consumed more alcohol. Defendant solicited Jeanie to commit an act of prostitution to which she did not respond. Defendant and Jeanie then drove to a Circle K store where defendant purchased beer. Upon reentering the car, defendant drove into an alley behind the Circle K. There, he started hitting Jeanie and ordered her to perform fellatio upon him as he drove. Jeanie complied after defendant displayed a knife and threatened her with it. Jeanie escaped by removing the ignition key when the car stopped at an intersection. She was later treated at a hospital for bruises, lacerations, one or possibly two broken ribs, and a punctured lung.
Immediately after this incident, defendant hitched a ride to a location on East McDowell Road. At approximately noon, he entered what he though was a bar. The establishment was, however, a club in which women danced nude and which did not serve alcohol. There the defendant met the second victim, Sue H., an employee. During defendant’s stay in the club, Sue danced nude in front of him one or more times, served him lunch, and joined him in drinking soft drinks. Defendant told Sue that his car needed service and asked her to drive him to a junk yard where he could purchase an engine. Sue agreed and they departed together. Along the way, they made several stops, including one at a convenience store where defendant purchased beer. After defendant completed his business at the junk yard, he reentered Sue’s car and they began to drive off. A short distance from the yard, in a desert area, defendant feigned nausea and asked Sue to stop the car. Sue testified that defendant then began to choke her, that he removed the gun she kept in the glove compartment, and that he threatened her with it. Defendant bound and gagged Sue and locked her in the trunk of her car overnight. The next day, before releasing her, he forced her to engage in various sexual acts. She was later treated for numerous bruises and lacerations and a bladder infection. From his convictions and sentences, defendant appeals.
1. SEVERANCE
Defendant contends that the trial court erred in failing to grant his motion to sever the counts involving Jeanie B. from the counts involving Sue H. We do not agree.
Our rules provide in pertinent part: Joinder
a. Offenses. Provided that each is stated in a separate count, 2 or more offenses may be joined in an indictment, information, or complaint, if they:
(1) Are of the same or similar character; or
(2) Are based on the same conduct or are otherwise connected together in their commission; or
(3) Are alleged to have been a part of a common scheme or plan.
******
Rule 13.3, Ariz.R.Crim.P., 17 A.R.S.
We believe that the evidence in this case satisfied each of the tests for joinder in Rule 13.3. The crimes are of the same or similar nature, and connected together in time and location. In addition, they appear to be part of a common scheme or plan. In each episode, defendant befriended a woman in a bar-type establishment and persuaded her to leave with him. Each time they stopped at a convenience store to purchase beer. Furthermore, in both instances, defendant used a weapon to coerce his victim to perform fellatio upon him in an automobile. The second incident followed immediately after the first and both occurred within a period of approximately twenty-four hours. The conduct described was so connected that at the trial of one victim’s counts, the evidence of the other victim’s counts would be admissible. Rule 404(b), Ariz.R.Evid., 17A A.R.S.; State v. Cruz, 137 Ariz. 541, 672 P.2d 470 (1983). We believe joinder was proper.
As to defendant's request for severance, our rules provide that counts that have been properly joined may still be severed.
Severance
a. In General. Whenever 2 or more offenses * * * have been joined for trial, and severance of any or all offenses * * is necessary to promote a fair determination of the guilt or innocence of any defendant of any offense, the court may on its own initiative, and shall on motion of a party, order such severance.
Rule 13.4, Ariz.R.Crim.P., 17 A.R.S.
The decision whether to grant a motion for severance is within the sound discretion of the trial court which we will not reverse absent clear abuse. State v. Gretzler, 126 Ariz. 60, 73, 612 P.2d 1023, 1036 (1980), cert. denied, 461 U.S. 971, 103 S.Ct. 2444, 77 L.Ed.2d 1327 (1983). The test is whether the defendant has, at the time of his motion, shown that he would be prejudiced by the trial court’s failure to sever. State v. Via, 146 Ariz. 108, 115, 704 P.2d 238, 245 (1985). A relevant consideration is that of judicial economy. Id.
We do not believe that the trial court abused its discretion under the facts of the instant case. In State v. Newman, 122 Ariz. 433, 435-36, 595 P.2d 665, 667-68 (1979), we considered the question of whether rape and burglary counts relating to one victim should have been severed from an attempted burglary count related to another victim. In holding that severance was not mandated, we emphasized such common factors as the clothes worn by the defendant, the weapon used, the time of day, and the location of the incidents. See also State v. Dale, 113 Ariz. 212, 550 P.2d 83 (1976) (no abuse of discretion where defendant offered a ride to each victim and beat each before raping her); State v. Williams, 108 Ariz. 382, 499 P.2d 97 (1972) (factors to consider in determining whether severance is appropriate include closeness in time of the incidents, locations, and the criminal’s behavior); State v. Frederick, 129 Ariz. 269, 630 P.2d 565 (App.1981) (common factors included the locations where the victims were picked up, the time of day, defendant’s discussion of marijuana, threats of death, and forced fellatio). The crimes, in the instant case, bore several similarities in areas where one would expect to find differences. That they differed in some small respects is not determinative. “In order for two crimes to be classified as a common plan or scheme it is not necessary for the crimes to have been perpetrated in an absolutely identical manner, * * *, so long as the court perceives a visual connection between the two crimes.” State v. Tipton, 119 Ariz. 386, 388, 581 P.2d 231, 233 (1978) (citations omitted). Severance was not mandated in the instant case.
2. DIRECTED VERDICT
At the close of the state’s evidence, defendant moved for a directed verdict of acquittal on all charges -and, alternatively, on all allegations of dangerousness pursuant to Rule 20, Arizona Rules of Criminal Procedure, 17 A.R.S. The trial court denied this request and defendant now argues that this denial was in error. We do not agree.
a. Allegations of Dangerousness
In order for defendant to receive an enhanced sentence pursuant to A.R.S. § 13-604.01, the jury must find that the offense committed involved “the use or exhibition of a deadly weapon or dangerous instrument or * * * the intentional or knowing infliction of serious physical injury * *
In the instant case, evidence was sufficient to find that defendant used or exhibited a dangerous instrument as part of his sexual assaults. Jeanie testified that defendant pulled out a knife and told her he would stick it in her heart if she did not perform fellatio upon him. Sue testified that defendant grabbed her while she was driving her car, rummaged through her glove compartment and took her gun out. He then drove her car for a short distance, got out of the car and locked her in the trunk. Additionally, the next morning he took the gun out of the car and had it in his possession before he ordered her to submit to him. Sue never stated that defendant actually pointed the gun at her while ordering her to engage in certain acts. He did, however, show the gun to her just prior to the sexual assaults, thereby “exhibiting” it. Therefore, there was sufficient circumstantial evidence for the jury to find that she felt that she had to submit to avoid being shot, which would satisfy the statutory language that defendant “used” the gun to commit the rape.
A judgment of acquittal shall be granted if there is “no substantial evidence to warrant a conviction.” Rule 20, Ariz.R. Crim.P., 17 A.R.S. We have defined substantial evidence as “ ‘more than a scintilla and is such proof as a reasonable mind would employ to support the conclusion reached.’ ” See also, State v. Clabourne, 142 Ariz. 335, 345, 690 P.2d 54, 64 (1984), citing State v. (Raymond) Tison, 129 Ariz. 546, 553, 633 P.2d 355, 361 (1981), cert. denied, 459 U.S. 882, 103 S.Ct. 180, 74 L.Ed.2d 147 (1982). Substantial evidence may be either circumstantial or direct. See State v. Carriger, 123 Ariz. 335, 339, 599 P.2d 788, 792, cert. denied, 444 U.S. 1049, 100 S.Ct. 741, 62 L.Ed.2d 736 (1980). For both reasons, in the instant case we believe that the judge acted properly in denying the defendant's motion for directed verdict as to the allegation of dangerousness,
b. The Other Charges
We find that, as to all the other charges, there was sufficient evidence to warrant a conviction. There was ample evidence of kidnapping as well as sexual assault. Both victims stated that defendant hit them and a medical expert testified that Jeanie had received serious injuries, including broken ribs and a punctured lung. Additionally, both women stated that they were threatened with weapons and forced to engage in certain sexual activities against their will. Thus, we find more than enough evidence to warrant giving the case to the jury.
3. JURY INSTRUCTIONS
Defendant raises three arguments with respect to the jury instructions. He argues that the court should have given his requested justification charge. He further contends that the trial court erred in failing to instruct, sua sponte, on the crime of unlawful imprisonment as a lesser included offense of kidnapping, and sexual abuse as a lesser included offense of sexual assault. Defendant also contends the court should have given a different explanation of aggravated assault,
a. The Justification Instruction
At trial, defendant took the stand and testified that he had met Jeanie in a bar and had offered to give her $100 if she would spend the day with him. He stated that they left the bar and began to drive around. According to him, she wanted to go to a friend’s house to buy some heroin and when he refused she became violent, almost causing a car accident. He slammed on the brakes and she flew against the dash board, injuring herself. After a further struggle, he ordered her to leave the car.
Defendant then went on to explain that he went to Johnny O’s nightclub where he met Sue. He told her what happened with Jeanie and she agreed to help him find her and to have intercourse with him for $200. They left the bar and searched for Jeanie. When they were unable to find her, they then drove to northern Phoenix and engaged in sexual relations. Defendant stated that when she refused to go back into town to continue looking for Jeanie, he told her he wasn’t going to pay her. She then pulled out a gun, which he was able to grab from her. In order to protect himself, he locked her in the trunk overnight. When he let her out, the next morning, she apologized and the two of them drove back into town.
Defendant contends that he requested a justification instruction, based upon the facts of the case which defendant maintains would justify or excuse his conduct in this case. This request was apparently denied. Upon review of the record on appeal, however, we are unable to find this request. Assuming arguendo that the issue had been properly preserved, we find that a trial court could correctly deny the request.
A defendant is entitled to. an instruction on any theory of the case reasonably supported by the evidence. State v. Shumway, 137 Ariz. 585, 672 P.2d 929 (1983). In order to be entitled to a justification instruction, a defendant has to show that “a reasonable person would believe that physical force is immediately necessary to protect himself against the other’s use or attempted use of unlawful physical force.” A.R.S. § 13-404. Defendant seems to be arguing that his act of putting Sue in the trunk because she attempted to use physical force was justifiable and, therefore, constituted a defense to the kidnapping charge. However the conduct giving rise to the kidnapping charge was not based upon defendant’s act of putting Sue in the trunk of the car but occurred when defendant first drove to the northern part of the city. At that time, according to the prosecution, defendant beat the victim, took the gun out of her glove compartment and forced her to engage in certain sexual activities. As to those activities that the state alleged constituted the kidnapping, defendant offered no evidence that warranted the requested instruction. Where there is no evidence to support a justification instruction, the trial court has no obligation to give it. State v. Bojorquez, 138 Ariz. 495, 675 P.2d 1314 (1984). We find no error.
b. Lesser-included Offenses
Defendant also argues that the trial court erred in failing, sua sponte, to instruct the jury that unlawful imprisonment is a lesser-included offense of kidnapping and that sexual abuse is a lesser-included offense of sexual assault. We do not agree.
Recently, our court of appeals discussed the standard of review to be used when no request for an instruction on a lesser-included offense has been made. It stated:
[A] failure to instruct, absent a request, should be examined to determine if fundamental error has occurred. Fundamental error is error of such dimensions that it cannot be said it is possible for a defendant to have had a fair trial. * * * Reversal is required because the error went to the very foundation of his theory of the ease and took away a right essential to his defense.
State v. Flores, 140 Ariz. 469, 474, 682 P.2d 1136, 1141 (App.1984) (citations omitted). We agree with this standard of review. Although in capital cases, a defendant has a constitutional right pursuant to the due process clause to a sua sponte instruction on all lesser-included counts of first degree murder, Beck v. Alabama, 447 U.S. 625, 100 S.Ct. 2382, 65 L.Ed.2d 392 (1980), this holding has not been extended to noncapital offenses. Thus, unless failure to instruct the jury would fundamentally violate defendant’s right to a fair trial, the court is under no obligation to give the charge, absent a request. As the court in Flores, supra, explained, fundamental error only occurs when failure to give the contested charge interferes with defendant’s ability to conduct his defense.
Unlawful imprisonment is a lesser-included offense of kidnapping. State v. Caudillo, 124 Ariz. 410, 604 P.2d 1121 (1979). It does not follow, however, that an instruction on the lesser included offense is appropriate in every case. It is only when the facts support the giving of the lesser-included offense instruction that it is appropriate to do so. Under A.R.S. § 13-1304, a person is guilty of kidnapping if he knowingly restrains someone with intent to commit certain felonies. Rape is one of those felonies. A.R.S. § 13-1304, (A)(3). Here, defendant asserts that Sue consented to drive with him and consented to the sexual relations. Since sexual intercourse and the taking of Sue to North Phoenix are admitted by defendant, a jury could only hold him either guilty of the greater charge of kidnapping with the intent to commit rape, or not guilty at all. “A lesser-included offense instruction need not be given when the state of the evidence is such that the defendant can only be guilty of the crime charged or not guilty at all.” State v. Williams, 144 Ariz. 479, 486, 698 P.2d 724, 731 (1985). State v. McNair, 141 Ariz. 475, 482, 687 P.2d 1230, 1237 (1984). We find no error.
Defendant next alleges that the jury should have been instructed on sexual abuse as a lesser-included offense of sexual assault. Again while we agree that sexual abuse can be a lesser-included offense of sexual assault, State v. Wise, 137 Ariz. 468, 671 P.2d 909 (1983), it does not follow that failure to give a lesser-included instruction is error.
In the case of Sue, defendant stated that he had engaged in consensual intercourse. Thus, under the evidence presented, he was either guilty of sexual assault or not guilty at all; an instruction on the lesser-included offense of sexual abuse was not mandated under the facts in this case. As to Jeanie, defendant denies any sexual contact occurred between them. It may well be that had the defendant so requested, the trial court would have been justified in giving an instruction of sexual abuse as a lesser-included offense of sexual assault. The lack of such an instruction, however, did not deprive defendant of his claimed defense. Therefore, it was not fundamental error to fail to instruct sua sponte on the lesser-included offense. Flores, supra. We find no error.
c. Aggravated Assault Instruction
Defendant argues, additionally, that the trial court improperly defined the crime of aggravated assault. The judge gave the following instruction:
The crime of aggravated assault requires proof that the defendant intentionally, knowingly or recklessly caused serious physical injury to another person; or that the defendant intentionally, knowingly or recklessly caused physical injury to another person while using a deadly weapon or dangerous instrument.
Defendant objected to this charge, arguing that there was insufficient evidence to support the last half of the explanation, i.e. the “using a deadly weapon” portion. Defendant renews this objection and argues additionally that it was error to give this instruction because defendant was not formally charged in this manner.
As to this last claim, we note that the language used by the trial court came directly from the indictment. Defendant’s claim, therefore, must fail. We also believe there was sufficient evidence to warrant giving the last half of the instruction, both as to Jeanie and Sue.
Defendant particularly objected to the instruction as it applied to Jeanie. Defendant was indicted for “intentionally, knowingly or recklessly [causing] physical injury to Jeanie * * *, using a deadly weapon or dangerous instrument, to wit [a] knife * * *.” A knife is a deadly weapon for purposes of A.R.S. § 13-1204, State v. Garcia, 114 Ariz. 317, 319, 560 P.2d 1224, 1226 (1977), and there was evidence that defendant used it in committing the assault. Jeanie testified that defendant drove her into an alley and began hitting her with enough force to partially knock her eye out of its socket. As she tried to escape, he also began choking her. Jeanie stated that defendant then pulled out a knife and ordered her to perform fellatio. The beating and the exhibition of the knife were all a part of the same transaction even if the beating preceded the exhibition of the knife. We find this testimony sufficient to support a charge that “defendant intentionally, knowingly or recklessly caused physical injury * * * while using a deadly weapon * * We find no error.
4. INEFFECTIVE ASSISTANCE OF COUNSEL
Defendant claims that he was denied his constitutional right to effective assistance of counsel. U.S. Const, amend VI. He argues that “counsel was deficient for not arguing for the use of Jeanie’s prior convictions; for failing to object to the improprieties of the prosecutor’s closing remarks; and for failing to request lesser-included offense instructions on kidnapping and sexual assault.” Defendant further contends that counsel did not cross-examine the witnesses properly. We do not agree.
Recently, the United States Supreme Court set forth the standard against which claims of ineffective assistance of counsel are measured:
A convicted defendant’s claim' that counsel’s assistance was so defective as to require reversal of a conviction or death sentence has two components. First, the defendant must show that counsel’s performance was deficient. This requires showing that counsel made errors so serious that counsel was not functioning as the ‘counsel’ guaranteed the defendant by the Sixth Amendment. Second, the defendant must show that the deficient performance prejudiced the defense. This requires showing that counsel’s errors were so serious as to deprive the defendant of a fair trial, a trial whose result is reliable. .
Strickland v. Washington, 466 U.S. 668, -, 104 S.Ct. 2052, 2064, 80 L.Ed.2d 674, 693 (1984). We adopted the second prong of this test in State v. Lee, 142 Ariz. 210, 689 P.2d 153 (1984) and the first in State v. Nash, 143 Ariz. 392, 694 P.2d 222 (1985).
As to defendant’s claim that his counsel should have requested lesser-included instructions, we have already stated that failure to give such instructions did not deprive defendant of a fair trial. See discussion supra. Thus, assuming trial counsel should have requested such instructions, defendant is unable to satisfy the second prong of the Strickland test.
Defendant argues also that failure to request the use of certain prior convictions to impeach Jeanie was evidence of inadequate assistance. Jeanie had a twenty-three year old burglary conviction and several other misdemeanor convictions that were over ten years old. Defense counsel conceded that these convictions were inadmissible for impeachment purposes. We do not find this concession improper. Under Rule 609, Arizona Rules of Evidence, 17A A.R.S., evidence of prior convictions is admissible for the purpose of attacking a witness’ credibility. However, pursuant to Rule 609(b),
“[e]vidence of a conviction * * * is not admissible if a period of more than ten years has elapsed since the date of the conviction * * * unless the court determines, in the interests of justice, that the probative value of the conviction supported by specific facts and circumstances substantially outweighs its prejudicial effect.”
Convictions that are remote in time are looked upon with disfavor because “[a]s felony convictions become older they have increasingly less probative value on credibility.” M. Udall & J. Livermore, Arizona Practice, Laws of Evidence § 47 at 90 (2nd ed. 1982). Thus, had defense counsel requested that he be allowed to use these convictions, his motion would have almost certainly been denied. We cannot fault defense counsel for failing to make an essentially futile request. See State v. Borbon, 146 Ariz. 392, 706 P.2d 718 (1985).
Defendant also points to trial counsel’s failure to object to the state’s rebuttal closing argument. After defendant’s summation, the prosecutor commented that defendant’s testimony was a “snow job.” The prosecutor then tried to rebut defense counsel’s comments on the credibility of Jeanie and Sue.
We have read the closing arguments of both the defense and the state and we do not believe defendant was deprived of a fair trial. As we have stated, counsel is allowed great latitude in closing arguments, even to the extent of making emotional statements. State v. Marvin, 124 Ariz. 555, 557, 606 P.2d 406, 408 (1980). In determining whether the state has overstepped its bounds, we look to see “whether the remarks call to the attention of the jury matters which they would not be justified in considering in order to arrive at their verdict and whether the jury, under the circumstances of the case, was probably influenced by those remarks.” State v. Puffer, 110 Ariz. 180, 181, 516 P.2d 316, 317 (1973) (citation omitted). Several of the state’s remarks went to the credibility of the witnesses. Not only was this a proper issue for the jury to consider but it was intended to refute defense counsel’s attack on the credibility of Jeanie and Sue. Neither do we find that these remarks improperly influenced the jury. Defendant was indicted for a total of fourteen crimes and was only convicted of six. Thus, it would appear that the jury did not convict merely as an emotional response to the state’s summation but critically evaluated the evidence. Defendant is unable to show that failure to object denied him a fair trial.
Lastly, defendant contends that defense counsel failed to adequately impeach Jeanie and Sue. Upon review of the record, however, we find that counsel did an adequate job, well within the prevailing standards for the profession. Nash, supra. We find no error.
5. RULE 32
In addition to the issues raised on direct appeal, defendant filed a petition for post-conviction relief in superior court raising two claims. He maintained that he was denied effective assistance of counsel and that he was interrogated in violation of his fifth amendment right against self-incrimination. The trial court denied relief after an evidentiary hearing. We have reviewed the record and find that the trial court acted properly. As previously noted, we find counsel’s representation was effective. We also agree that defendant’s fifth amendment rights were not violated.
6. MIRANDA CLAIM
Defendant was arrested in Winslow, Arizona. Shortly before his arrest, he had sustained bruises and lacerations in a barroom fight. He concedes that he was advised of his rights pursuant to Miranda v. Arizona, 384 U.S. 436, 86 S.Ct. 1602, 16 L.Ed.2d 694 (1966) and that he voluntarily spoke with the arresting officers for a time during the ride back to Phoenix. He maintains, however, that when the officers directed the conversation to the events of this case, he stated that he “had nothing further to say,” but that the officers recommenced questioning upon their arrival in Phoenix. The arresting officer, Detective James Raines, testified that defendant never asserted his right to remain silent, and the trial court found accordingly. De fendant testified that he failed to respond to most of the questions directed at him but that he told the officers where he had gone with Jeanie and Sue.
Assuming arguendo that defendant’s statements were in the nature of a confession, we still find no error. Although confessions are presumed involuntary, the state can, by a preponderance of the evidence, overcome this presumption. State v. Hein, 138 Ariz. 360, 365, 674 P.2d 1358, 1363 (1983). A trial court’s determination of voluntariness will not be upset absent clear and manifest error. State v. Hanson, 138 Ariz. 296, 301, 674 P.2d 850, 855 (App.1983). In the instant case, the defendant’s account was unsubstantiated and denied by the officer. Under these circumstances, we are reluctant to disturb the decision of the trial court which was best situated to assess the credibility of the witnesses before it.
Affirmed.
HOLOHAN, C.J., GORDON, Y.C.J., and HAYS and FELDMAN, JJ., concur.
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OPINION
BIRDSALL, Presiding Judge.
This appeal is from an order of the trial court denying William Harrison an amount from the Contractors’ Recovery Fund, an entity created by statute, A.R.S. §§ 32-1131 through 1140 (Supp.Pamph.1984). The facts concerning the complaint are straightforward; Harrison contracted with James Ellis, doing business as Jim Ellis Designer-Builder, for the construction of a home for Harrison. Difficulties in Ellis’s performance on the contract became manifest, and at a time when Harrison had completely performed on the contract by paying the full price for the home, Harrison filed a complaint with the Registrar of Contractors, sending that office and Ellis a letter detailing his problems with the home and the things he wished completed or repaired by Ellis. Approximately two months later, on August 1, 1983, Ellis wrote in answer to the letter, completely repudiating the contract by stating his insolvency and his decision to do no more on the home. Eighteen days after the letter, on August 19, 1983, Harrison sued in superior court alleging breach of contract for failure to perform according to the contract, notifying the Recovery Fund of his complaint, as required by A.R.S. § 32-1136(A). Four days after the suit was filed, Ellis and his wife initiated personal bankruptcy proceedings.
Harrison’s motion to lift stays in the bankruptcy proceeding was granted by order in January 1984, permitting him to move for summary judgment on the contract complaint. Ellis’s liability having been acknowledged by proceedings before the Registrar of Contractors, summary judgment was granted April 20, 1984, in the amount of $19,704.00, and costs. On June 18, Harrison filed for an order directing payment from the Recovery Fund of that amount representing the difference between his recovery from Ellis’s performance bonds, $9,814.49, and the statutory limit on recovery from the fund, $15,000, a difference of $5,185.51. The order denying recovery from the fund is the basis of this appeal. We reverse.
At issue is the interpretation to be given to the effective date of the statutory amendment promulgated by the 1983 legislature which raised from $5,000 to $15,000 the amount an injured party could receive as a result of an act, representation, transaction, or conduct of a contractor in violation of the statutory chapter on contractors or of any regulations promulgated pursuant to the chapter.
The Recovery Fund as enacted in 1981 had a ceiling of $5,000 recovery per claimant and $10,000 per contractor. The 1983 legislature raised the recovery amounts to $15,000 per claimant and $75,000 per contractor. Laws 1983, Ch. 149, §§ 1-3. The 1983 amendments became effective July 27, 1983. The trial judge recited in the judgment that he was of the opinion that the amendment increasing the amount to $15,-000 could not be applied retroactively to include judgments that were obtained for claims arising prior to the amendment. The trial court found “upon perusal of the complaint” that it was clear that the claim arose prior to the effective date of the amendment. Although it is far from clear to us that the breach of contract occurred prior to July 27, 1983, we find it unnecessary to determine with certainty when the breach did occur because it was after July 1, 1981, and the complaint was filed well within two years from the accrual of the action. The controlling statute itself contains these provisions.
Both before and after the amendment, except for the increase from $5,000 to $15,000, A.R.S. § 32-1136 provided:
“A. An action for a judgment which may subsequently result in an order for collection from the fund shall not be commenced later than two years from the accrual of the cause of action. When any injured person commences action for a judgment which may result in collection from the fund, the injured person shall notify the registrar in writing to this effect at the time of the commencement of the action. The registrar may at any time intervene in and defend any such action.
B. When any injured person recovers a valid judgment against any contractor for such tact, representation, transaction or conduct which is in violation of this chapter or the regulations promulgated pursuant to this chapter, which occurred on or after July 1, 1981, the injured person may on ten days’ written notice to the registrar apply to the court for an order directing payment out of the fund, of the amount unpaid on the judgment, subject to the limitations stated in this article.
C. The court shall proceed on an application in a summary manner and, on the hearing, the injured person is required to show that he:
1. Is not a spouse of the debtor, or the personal representative of such spouse.
2. Has given notice as required by subsection A.
3. Has obtained a judgment which has become final, as provided in subsection B, stating the amount and the amount owing at the date of the application.
4. Has proceeded against any existing bond covering the contractor and has not collected upon such bond an amount of fifteen thousand dollars or more.
5. Is not aware of any personal or real property or other assets of the debt- or which can be applied in satisfaction of the judgment.
D. The court shall make an order directed to the registrar requiring payment from the fund of whatever sum it finds to be payable on the claim, in accordance with this section, if the court is satisfied on the hearing of the truth of all matters required to be shown by the injured person by subsection C and that the injured person has fully pursued and exhausted all remedies available to him for recovering the amount awarded by the judgment of the court____ If the injured person has recovered a portion of his loss from sources other than the fund in an amount of fifteen thousand dollars or less, the court shall deduct the amount recovered from other sources from the amount payable upon the claim and direct the difference to be paid from the fund.
E. On receipt of a certified copy of the order specified in subsection D, the registrar may authorize payment from the contractors’ recovery fund even if an appeal has been instituted but not completed.”
(Emphasis supplied)
Thus, to the extent that the fund was liable up to $15,000 for judgments entered after July 27, 1983, arising out of acts, representations, transactions, or conduct occurring after July 1, 1981, but before the effective date of the amendment, the amended statute may be said to have provided for retroactive application. We do not believe this was accidental and instead believe it was the intent of the legislature. Laws 1981, Ch. 221, § 1 stated the purpose of this new legislation, and with specific reference to-the fund, said:
“It is the further purpose of the legislature to provide improved protection for owners and lessees of property who contract for the construction or alteration of residential structures by establishing the contractors’ recovery fund and the contractors’ recovery fund board.”
In looking at this stated purpose, we apply the cardinal rule of statutory construction, consideration of the overall purposes and aims of the legislature in order to glean the legislative intent. See Cohen v. State, 121 Ariz. 6, 588 P.2d 299 (1978).
Further indication of a legislative intent to protect owners and lessees of property under construction is found in a 1984 amendment to A.R.S. § 32-1136(D), which added the following sentence: “The recovery limits established under this article apply to all judgments awarded after August 1, 1984.” This subsequent legislation makes it abidingly clear that the increased limits are applicable to judgments arising out of prior acts.
If we were to affirm the trial court, it would lead to an illogical and inequitable result. As a result of the 1984 amendment, fund claimants whose judgments were entered after August 1, 1984, would be entitled to recover up to $15,000, even though the acts giving rise to their cause of action arose prior to July 27, 1983. Fund claimants whose judgments were entered prior to August 1, 1984, would be limited to $5,000, even though the acts complained of occurred during the same time frame. We do not believe the legislature intended such a result.
The 1984 amendment was enacted less than a year following the increase from $5,000 to $15,000 in recovery limits. Subsequent legislation occurring shortly after the original version is a strong indication of legislative intent. State v. Barnett, 142 Ariz. 592, 691 P.2d 683 (1984).
We reverse and remand. The trial court is directed to enter judgment ordering the amount of $5,185.51 to be paid to the appellant from the Contractor’s Recovery Fund.
HOWARD and FERNANDEZ, JJ., concur.
. Actually we do not believe this is a retroactive application of the amended statute because it is the judgment itself which determines the liability of the fund. The increased protection is available only to augment judgments obtained after July 27, 1983. If the appellant was seeking to augment a judgment entered prior to July 27, 1983, that would fail because it would be a retroactive application of the statute. See Clark v. Cassidy, 64 Hawaii, 74, 636 P.2d 1344 (1981). In the instant case, not only was the judgment entered after the effective date of the amendment, the complaint was not even filed until after that date.
The result we reach is further supported by the well established legal principle that a statute is not retroactive simply because it may relate to antecedent facts. Tower Plaza Investments, Ltd. v. Dewitt, 109 Ariz. 248, 508 P.2d 324 (1973), appeal dismissed, 414 U.S. 1118 (1974). And see Cohen v. State, supra.
. The 1984 amendment may well have been in response to Attorney General Opinion No. 183-120 (R83-091), dated October 26, 1983, holding that the increased limits provided in the 1983 legislation may be applied only prospectively to those judgments whose causes of action arise on or after July 27, 1983. See State ex rel. Corbin v. Pickrell, 136 Ariz. 589, 667 P.2d 1304 (1983) (legislative amendment of consumer fraud act following court decision interpreting the act).
|
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OPINION
BROOKS, Judge.
Five issues are presented in this appeal from an order of the juvenile court which transferred appellant for adult prosecution on three counts of first degree murder and three counts of armed robbery.
1. Whether the juvenile court has jurisdiction to transfer a juvenile to adult court in the absence of a legislative standard-for transfer as required by Art. 6, § 15 of the Arizona Constitution.
2. Whether the juvenile court erred in denying appellant’s motion to close the transfer hearing to the public.
3. Whether the juvenile court erred in denying appellant’s request for a voluntariness hearing and in failing to make a voluntariness determination.
4. Whether the juvenile court erred in finding probable cause to believe that appellant had committed three counts of first degree murder and three counts of armed robbery.
5. Whether the juvenile court applied the correct standard in transferring appellant for adult prosecution, and whether the findings and order are supported by the evidence.
For the following reasons, we affirm the order of the juvenile court.
FACTS
Considered in the light most favorable to sustaining the order of the juvenile court, the facts are as follows:
During the early morning hours of April 30, 1984, appellant, age 14 years and 11 months, was at home with his adoptive parents and adoptive 17-year-old sister. At approximately 3:00 a.m., appellant removed a small caliber rifle from the sewing room and walked to the opposite end of the residence where he obtained ammunition and loaded the rifle. He then entered his par ents’ bedroom and shot both of them to death at close range while they slept. He entered his sister’s bedroom and shot her to death from close range as she sat up in bed. He then dragged his sister’s body from' the house to an adjacent storage shed. Shortly after killing his parents and sister, appellant went through their wallets looking for money, finding only two dollars which was in his sister’s purse. He then took jewelry, coins and guns from the house and sold some of the guns at a shopping center the same day. Later that day, appellant and a companion went to his father’s place of business where appellant took money from a cash box and forged several business checks. On the following day, appellant and his companion were taken into custody at a convenience market where they were attempting to cash one of the forged checks.
A petition was thereafter filed in juvenile court accusing appellant of having committed three counts of first degree murder, either with premeditation or, in the alternative, in the course of and in furtherance of the commission of the crime of armed robbery, and three counts of armed robbery. The county attorney then filed a motion requesting that the juvenile court waive jurisdiction and order the transfer of appellant to the appropriate court for criminal prosecution pursuant to Rule 12, Rules of Procedure for the Juvenile Court. A bifurcated transfer hearing was thereafter conducted pursuant to Juvenile Rule 14. Following the first phase of the hearing, the juvenile court found that there was probable cause to believe that appellant had committed the offenses as alleged. After hearing and considering the evidence relevant to whether appellant should be transferred for adult prosecution, the juvenile court entered a transfer order which included thirteen pages of detailed findings.
JURISDICTION
Appellant first argues that the juvenile court did not have jurisdiction to transfer him to adult court because the legislature has not provided a standard for transfer as required by Art. 6, § 15 of the Arizona Constitution. Art. 6, § 15 provides as follows:
The superior court shall have exclusive original jurisdiction in all proceedings and matters affecting dependent, neglected, incorrigible or delinquent children, or children accused of crime, under the age of eighteen years. The judges shall hold examinations in chambers for all such children concerning whom proceedings are brought, in advance of any criminal prosecution of such children, and may, in their discretion, suspend criminal prosecution of such children. The powers of the judges to control such children shall be as provided by law. (Emphasis added.)
Appellant concedes that our Supreme Court has established a transfer standard through Juvenile Rule 14 but argues that the power of the juvenile court to make a particular disposition of a delinquent child is limited in that it must be expressly granted by legislative act. He cites Appeal in Juvenile Action J-74275, 117 Ariz. 317, 572 P.2d 451 (App.1977), and concludes that a transfer standard is not a procedural rule but rather a substantive rule of law.
Appeal in Juvenile Action J-74275 involved an order which committed the juvenile to’ the State Department of Corrections, but then suspended the commitment and continued the juvenile on probation. We held that the disposition was beyond the court’s statutory authority. The case at hand does not involve the disposition’ of a delinquent child in juvenile court. There has never been an adjudication of delinquency as appellant’s guilt or innocence has yet to be determined. To the contrary, this case involves the decision of the juvenile court to waive its jurisdiction in order that criminal prosecution may proceed. This discretionary power of the juvenile court is specifically provided for in Art. 6, § 15 of the Arizona Constitution. See Vigileos v. State, 84 Ariz. 404, 330 P.2d 116 (1958), State v. Jiminez, 109 Ariz. 305, 509 P.2d 198 (1973).
We find that Juvenile Rule 14 is procedural in nature and is fully authorized by Art. 6, § 5(5) of the Arizona Constitution which gives our Supreme Court “[pjower to make rules relative to all procedural matters in any court.”
FAILURE TO CONDUCT A CLOSED HEARING
Appellant next argues that the juvenile court erred in denying his motion to close the transfer hearing to the public. He acknowledges that Juvenile Rule 19 appears to leave the matter of closure within the sound discretion of the juvenile court , but argues that such an interpretation of the rule is contrary to Art. 6, § 15 of the Arizona Constitution which mandates that all juvenile proceedings be conducted “in chambers.”
In response to appellant’s motion for closure of the proceedings, the juvenile court ruled as follows:
THE COURT FINDS that the juvenile’s “interests” or “rights” have not been sufficiently identified to permit the Court to determine whether they are overriding interests, whether they will be prejudiced and whether a closure could be narrowly tailored to protect that interest. In addition, the Court has not been offered, and therefore, has been unable to consider reasonable alternatives to closing the proceedings.
IT IS ORDERED denying the juvenile’s Motion for Closure of the Courtroom to the General Public without prejudice to counsel for the juvenile reurging the issue at a later time in a formal written motion.
LET THE RECORD REFLECT that although at this point in time the general public is not excluded, seating in the courtroom is very limited (16 seats) and admission to the transfer hearing will be decided on a priority basis. Preference to seating will be given in the following order: 1. Witnesses not excluded from the courtroom; 2. The relatives of the juvenile and victims; 3. Persons who can establish a direct interest in the above matter; 4. Representatives of the news media; and 5. The general public. The Court will make a determination as to seating at the time of the Transfer Hearing.
In a subsequent minute entry, the juvenile court noted that specific testimony, when properly identified, might require the public’s exclusion from the transfer proceedings and it ultimately excluded the public during the testimony of Dr. Yates, a psychiatrist.
We find that it is unnecessary to reach the issue as to the constitutionality of Juvenile Rule 19. The parties appear to concede that the purpose of a closed hear ing in juvenile court is to promote the juvenile’s rehabilitation and to foster his successful reassimilation back into the community by maintaining his anonymity during the juvenile proceedings. This purpose vanishes once the juvenile court waives its jurisdiction and transfers the juvenile to adult court. Whether or not it was proper to open the hearing in the instant case, it would be meaningless to remand this matter back to the juvenile court solely in order that a closed hearing might be conducted. It is not argued, nor does it appear from the record, that the juvenile court’s failure to close the hearing in any way impeded the testimony of the witnesses or otherwise resulted in any prejudice which substantively affected the transfer proceedings.
ADMISSION OF APPELLANT’S STATEMENT AND DENIAL OF HIS REQUEST FOR A VOLUNTARINESS HEARING
Appellant made incriminating statements to police officers shortly after the alleged crimes and prior to his being charged in juvenile court. The juvenile court denied appellant’s request for a voluntariness hearing relative to the transfer proceedings initiated by the state. In that regard, the juvenile court concluded as follows:
THE COURT FINDS that the juvenile’s objection to the evidence is inapplicable to the probable cause determination pursuant to Rule 14(b) as amended and that Rule 18 applies only to evidence offered in a hearing to prove the ultimate issue of guilt or innocence at a final hearing in the matter.
IT IS THEREFORE ORDERED denying the juvenile’s Motion for Voluntariness Hearing. The Court will not make any separate or specific determination of the voluntariness or involuntariness of statements made by the juvenile which may be offered in evidence to prove the issue of probable cause. However, evidence of the circumstances surrounding any statements made may be elicited from the witnesses and evidence of the involuntariness of the statements may be argued on the issue of probable cause.
Appellant first contends that the juvenile court’s refusal to conduct a hearing on the voluntariness of the statements denied him a basic procedural right in violation of the due process clause of the Fourteenth Amendment to the United States Constitution and Art. 2, § 4 of the Arizona Constitution. He cites the following rule set forth in Jackson v. Denno, 378 U.S. 368, 84 S.Ct. 1774, 12 L.Ed.2d 908, 1 A.L.R.3d 1205 (1964):
It is now axiomatic that a defendant in a criminal case is deprived of due process of law if his conviction is founded, in whole or in part, upon an involuntary confession____ Equally clear is the defendant’s constitutional right at some stage in the proceedings ... to have a fair hearing and a reliable determination on the issue of voluntariness____
378 U.S. at 376-77, 84 S.Ct. at 1780-81, 12 L.Ed.2d at 915.
We note that Juvenile Rule 14(b), in pertinent part, was amended, effective March 1, 1984, to read as follows:
The probable cause phase of the [transfer] hearing shall be conducted in accordance with Rules 5.3 and 5.4(c), Arizona Rules of Criminal Procedure. Objections to evidence on the ground that it was acquired by unlawful means shall be inapplicable in the probable cause hearing.
Rule 5.3(b), Arizona Rules of Criminal Procedure, states:
Rules or objections calling for the exclusion of evidence on the ground that it was obtained unlawfully shall be inapplicable in preliminary hearings.
The comment to Criminal Rule 5.3(b), in pertinent part, explains that:
Rule 5.3(b) thus limits such issues as suppression motions or objections to the “competency” of the evidence — to decision by the trial court. This section reverses the ruling in State v. Jacobson, 106 Ariz. 129, 471 P.2d 1021 (1970), and adopts instead the federal standard. Giordenello v. United States, 357 U.S. 480, 78 S.Ct. 1245, 2 L.Ed.2d 1503 (1958); Federal Rules of Criminal Procedure 5.1(a) (April, 1972).
We find no constitutional infirmity in Juvenile Rule 14. Appellant’s right to a hearing and a reliable determination on the issue of voluntariness prior to trial is preserved in adult court by Criminal Rule 16.-2(b) which provides in pertinent part:
(b) Burden of Proof on Pretrial Motions to Suppress Evidence. The prosecutor shall have the burden of proving, by a preponderance of the evidence, the lawfulness in all respects of the acquisition of all evidence which he will use at trial____
In addition to the due process issue, appellant contends that he has a right to a voluntariness determination under Juvenile Rule 18, which provides as follows:
Rule 18. Statement of a Child
No extra-judicial statement to a peace officer or court officer by the child shall be admitted into evidence in juvenile court over objection unless the person offering the statement demonstrates to the satisfaction of the court that: The statement was voluntary and before making the statement the child was informed and intelligently comprehended that he need not make a statement, that any statement made might be used in a court proceeding, and that he had a right to consult with counsel prior to making a statement and during the taking of the statement, and that, if he or his parents, guardian or custodian could not afford an attorney, the court would appoint one for him prior to any questioning.
Citing Appeal in Juvenile Action 26289-3, 122 Ariz. 521, 596 P.2d 47 (App.1979), appellant argues that Juvenile Rule 18 is applicable to a transfer hearing.
We find that Juvenile Rules 14(b) and 18 do not necessarily conflict and that they can be read in harmony. Rule 18 (effective April 15, 1970) is a general provision and requires a voluntariness hearing prior to the admission of a juvenile’s extrajudicial statement to a peace officer. Rule 14(b) (Amended Dec. 23, 1983, effective March 1, 1984) is a specific rule relating to transfer hearings and clearly provides that objections to evidence on the ground that it was acquired by unlawful means shall be inapplicable in the probable cause phase of the hearing. It is equally clear that the ruling of Division 2 of this court in Appeal in Juvenile Action 26289-3, 122 Ariz. 521, 596 P.2d 47 (App.1979) (holding that a juvenile has a right to a voluntariness hearing in a transfer proceeding) has been overturned by the subsequent amendment to Rule 14(b).
SUFFICIENCY OF THE EVIDENCE TO SUPPORT A FINDING OF PROBABLE CAUSE
Appellant next argues that the juvenile court erred in finding probable cause to believe that appellant had committed three counts of first degree murder and three counts of armed robbery. We disagree.
In Appeal in Juvenile Action J-84984, 138 Ariz. 282, 284, 674 P.2d 836, 838 (1983), our Supreme Court noted that “probable cause requires a reasonably prudent person to find more probably than not the existence of the contested fact.” In State ex rel. Collins v. Superior Court, 132 Ariz. 479, 647 P.2d 177 (1982), our Supreme Court stated:
To avoid exercises in semantics in the future, we should adopt one simple definition which says it all. With this in mind, we present the following definition: Probable cause exists if an individual has a reasonable belief that a crime has been committed and that the defendant committed that crime. Nothing more needs to be said.
132 Ariz. at 480, 647 P.2d 178.
We find that the state’s evidence as previously summarized in this opinion suffi ciently supported the juvenile court’s findings of probable cause.
SUFFICIENCY OF THE EVIDENCE TO SUPPORT THE TRANSFER ORDER
In arguing that he should not have been transferred for criminal prosecution, appellant points to the testimony of three psychiatrists and one psychologist who testified that he was under the influence of a heavy dose of LSD when he allegedly shot and killed his sister and adoptive parents, that he does not necessarily pose a threat to the safety of the community, and that he can most likely be successfully treated at a juvenile facility in Arizona called “The Alamo”. This facility, it is argued, utilizes a psychotherapeutic process which was developed within the past decade to treat violent children who are emotionally disturbed. Appellant also points to his age of only 14 years 11 months at the time of the alleged offenses and the fact that the medical experts all agree that he suffers from deep psychological and emotional problems with long-standing chemical abuse. Finally, appellant takes issue with a number of the factual findings of the juvenile court which he contends were unsupported by the evidence.
Since the amendment to Juvenile Rule 14, effective March 1, 1984, it is clear that community protection is now the guiding principle to be considered in transfer proceedings:
If the court determines that there is probable cause to believe that the offense has been committed and that the child committed it, the court shall then determine whether the public safety or interest would best be served by the transfer of the child for criminal prosecution.
Rule 14(c), Rules of Procedure for the Juvenile Court. Thus, the focus of the decisional process in a transfer hearing has now been directed toward the public safety and interest. This is not to say that the juvenile court no longer concerns itself with the best interest and welfare of the child. Indeed, specifically included in the rule as one of the matters to be considered and weighed is the “likelihood of reasonable rehabilitation of the child by the use of services and facilities currently available to juvenile court.” Further, the rule directs the juvenile court to consider the sophistication and maturity of the child as well as the child’s physical, mental and emotional condition. With the purpose and guidelines of Rule 14 in mind, we now turn to the evidence which supports the findings of the juvenile court.
There was probable cause to believe that appellant basically shot and killed his adop tive parents and sister while they slept in their beds. There is evidence that the attack was unprovoked and that it was done for pecuniary gain. Prior to the incident in question, appellant had been incorrigible, rebellious and verbally abusive. He ran away from home repeatedly and was involved at an early age in the use of illegal drugs and alcohol. He supplemented his allowance by dealing in illicit drugs. Outside of the home, his behavior was generally disruptive, combative, and insubordinate. He was rebellious to authority figures and violated school rules, resulting in his expulsion from high school for cumulative violations. He had been afforded psychological counseling and services without apparent success. Prior to the current incident, appellant was referred to the Maricopa County Juvenile Court on four occasions for charges including criminal damage, shoplifting, and second degree burglary.
Appellant relies heavily on the almost unanimous opinion of the mental health experts that appellant’s alleged triple murder and related crimes did not reflect his true character and that it was a one-time occurrence brought on by drug abuse and was not likely to reoccur with proper treatment. This treatment, they opined, could most likely be successfully completed before it became necessary to release appellant back into society on his eighteenth birthday; i.e., June 16, 1987. However, the juvenile judge declined the invitation to engage in a game-of-chance and chose instead to rely on the objective evidence. Although the juvenile court, in determining whether to transfer a juvenile for trial as an adult, should inform itself as to all aspects of the behavioral sciences as they specifically apply and should consider and be receptive to experts in the field, the court should also properly consider the particular juvenile’s record in the past and his amenability to the juvenile processes that the record discloses. Appeal in Juvenile Action J-72804, 18 Ariz.App. 560; 504 P.2d 501 (1972). Further, in juvenile transfer proceedings, the juvenile court is not bound by psychologists’ recommendations any more than a trial judge is bound by the recommendations of a probation officer in criminal proceedings in superior court. Appeal in Juvenile Action J-93117, 134 Ariz. 105, 654 P.2d 39 (App.1982).
Appellant correctly points out that the evidence did not support the juvenile court’s finding that the treatment and facilities available in the juvenile system would also be available to a juvenile who is incarcerated as an adult. Considered as a whole, however, we find that the court’s order of transfer was adequately supported by the findings and the evidence. In that regard, one of the factors that Juvenile Rule 14 requires the court to consider in determining whether the jurisdiction of the juvenile court should be waived and the child transferred for criminal prosecution is “the seriousness of the alleged offense and whether it was committed in an aggressive, violent, premeditated, or wilfull manner.” Under the alleged facts of the instant case, there was clearly no abuse of discretion on the part of the juvenile court.
For the foregoing reasons, the transfer order is affirmed.
EUBANK and KLEINSCHMIDT, JJ., concur.
. Juvenile Rule 14 in pertinent part provides:
(a) The transfer hearing shall be conducted in two phases: first, the determination of probable cause and second, the determination of transfer. The two phases may be heard consecutively on the same date or may be heard on separate dates, in the discretion of the court. The child may waive an evidentiary hearing on either phase of the transfer hearing.
(b) The probable cause phase of the hearing shall be conducted in accordance with Rules 5.3 and 5.4(c), Arizona Rules of Criminal Procedure. Objections to evidence on the ground that it was acquired by unlawful means shall be inapplicable in the probable cause hearing. The court shall find whether there is probable cause to believe that the offense has been committed and that the child committed it. If the court finds that probable cause does not exist, the court shall dismiss the matter.
(c) If the court determines that there is probable cause to believe that the offense has been committed and that the child committed it, the court shall then determine whether the public safety or interest would best be served by the transfer of the child for criminal prosecution.
Subsection (c) lists various factors which the juvenile court shall consider in its determination of whether to waive jurisdiction and remand to adult court. The factors are footnoted in this opinion where pertinent to the legal analysis.
. Juvenile Rule 19 provides, in relevant part, as follows:
In any hearing pursuant to these rules, the general public may be excluded and only such persons admitted as have a direct interest in the case. (Emphasis added.)
. We note that no special action was filed in advance of the hearing challenging the juvenile court’s refusal to conduct a closed hearing. It appears that this would have been the more appropriate remedy.
. Notwithstanding appellant’s emotional dysfunction, all of the experts agreed that he was of average intelligence.
. The remainder of Rule 14(c) lists factors which the juvenile court shall consider in determining whether to waive jurisdiction and transfer the juvenile to adult court:
In deciding whether the jurisdiction of the juvenile court should be waived and the child transferred for criminal prosecution, the court shall consider the following factors:
(1) the seriousness of the alleged offense and whether it was committed in an aggressive, violent, premeditated or willful manner;
(2) whether the alleged offense was against person or against property, and whether personal injury resulted;
(3) the sophistication and maturity of the child as determined by consideration of the child’s age, intelligence, education, environment, emotional attitude and pattern of living;
(4) the child’s physical, mental and emotional condition;
(5) the record and previous history of the child, including previous contacts with juvenile courts and law enforcement agencies in this and other jurisdictions, prior periods of probation in any court and their results, and any prior commitments to juvenile residential placements and secure institutions;
(6) whether the child has previously been transferred for criminal prosecution in this or any other state;
(7) the prospects for adequate protection of the public and the likelihood of reasonable rehabilitation of the child by the use of services and facilities currently available to juvenile court; and
(8) any other factors which appear to be relevant to the determination of the transfer issue.
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OPINION
FERNANDEZ, Judge.
Appellants seek to hold appellee landowners liable for the death of appellants’ son who was killed while he was assisting in the installation of appellees’ mobile home as an employee of the moving service company engaged by appellees. The company, G & L Mobile Home Movers & Service, Inc., (hereinafter G & L) was apparently unlicensed and carried no workers’ compensation insurance at the time of the acci dent. The trial court granted appellees’ summary judgment motion, and this appeal followed.
Appellees, James and Betty Parrett, hired G & L under an oral agreement, to move their mobile home from a mobile home park to a lot they had purchased. While the mobile home was being leveled, one of the hydraulic jacks under it slipped, and the mobile home fell on Gabriel A. Cordova, Jr. and crushed him. At the time the only employees of G & L at the site were decedent who was 19 and Dennis Hill who had turned 16 a few weeks earlier. Robert Gibson, the son of the owner of G & L, Frank Gibson, had been overseeing and assisting in the installation but had left a half-hour to an hour before the accident.
The Parretts were at the lot at the time of the accident. Betty was watching the activity with her daughter-in-law and small grandchild. James and his son were digging a trench and laying water lines in an effort to save money on the move. Appellees’ only connection with the mobile home installation by G & L was an indication by James where he wanted the home located. Dennis Hill testified in his deposition that the location of the mobile home on the lot had nothing to do with the accident. All other aspects of the move were handled by G & L.
Appellants seek to hold appellees liable under any of several theories of the Restatement (Second) of Torts (1965), namely §§ 318, 411, 413, 414, 424 and 427A. Alternatively, they ask us to overrule Welker v. Kennecott Copper Company, 1 Ariz.App. 395, 403 P.2d 330 (1965). We can perceive no valid reason in this case for overruling Welker, and we find no merit in appellants’ attempt to apply the listed Restatement sections to this situation.
Appellants initially contend appellees are liable under Restatement (Second) of Torts § 424 (1965) on the ground that failure to abide by a statute or regulation which imposes a duty to safeguard others gives rise to liability for a resulting injury. They rely upon A.A.R.R. R4-34202(B)(1)(a) which specifies the distance at which supports are to be placed in the installation of mobile homes. It is argued the regulation imposes a non-delegable duty upon an owner. In addition to the fact that there was no evidence the regulation had been violated, the regulation does not apply to landowners such as appellees but to licensed installers of mobile homes. A.R.S. § 32-1178.01. More importantly, however, § 424 of the Restatement has been held to be inapplicable in Arizona. Sullins v. Third and Catalina, Inc., 124 Ariz. 114, 602 P.2d 495 (App.1979). Division One of this court stated in Sullins that § 424 does not apply in the area of tort law governing the relationship of the employer of an independent contractor to an employee of that contractor.
Next appellants seek to hold appellees liable under § 411 of the Restatement. That section imposes liability upon the employer of an independent contractor for failure to exercise reasonable care in employing a competent contractor if the work to be performed requires skill in order to avoid the risk of harm to others. Their complaint as to the incompetence of the contractor is with regard to his being unlicensed and failing to have workers’ compensation insurance, as to which there was no competent evidence. The competence of the contractor referred to in § 411, however, relates to his “knowledge, skill, experience, and available equipment.” Comment a. There is no contention such qualities caused the accident here. Moreover, comment g to that section specifically states it is not applicable to a financially irresponsible contractor.
The cases cited by appellants, decidedly of a minority view, do not warrant the adoption of a new rule in this jurisdiction with regard to financially irresponsible contractors (even if that issue had been raised by competent evidence) under the facts of this case. In Becker v. Interstate Properties, 569 F.2d 1203 (3d Cir.), cert. denied, 436 U.S. 906, 98 S.Ct. 2237, 56 L.Ed.2d 404 (1978), the court found the developer of a shopping center project could be held liable to. an employee of a sub-subcontractor who carried no workers’ compensation insurance and who was only minimally capitalized. The ruling was based on a policy decision that between the victim and the developer, the developer should bear the burden of the loss because it was “a substantial entrepreneur and a member of an industry that carries large liability insurance policies as a matter of course.” 569 F.2d at 1210. The court also noted that the developer had negotiated at length with the contractor on the matter of insurance coverage and was thus in a better position to assure financial responsibility.
No such policy reasons exist in this case. Appellees are not in the business of having mobile homes moved. They have no expertise or experience in moving mobile homes and are not in a position to ensure the financial responsibility of the company they hired to move their home. Comment c to §411 notes that an inexperienced widow employing a contractor to build a house is not expected to have the same information on the contractor’s competence as would a bank seeking to build the same house. Appellees are akin to the widow, not to the bank.
Appellants next contend the work in which decedent was engaged was an abnormally dangerous activity; thus, appellees are liable under § 427A of the Restatement. There is no merit to this contention either.. Appellants erroneously claim that whether or not an activity is abnormally dangerous is a fact question. On the contrary, such determinations are for the court to make. Correa v. Curbey, 124 Ariz. 480, 605 P.2d 458 (App.1979); Restatement (Second) of Torts § 520, comment / (1965). The factors that are to be considered in determining if an activity is an abnormally dangerous one are found in Restatement (Second) of Torts § 520 (1965); they indicate there is no question that the installation of a mobile home is not abnormally dangerous. According to comment f to § 520, “[t]he essential question is whether the risk created is so unusual, either because of its magnitude or because of the circumstances surrounding it, as to justify the imposition of strict liability for the harm that results from it, even though it is carried on with all reasonable care.” There is no risk of harm if the installation is carried on with reasonable care.
Appellants also contend § 413 of the Restatement (Second) of Torts (1965) imposes liability upon appellees. That section applies to one who entrusts to a contractor work that is likely to create a peculiar unreasonable risk of harm unless special precautions are taken. The section imposes no liability here because it has been held to be inapplicable in Arizona to injuries suffered by employees of the independent contractor. Welker v. Kennecott Copper Company, supra; Parks v. Atkinson, 19 Ariz.App. 111, 505 P.2d 279 (1973).
Appellants also argue that § 414 of the Restatement applies here. Although that section does apply to employees of independent contractors, the retained control that triggers liability is not retained control over the premises but over the manner in which the work is done. Mason v. Arizona Public Serv. Co., 127 Ariz. 546, 622 P.2d 493 (App.1980); comment c to § 414. The control must be over the method of doing details of the work and must be such that the contractor is not entirely free to do the work in his own way. Koepke v. Carter Hawley Hale Stores, Inc., 140 Ariz. 420, 682 P.2d 425 (App.1984). The only control retained in this case was over the location of the mobile home on the lot. A fellow employee of the decedent testified that decision had nothing to do with the accident. There is no liability under § 414.
Finally, appellants urge the imposition of liability under § 318 of the Restatement. That section creates a duty in a possessor of land who permits a third person to use the land to control the third person’s conduct so as to prevent him from intentionally harming others or from creating an unreasonable risk of bodily harm. There is no evidence of any intentional harm in this case. With regard to any unreasonable risk of harm, § 318 requires that the land possessor know or should know of the necessity to control the third person’s conduct. The evidence shows appellees had no knowledge of, nor experience in, moving mobile homes. They had no reason to know of any necessity to control the actions of G & L. Appellants’ citation of State v. Brown, 129 Ariz. 347, 631 P.2d 129 (App.1981) is inapposite. In that case part of the instruction to the jury deciding a manslaughter charge was taken from § 318 of the Restatement. There the owner of a boarding home was held liable for the death of a woman she had agreed to provide care for, whom she had entrusted to a 17-year-old under her control. In this case appellees were not responsible for decedent prior to his accident and had no reason to control G & L’s activities nor did they control them.
We find appellees are not subject to any liability for the accident in question. Because we find that the appeal is frivolous, attorneys’ fees on appeal are awarded to appellees pursuant to A.R.S. § 12-341.-01(C) and Rule 21(c), Rules of Civil Appellate Procedure. Judgment affirmed.
BIRDSALL, P.J., and HOWARD, J., concur.
. Appellants refer repeatedly in their argument to G & L’s unlicensed status and failure to carry worker’s compensation insurance. Their evidence on those matters was unauthenticated and presented without a proper foundation having been laid. Appellees’ motion to strike the evidence was never ruled upon, but it is clear the evidence was inadmissible. Rule 901 and 902, Rules of Evidence, 17A A.R.S.
|
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OPINION
HOWARD, Judge.
In this appeal appellant contends that A.R.S. § 13-3405(C)(3) which makes it un lawful to knowingly “transport, import into this state, sell, transfer or offer to transport, import into this state, sell or transfer marijuana” (emphasis added) is unconstitutionally vague and overbroad. We do not agree and we affirm.
Appellant was charged by indictment with transportation of marijuana, a class 2 felony, and misconduct involving weapons. The weapons charge was subsequently dismissed by the prosecution.
The record shows that on April 15, 1984, at 5:30 p.m., Officer Davis of the Department of Public Safety observed a 1983 white Ford Thunderbird traveling eastbound on 1-40, ten miles east of Seligman, Arizona at a speed estimated at 70 m.p.h. Upon radar verification of the speed, Davis pursued to stop the vehicle. After learning via the radio that the vehicle was reported stolen, Davis arrested appellant, the driver and sole occupant, and conducted an inventory search of the vehicle prior to its impoundment. This search revealed two plastic bags inside a duffel bag. The plastic bags contained 46.39 grams of marijuana. Appellant was arrested and advised of his rights. He denied all knowledge of the presence of the contraband, claiming that it must have been planted in the vehicle by the Mafia.
At trial, appellant claimed that he had acquired the marijuana from a dealer in California while working with the DEA (Drug Enforcement Agency). When he learned that his life was in danger he left California for the east coast, mistakenly taking the marijuana in place of a bag of medication.
The jury rejected appellant’s story and found him guilty of transportation of marijuana. The trial court suspended imposition of sentence and placed appellant on probation for four years on the condition that appellant serve 105 days in the Yavapai County Jail with credit for 100 days served.
Appellant contends that the statute is vague because the word “transport” is not defined in the statute. He further contends that a person of ordinary intelligence cannot understand the meaning of the word “transport” because there is no indication in the statute as to the means of transportation, the distance required to be traveled, or the quantity of marijuana needed for conviction. Therefore, he reasons, a person can have no reasonable basis for controlling his conduct so as to conform with this law.
A statute defining a criminal offense is not vague, in violation of constitutional due process, if it can be understood by a person of average intelligence. It must give sufficient warning to the public to allow persons to conform their conduct accordingly. State v. Carruth, 132 Ariz. 368, 645 P.2d 1282 (App.1982). The burden is on the challenger to establish the statute’s invalidity beyond a reasonable doubt. State v. Lycett, 133 Ariz. 185, 650 P.2d 487 (App.1982). Statutory construction applies generally accepted meanings to challenged words or terms. State v. Cook, 139 Ariz. 406, 678 P.2d 987 (App.1984). The word “transport” is defined in Webster’s New Collegiate Dictionary, at 1233 (1980) as “to transfer or convey from once place to another.” Substantially the same definition is found in Black’s Law Dictionary at 1344 (5th Ed.1979). It does not matter whether you are conveying it by means of a bicycle, an airplane or by foot, or whether you are going 10 miles or 10 feet. The quantity of marijuana prohibited is any useable amount. State v. Murphy, 117 Ariz. 57, 570 P.2d 1070 (1977). The statute could not be clearer.
Affirmed.
BIRDSALL, P.J., and FERNANDEZ, J., concur.
NOTE: This cause was decided by the Judges of Division Two as authorized by A.R.S. § 12-120(E).
. See also cases involving violation of liquor laws. State v. Weis, 52 S.D. 104, 216 N.W. 863, 864 (1927) (carrying a bottle of beer a few feet from automobile to two women sitting on the running board of another car is "transportation"); Liquor Transportation Cases, 140 Tenn. 582, 205 S.W. 423 (1918) (a carrying of intoxicating liquors from a train to depot platforms is "transportation"); Blanks v. State, 169 Tex.Cr.R. 599, 336 S.W.2d 430 (App.1960); Lee v. State, 164 Tex.Cr.R. 106, 296 S.W.2d 782 (App.1956).
|
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OPINION
LACAGNINA, Judge.
This case involves three indictments with multiple counts. The May 10, 1983 indictment charged appellant Fierson with one count of theft over $1,000 and one count of fraudulent scheme and artifice occurring between September 9 and November 2, 1982, both arising out of the same incident. The state filed an allegation of a prior 1976 felony conviction. The July 8, 1983 indictment charged one count of fraudulent scheme and artifice and one count of theft over $100 occurring between January 22 and March 15, 1982, both arising out of the same incident. The August 17, 1983 indictment charged one count of attempted fraudulent scheme and artifice occurring between December 1980 and March 1983 and one count of perjury occurring on June 4, 1981, both arising out of the same incident. The state alleged one prior felony conviction in the July and August indictments and alleged each of the six pending counts were prior convictions to each other. Consolidation of all cases was permitted on the basis of a common scheme or plan. Following consolidation, the charges were denominated as counts one through six.
The perjury count (count six) was dismissed upon judgment of acquittal, and the jury found Fierson guilty of all other counts. Sentence was imposed on each count as a repetitive offense with five prior convictions to be served concurrently, the longest sentence to be 15.75 years and the shortest 10 years.
Fierson alleges the following major errors by the trial court:
1. Failure to dismiss the indictments because taped evidence was destroyed and failure to give defendant’s requested “Willits” instruction to the jury;
2. Failure to dismiss the counts of the indictment charging theft and fraudulent scheme and failure to direct a verdict on the theft and fraudulent scheme charges;
3. Permitting impeachment of Fierson by permitting disclosure of prior felony conviction;
4. Granting the state’s motion to consolidate the three causes for trial; and
5. Finding each prior charge to be a prior conviction of every other charge for enhancement of punishment.
We reverse the trial court for failing to dismiss or direct a verdict on the two theft counts and for the use of five prior convictions to enhance the punishment and affirm the convictions for fraudulent scheme and artifice.
I. DISMISSAL OF ACTION FOR DESTRUCTION OF EVIDENCE NOT WARRANTED AND JURY INSTRUCTION SUFFICIENT REMEDY.
Fierson argues the case should have been dismissed because an investigating officer of Department of Public Safety assigned to investigate his application for a private investigator’s license taped interviews of witnesses prior to a hearing on his application. After Fierson withdrew his application at the hearing, the tapes were re-used, and only a portion of one tape remained unaltered.
There was sufficient evidence to support the trial court’s finding that the destruction of the tapes was not done as a result of bad faith and connivance, and Fierson suffered no prejudice. Fierson did have access to the investigator and his written reports. The witnesses’ interviews were conducted solely for an investigation for Fierson’s application for a private investigator’s license, an administrative proceeding and not a criminal action. In any event, the jury instruction given pursuant to State v. Willits, 96 Ariz. 184, 393 P.2d 274 (1964), was adequate and afforded Fierson the opportunity to argue, and he did, that the destruction could create a reasonable doubt as to his guilt. There is a difference between the destruction of physical evidence used in the commission of a crime and the destruction of statements by witnesses who are available for examination and cross-examination. The loss of physical evidence as in State v. Hannah, 120 Ariz. 1, 583 P.2d 888 (1978), with a clear showing of prejudice requires dismissal, but in this case Fierson failed to establish the requisite prejudice to entitle him to a dismissal.
II. PRIOR FELONY CONVICTIONS PROPERLY USED FOR IMPEACHMENT EVEN THOUGH CIVIL RIGHTS RESTORED.
In 1976 Fierson was convicted of attempted receiving or buying stolen property. On May 23, 1979, the judgment was set aside and his civil rights restored. The trial court found that the relevancy and materiality of the conviction outweighed its prejudicial effect. The decision to admit evidence of a prior conviction for impeachment is left to the sound discretion of the trial judge, State v. Noble, 126 Ariz. 41, 612 P.2d 497 (1980), and the exercise of this discretion should not be disturbed absent a clear showing of abuse. State v. Dixon, 126 Ariz. 613, 617 P.2d 779 (App.1980); Rule 609(a), Rules of Evidence, 16 A.R.S. Fierson claims that his restoration of civil rights prohibited impeachment by proof of a prior conviction. Our court has carefully analyzed the effect of an order pursuant to A.R.S. § 13-907 dismissing a judgment of conviction and restoring civil rights upon the operation of Rule 609(c), Rules of Evidence, 16 A.R.S., limiting use of conviction for impeachment under certain circumstances. In Blankinship v. Duarte, 137 Ariz. 217, 669 P.2d 994 (1983), this court of appeals held that the evidence of conviction was inadmissible only if the order restoring civil rights was based on a finding of rehabilitation or a finding of innocence, and the finding must be explicit and not implied. There was no evidence before the trial court to show that the order of restoration of rights was made upon an explicit finding of rehabilitation or innocence.
III. CONSOLIDATION PROPER WHEN OFFENSES ARE PART OF A COMMON SCHEME AND PLAN.
Fierson’s conduct leading to the charges in all three indictments was identical. After vehicular accidents on three separate occasions (not planned by defendant), he claimed guard dogs used in his security business were either injured or killed. The procedure used to defraud the insurance companies responsible for payment of his claims was the same. Evidence during the trial showed his claims were false and that he was paid for some dogs that lived and others that were not injured.
Consolidation is within the trial court's sound discretion. State v. Kinkade, 140 Ariz. 91, 680 P.2d 801 (1984). Under the circumstances of this case, there was no abuse of discretion, and further, Fierson has failed to show that he suffered any prejudice from the consolidation. State v. Cruz, 137 Ariz. 541, 672 P.2d 470 (1983).
Fierson’s argument that consolidation allowed evidence of multiple offenses is not well taken. Rule 404(b), Rules of Evidence, 17A A.R.S., allows evidence of other crimes to prove intent, plan, knowledge, or absence of mistake or accident. Fierson was charged with fraudulent plan and scheme, and even without consolidation, evidence of the other offenses could have been admitted at each separate trial. State v. Hanson, 138 Ariz. 296, 674 P.2d 850 (1983).
IV. ARIZONA REVISED STATUTE § 13-1802CAX3) REQUIRES PROOF OF RELIANCE BY VICTIM.
Fierson’s motion for directed verdict or dismissal on the counts of theft pursuant to § 13-1802(A)(3), obtaining property of another by means of any material misrepresentation with intent to deprive him of such property, should have been granted. The releases prepared by the insurance companies for execution by Fierson upon payment of his claims for the injured and dead dogs clearly indicate the lack of reliance by the insurance companies on Fierson’s representations.
Briefly stated and paraphrased, the releases contain provisions which state the following:
1. An understanding and agreement that the settlement was a compromise of a doubtful and disputed claim;
2. Payment was made merely to avoid litigation and to buy peace;
3. The insurance company relied solely upon its judgment, belief and knowledge of the nature, extent and duration of the injuries; and
4. Payment was made without reliance upon any statement or representations of the parties.
One of the elements of grand theft by false pretenses is the existence of reliance. The victim must have parted with his money in reliance upon a false representation. State v. Jahns, 133 Ariz. 562, 565, 653 P.2d 19, 21 (1982), quoting State v. Mills, 96 Ariz. 377 at 381, 396 P.2d 5 at 8 (1964). The false representation must, in addition, be the decisive influence operating upon the mind of the person to induce the giving up of money. State v. Brown, 97 Ariz. 310, 315, 400 P.2d 111, 114 (1965).
In addition to the statements appearing in the releases, the testimony of the claims agents indicated that they did not rely on any representations by Fierson in settling the claims; therefore, the convictions for false pretenses must be set aside.
An examination of the criminal statutes covering Fierson’s conduct supports our ruling and our view of their applicability to a fraudulent insurance claim. The state could have, but did not, charge Fierson with violation of A.R.S. § 44-1220, fraudulent insurance claim. The prosecutor has the sole discretion to decide which offense to charge. State v. Patton, 136 Ariz. 243, 665 P.2d 587 (1983). The gravamen of that offense is the intent to defraud, and there is no requirement that the misrepresentation be material. State v. Galioto, 126 Ariz. 188, 613 P.2d 852 (1980).
On the other hand, the indictment did charge violation of A.R.S. § 13-2310, fraudulent scheme and artifice, which eliminates in section (B) reliance as a defense. It is for this reason Fierson’s convictions for violation of § 13-2310(A) are affirmed, reliance not being a necessary element of the offense.
V. SENTENCES IMPOSED IMPROPER AND HEREIN CORRECTED.
The trial court imposed sentences on the five convictions and designated each sentence as repetitive with five prior convictions. The priors used by the trial court were the use of Fierson’s admitted 1976 conviction and four of the five convictions based on authority of § 13-604(H) and State v. Hannah, supra.
Fierson contends § 13-604(H) prohibits the use of convictions committed on the same occasion as prior convictions to each other for sentence enhancement. He is correct. However, in view of our reversal of the two convictions for theft which covered the same conduct as two of the counts for fraudulent scheme and artifice, Fierson now stands convicted in this case of two counts of fraudulent scheme and one of attempted fraudulent scheme, all committed on separate occasions. Applying the rule in State v. Diaz, 142 Ariz. 136, 688 P.2d 1011 (1984), so that a defendant is not penalized over and above what he would receive if the offenses had been tried separately, we find the following and amend his sentences accordingly:
1. The 1976 admitted felony conviction is a prior to all three convictions;
2. The conviction on Count Two is a prior to Counts Three and Five; therefore, Count Two, fraudulent scheme, a class 2 felony, with one prior is modified to 10.5 years;
3. The sentence on Count Three, fraudulent scheme, with two or more priors remains at 15.75 years; .and
4. The sentence on Count Five, attempted fraudulent scheme, with two or more priors remains at 11.25 years.
All of the above are to run concurrently.
Fierson claimed the trial court erred by precluding cross-examination for impeachment of a prosecution witness based on a misdemeanor conviction; by permitting an amendment to the indictment to correctly classify the offense of attempted fraudulent scheme and artifice from a class 5 felony to a class 3 felony; and by failing to release defendant on bond pending appeal. All of Fierson’s contentions and arguments have been reviewed and are not supported by the record and/or ■ lack any merit whatsoever, and the action of the trial court in these matters is affirmed.
AFFIRMED IN PART, REVERSED IN PART AND SENTENCE MODIFIED.
HATHAWAY, P.J., and LIVERMORE, J., concur.
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OPINION
PER CURIAM.
Defendant was indicted on one count of leaving the scene of an accident. On De cember 5, 1983, defendant was driving a vehicle which was struck by a motorcycle. The motorcyclist suffered severe injuries. The defendant fled on foot. The indictment states, in part, that defendant “failed to remain at the scene of said accident and render aid as required in A.R.S. § 28-663, in violation of A.R.S. §§ 28-661,____”
Defendant pled guilty, and at the change of plea hearing the trial court established that defendant (1) had been operating the vehicle (2) was involved in an accident which (3) resulted in injuries to another person and that, after the accident (4) defendant “didn’t stay there to check out and see if [he] needed to render aid or assistance.” This provided the factual basis for accepting the plea.
The presentence report noted that defendant denied responsibility for causing the accident and concluded that the defendant lacked remorse for his actions. At the sentencing hearing, defendant’s lawyer objected to this reference. He stated that defendant was remorseful for leaving the scene of the accident (the crime for which he had pled guilty) but argued that his fleeing the scene was not probative of whether or not defendant had caused the accident. The trial court sentenced defendant to the presumptive term of 1.5 years in prison and ordered him to pay a fine of “$3,000 which fine shall.be treated as restitution to the victim.” Defendant appeals only from that portion of the sentence ordering restitution.
Defendant’s position on appeal is that the sentence imposing a fine in the nature of restitution is inappropriate because there was no showing that he was at fault in the accident. We agree.
The trial judge explicitly avoided any determination of fault. He stated that the “offense is the fact that after the accident ... he didn’t stay there as required by statute.” The statute, A.R.S. § 28-661, requires a driver to stop at the scene of the accident and remain there until the requirements of A.R.S. § 28-663 have been fulfilled. Under § 28-663, the driver must give certain information to the person injured and render “reasonable assistance” to the injured person. In the case at bench it is clear that defendant violated § 28-661. There are no facts, however, which establish his fault for the accident nor that the motorcyclist suffered any aggravation to his injuries by defendant’s criminal act in fleeing the scene.
Under these circumstances, the case law is clear and an order of restitution is not warranted. Redewill v. Superior Court, 43 Ariz. 68, 29 P.2d 475 (1934); State v. Monick, 125 Ariz. 593, 611 P.2d 946 (App. 1980); State v. Reese, 124 Ariz. 212, 603 P.2d 104 (App.1979).
The state concedes the general principle but believes that a “statutory wrinkle” justifies the restitution portion of this particular sentence. A.R.S. § 13-803(D) excludes all but a few traffic offenses from orders of restitution. One exception is for violations of A.R.S. § 28-661. The state then asserts that if restitution is not appropriate in this instance then the reference to A.R.S. § 28-661 in A.R.S. § 13-803(D) is a nullity. This is not so. There may be cases in which leaving the scene of an accident may aggravate the initial injuries suffered in the accident. This type of harm is what § 28-661 is designed to avoid (by its incorporation of § 28-663). We need not reach the issue of whether restitution would be appropriate in cases where liability for the accident had clearly been determined. Such liability is not at issue in the case at bench. It was never decided who was at fault for the accident. Under these circumstances there was no basis for imposing a sentence requiring restitution.
The conviction is affirmed. The case is remanded for determination as to whether the fine is to be imposed in view of this decision when it cannot be imposed for restitution.
|
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OPINION
HOWARD, Judge.
Appellant was convicted of two counts of felony theft and sentenced to 13.25 years’ imprisonment. The sole issue in this appeal is whether appellant was denied a speedy trial under the Sixth Amendment to the United States Constitution, Article 2, § 24 of the Arizona State Constitution and Rule 8.3(a), Rules of Criminal Procedure, 17 A.R.S. A timely defense motion to dismiss on this ground was denied by the trial court.
On August 11, 1982, appellant was arrested in Tucson for the theft of an automobile and the theft of certain tools found in the automobile. Appellant filed a bond of $2,500 and was released on August 12. On August 13, the county attorney filed a motion to reconsider the conditions of release and to hold appellant without bond because the thefts were committed while appellant was already on bail or on his own recognizance on a separate felony charge. Appellant failed to appear at the August 17 hearing on that motion. At the hearing, the court granted the motion, ordering that appellant surrender at the Pima County Jail on August 18 and that he be held without bond. Appellant did not appear at the jail as ordered.
On August 18, the grand jury indicted appellant on the above-mentioned charges of theft involving the car and tools. A bench warrant for appellant’s arrest was issued on August 19 because appellant failed to surrender to authorities. In a letter to the Pima County Attorney dated September 9, 1982, defense counsel confirmed that appellant was in custody in Idaho on state and federal charges and requested appellant’s return to Arizona, urging that the prosecutor accomplish the transfer immediately without awaiting the resolution of appellant’s charges in Idaho. The deputy county attorney responded in writing on September 30 by stating that he believed the proceedings to obtain temporary custody for trial had already begun. On November 29, 1982, appellant was convicted of the interstate transportation of a stolen vehicle, a federal felony offense, and was incarcerated at a federal correctional facility in El Reno, Oklahoma. On January 14, 1983, 127 days after appellant’s written request for transfer, an employee of the Pima County Attorney’s Office wrote to the warden of the El Reno facility, apparently in the state’s first attempt to secure appellant’s presence for trial in Arizona. Repeated letters to El Reno finally resulted in appellant’s transfer to Arizona on August 29, 1983. Following a jury trial, appellant was convicted of one count of class 3 felony theft and one count of class 5 felony theft. Having found that appellant committed the thefts while released on bail, the trial judge sentenced appellant to the enhanced presumptive prison term of 13.25 years — 11.25 for the felony thefts and two years for committing a felony while released on bail. Appellant received credit for 128 days of pretrial incarceration in Arizona.
Appellant concedes that once he was brought back to Arizona his subsequent trial was held within the time limit imposed by the second prong of Rule 8.3(a). His sole contention is that his constitutional and statutory rights to a speedy trial were denied when the state, in violation of the first prong of Rule 8.3(a), failed to take steps to secure appellant’s presence in Arizona within 90 days of appellant’s written request.
The Sixth Amendment to the United States Constitution and Article 2, § 24, of the Arizona Constitution entitle an accused person to a speedy public trial. Rule 8.3, Rules of Criminal Procedure, 17 A.R.S., specifically provides speedy trial time limits for persons incarcerated. It states, in pertinent part:
“a. Persons Without the State. Within 90 days after receipt of a written request from any person charged with a crime and incarcerated without the state, ... the prosecutor shall take action as required by law to obtain such person’s presence for trial____”
Rule 8.6, as amended, states that if the time limits established by Rule 8.3(a) have been violated, the case shall be dismissed.
The Rule 8 speedy trial right restricts the state more than the Sixth Amendment. State v. Tucker, 133 Ariz. 304, 651 P.2d 359 (1982); State ex rel. Berger v. Superior Court, 111 Ariz. 335, 529 P.2d 686 (1974). Therefore, should we find that the precise time limit set by Rule 8 was violated, we would be required to order the case dismissed, pursuant to Rule 8.6, without reaching appellant’s constitutional claim. We find, however, that appellant’s reliance on Rule 8.3 is, for the most part, misplaced, because the rule does not apply to periods of pretrial detention outside the state.
The comment to Rule 8.3(a) states that the rule is intended to supplement the provisions of the Interstate Agreement On Detainers, of which Arizona is a member along with Idaho and most other states as well as the federal government. When detainer issues under the agreement, it puts prison officials on notice that an inmate is wanted for trial in another jurisdiction. Further action by the issuing state is necessary to obtain custody of a prisoner. See Agreement on Detainers, A.R.S. § 31-481; United States v. Mauro, 436 U.S. 340, 98 S.Ct. 1834, 56 L.Ed.2d 329 (1978). The purpose of the agreement is to minimize interference with programs of prisoner treatment and rehabilitation of persons serving a sentence in one jurisdiction who have untried charges pending against them in another. A.R.S. § 31-481 art. I; United States v. Roberts, 548 F.2d 665 (6th Cir. 1977), cert. denied, 431 U.S. 931, 97 S.Ct. 2636, 53 L.Ed.2d 246. The provisions of the statute apply only to a person who is serving a “term of imprisonment.” A.R.S. § 31-481 art. III; Seymour v. State, 21 Ariz.App. 12, 515 P.2d 39 (1973). Courts have unanimously refused to apply the statute to pretrial detainees. See United States v. Dobson, 585 F.2d 55 (3rd Cir. 1978), cert. denied, 439 U.S. 899, 99 S.Ct. 264, 58 L.Ed.2d 247; and cases cited therein.
A pretrial detainee has no immediate interest in any institutional program of treatment or rehabilitation because the nature of his continued confinement is uncertain and contingent upon the outcome of the trial and the imposition of sentence. United States v. Roberts, supra. In Roberts, the court stated:
“We conclude that the Agreement is only concerned that a sentenced prisoner who has entered into the life of the institution to which he has been committed for a term of imprisonment not have programs of treatment and rehabilitation obstructed by numerous absences in connection with successive proceedings related to pending charges in another jurisdiction. There is no indication in the language of the Agreement or in the legislative history that its provisions were intended to apply to persons being detained for trial who are not serving prison sentences.” 548 F.2d at 670-71.
We agree with the reasoning of the Roberts court and hold that the time limits of Rule 8.3(a) do not apply to periods of pretrial detention outside Arizona. Appellant was a pretrial detainee in Idaho until he was convicted on November 9, 1982. The Rule 8.3(a) 90-day time period did not begin to run until appellant began to serve the sentence imposed for that conviction. The county attorney’s January 14, 1983, request for custody was therefore timely under Rule 8.3(a).
Turning to appellant’s constitutional claim, we find no violation of his right to a speedy trial. Assuming arguendo that appellant’s trial was delayed beyond applicable time limits, our analysis of the record nevertheless leads to the conclusion that no violation occurred. The United States Supreme Court employs four factors to determine whether a delay of trial warrants the reversal of a conviction: (1) the length of the delay; (2) the reason for the delay; (3) defendant’s assertion of the right, and (4) prejudice to the defendant resulting from the delay. Barker v. Wingo, 407 U.S. 514, 92 S.Ct. 2182, 33 L.Ed.2d 101 (1972). None of these factors is controlling, but while the length of delay is the least important, the most important is the prejudicial effect. State v. Parker, 116 Ariz. 3, 567 P.2d 319 (1977).
In the state’s response to appellant’s motion to dismiss, the prosecution recognized the need to bring appellant to trial at the earliest available time, stating that it had done “everything within its power that was not futile.” Any effort to secure his presence prior to the Idaho trial on state and federal charges would have been futile. The length of the subsequent delay, between the Idaho conviction and the county attorney’s first effort to obtain custody, was not of constitutional magnitude. Cf. Moore v. Arizona, 414 U.S. 25, 94 S.Ct. 188, 38 L.Ed.2d 183 (1973) (appellant was tried 28 months after his initial demand). Finally, and most important, we find that the delays did not cause prejudice to appellant. Appellant concedes that he was not prejudiced in the preparation of his defense but he alludes to other, less tangible forms of possible prejudice, such as interference resources, curtailment of association, public obloquy, and anxiety in the defendant, his family and friends. United States v. Marion, 404 U.S. 307, 92 S.Ct. 455, 30 L.Ed.2d 468 (1971). We note that few of these factors carry much weight in the case of an already incarcerated defendant. See Moore v. Arizona, supra. Appellant focuses upon an alleged denial of “opportunities that could be available to him, including full time credits.” Appellant’s sentences, however, were imposed concurrently with his federal sentence, and we see no other possible prejudice to appellant resulting from the process of acquiring custody over him for trial in Arizona. Appellant was not denied his constitutional right to a speedy trial.
The convictions and sentences imposed are affirmed.
BIRDSALL, P.J., and FERNANDEZ, J., concur.
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OPINION
HOWARD, Judge.
Mountain-Aire Refrigeration and Air Conditioning Company, Inc. (MountainAire) sued General Electric Company (G.E.) and Master Communications, Inc. (Master). Counts I and II of the complaint alleged the breach of express warranties contained in a conditional sales contract; Count III claimed a breach of implied warranty and Counts IV and V alleged consumer fraud.
Earlier in the case G.E. made a motion for partial summary judgment on Counts III through V, which was granted. The granting of that motion is not at issue here. G.E. later made a motion for summary judgment on Counts I and II, which the trial court granted. Mountain-Aire moved for a new trial, which was granted by the trial court. G.E. contends the trial court abused its discretion in granting the new trial. We do not agree. Mountain-Aire is an air conditioning, refrigeration and heating contractor operating in Tucson which provides both residential and commercial sales and services. It utilizes a mobile communication service in its business. It had been using communication equipment manufactured by Motorola, including a Motorola repeater unit located on Mt. Lemmon which relayed the signals from a base station to the mobile units. It was also leasing from General Communications Service a “patch-work” telephone system which relayed incoming customer calls to various employees’ residences for night and weekend business orders. This communication system was unsatisfactory.
In 1978, Master, a franchisee of G.E. for both the sale and service of G.E. equipment, replaced the Motorola equipment and General Communication Service system with G.E. equipment. By means of a conditional sales contract, Mountain-Aire purchased from G.E. the equipment necessary to replace an existing system. The contract, dated July 18, 1978, expressly warranted that the equipment conformed to specifications and was free from defects in materials, workmanship and title. The warranty was to last for one year, commencing upon the installation of the equipment or two months from the date of the shipment from the factory, whichever occurred first. However, the contract warranty was specifically conditioned upon the buyer promptly notifying G.E. of any defects within the warranty period. It is this notice requirement which formed the basis of G.E.’s motion for summary judgment on Counts I and II. Master also sold Mountain-Aire a monthly maintenance contract and leased it a new repeater site on Mt. Lemmon.
G.E. filed a request for interrogatories which contained, inter alia, the following question:
“12. State the exact wording of the ‘notice’ and the applicable time limits referred to in paragraph XVI of the First Amended Complaint, explaining by whom and when this defendant is claimed to have received same.”
The answer given by Mountain-Aire was as follows:
“January 2, 1981; letter to General Electric Credit Corp.
March 2, 1981; letter to General Electric Credit Corp.
July 9, 1981; letter to General Electric Credit Corp.
August 12, 1981; letter to General Electric Credit Corp.”
The record is also clear that the warranty period ended on June 21, 1980. According to the testimony of Ruth Birdsong, an employee of Mountain-Aire, she claims to have made, on some date after July 1, 1980, a telephone call to G.E. about the equipment.
The record also contains G.E.’s request for admissions to which Mountain-Aire had failed to respond. One of those requests asked Mountain-Aire to admit:
“... That any/all express warranties of GENERAL ELECTRIC provided in the Conditional Sales Contract made subject of this litigation had expired by their terms on or before July 15, 1980.”
Based upon the record, including the depositions, answers to interrogatories and admissions, G.E. moved for summary judgment on the ground that notice of defects was not given to it within the one-year warranty period. Mountain-Aire opposed the motion on the grounds, inter alia, that it gave notice to Master within the warranty period, that Master was G.E.’s agent and that, in any event, G.E. had waived the notice provision by its post-warranty assurances to Mountain-Aire.
The trial court awarded G.E. summary judgment and $12,000 for attorney’s fees.
Mountain-Aire moved for a new trial, reasserting the contention that notice to Master constituted notice to G.E.
The trial court granted the motion for new trial on the ground that there was still a fact question as to whether or not Mountain-Aire gave sufficient notice to G.E. of the claimed breach of express warranty within the time required by the contract.
The entire dispute in this case resolves itself into this: What evidence was there before the trial court on the motion for summary judgment that Mountain-Aire, within the warranty period, notified G.E., through its alleged agent Master, that the equipment it purchased was defective? Mountain-Aire contended that a letter it sent to Master on May 21, 1980, which letter was attached to its opposition to the motion for summary judgment, constituted sufficient notice. The letter states in part:
“Please be, advised that we wish to terminate our repeater services and all other services that your organization has to do with our company.
The so-called ‘Portable Phones’ are so useless that there is no possible way that we could have ever discontinued the use of the GCS answering service. The overall coverage and communication ability that this system provides is unacceptable.
I am sorry that it has come to this. Perhaps we should have been a more constant complainer. Now it has come to a matter of economics. For what we are paying for repeater site, rent, and equipment maintenance we feel that we can reimburse servicemen for their telephone calls for less money.
So far this has been very costly and I feel that it is going to cost me a great deal more before this is over, and we still won’t have radio communications.”
The Uniform Commercial Code as well as the contract requires notice of breach of contract after goods have been accepted. A.R.S. § 44-2370(C)(l), which was the governing provision of the U.C.C. at the time of this transaction, provides that the buyer must, within a reasonable time after he discovers or should have discovered any breach, notify the seller of the breach or be barred from any remedy. In J. White and R. Summers, Uniform Commercial Code (2nd ed. 1980) the authors comment on the sufficiency of the notice required:
“Finally, what constitutes sufficient •notice under 2-607(3)(a)? How explicit must it be? May it be oral? Must it threaten litigation? Quite clearly the drafters intended a loose test; a scribbled note on a bit of toilet paper will do:
‘The content of the notification need merely be sufficient to let the seller know that the transaction is still troublesome and must be watched. There is no reason to require that the notification which saves the buyer’s rights under this section must include a clear statement of all the objections that will be relied on by the buyer, as under the section covering statements of defects upon rejection (Section 2-605). Nor is there reason for requiring the notification to be a claim for damages or of any threatened litigation or other resort to a remedy. The notification which saves the buyer’s rights under this Article need only be such as informs the seller that the transaction is claimed to involve a breach, and thus opens the way for normal settlement through negotiation.’
Under this comment, it is difficult to conceive of words which, if put in writing, would not satisfy the notice requirement of 2-607. Indeed, a letter containing anything but the most exaggerated encomiums would seem to tell that the transaction ‘is still troublesome and must be watched.’ ” J. White and R. Summers, supra, at 425.
It is clear that the letter seems to tell that the transaction “is still troublesome and must be watched” and certainly would convey to a reasonable mind that there had been a breach of contract.
G.E. contends that the letter is insufficient notice because Master was acting in a dual capacity — as a franchisee and authorized service station, and on its own under its separate repair contract and under its lease of the repeater site. Thus, G.E. argues, if the letter indicates something was still “troublesome” it was only “troublesome” in relation to Master’s capacity under the separate repair contract and lease. Therefore, it argues that notice that the transaction was troublesome went to Master only in its separate and individual capacity. We do not agree. The purpose of requiring notice is to enable the seller to make adjustments or replacements or to suggest opportunities for cure to the end of minimizing the buyer’s loss and reducing the seller’s liability. White and Summers, supra, at 421. Even though Master was wearing two hats, they were on the same head, and the purpose behind the notice requirement was satisfied. Furthermore, the record shows many complaints about the system within the warranty period as well as attempts by Master to make repairs. Such complaints and repair attempts by an authorized dealer fall within the realm of proper notice and an opportunity to repair the equipment. See Volkswagen of America, Inc. v. Harrell, 431 So.2d 156 (Ala.1983). See also Wilson v. Marquette, Electronics, Inc., 630 F.2d 575 (8th Cir.1980) (numerous instances of notice of satisfaction). Ordinarily, the sufficiency of notice is a question of fact for the jury. Cotner v. International Harvester, 260 Ark. 885, 545 S.W.2d 627 (Ark.1977). The trial court did not err in granting the motion for new trial.
Affirmed.
BIRDSALL, P.J., and FERNANDEZ, J., concur.
. The pertinent provision of Arizona’s present Uniform Commercial Code is A.R.S. § 47-2607(C)(1). Added Laws 1984 Ch. 77, sec. 3.
|
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GORDON, Vice Chief Justice.
After a jury trial, defendant, Stephen James Kreps, was convicted of first degree murder in the shooting death of his girl friend, Tammi Zingarelli. The trial court filed a special verdict pursuant to A.R.S. § 13-703 and sentenced defendant to life imprisonment without the possibility of parole for 25 years.
During the early morning hours of January 9,1984, numerous tenants of a Phoenix apartment complex were awakened by an argument between a man and woman and by gunshots. The testimony of these witnesses differed in some respects.
Debra Poison testified that she slept with her bedroom window open on the morning of January 9. An argument in a nearby apartment woke her. She heard a man yell: “Are you * * * going out on me again?” The woman replied: “No. I love you. No. I love you only.” This dispute continued for 20 minutes until Ms. Poison heard the woman yell in terror, “No. No. No.” Ms. Poison then heard a shot. Ms. Poison’s boyfriend called the police. After the phone call to the police, Ms. Poison heard two more shots fired in close succession. Ms. Poison estimated that two minutes passed between the first and second shot.
Larry Savage stated that he awoke at 4:15 a.m. to the sounds of a woman yelling, “But I do love you. I do love you.” Mr. Savage’s bedroom window was also open, and he heard the argument continue for approximately a half hour. At about 4:40 a.m. Mr. Savage heard a shot then a woman scream: “Please don’t. God. Please don’t. Please let me go.” Right as the woman yelled “God please let me *” Mr. Savage heard a second shot, a pause, then a third shot. Mr. Savage estimated the time between the first and second shots at between five and ten seconds. He thought it took 15 seconds for all three shots to be fired.
Ben Tewayguna woke up about 4:30 a.m. to the noises of arguing in the apartment above his own. He could not make out many words but thought he heard a woman say “I love you”, and a man say “Come on. Let’s go. Come on. Get up.” He then heard a bang which he thought was the woman being thrown against the wall. The woman then yelled “Oh, God, I’m bleeding.” About five seconds later he heard another banging, and then he heard a person moaning upstairs. Mr. Tewayguna saw policemen looking around the apartment complex but made no effort to contact them and went back to sleep.
Mitzie Tewayguna, Ben Tewayguna’s wife, testified that she heard three shots. The second and third shots followed the first by about five minutes.
Phil Messec who also slept with his window open said he woke up at about 4:00 a.m. to the sounds of a woman screaming “I love you. I love you. Let me go. Let me go.” He then heard a gunshot and a woman scream, “Please don’t — please don’t.” It sounded to Messec as if the woman were begging for her life. A minute or a minute and a half later he heard two more gunshots in close succession. He called the police after the first gunshot. Two patrolmen arrived on the scene at about 5:00 a.m. and met several of the tenants. The tenants stated that they heard the screams and shots coming from the west parking lot of the complex. The police looked around that area but found nothing. They left after about twenty minutes.
At about 7:30 a.m. defendant called his friend, Dan Staerker, and told him “Tammi is dead.” Defendant told Mr. Staerker that he and Tammi had argued, that defendant got his pistol and was about to kill himself, but that Tammi grabbed the gun and it went off, killing her. Defendant told Mr. Staerker not to call the police and that he didn’t want to go to jail. He also spoke of taking Ms. Zingarelli’s car and driving back to his native Nebraska. During this conversation, Mr. Staerker wrote a note to his wife, telling her to call the police from the comer phone booth and to send them to defendant’s apartment.
The police arrived at the scene, and defendant came out of the apartment he shared with Tammi Zingarelli holding a Bible and crying. Police gave defendant his Miranda warnings, and he said he understood them. Sergeant Jennings then asked defendant what happened. Defendant stated:
“She’s been living with the guy for three months. She was going to leave me. We got in an argument. I was going to commit suicide. I had the gun pointed at my head. It went off. She got it, not me. I got on my knees and cried. She pulled the trigger, not me. Her family is going to crucify me. She came to see me to tell me she was leaving. Please let me have my Bible. I want to hold it and turn it to Psalm 23.”
Police found Tammi Zingarelli’s body in the apartment. She had three gunshot wounds: one to her left thigh, which was not fatal; one to her cheek that exited the back of her neck; and one to the upper part of the middle of her back that exited near the cheek wound. Either of the second two shots was in itself fatal and almost immediately incapacitating. A pistol was also found lying next to her body.
In addition, police found a handwritten “suicide note” in the apartment. It stated:
“To Whom It May Concern:
Tammi Lou-Ann Zingarelli killed herself during a scuffle with my gun — but I cannot live without her — so I die — com-mitt [sic] my soul to the Lord — I loved Tammi — more than anything or anyone in this world—
I am a vet — call the VA — and my folks— I am an American but I can hurt no more—
Stephen J. Kreps alias (Steve Faye)”
At trial, defendant maintained that he was insane at the time of the killing. He testified that he loved Tammi Zingarelli, but that during the early morning of January 9, 1984 she suddenly announced that she was leaving him. Until that time defendant had believed he and the victim had worked out their differences. He said he became despondent. He went to his bedroom, retrieved his pistol, and threatened to kill himself. Ms. Zingarelli, however, grabbed the pistol in an effort to stop him. Defendant said the last thing he remembers was the gun going off. He then blacked out. He later woke up and found Tammi Zingarelli dead.
Defendant presented medical testimony which concluded that defendant possibly did not know right from wrong during the crime and was, therefore, legally insane. Defendant’s expert, however, acknowledged that it was possible that defendant was legally sane at the time of the murder. The state presented two medical experts in rebuttal who stated that defendant was legally sane at the time of the murder.
Defendant raises numerous issues.
I. Sufficiency of Evidence Proving Premeditation
Defendant first argues that insufficient evidence existed supporting a finding of premeditation. According to defendant, the evidence, at best, shows that Tammi Zingarelli’s shooting came about as the result of a sudden quarrel or heat of passion, thus precluding a finding of premeditation. A.R.S. § 13-1101.
Premeditation is defined in A.R.S. § 13-1101:
“1. ‘Premeditation’ means that the defendant acts with either the intention or the knowledge that he will kill another human being, when such intention or knowledge precedes the killing by a length of time to permit reflection. An act is not done with premeditation if it is the instant effect of a sudden quarrel or heat of passion.”
The state bears the burden of proving premeditation beyond a reasonable doubt. State v. White, 144 Ariz. 245, 697 P.2d 328 (1985). To make this showing, the state “must prove that the defendant made a decision to kill prior to the act of killing, that ‘a plan to murder was formed after the matter had been made a subject of deliberation and reflection.’ ” State v. Lacquey, 117 Ariz. 231, 234, 571 P.2d 1027, 1030 (1977), quoting Macias v. State, 36 Ariz. 140, 149, 283 P. 711, 715 (1929). The necessary premeditation, however, may be as instantaneous as successive thoughts of the mind and may be proven by either direct or circumstantial evidence. State v. Hunter, 136 Ariz. 45, 48, 664 P.2d 195, 198 (1983).
In deciding whether the evidence was sufficient to prove premeditation,
“[t]his Court will not engage in re-weighing the evidence. It will be viewed in the light most favorable to sustaining the conviction and all reasonable inferences will be resolved against a defendant. The test to be applied is whether there is substantial evidence to support a guilty verdict. In the recent case of Jackson v. Virginia, 443 U.S. 307, 99 S.Ct. 2781, 61 L.Ed.2d 560 (1979) it was held that due process requires a court to utilize as the standard of review whether there was sufficient evidence that a rational trier of fact could have found guilt beyond a reasonable doubt.” (Citations omitted.)
State v. Tison, 129 Ariz. 546, 552, 633 P.2d 355, 361 (1981), cert. denied, 454 U.S. 960, 102 S.Ct. 499, 70 L.Ed.2d 376 (1981), reh’g denied, 459 U.S. 1024, 103 S.Ct. 391, 74 L.Ed.2d 520 (1982).
Applying this standard, we find that a rational trier of fact could have found that defendant premeditated the murder of Tammi Zingarelli. Though defendant testified that Ms. Zingarelli grabbed for his gun as he attempted suicide, that the gun went off, that he blacked out, and that he awoke later finding her dead, the jury could have believed other evidence contradicting this version.
Specifically, the jury could have believed defendant first shot the victim during a struggle for his gun but that he then decided to kill Tammi Zingarelli. Witnesses at the apartment complex heard arguing and then a gunshot. Some of them heard the woman screaming in terror after the first shot and begging for her life. After a substantial pause, some of the witnesses then heard a second and third shot in close succession. The pause between the first shot and the second was estimated by the various witnesses at as little as five seconds to as much as around five minutes. The jury could have believed the higher estimates. In any event, the victim had enough time between the shots to exclaim that she was bleeding and to beg for her life. Even if the jury believed the first shot resulted from a sudden quarrel or heat of passion, the pause between the first and second shots suggests a period of time in which defendant could contemplate his act.
Furthermore, the physical evidence also suggested a period of deliberation between the non-fatal first shot and the second and third fatal shots. The evidence showed that Tammi Zingarelli was first shot in the left thigh, next on the left cheek, and, finally, in the back. After being shot in the thigh, Ms. Zingarelli could still speak, and she asked defendant for mercy. Indeed, blood flow from the thigh wound indicated the victim was still standing after the first shot. After a significant pause, however, defendant shot her in the face. The evidence suggested that Ms. Zingarelli then fell to the floor. As she lay face down on the floor, defendant then shot her in the back. The bullet from this back wound was later found embedded in the floor below where Ms. Zingarelli was lying.
The jury could have also disbelieved defendant’s claim that he blacked out after the first shot. Defendant's treating physician, Dr. Jack Potts, testified that he knew it was extremely difficult for people who black out to commit deliberate acts. Dr. Potts surmised that the defendant did not black out at the time of the killing, but instead erased the memory from his mind after realizing what he had done. Furthermore, despite defendant’s claim that his blackout was caused by a head injury he received in the struggle with Tammi Zingarelli, the doctor who treated defendant the day of the murder testified that defendant had no head injury at all. In addition, despite his claimed blackout, the apartment dwellers below defendant’s apartment heard the defendant pacing the floor after the shooting was over. Other evidence suggested that defendant sat up drinking beer after the killing. Finally, the jury could have believed the substantial medical testimony suggesting defendant was aware of what he was doing and that it was wrong.
Though much of the evidence conflicted, more than sufficient evidence exists to sustain the jury’s verdict. On appeal, this court will not substitute its judgment for that of the jury. State v. Childs, 113 Ariz. 318, 553 P.2d 1192 (1976); Moore v. State, 65 Ariz. 70, 174 P.2d 282 (1946).
II Prosecutor’s Statements in Closing Arguments
Defendant argues that the following statements made by the prosecutor in closing arguments denied defendant a fair trial.
"Sure, he’s never been arrested before but is he such a good guy? He didn’t work for two and a half years. Sure, it’s a tough time, but he lived off that girl for most of the time, he wasn’t working, he was a lazy person that sat around the apartment all the time feeling sorry for himself.”
Defendant failed to object to these statements and, therefore, has waived this issue absent fundamental error. State v. Thomas, 130 Ariz. 432, 636 P.2d 1214 (1981); State v. Rodriquez, 145 Ariz. 157, 700 P.2d 855 (App.1984).
We find no fundamental error. Some evidence suggested that defendant was unemployed for a long period of time and that he lived with Tammi Zingarelli during this period. One of the defendant’s friends testified that defendant did not collect unemployment benefits during this time, thus disputing defendant’s claim that he split expenses with the victim. One of the defendant’s other friends testified that defendant exhibited a “poor me” attitude when experiencing difficulties with women. Although we find the prosecutor’s words harsh, they are supported by the record.
Ill Form of Verdict
Defendant next contends that the form of verdict regarding insanity was an improper comment upon the evidence. As defendant did not object to this form of verdict at trial the issue is waived absent fundamental error. Cf. State v. Vickers, supra. The form of verdict stated: “Not responsible by reason of insanity.” Defendant claims it was fundamental error for the form not to read “Not guilty by reason of insanity.” We disagree.
We first note that A.R.S. § 13-502, which outlines the insanity defense, is entitled “Not responsible for criminal conduct by reason of insanity; burden of proof; findings.” We would be hard pressed to find any error, let alone fundamental error, when the trial court entitles a form of verdict the same way as the statute upon which the verdict form is based. More importantly, the common and ordinary meaning of “guilt” is “responsible for an offense.” Webster’s Third New International Dictionary (G. & C. Merriam Co. 1976) (emphasis added). Thus, there was no need for the trial judge to instruct the jury that “not responsible” means “not guilty.” Cf. State v. Bice, 127 Ariz. 312, 620 P.2d 227 (App.1980) (trial court not required to define a term in instructions when it is one of ordinary significance). Furthermore, the trial court properly instructed the jury on the insanity defense. Thus, the jury knew its duty in that regard. There was no fundamental error.
Defendant has raised a number of other issues in a pro persona brief. We have fully considered his arguments and find them without merit. Additionally, we have searched the entire record for fundamental error, A.R.S. § 13-4035, and have found none. We affirm the conviction and sentence.
HOLOHAN, C.J., and HAYS, CAMERON and FELDMAN, JJ., concur.
. The state claims that defendant failed to file a proper notice of appeal for the bulk of the issues raised. The state is wrong. Defendant properly filed a timely notice of appeal with the superior court which was transmitted to this Court.
|
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OPINION
FERNANDEZ, Judge.
Appellant Layne appeals from an order dismissing his complaint for failure to state a claim. The complaint alleged that a loan transaction entered into June 5, 1981, between Layne and Transamerica Financial Services, Inc. was usurious because a prepaid finance charge of ten “points” was assessed in addition to the stated interest rate applicable to the unpaid balance. We find the transaction was not usurious and affirm the dismissal. We also affirm the denial of attorney’s fees to Transamerica, a ruling that is the subject of a cross-appeal.
Layne borrowed $39,510.26 from Transamerica for a period of 15 years. The loan was secured by a deed of trust on Layne’s home. The box on the promissory note and security agreement, entitled “Agreed Rate of Charges,” states as follows: “The Agreed Rate of Charge is 19.9% per annum interest on the Total Amount of Loan, plus a Prepaid Finance Charge of 10% of the Total Amount of Loan.” In another place on the form the annual percentage rate is shown as 22.49% (apparently for purposes of complying with the Truth in Lending Act, 15 U.S.C. §§ 1604, 1605). The complaint alleges that the nature and amount of the prepaid finance charge was not explained to Layne.
Usury Contentions
Layne contends that the charging of ten points for a direct consumer loan was a violation of A.R.S. § 44-1201 et seq. Section 44-1201 was amended in 1980 to read as follows:
“A. Interest on any loan, indebtedness, judgment or other obligation shall be at the rate of ten per cent per annum, unless a different rate is contracted for in writing, in which event any rate of interest may be agreed to.
“B. A judgment given on an agreement bearing a higher rate not in excess of the maximum permitted by law shall bear the rate of interest provided in the agreement, and it shall be specified in the judgment.”
The removal of a stated interest ceiling was a response by the legislature to upwardly spiraling interest rates that prevailed in the late 1970s and was a return to the usury law that existed during territorial times until 1909. Special Project, Usury and the Monetary Control Act of 1980,1981 Ariz.St.LJ. 35. Because the loan in question was in excess of $10,000 it is governed by the general usury statute quoted above.
Layne contends that “rate of interest” as used in the statute means “a numerical percentage rate applied to the principal balance over a period of time to determine the dollar amount of interest accruing.” Since the 19.9% interest stated in the note meets that definition, Layne asserts anything charged in addition to that figure is in excess of the agreed-upon rate and is therefore unlawful.
There is no dispute that the prepaid finance charge of 10% or $3,951.02 is attributable to interest and is not a charge earned for any services rendered in connection with the loan. Grady v. Price, 94 Ariz. 252, 383 P.2d 173 (1963). As noted by Transamerica, “points” are “a flat initial loan charge that is deducted from the principal amount of the loan before the net proceeds are disbursed to the borrower.”
Prior to the 1980 amendment of A.R.S. § 44-1201, it was permissible to charge points so long as the effective rate of interest of the transaction did not exceed the usury ceiling. The discussion in Altherr v. Wilshire Mortgage Corporation, 104 Ariz. 59, 448 P.2d 859 (1968), with regard to points is instructive.
“The second fee required of the borrower, by Wilshire, was a five per cent discount ‘on the takeout.’ In the trade this means that if the permanent loan was for $1,000 Wilshire would take $50 of that amount, so Altherr would get only $950. This is a common practice, similar to that of many lending institutions which refer to them as ‘points.’ If a lender made an eight per cent loan, and, in addition to the interest, required the borrower to pay points, or a discount, usury would be clear immediately. But where the points or discount are required on a long-term loan, the amount involved must be spread over the entire term of the loan to determine whether the eight per cent maximum allowable interest is exceeded.” 104 Ariz. at 63 [448 P.2d 859] (emphasis in original).
Crucial to a determination of Layne’s assertions is the meaning of the term “rate of interest” that appears in A.R.S. § 44-1201. He contends it must be construed “according to the common and approved use of the language” pursuant to A.R.S. § 1-213 and that its meaning must be the same under both subsections A and B of § 44-1201. According to Layne, if it can mean “effective rate of interest” under A, then one cannot determine what rate of interest “provided in the agreement” would apply to any judgment rendered under it.
As Transamerica points out, however, A.R.S. § 1-213 has an additional sentence which states that
“[technical words and phrases and those which have acquired a peculiar and ap propriate meaning in the law shall be construed according to such peculiar and appropriate meaning.”
The phrase “rate of interest” has appeared as such in subsection B for a number of years and has appeared in subsection A in a slightly different form for the same length of time. In 1956 subsection B read as follows:
“A rate of interest, not to exceed eight per cent per annum, if agreed to in writing, signed by the debtor, shall be paid....”
By providing that parties to a transaction may agree to any rate of interest, the 1980 amendment does not change the law to the extent that the phrase “rate of interest” has acquired a new meaning. The phrase in subsection B was construed to mean “effective percentage rate” in Altherr v. Wilshire Mortgage Corporation, supra, in 1968, and no question was raised that it meant something slightly different there than it did in subsection A. That construction has been followed since, Kissell Co. v. Gressley, 591 F.2d 47 (9th Cir.1979); Atty. Gen.Op. 69-23 (1969), and there is no indication the legislature intended to change it in the 1980 amendments. Thus, for purposes of present subsection B, the rate of interest applicable to a judgment in this loan transaction would be the 19.9% that applies to the unpaid balance of the loan.
Layne also contends that the charging of points in a loan transaction violates public policy since there is no longer any justification for points with the deregulation of credit controls. He notes that points are a “method for attracting lenders when market rates are higher than a governmental limit on interest rate charges” and submits that with deregulation consumers are entitled to as simple an interpretation of interest rate as possible so they may compare prices of loan transactions. Transamerica’s response is that points are a method by which lenders receive a greater portion of their compensation at the beginning of the loan period when their costs are highest. That situation has not changed with the deregulation of credit.
We note too that the promissory note and security agreement applicable to this loan clearly states the rate of interest applicable to the unpaid balance of the loan, the amount of the prepaid finance charge expressed as both a percentage of the loan and in dollars and cents, and the annual percentage rate which is computed from a combination of the two. In addition, the total amount of the finance charge that is to be repaid over the life of the loan is stated in dollars and cents. With those figures, any price-conscious consumer could easily compare two or more loans. The loan papers clearly indicate all pertinent figures were disclosed to Layne and that he agreed to the written finance charge and the stated rate of interest.
We note also that in 1984 the legislature expressly prohibited the charging of points in connection with consumer loans of $10,-000 or less. A.R.S. § 6-622; 1984 Laws, Ch. 238, § 11. If the legislature had intended to prohibit the charging of points in connection with transactions under the general usury statute, it could easily have done so.
We find no indication the charging of points is usurious per se as a result of the removal of a usury ceiling in the 1980 amendments to A.R.S. § 44-1201. The judgment dismissing appellant’s complaint is affirmed.
Cross-Appeal on Denial of Attorney’s Fees
Transamerica sought attorney’s fees pursuant to A.R.S. § 12-341.01(A) as the successful party in an action arising out of contract. The court denied the request, finding that the suit arose instead from an alleged violation of a statutory prohibition and that the case was brought in good faith and involved a question of first impression.
Although we do not agree with the reasoning of the trial court that this action did not arise out of a contract, we nevertheless affirm the denial of fees. A.I.D. In surance Services v. Riley, 25 Ariz.App. 132, 541 P.2d 595 (1975). Since there can be no usury claim absent a charge in excess of an amount “contracted for in writing,” the cause of action is intrinsically related to the contract. Sparks v. Republic National Life Insurance Company, 132 Ariz. 529, 647 P.2d 1127, cert. denied, 459 U.S. 1070, 103 S.Ct. 490, 74 L.Ed.2d 632 (1982).
Having determined that the claim arose out of a contract, however, does not result in an award of attorney’s fees. Such an award is discretionary and there is no presumption that the successful party is entitled to attorney’s fees. Associated Indemnity Corporation v. Warner, 143 Ariz. 567, 694 P.2d 1181 (1985). Among the factors listed in that case as being useful in assisting the trial judge to determine if an award should be made are “the novelty of the legal question presented, and whether such claim or defense had previously been adjudicated in this jurisdiction.” 143 Ariz. at 570, 694 P.2d at 1184. Although we have affirmed the finding that the loan transaction was not usurious, the question presented by appellant is one that has not previously been adjudicated and is a valid question in light of the 1980 deregulation of credit controls.
Since there was a reasonable basis for the court’s denial of attorney’s fees, we find there was no abuse of discretion.
Judgment affirmed.
BIRDSALL, P.J., and HOWARD, J., concur.
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ORDER
ORDERED: that the Findings of Fact and Recommendations are disapproved.
FURTHER ORDERED: that the Application for Readmission to the Bar is denied.
GORDON and FELDMAN, JJ., voting to approve the Findings and Recommendations for Readmission to the Bar.
|
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OPINION
BIRDSALL, Presiding Judge.
This appeal is from an order denying appellant’s motion to set aside the decree of dissolution of the parties’ marriage. The motion asserted that the judgment was void. Rule 60(c)(4), Rules of Civil Procedure, 16 A.R.S.
The petition for dissolution was filed by the appellee wife November 18, 1976. The appellant answered and subsequently a written stipulation signed by counsel for each party was filed providing that the appellee could present her evidence at a hearing on April 22, 1977, that appellant would not appear and his presence was waived. The minute entry for that hearing made the necessary findings of residence and that the marriage was irretrievably broken and approved the proposed decree. The decree was also signed and filed the same day as the minute entry. It was approved as to form by both the appellant and counsel. He is now represented by new counsel.
The minute entry contained the following sentence: “Further, the Court has considered and approved the disposition of community property and obligations.” The decree recited “that the property division effectuated between the parties is reasonable.”
A.R.S. § 25-317 provides:
“A. To promote amicable settlement of disputes between parties to a marriage attendant upon their separation or the dissolution of their marriage, the parties may enter into a written separation agreement containing provisions for disposition of any property owned by either of them, maintenance of either of them, and support, custody and visitation of their children.
B. In a proceeding for dissolution of marriage or for legal separation, the terms of the separation agreement, except those providing for the support, custody and visitation of children, are binding upon the court unless it finds, after considering the economic circumstances of the parties and any other relevant evidence produced by the parties, on their own motion or on request of the court, that the separation agreement is unfair.
C. If the court finds the separation agreement unfair as to disposition of property or maintenance, it may request the parties to submit a revised separation agreement or may make orders for the disposition of property or maintenance.
D. If the court finds that the separation agreement is not unfair as to disposition of property or maintenance, and that it is reasonable as to support, custody and visitation of children, the separation agreement shall be set forth or incorporated by reference in the decree of dissolution or legal separation and the parties shall be ordered to perform them. If the separation agreement provides that its terms shall not be set forth in the decree, the decree shall identify the separation agreement as incorporated by reference and state that the court has found the terms as to property disposition and maintenance not unfair and the terms as to support, custody and visitation of children reasonable.
E. Terms of the agreement set forth or incorporated by reference in the decree are enforceable by all remedies available for enforcement of a judgment, including contempt.
F. Except for terms concerning the maintenance of either party and the support, custody or visitation of children, entry of the decree shall thereafter preclude the modification of the terms of the decree and the property settlement agreement, if any, set forth or incorporated by reference therein.” (emphasis supplied).
The decree did not “set forth” or “incorporate” or “identify” any separation agreement as required by the statute. The record does not contain any separation agreement and no exhibits were shown to be marked as such at the hearing.
The appellant makes two contentions: 1) that the court did not have before it any agreement to approve, and 2) that the failure to comply with the statute makes the decree void.
We affirm.
No evidence affirmatively shows that the trial court did not have the agreement. The decree is entitled to a presumption of regularity which cannot be rebutted absent affirmative proof to the contrary. In Bill v. Gossett, 132 Ariz. 518, 520-21, 647 P.2d 649, 651-52 (App.1982), the Court of Appeals said:
“A judgment regular on its face, entered by a court of general jurisdiction, enjoys a presumption of regularity. Once this presumption attaches, a party wishing to attack the judgment must overcome it by affirmative proof of the irregularity____ Moreover, where the record is merely silent as to a jurisdictional prerequisite, rather than where a lack of jurisdiction is facially apparent, the absence of such jurisdictional facts from the record will not overcome the presumption of regularity.” (citations omitted).
And see Coshatt v. Calmac Manufacturing Corp., 124 Ariz. 177, 602 P.2d 845 (App.1979). In the instant case, the decree was regular on its face. The trial judge specifically found that the property division effectuated by the parties was reasonable. And the minute entry specifically recited that the court had considered and approved the disposition of community property and obligations. There is no facial defect in the record from which it could be found that the trial court did not have, consider, and approve the agreement. The cases cited by the appellants, Brecht v. Hammons, 35 Ariz. 383, 278 P. 381 (1929); Brighton v. Superior Court, 22 Ariz.App. 291, 526 P.2d 1089 (1974); and Czarnecki v. Czarnecki, 123 Ariz. 478, 600 P.2d 1110 (App.1978), aff'd, 123 Ariz. 466, 600 P.2d 1098 (1979), all involved judgments which were irregular on their face.
Turning to the appellant’s argument that the decree is void because it does not literally comply with the statute, such failure does not make the decree void. At best the failure was error and the resulting decree was therefore erroneous, not void. Our supreme court explained the difference recently in Cockerham v. Zikratch, 127 Ariz. 230, 234, 619 P.2d 739, 742 (1980):
“Void judgments are those rendered by a court which lacked jurisdiction, either of the subject matter or the parties____ Erroneous judgments are those which have been issued by a court with jurisdiction but which are subject to reversal on timely direct appeal.” (Citations omitted).
In the instant case, the court had jurisdiction of both the subject matter and the parties. No one actually questions this.
Even more recently, the supreme court addressed the issue again:
“As this court recently discussed in Cockerham v. Zikratch, [supra], the term ‘void’ is often misused. While it may have been erroneous under the law applicable at the time the judgment was rendered for the trial court to award the property to appellee, such a judgment is not necessarily void. Void judgments are those rendered by a court which lacked jurisdiction, either of the subject matter or the parties. Cockerham v. Zikratch, supra. Erroneous judgments, on the other hand, are those which have been issued by a court with jurisdiction but are subject to reversal on timely appeal. Id.
As previously discussed, the trial court in the instant action had jurisdiction over both the subject matter and the parties. Thus, appellant should have pursued his position by timely direct appeal. His present attempt to relitigate the judgment of the trial court is barred by the res judicata effect of the original divorce decree.” Auman v. Auman, 134 Ariz. 40, 42, 653 P.2d 688, 690 (1982).
In a decision involving probate administration, the Court of Appeals held:
“Even if we were to assume that A.R.S. § 14-517 [now § 14-3973 and § 14-3974] required full written findings, their omission would be an error of law, susceptible to a direct appeal from the decree and not to collateral attack in this proceeding. Mere error of law does not amount to a jurisdictional defect which would allow collateral attack.” Maryland National Insurance Co. v. Ozzie Young Drilling Co., 22 Ariz.App. 195, 198, 526 P.2d 402, 405 (1974).
See also Tippit v. Lahr, 132 Ariz. 406, 646 P.2d 291 (App.1982).
The appellant’s reliance on Queen v. Queen, 44 Cal.App.2d 475, 112 P.2d 755 (1941) is misplaced. That decision, for our purposes, holds that a decree which, as here, did not identify or incorporate the property settlement, was not res judicata as to the agreement. The decree did not adjudicate the terms of the agreement. This legal conclusion is not in dispute here. The California court did not find the decree void because it failed to set forth the terms of the agreement. The agreement was approved and made, by reference, a part of the decree.
The cited case of Semmens v. Semmens, 77 Ill.App.3d 936, 33 Ill.Dec. 558, 396 N.E.2d 1282 (1979) involved the intentional nondisclosure of an addendum to the agreement — a fraud — and is not in point.
We affirm the order of the trial court denying Rule 60 relief.
Affirmed.
FERNANDEZ and LIVERMORE, JJ„ concur.
This case was decided by the Judges of Division Two as authorized by A.R.S. § 12-120(E) (Supp.1984).
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GORDON, Vice Chief Justice.
After a jury trial, defendant, Richard Michael Rossi, was adjudged guilty of first degree murder, attempted first degree murder and first degree burglary, all dangerous and nonrepetitive felonies. The trial court sentenced defendant to death on the murder conviction, and terms of incarceration for the attempted first degree murder and first degree burglary convictions. This Court has jurisdiction pursuant to Ariz. Const, art. 6, § 5(3) and A.R.S. § 13-4031.
On the afternoon of August 29, 1983, defendant went to the house of Harold August to sell him a typewriter. August, age 66, bought, repaired and sold typewriters out of his home where he kept a large amount of cash. Earlier that day defendant had confided to his friend, Bill Nelson, that he was going to August’s house on the pretext of selling August a typewriter but planned to kill him, take his money, and kill anybody who got in his way. After apparently working out a deal to sell August a typewriter, defendant followed August to his bedroom where August kept his money. Defendant hit August with a blackjack and then shot him twice in the chest. August fell against the bedroom wall and pleaded with defendant stating, “You have my money, you shot me, what more do you want?” Thereupon, defendant leveled the gun at August’s head and fired a fatal shot into his mouth.
During this time, a next-door neighbor, Mrs. Nutter, heard voices and the sound of three gunshots coming from Mr. August’s house. A good friend of the Augusts, she went to their house to investigate. In Augusts’ driveway she noticed a bronze metallic car with the hatchback open and the motor running. Mrs. Nutter entered the Augusts’ house and observed a stranger. She asked the man, “Where’s Harold?” to which he responded, “In the back.” As she turned to go down the hallway she was hit in the back of the head and fell to the floor. Defendant put the gun to Nutter’s chest and fired twice. He assumed from her moaning that she would die and he left. However, Mrs. Nutter survived.
Defendant returned home where he had Nelson count the stolen money, and gave Nelson three spent bullets as “souvenirs” of the crimes. Later that day he gave his shirt to his live-in girl friend with instructions to check it for bloodstains and to throw the shirt away if it contained blood.
DEFENDANT’S REQUEST FOR A LIVE LINEUP
Defendant was initially arrested for the crimes herein on August 29, 1983. The next day in the hospital, Nutter was shown a photo lineup. She picked out defendant’s photograph stating, “Boy, it sure looks like him.” Seven months after this photo lineup and a few weeks before trial, defendant requested a live lineup. The trial judge denied defendant’s request. Defendant now claims that the trial judge committed reversible error.
Defendant has no constitutional right to a physical lineup. State v. Meeker, 143 Ariz. 256, 693 P.2d 911 (1984). Photographic lineups are frequently used and commonly adopted as a means of identification. See State v. Taylor, 27 Ariz.App. 330, 554 P.2d 926 (1976). A request for a live lineup is left to the sound discretion of the trial court and absent an abuse of discretion, the trial court’s ruling will not be disturbed on appeal. State v. Ferguson, 120 Ariz. 345, 586 P.2d 190 (1978).
We find no abuse of discretion. There is no indication in the record that the photo lineup procedure was suggestive. Defendant does not point to any features in the photo which differ from his likeness, and after reviewing the photo we do not see any aberrations or distortions in it. Additionally, the photographic lineup took place one day after the crime when the victim’s memory was still fresh. This lineup was reliable. Id. at 348, 586 P.2d at 193 (“the law is primarily concerned that the identification process be reliable”).
On the other hand, defendant’s requested lineup would have been unreliable. Defendant’s request for a lineup came seven months after the crime. At that time defendant’s appearance had radically changed. Defendant had gained about sixty pounds, shaved off his moustache, and cut his hair and sideburns much shorter. His skin tones had also changed. Under these circumstances, we cannot see how the requested live lineup would have added to the reliability of the victim’s identification. We find no error.
Even if the trial court erred in failing to allow defendant to be viewed in a live lineup, such error was harmless and did not prejudice defendant as the witness was not able to positively identify the defendant at trial. State v. McVay, 127 Ariz. 450, 622 P.2d 9 (1980) (unless there is a reasonable possibility that improperly admitted evidence contributed to conviction, reversal is not required). Additionally, the victim’s degree of doubt was extensively brought out on cross-examination as well as direct examination. We find no prejudice.
LIMITATION OF CROSS-EXAMINATION
Defendant next contends that the trial court improperly limited his right to cross-examine the police officer who conducted the photo lineup when the trial judge sustained the objection to the following question.
“Q. Can you tell me why, after Mrs. Nutter was physically capable of doing so, why she was not asked to pick Mr. Rossi out of a physical lineup?
MR. LYNCH: Your honor, I’m going to object to that. There are a lot of reasons why.
THE COURT: Sustained.”
In assessing defendant’s right to cross-examine, the trial court has considerable discretion in determining the relevance and admissibility of the evidence sought. State v. Starks, 122 Ariz. 531, 596 P.2d 366 (1979). In order to find error in the trial court’s restriction of cross-examination, this court must find that the trial court abused that discretion. State v. Baca, 102 Ariz. 83, 425 P.2d 108 (1967). Evidence is relevant if it has any tendency to prove a material fact in issue. Rule 401, Arizona Rules of Evidence, 17A A.R.S.; State v. Adamson, 136 Ariz. 250, 665 P.2d 972 (1983), cert. denied 464 U.S. 865, 104 S.Ct. 204, 78 L.Ed.2d 178 (1983). In this case defendant’s question relating to a subsequent live lineup was not relevant. As noted above, defendant was not entitled to a physical lineup. State v. Ferguson, supra. Therefore, the reason that one was not performed is not material. Furthermore, defendant did not make a live lineup a contested issue because he did not timely request one. The physical lineup he did request came seven months after the photo lineup when defendant’s appearance had changed so drastically that the live lineup would not have been relevant.
INEFFECTIVE ASSISTANCE OF COUNSEL
Defendant argues that trial counsel was ineffective during the sentencing stage of trial. Defendant argues that several facts and arguments should have been brought to the attention of the probation officer during the preparation of his presentence report and of the trial judge during sentencing. Specifically, defendant contends that trial counsel did not: (1) point out the paucity of evidence supporting the two aggravating factors: that defendant knowingly created a grave risk of death to another person, and that the offense was committed in an especially heinous, cruel and depraved manner, (2) point out defendant’s clean record, (3) argue that the mitigating factors outweighed the aggravating circumstances, and (4) emphasize that the prosecutor conceded the “grave risk of death” aggravating factor did not exist.
In Arizona, to prove ineffectiveness of counsel the defendant must establish that counsel’s representation was not reasonable considering all the circumstances, and that counsel’s deficient performance prejudiced the defendant. State v. Nash, 143 Ariz. 392, 694 P.2d 222 (1985). The same standard is applicable to allegations of ineffective assistance of counsel at the sentencing stage. See State v. Roscoe, 145 Ariz. 212, 700 P.2d 1312 (1984). In this case we do not find that defense counsel’s performance was deficient where the trial judge was fully apprised of the arguments in favor of mitigation.
Contrary to defendant’s contention, defendant’s minimal criminal record was noted twice in the presentence report, and by counsel at the presentence hearing. The state expressly conceded that the “grave risk of death” aggravating factor did not exist. Defense counsel need not point out matters of which the judge is already apprised.
As to the mitigating factors, the defense attorney initially argued in his sentencing memorandum that two mitigating factors existed. Counsel obtained the appointment of two medical experts to diagnose and evaluate defendant’s mental condition at the time of the crime. The doctors’ reports, however, did not bolster the existence of the two mitigating factors. Thereafter, defense counsel at the presentence hearing argued for a sentence less than death based on defendant’s “character, propensities and record,” arguing that defendant had “no previous criminal record,” that “he had excellent work habits,” that any bad habits defendant had did not involve “any sort of violence, anger, hurt to anybody else,” and that defendant did not repeat his conduct later when he had another opportunity. Counsel argued that defendant would from now on follow his nonviolent past conduct. We find this change in strategy by counsel reasonable in light of the paucity of alternatives. See, e.g., State v. McDaniel, 136 Ariz. 188, 665 P.2d 70 (1983) (when defendant is being sentenced for first degree murder, sentencer must consider as mitigating circumstances any aspect of defendant’s character).
AGGRAVATING CIRCUMSTANCES
It is well settled that this Court will independently review the facts that establish the presence or absence of aggravating and mitigating circumstances. State v. Richmond, 114 Ariz. 186, 560 P.2d 41 (1976), cert. denied, 433 U.S. 915, 97 S.Ct. 1988, 53 L.Ed.2d 1101 (1977). The trial judge found the murder was committed in an especially cruel manner. Defendant submits that the facts do not support the trial court’s finding. We disagree. Cruelty involves the mental and physical distress suffered by the victim. State v. Gillies, 135 Ariz. 500, 662 P.2d 1007 (1983) (Gillies I). The record indicates that August was in pain before his ultimate death. The defendant initially fired two shots at the victim. The defendant used ammunition that was designed to inflict greater tissue damage than ordinary bullets. While the first shot just grazed August, the second shot entered his chest. The victim remained conscious for a short time thereafter.
The victim also had time to reflect as to the uncertainty of his fate. See State v. Steelman, 126 Ariz. 19, 612 P.2d 475 (1980). Before defendant fired the fatal shot, the victim leaned against his bedroom wall and pleaded with defendant, stating “You have my money, you shot me, what more do you want?” This evinces the victim’s mental anguish.
The trial judge also found that the murder had been committed in an especially heinous and depraved manner. We agree. Heinous and depraved involve the mental state and attitude of the offender as reflected by his words and actions. State v. Richmond, 136 Ariz. 312, 666 P.2d 57 (1983), cert. denied, 464 U.S. 986, 104 S.Ct. 435, 78 L.Ed.2d 367 (1983). The evidence shows that defendant was totally without regard for human life. As mentioned, defendant used special bullets which he knew were designed to inflict greater tissue damage on a human body. After the murder defendant bragged to friends about his murderous act. Additionally, defendant gave three of the spent bullets from the murder as “a souvenir” to his friend Nelson. Cf. State v. Clark, 126 Ariz. 428, 616 P.2d 888 (1980), cert. denied, 449 U.S. 1067, 101 S.Ct. 796, 66 L.Ed.2d 612 (1980). Defendant also relished the murderous act. See State v. Jeffers, 135 Ariz. 404, 661 P.2d 1105 (1983), cert. denied, 464 U.S. 865, 104 S.Ct. 199, 78 L.Ed.2d 174 (1983). Defendant shot August twice in the chest and then leveled the gun at the victim’s head and shot him in the mouth. Later defendant stated “that the bullets did not make as big a hole as they were supposed to.” The senselessness of the act and helplessness of the victim are also factors indicating the defendant’s heinous and depraved state of mind. State v. Gretzler, 135 Ariz. 42, 659 P.2d 1 (1983), cert. denied, 461 U.S. 971, 103 S.Ct. 2444, 77 L.Ed.2d 1327 (1983), reh’g denied, 463 U.S. 1236, 104 S.Ct. 32, 77 L.Ed.2d 1452 (1983). August, age 66 and in failing health, was not in a position to thwart the robbery, and defendant could have easily escaped without firing the final fatal shot.
DEATH PENALTY ISSUES
Defendant argues that the statutory aggravating factors “pecuniary gain” and “heinous, cruel or depraved” are unconstitutionally vague. See A.R.S. § 13-703(F)(5) and (6). These contentions have been previously rejected by this Court. See State v. Nash, supra (pecuniary gain aggravating factor not arbitrary or vague); State v. Harding, 137 Ariz. 278, 670 P.2d 383 (1983) (Gordon, J., specially concurring) (cruel, heinous or depraved aggravating factor not unconstitutionally vague).
Defendant next contends that the Arizona death penalty statute, A.R.S. § 13-703, is unconstitutional because it lacks standards for evaluating aggravating and mitigating circumstances. This argument similarly has been rejected. State v. Gillies, 142 Ariz. 564, 691 P.2d 655 (1984), cert. denied, — U.S.-, 105 S.Ct. 1775, 84 L.Ed.2d 834 (1985) (Gillies II). Defendant contends that Arizona’s death penalty scheme is unconstitutional because it requires imposition of the death penalty when one aggravating circumstance exists and there are no mitigating factors. We have previously considered and rejected this argument. See State v. Bracy, 145 Ariz. 520, 703 P.2d 464 (1985); State v. Jordan, 137 Ariz. 504, 672 P.2d 169 (1983) (Jordan III).
Defendant argues that the Arizona death penalty statute is unconstitutional because (1) the death penalty is cruel and unusual; (2) the jury takes no part in the sentencing determination; (3) the prosecutor has the discretion to decide in which cases the death penalty will be sought; (4) the burden of proof is placed upon the defendant to prove mitigating factors; and (5) the death penalty is “arbitrary, capricously and freakishly imposed.” Defendant’s appellate counsel cites no authority to support the contentions. These contentions have all been previously considered and rejected in State v. Bracy, supra, and we do so again today.
AGGRAVATING CIRCUMSTANCE: GRAVE RISK OF DANGER
Defendant argues there is no support in the record for the trial court’s finding of the aggravating circumstance that defendant knowingly created a grave risk of death to another person in the commission of the offense. See A.R.S. § 13-703(F)(3). The state agrees with defendant that this aggravating circumstance was not present. We also do not find it to exist in this case, as Mrs. Nutter was an intended victim of the crime, not a bystander in the zone of danger during defendant’s murderous act. See State v. Bracy, supra; State v. McCall, 139 Ariz. 147, 677 P.2d 920, cert. denied, — U.S. -, 104 S.Ct. 2670, 81 L.Ed.2d 375 (1984).
MITIGATING FACTORS
In sentencing defendant, the trial court considered evidence supporting two mitigating factors relating to A.R.S. § 13-703(G)(1) and (2) which read:
“G. Mitigating circumstances shall be any factors proffered by the defendant or the state which are relevant in determining whether to impose a sentence less than death, including any aspect of the defendant’s character, propensities or record and any of the circumstances of the offense, including but not limited to the following:
1. The defendant’s capacity to appreciate the wrongfulness of his conduct or to conform his conduct to the requirements of law was significantly impaired, but not so impaired as to constitute a defense to prosecution.
2. The defendant was under unusual and substantial duress, although not such as to constitute a defense to prose-ration.”
(emphasis added)
The trial court entered a special verdict discussing these mitigating factors:
“3. The Court further finds as mitigating circumstances:
a. The defendant’s capacity to appreciate the wrongfulness of his conduct or to conform his conduct to the requirements of law was significantly impaired, but not so impaired as to constitute a defense to prosecution. The Court finds this not to be a mitigating factor.
b. The defendant was under unusual and substantial duress, although not such as to constitute a defense to prosecution. The Court finds this not to be a mitigating factor.”
Defendant contends that the special verdict and record demonstrate that the “trial court did not understand the meaning and operation of the statutory scheme for finding the existence of mitigating circumstances and the evaluation and weighing of those circumstances.” We agree.
In order for a sentencing judge to find that voluntary intoxication constitutes a mitigating circumstance under A.R.S. § 13-703(G)(1) there must be evidence that defendant’s capacity to appreciate the wrongfulness of his conduct or to conform his conduct to the requirements of the law was significantly impaired. State v. Woratzeck, 134 Ariz. 452, 657 P.2d 865 (1982). Likewise, according to A.R.S. § 13-703(G)(2) to find that defendant was under duress at the time of the crime, such duress must be unusual and substantial. Once the trial judge finds that defendant’s capacity was significantly impaired or that defendant was under unusual and substantial duress, a mitigating factor arises which is then weighed against any aggravating circumstances that the trial judge may find to determine whether mitigating factors are sufficiently substantial to call for leniency. See, e.g., State v. Knapp, 125 Ariz. 503, 611 P.2d 90 (1979) (court not required to consider aggravating and mitigating factors of equal significance). The trial judge does not need to find that the defendant’s capacity was impaired to such a degree that it would have constituted a defense to the prosecution. See State v. Gillies (Gillies I), supra (defendant need not be so impaired as to constitute a defense to prosecution). But see State v. Woratzeck, supra (fact that defendant was to some degree intoxicated at time he committed crime was not, by itself, a mitigating factor). Nor does he need to find that defendant’s duress would have constituted a defense to the prosecution.
After reading the discussion between the trial judge and the prosecutor during the sentencing hearing, it seems that the trial judge thought that defendant’s impairment under A.R.S. § 13-703(G)(1) and defendant’s duress under A.R.S. § 13-703(G)(2) must have been to such a degree as to constitute a defense to the prosecution to be a mitigating factor. The following excerpt from the sentencing transcript bears this out.
“MR. LYNCH: No. Now, I have a couple of questions about it. Did you find that subsection G-l and -2, that there were those mitigating factors?
THE COURT: Read what they are and I can tell you.
MR. LYNCH: The defendant’s capacity to appreciate the wrongfulness of his conduct or conform his conduct to the requirements of law was significantly impaired.
THE COURT: Yes, but not such as to constitute a defense.
MR. LYNCH: Well, if that’s the case, then that’s a mitigating factor.
THE COURT: Certainly, but when you say it’s not sufficient to constitute a defense, that’s how you cover it.
MR. LYNCH: Well, if he has that, but it’s not enough to be a defense, then it would be a mitigating factor.
THE COURT: You read it, I don’t know what the problem is. What’s your problem?
MR. LYNCH: Well, if his capacity to appreciate what he is doing is affected but not so much that it would be a defense to the crime, that’s a mitigating factor and it’s the State’s position his capacity to appreciate the wrongfulness of the crime was not affected; that would not be a mitigating factor.
THE COURT: Can’t I read them? Will that help you? I went over them fast, it was too fast for you to follow them. MR. LYNCH: Right. I would submit that both paragraphs one and two would not be applicable and that they would not be mitigating factors.
THE COURT: Let me reread it.
The Court finds as a mitigating circumstance that the defendant’s capacity to appreciate the wrongfulness of his conduct or to conform his conduct to the requirement of law was significantly impaired, but not so impaired as to constitute a defense to prosecution.
The next one, the defendant was under unusual and substantial duress, although not such as to constitute a defense to prosecution?
Does that cover.it?
MR. LYNCH: Can we go into chambers? THE COURT: Yes.
(Whereupon, proceedings convened in chambers:)
MR. LYNCH: Okay. As I read Section 703(G)(1) and (2), these would be defenses and in trial if they, you know, if these were defenses in trial, then they would be defenses in trial, but the way they are now, if his capacity to appreciate the wrongfulness of his conduct is impaired, that is a mitigating factor, even if it’s not enough to be a defense in trial.
If he is under substantial duress, which is not a defense in trial, that’s a mitigating factor and the way it sounds out there, what you’re saying is that you’re finding that these do — that these are, in fact, true and therefore it makes it sound like you’re finding they’re mitigating factors, and I don't think that’s what you mean to do, do you?
THE COURT: Well, to be mitigating it would have to be effective as a defense.” (emphasis added)
Because we believe the trial judge used the wrong standard for determining and applying mitigating factors, we must vacate defendant’s death sentence and remand for resentencing.
OTHER MITIGATING FACTORS
Defendant next contends that he established as a mitigating factor that he could be rehabilitated, during a life sentence. The trial court disagreed with defendant finding that “defendant has failed to prove by a preponderance of the evidence that he is rehabilitable.”
Defendant has the burden of proving any mitigating factors by a preponderance of the evidence to avoid imposition of the death sentence. 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). Any aspect of defendant’s character or record and any circumstances of the offense can be proffered by defendant as a mitigating factor. Lockett v. Ohio, 438 U.S. 586, 98 S.Ct. 2954, 57 L.Ed.2d 973 (1978); State v. Watson, 120 Ariz. 441, 586 P.2d 1253 (1978), cert. denied, 440 U.S. 924, 99 S.Ct. 1254, 59 L.Ed.2d 478 (1979). Defendant introduced his lack of a prior criminal record and letters from friends and relatives on his behalf stating that he was a gentle person and not predisposed to violence.
While the record does not indicate defendant had a record of prior violent felonies, it does show defendant had been arrested several times for theft, drug usage, possession of a firearm and forgery. After the crimes, defendant showed no remorse but instead “regretted that Mrs. Nutter hadn’t died” and “wished that he had finished her off.” He tried to get one of his friends to kill Mrs. Nutter before trial. As discussed before, defendant relished his murderous act, bragging about the details to his friends. The fact that numerous persons wrote letters on defendant’s behalf does not establish mitigation. See State v. Tison, 129 Ariz. 546, 633 P.2d 355, cert. denied, 454 U.S. 960, 102 S.Ct. 499, 70 L.Ed.2d 376 (1981), reh’g denied, 459 U.S. 1024, 103 S.Ct. 391, 74 L.Ed.2d 520 (1982). We do not believe that defendant proved by a preponderance of the evidence his ability to be rehabilitated as a mitigating factor.
VOIR DIRE OF TRIAL JUDGE
Defendant argues that he should have been allowed to voir dire the trial judge to probe for possible bias or prejudice on the part of the judge so that he could intelligently exercise his peremptory challenge or challenge for cause. As the state correctly points out, defendant never raised this issue at the trial court. Defendant may not raise an issue for the first time on appeal. State v. Aeree, 121 Ariz. 94, 588 P.2d 836 (1978). Nor did defendant either expressly or impliedly object to the judge on the ground of bias or prejudice. An objection to the trial judge sitting on the case may not be raised in the first instance on appeal. See State v. Munoz, 110 Ariz. 419, 520 P.2d 291 (1974). Defendant, therefore, waived this issue.
We have reviewed the record for fundamental error, A.R.S. § 13-4035, and having found none, we affirm defendant’s convictions on all counts and his sentences in Count I, burglary in the first degree, and Count III, attempted first degree murder. We remand for resentencing on Count II, first degree murder.
HOLOHAN, C.J., and HAYS, CAMERON and FELDMAN, JJ., concur.
. Defendant also contended that the prosecutor did not state the grounds for his objection. Generally, counsel must state the specific grounds for the objection. Rule 103, Arizona Rules of Evidence, 17A A.R.S. If the trial judge sustains a general objection and excludes evidence, however, the ruling will be upheld if any grounds existed for the exclusion. Cleary, McCormick on Evidence § 52, p. 116 (2d ed. 1972); 88 CJ.S. Trial § 124b, pp. 250-251 (1955); 1 Wigmore, Evidence § 18, p. 827 (Tillers rev.1983). As determined above, we believe the question was irrelevant.
. We note that State v. Arnett, 125 Ariz. 201, 608 P.2d 778 (1980), advises that when a defendant is to be resentenced in death cases, evidence and testimony should be as fresh as possible, and that relying on a previous hearing on mitigation and aggravation conducted months before the imposition of the death penalty is not recommended.
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OPINION
HAIRE, Judge.
The issue raised in this appeal is whether the trial judge erred in refusing to overrule a decision made by a fellow judge dismissing without prejudice criminal charges previously filed against appellant.
Appellant was initially charged in Yuma County Cause No. 11679 with multiple prostitution-related offenses. She was arrested on these charges on April 15, 1983, and released on bond three days later. She was re-arrested on July 5, 1983 on an unrelated criminal charge and her bail bond was then revoked by her bondsman. After some delay, including a Rule 11 competency hearing, the matter was set for trial, to be held on November 8, 1983 before Judge William W. Nabours. On November 3, 1983, appellant’s counsel filed a motion to dismiss the prosecution, based upon an allegation that the speedy trial requirements of Rule 8, Arizona Rules of Criminal Procedure, had been violated. Judge Nabours heard the matter and, on November 4, 1983, dismissed the prosecution without prejudice.
Counsel for appellant admits that at the hearing before Judge Nabours the question of whether the dismissal should be without prejudice was discussed both on the record and in chambers. Counsel testified that at the time of the dismissal the only prejudice perceived by counsel resulting from the delay concerned the possibility that previously available witnesses would no longer be available, but he had no definite information in that regard. As it subsequently developed, the unavailable witnesses were witnesses for the state, and their absence benefitted appellant because the state was no longer able to prosecute two of the original charges.
Immediately after the entry of the dismissal order in Cause No. 11679, and before appellant had been released from jail, the prosecutor commenced the present proceeding, Cause No. 11883, by refiling the dismissed charges. Appellant never challenged Judge Nabours’ order of dismissal without prejudice in Cause No. 11679 by asking him to reconsider the dismissal or by requesting appellate special action review of that dismissal order. Instead, the matter was first urged in an oral motion to dismiss presented in Cause No. 11883 during an omnibus hearing before Judge B.L. Helm on February 27, 1984, the day before the scheduled trial on the refiled charges.
At the hearing before Judge Helm appellant urged that Judge Nabours erred in dismissing Cause No. 11679 without prejudice. Judge Helm expressed concern with the delay in presenting the motion to dismiss and also questioned whether he should undertake to review the order of dismissal without prejudice previously entered by Judge Nabours in Cause No. 11679. Ultimately, however, Judge Helm considered all of the arguments urged by appellant, and then denied the motion to dismiss with prejudice.
After the state dismissed two counts of receiving the earnings of a prostitute because of the unavailability of state witnesses, the matter proceeded to jury trial, resulting in appellant’s conviction on one count of maintaining a prostitution enterprise, one count of conspiracy to maintain a prostitution enterprise, five counts of re ceiving the earnings of a prostitute and one count of attempting to receive the earnings of a prostitute. She was sentenced to concurrent two year terms on all counts except for a one and one-half year concurrent term on the attempt charge. The trial judge gave appellant credit for pre-sentence incarceration by back-dating the commencement of the sentences to July 5, 1983.
On appeal the only issue presented by appellant is that Judge Helm erred in refusing to overrule Judge Nabours’ decision that the dismissal of the charges in Cause No. 11679 was without prejudice. The state’s argument in response is that there was no speedy trial violation in Cause No. 11679, and therefore Judge Nabours erred in entering any order of dismissal in that action. We hold that the state is precluded by principles of finality from attacking the validity of the dismissal order entered in Cause No. 11679. Under the provisions of A.R.S. § 13-4032(1) the state is given the right to appeal from “[a]n order dismissing an indictment, information or complaint or count of an indictment, information or complaint.” See State v. Schneider, 135 Ariz. 387, 661 P.2d 651 (App.1983). The state failed to do so. Accordingly, as to the state, the order of dismissal became final after the expiration of 20 days from the date of its entry. See Rule 31.3, Arizona Rules of Criminal Procedure, 17 A.R.S. We therefore refuse to consider the state’s contention that Judge Nabours committed error in finding that the speedy trial time limits imposed by Rule 8 had been violated in Cause No. 11679.
We consider next whether appellant is similarly precluded from questioning in this action the propriety of the dismissal without prejudice entered in Cause No. 11679. We note that, unlike the state, appellant was not entitled to directly appeal from the order of dismissal. See A.R.S. § 13-4033; State v. Tucker, 133 Ariz. 304, 651 P.2d 359 (1982). Special action review, however, would be available. See Quigley v. City Court of the City of Tucson, 132 Ariz. 35, 643 P.2d 738 (App.1982); cf. State v. Coury, 128 Ariz. 297, 625 P.2d 360 (App. 1981) (holding that appropriate remedy for state to review orders of dismissal with prejudice was by special action where statutory provision then in effect did not give the state a right of appeal from such orders). When the state has refiled dismissed charges, timely review by special action of a dismissal without prejudice would promote judicial economy since a special action decision in the defendant’s favor would avoid the necessity for a subsequent trial. See State v. Tucker, supra.
We realize that in State v. Tucker, supra, under circumstances somewhat similar to those involved in this case the Arizona Supreme Court rejected the state’s contention that the defendant had waived his right to question the trial court’s dismissal of the original charges without prejudice by failing to seek special action review of that dismissal. However, in holding that there was no waiver, the court noted that the defendant’s failure to seek special action review might well have been attributable to representations previously made in that action by the state. The defendant had attempted to appeal from the order dismissing the original charges without prejudice. In successfully arguing for dismissal of that appeal, the state urged that “appellant is free to raise his challenges after judgment and sentence in a timely filed Opening Brief.” The court in Tucker based its finding of non-waiver on the peculiar circumstances of that case. We do not believe that the court’s decision in Tucker was intended to apply in all situations.
The circumstances of this case present compelling reasons why ordinarily a defendant should be required to seek appellate special action review when he disagrees with the ruling that a dismissal is without prejudice. Here, by re-arguing in the subsequent action the propriety of Judge Nabours’ order dismissing the charges, appellant was in essence seeking a horizontal review of that ruling by another superior court judge, a practice which has been consistently criticized and disapproved by our courts. See Fraternal Order of Police, Lodge 2 v. Superior Court in and for Maricopa County, 122 Ariz. 563, 596 P.2d 701 (1979); Union Rock & Materials Corp. v. Scottsdale Conference Center, 139 Ariz. 268, 678 P.2d 453 (App.1983); Union Const. Co., Inc. v. Beneficial Standard Mortg. Investors, 125 Ariz. 433, 610 P.2d 67 (App.1983). In this connection we emphasize that the motion to dismiss filed in the subsequent proceedings was not based upon events developing after the original dismissal which, in themselves, might have infringed upon appellant’s right to a speedy trial. Rather, the only evidence presented by appellant’s counsel at the hearing before Judge Helm consisted of the testimony of appellant’s prior counsel relating to known events which occurred prior to the entry by Judge Nabours of the dismissal order.
Based upon the foregoing, we ordinarily would hold that appellant had waived her right to raise in these proceedings the propriety of the order of dismissal without prejudice entered by Judge Nab-ours in the prior proceedings. However, since in this case we cannot say that appellant’s failure to seek special action review of Judge Nabours’ order was unreasonable in view of State v. Tucker, supra, we will consider the issue on the merits. Under the provisions of Rule 8.6, Arizona Rules of Criminal Procedure, if the court after considering the time exclusions allowed by the rule, determines that the rule’s time limits have been violated, the court “shall ... dismiss the prosecution with or without prejudice.” The rule’s language is very explicit. Upon a finding of violation the court must dismiss the prosecution, but the court is given discretion as to whether the dismissal is to be with prejudice or without prejudice. The only specific standard set forth in Rule 8 to guide the exercise of the court’s discretion as to whether the dismissal should be with or without prejudice is found in Rule 8.1(d) as follows:
“(d) Duty of Defense Counsel. The defendant’s counsel shall advise the court of the inpending expiration of time limits in the defendant’s case. Failure to do so may result in sanctions and should be considered by the court in determining whether to dismiss an action with prejudice pursuant to Rule 8.6.”
Some guidance, however, is also found in the provisions of Rule 16.5(d):
“(d) Effect of Dismissal. Dismissal of a prosecution shall be without prejudice to commencement of another prosecution, unless the court order finds that the interests of justice require that the dismissal be with prejudice.”
Additionally, case law establishes that in determining whether the interests of justice require that the dismissal be with prejudice, consideration should be given to factors normally pertinent to a determination of whether there has been a violation of a defendant’s sixth amendment rights to a speedy trial as established in Barker v. Wingo, 407 U.S. 514, 92 S.Ct. 2182, 33 L.Ed.2d 101 (1972). The most important factor in deciding whether the dismissal should be with prejudice is whether the delay has been prejudicial to the defendant. See State v. Zuck, 134 Ariz. 509, 658 P.2d 162 (1983); State ex rel. Berger v. Superior Court, 111 Ariz. 335, 529 P.2d 686 (1974); State v. Tucker, supra.
Applying the foregoing to the facts of this case, we find that appellant has shown no prejudice resulting from the delay in this case. As to her claim that her mental condition deteriorated while in custody, we first note that even if we were to accept appellant’s premise that her mental condition did in fact deteriorate, the deterioration occurred early in this prosecution and long prior to the expiration of Rule 8’s speedy trial time limits. More importantly, however, two mental health experts were appointed to examine appellant, and both were of the firm opinion that appellant was feigning her alleged mental condition, and that she was entirely competent at all times to stand trial and to understand and assist her counsel in defending against the charges. In short, there was no substance to counsel’s claims that appellant’s mental condition had deteriorated. Nor, is there any showing in the record that appellant was prejudiced by reason of the unavailability of witnesses as a result of delay. In fact, she obviously benefitted, since two of the charges against her had to be dismissed because of the unavailability of prosecution witnesses. We conclude that appellant has shown no prejudice, and accordingly Judge Helm did not abuse his discretion in refusing to overrule the prior dismissal without prejudice.
The judgments of conviction and sentences imposed are affirmed.
MEYERSON, P.J., and GRANT, J., concur.
. There was no contention that appellant’s speedy trial rights were violated in the new proceedings, Cause No. 11883. In fact, at the hearing on the motion to dismiss appellant’s counsel acknowledged that the prosecutor had been “very diligent in prosecuting” the pending charges.
. We note that there is no necessity for a defendant to seek special action review unless the charges are refiled by the state.
|
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OPINION
FERNANDEZ, Judge.
The question we are asked to decide in this case is whether a vehicle owned by a husband and being temporarily driven by the wife while her own car is inoperable because of mechanical breakdown can be considered a “temporary substitute automobile” under the wife’s liability insurance policy. We hold that it is not and that the policy affords no coverage to the wife in a personal injury action filed against her as a result of an accident that occurred while she was driving her husband’s vehicle.
Suzanne Lewallen was the named insured on a policy issued by appellant insurance company covering a 1971 Ford Pinto owned by her as her sole and separate property. She had held the policy for two to three years before the accident, simply renewing it at the appropriate times. The policy listed her name as Suzanne Steinbach since she had not changed the name on it after her marriage in July 1982. Bret Lewallen, Suzanne’s husband, owned, as his sole and separate property, a 1973 Ford pickup which had been severely damaged in a camping accident about a year before the accident in question. The couple had rebuilt it during the year; it had become operable only a few days before Suzanne’s accident on October 12, 1982. The weekend before the accident Suzanne’s car, the Ford Pinto, suffered a clutch failure and was put on blocks to be repaired by the couple. Suzanne then drove the pickup on Monday and Tuesday, the day of the accident.
Appellees Trejo were the driver and passenger of the car Suzanne Lewallen hit, and appellee Simon was the owner. They filed suit against the Lewallens in another action. Appellant refused to defend her in the suit. The company then filed this declaratory judgment action contending the policy afforded no coverage for the accident. Although the Lewallens filed an answer, they participated no further in the case. Appellees Trejo and Simon moved for summary judgment, and the trial court granted it, stating that the policy definitions of temporary substitute automobile and non-owned automobile were somewhat ambiguous. Appellant has appealed from that ruling.
The applicable definition provisions of the policy are as follows:
“(a) ‘named insured’ means the individual named in Item I of the declarations and also includes his spouse, if a resident of the same household;
******
“(g) ‘temporary substitute automobile’ means any automobile or trailer not owned by the named insured while temporarily used as a substitute for the owned automobile or trailer when withdrawn from normal use. because of its breakdown, repair, servicing, loss or destruction;
******
“(h) ‘non-owned automobile’ means an automobile or trailer not owned by or furnished for the regular use of either the named insured or any relative, other than a temporary substitute automobile.”
Appellant contends that the pickup did not qualify as a temporary substitute vehicle since it was owned by Suzanne’s husband at the time of the accident. Since her husband is included in the definition of “named insured” by virtue of the fact that he is a spouse residing in the same household, his vehicle cannot be a temporary substitute automobile. Appellees contend the use of the word “the” before “named insured” in the definition of temporary substitute automobile renders the clause ambiguous and since ambiguities are to be construed against the insurer, Sparks v. Republic Nat. Life Ins. Co., 132 Ariz. 529, 647 P.2d 1127, cert. denied, 459 U.S. 1070, 103 S.Ct. 490, 74 L.Ed.2d 632 (1982), there is no coverage.
There is no doubt whatever the policy would have afforded no coverage if the husband had been driving the pickup at the time of the accident.
In order for us to find that the policy provisions in question are ambiguous, we would be required to torture the English language. We are not prepared to do so. The policy definitions clearly include a spouse who resides in the same household as a named insured. There is no question that Bret Lewallen was married to Suzanne and that they resided together. There is also no question that the pickup involved in the accident belonged to Bret. Since it was owned by a named insured it does not meet the requirements of the temporary substitute automobile clause. This court may not create an ambiguity where none exists even though the insured may suffer harsh results. State Farm Mutual Automobile Ins. Co. v. O’Brien, 24 Ariz. App. 18, 535 P.2d 46 (1975). The “ambiguity” rule applies only after the court is unable to determine how the language of the policy applies to the specific facts of the case. Stephan v. Allstate Insurance Co., 26 Ariz.App. 367, 548 P.2d 1179 (1976). There is no such difficulty here and hence no reason to apply the rule.
The purpose of the temporary substitute automobile clause is to extend coverage to the insured temporarily and automatically without payment of an additional premium to protect him when he uses a vehicle not specified in the policy in place of the insured car which is inoperable because of a mechanical breakdown or the like. Sellers v. Allstate Insurance Co., 113 Ariz. 419, 555 P.2d 1113 (1976); Fulton v. Woodford, 17 Ariz.App. 490, 498 P.2d 564 (1972). The clause is not intended to narrow or defeat liability but to limit the insurer’s risk for regular driving to one vehicle at a time for a single premium. Teter v. Corley, 2 Kan.App.2d 540, 584 P.2d 651 (1978); 7 Am.Jur.2d Automobile Insurance § 236 (1980). “[I]f such coverage was ordinarily extended, the insurer would be covering an uninsured vehicle for a single premium in lieu of the insured taking out separate coverage for his automobiles.” 12 G. Couch, Cyclopedia of Insurance Law § 45:219 at p. 512 (2d ed. 1981).
The Lewallens both testified the only car that was insured was the Pinto. Neither believed there was any coverage for the pickup at the time of the accident. Thus, the. reasonable expectations of the insured are realized by a finding of no coverage. Darner Motor Sales v. Universal Underwriters, 140 Ariz. 383, 682 P.2d 388 (1984).
Appellant has cited several cases in which courts of other jurisdictions have found that the substitution clause precludes coverage, and appellees have cited several cases holding the opposite. In Cotton States Mutual Ins. Co. v. Bowden, 136 Ga.App. 499, 221 S.E.2d 832 (1975); Illinois National Ins. Co. v. Trainer, 1 Ill. App.3d 34, 272 N.E.2d 58 (1971); Government Employees Ins. Co. v. Kligler, 42 N.Y.2d 863, 397 N.Y.S.2d 777, 366 N.E.2d 865 (1977); and Garber v. Travelers Ins. Companies, 280 Pa.Super. 323, 421 A.2d 744 (1980), the courts all denied coverage under the temporary substitute automobile clause in somewhat similar fact situations, generally by a finding that the clause was not ambiguous and should be read according to its plain meaning. In the cases cited by appellees, the courts found the provision ambiguous and thus found coverage. The court in one case, Caldwell v. Hartford Accident & Indemnity Co., 248 Miss. 767, 160 So.2d 209 (1964), merely stated it found the reasoning of an earlier case persuasive and engaged in no further discussion. The case of Farley v. American Automobile Ins. Co., 137 W.Va. 455, 72 S.E.2d 520, 34 A.L.R.2d 933 (1952) is inapplicable to these facts because no spouse was involved. Another was based solely on a public policy reason, Nationwide Mutual Insurance Company v. Taylor, 55 N.Car.App. 76, 284 S.E.2d 532 (1981). We see no reason to follow appellee’s cited cases, especially in light of our finding that the policy language is not ambiguous.
Reversed.
BIRDSALL, P.J., and HOWARD, J., concur.
|
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OPINION
FERNANDEZ, Judge.
Appellant was found guilty by a jury of possession of marijuana. He admitted a prior conviction and the fact that he was on probation at the time of the commission of the instant offense. He failed to appear for sentencing and was sentenced in absentia to 2.25 years in the Department of Corrections. The next day the sentence was vacated, and a bench warrant was issued in light of the ruling in State v. Fettis, 136 Ariz. 58, 664 P.2d 208 (1983) which banned sentencing in absentia.
Appellant was arrested on the bench warrant in Texas and returned to the Pima County Jail where he was taken to the Department of Corrections without appearing for sentencing. After four months in the custody of the Department of Corrections, appellant filed a Rule 32 petition which resulted in the trial court resentencing appellant. The court designated the offense as a misdemeanor and sentenced him to time already served. The appellant has a pending civil rights lawsuit concerning his incarceration which has nothing to do with this appeal.
Appellant raises three interrelated issues on appeal: 1) fundamental error occurred because the court failed to instruct the jury sua sponte on the defense of necessity; 2) appellant’s counsel was incompetent in not requesting an instruction on his necessity defense, and 3) the court erred in precluding testimony of his intoxication.
Appellant was arrested after a police officer noticed four marijuana plants in his car. Appellant testified that he had seen the plants growing in a wash earlier that day, that he had gone back that night to obtain the plants and was taking them home so he could discard them as he was worried about children getting the marijuana and using it. He further testified- he made no effort to hide the plants because he felt he was doing some good and was not breaking the law.
Defense of Necessity
Counsel contends that it was fundamental error for the court not to instruct on the defense of necessity even though no request was made for such an instruction. We find no evidence to support the giving of such an instruction in light of the definition of necessity given in United States v. Bailey, 444 U.S. 394 at 410, 100 S.Ct. 624 at 634, 62 L.Ed.2d 575 at 590 (1980), as follows: “the defense of necessity, or choice of evils, traditionally covered the situation where physical forces beyond the actor's control rendered illegal conduct the lesser of two evils.” The Court noted the defense is not available “if there was a reasonable, legal alternative to violating the law, ‘a chance both to refuse to do the criminal act and also to avoid the threatened harm.’ ” 444 U.S. at 410, 100 S.Ct. at 635, 62 L.Ed.2d at 591. Appellant had a number of other options available to him, most notably, an anonymous phone call to the police. A trial court is not obligated to instruct on a theory of the case that finds no support in the evidence. State v. Williams, 120 Ariz. 600, 587 P.2d 1177 (1978). Further, the appellant has not cited any reported Arizona decision which recognized the defense of necessity. We find no fundamental error.
Ineffective Counsel
Trial counsel could not have been ineffective for failing to request an instruction in this case since the evidence did not support the giving of such an instruction. See State v. Nash, 143 Ariz. 392, 694 P.2d 222 (1985), which states the test for ineffective assistance of counsel.
Intoxication
Appellant was arrested at 10:30 p.m. At the trial he produced two witnesses who had not been timely disclosed to testify that defendant was intoxicated between 5 p.m. and 6 p.m. that day, some four and one-half hours before the arrest. The court granted the state’s motion to preclude the testimony on the grounds that the witnesses were untimely disclosed and that evidence that appellant was intoxicated at the time stated was irrelevant. We find no error in the court’s ruling. See A.R.S. § 13-503.
Affirmed.
BIRDSALL, P.J., and HOWARD, J., concur.
|
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OPINION
ESPINOSA, Judge:
¶ 1 In this appeal, we consider whether appellant John Sanchez was properly denied reinstatement of his conditional release pursuant to A.R.S. § 36-3713(0 following a revocation hearing. By way of background, in August 2003, a jury found Sanchez to be a sexually violent person as defined in A.R.S. § 36-3701(7) of Arizona’s Sexually Violent Persons (SVP) Act, A.R.S. §§ 36-3701 through 36-3717. Pursuant to the jury’s verdict, the trial court ordered Sanchez committed to the custody of the Arizona Department of Health Services for placement at the Arizona Community Protection and Treatment Center (ACPTC). This court affirmed the jury verdict and commitment order on appeal. In re Commitment of Sanchez, No. 2 CA-MH 2003-0014-SP (memorandum decision filed Apr. 6, 2005). In 2009, this court affirmed the trial court’s denial of Sanchez’s subsequent request for discharge. In re Detention of Sanchez, No. 2 CA-MH 2009-0003-SP, 2009 WL 3237757 (memorandum decision filed Oct. 8, 2009).
¶ 2 Sanchez requested release to less-restrictive alternative conditions pursuant to §§ 36-3710 and 36-3711, in 2012. The trial court noted that Sanchez’s “response to sex offender treatment has been on a constant upward swing since approximately 2008” and that his doctors’ reports “have illustrated a positive change over time.” Citing § 36-3714(A), the court also noted that the state could “no longer meet its burden of proving beyond a reasonable doubt that [Sanchez’s] disorder has not changed and that he is likely to engage in acts of sexual violence if discharged.” See also § 36-3709(A) (state must prove beyond reasonable doubt that petitioner’s mental disorder has not changed and petitioner remains danger if released to less restrictive alternative). But, it determined that “immediate discharge would not be in the best interests of anyone, including Sanchez himself.” The court therefore ordered conditional release to Tucson Counseling and Consulting Services, with specific conditions of release.
¶ 3 In July 2014, the trial court revoked the conditional release after Sanchez had admitted having touched a young girl on her back and a polygraph examiner had reported indicia of dishonesty during Sanchez’s testing. The court ordered Sanchez “returned to Arizona Community Protection and Treatment Center.” This court granted Sanchez’s special action petition in part, vacating the court’s decision because it had failed to “conduct a hearing in compliance with A.R.S. § 36-3713.” Sanchez v. Fields, No. 2 CA-SA 2014-0047, ¶ 2 (decision order filed Aug. 8, 2014). In December 2014, after a multiday hearing, the court again revoked Sanchez’s conditional release and committed him to total confinement.
Discussion
¶ 4 “Because involuntary treatment proceedings may result in a serious deprivation of appellant’s liberty interests,” In re Maricopa Cnty. Superior Court No. MH 2001-001139, 203 Ariz. 351, ¶ 8, 54 P.3d 380, 382 (App.2002), the applicable statutes must be strictly followed, In re Maricopa Cnty. Superior Court No. MH 2003-000058, 207 Ariz. 224, ¶ 12, 84 P.3d 489, 492 (App.2004). We will uphold a trial court’s findings of fact in this context unless they are “clearly erroneous or unsupported by any credible evidence.” In re Maricopa Cnty. Mental Health Case No. MH 94-00592, 182 Ariz. 440, 443, 897 P.2d 742, 745 (App.1995).
¶ 5 Pursuant to § 36-3713(C), a trial court is required, within five days of notice that the person previously conditionally released has been detained, to schedule a hearing. To order a return to total confinement, “[a]t the hearing, the court shall determine if the state has proved by a preponderance of the evi dence that the person” did not comply with the conditions of release and that, inter alia, return to total commitment is appropriate. § 36-3713(C). In making its determination, “[t]he court may admit hearsay evidence if [it] finds that the hearsay evidence is otherwise reliable.” Id.
¶ 6 In a somewhat confusing argument, Sanchez apparently contends that the evidence was insufficient to prove beyond a reasonable doubt that he poses a danger to others and that a lower standard of proof “is improper.” As noted above, the statute provides a “preponderance of the evidence” standard in this context. § 36-3713(C). Sanchez’s argument on this point centers on his assertion that “[t]here was insufficient evidence presented to prove that [he] continues to qualify as an SVP.” But the hearing here was not aimed at determining Sanchez’s status as an SVP, see, e.g., §§ 36-3707, 36-3709, 36-3714, but rather to determine whether his release to less restrictive placement should be revoked, see § 36-3713.
¶ 7 In the context of a hearing on a petition for change of status filed after an annual review or on a petition for discharge, the state is required to prove “beyond a reasonable doubt” that the SVP’s mental disorder is unchanged and he or she remains a danger. §§ 36-3709, 36-3714. But when the issue is revocation of a conditional release, the burden of proof is lower, and the liberty interests Sanchez cites are not implicated because the state has already met the greater burden in establishing his continuing status as an SVP. Thus, his apparent argument that a lower standard of proof is unconstitutional fails — he has not explained how a heightened standard is constitutionally required in this context. And his reliance on eases addressing the deprivation of liberty in the first instance is misplaced. See, e.g., In re Win-ship, 397 U.S. 358, 367-68, 90 S.Ct. 1068, 25 L.Ed.2d 368 (1970) (juveniles entitled to finding of proof beyond reasonable doubt); In re Gault, 387 U.S. 1, 41, 55-56, 87 S.Ct. 1428,18 L.Ed.2d 527 (1967) (juveniles entitled to counsel, confrontation, privilege against self-incrimination); see also Kansas v. Hendricks, 521 U.S. 346, 371, 117 S.Ct. 2072, 138 L.Ed.2d 501 (1997) (holding Kansas’s SVP Act “comports with due process” and double jeopardy principles). The trial court created some uncertainty in regard to the nature of the proceeding by initially referring to § 36-3714, but the remainder of the proceedings, outlined above, make clear that the court’s statement referred to the state’s ability to meet its burden related to whether Sanchez posed a continued danger to the community such that total confinement was required.
¶ 8 Sanchez next contends that his therapist, Jennifer Balistreri, was unqualified to determine whether he “continue[d] to have a mental disorder” because she is not a licensed psychologist or psychiatrist, which he argues is required by §§ 36-3702 and 36-3708. But, § 36-3708 does not require testimony from a psychologist or psychiatrist, but only a “competent professional.” Further, that section relates to the annual examination of a committed person, not to revocation of conditional release. Section 36-3713, which relates to revocation of release, does not require testimony from any particular type of mental health expert. Nor does § 36-3702, which provides the requirements for establishing that a person is an SVP in the first instance, apply in this context.
¶ 9 Furthermore, although Sanchez asserts that Balestreri’s testimony was “improper expert testimony,” he fails to develop any meaningful argument on this point, and any such claim is therefore waived. See Ariz. R. Civ.App. P. 13(a)(7); Polanco v. Indus. Comm’n, 214 Ariz. 489, n. 2, 154 P.3d 391, 393-94 n. 2 (App.2007) (failure to develop and support argument waives issue on appeal). We likewise reject his claim that Balestreri presented improper hearsay evidence because, as noted above, § 36-3713(0) specifically allows hearsay evidence.
¶ 10 Sanchez next asserts his statements made to Balestreri should have been suppressed because they were involuntary in that they violated his rights under the Fifth Amendment to the United States Constitution. As the state points out, however, SVP proceedings are “strictly civil in nature” and the “privilege against compulsory self-incrim ination does not apply.” In re Commitment of Conn, 207 Ariz. 257, ¶¶ 7-11, 85 P.3d 474, 476-77 (App.2004).
¶ 11 Last, Sanchez argues “there is no reliability in the polygraph” testing. To the extent Sanchez is claiming the results of the testing should not have been admitted, we note that Sanchez offered the polygraph report at the hearing, and the state’s acquiescence essentially constituted a stipulation by the parties to its admission. Cf State v. Hoskins, 199 Ariz. 127, ¶ 69, 14 P.3d 997, 1014 (2000), supp. op., 204 Ariz. 572, 65 P.3d 953 (2003) (references to polygraph admissible only upon stipulation). Furthermore, the purpose of the polygraph test here was to monitor Sanchez’s treatment pursuant to § 36-3710(E) and did not go to the ultimate issue, as evidenced in Balestreri’s testimony. Moreover, even if there were any error in the admission of the polygraph results, it was invited because Sanchez moved to admit the report. See In re MH2009-002120, 225 Ariz. 284, ¶ 8, 237 P.3d 637, 640 (App.2010) (party who leads court to take action may not assign action as error). Finally, to the extent he argues it undermines the trial court’s factual findings, we reject this claim because the findings were supported by substantial evidence. Maricopa Cnty. No. MH 91-00592, 182 Ariz. at 443, 897 P.2d at 745. Sanchez himself acknowledged at the hearing that the polygraph results were correct insofar as they indicated he had not been forthcoming in relation to the incident about which he was questioned.
Disposition
¶ 12 For all of the foregoing reasons, the trial court’s order is affirmed.
. United States v. Antelope, 395 F.3d 1128 (9th Cir.2005), on which Sanchez relies, is inapposite. That case involved a defendant who was required to submit to polygraph examinations as part of a treatment program ordered as a condition of probation in a criminal matter. Id. at 1131.
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Justice TIMMER,
opinion of the Court.
¶ 1 Agreements between parties or attorneys in civil lawsuits are not binding if disputed unless they are evidenced by a writing or made orally in court. Ariz. R. Civ. P. 80(d). We here consider whether Rule 80(d) makes a written settlement agreement unenforceable because it lacked the written assent of clients who dispute their attorney’s authority to make the agreement. Holding that no such written assent is required and that the agreement here satisfied Rule 80(d), we also conclude that it is enforceable because the attorney acted within the apparent authority given by his clients.
I. BACKGROUND
¶ 2 Petitioners (“the Robertson Group”) sued neighboring property owners (“the Ailing Group”) concerning a water line. On January 29, 2013, the parties and their attorneys attended a mediation but did not reach an agreement. At the end of the mediation, the Ailing Group, represented by attorney Mark Sifferman, made a settlement offer requiring acceptance within forty-eight hours. Hours before the offer expired, Robert Grasso, the Robertson Group’s attorney, told Sifferman that the Robertson Group needed more time to respond to the offer because one group member had a family emergency. Grasso proposed that the attorneys discuss the offer the next week. Sifferman did not extend the January 31 deadline, and the offer expired.
¶ 3 Sifferman advised his clients of Grasso’s request and recommended they “leave the door open” for settlement. Two of the Ailing Group members emailed Sifferman on February 4 stating that they and others favored “removing the settlement offer pro posed in the mediation.” But Sifferman did not read the email and mistakenly thought all his clients were willing to settle on the terms previously conveyed to the Robertson Group.
¶ 4 On February 6, after talking with another attorney at Grasso’s law firm, Sifferman sent that attorney an email extending a new settlement offer with terms that mirrored the prior offer but would expire at 5:00 p.m. on February 8. Grasso timely accepted the offer via email. Later, after Grasso’s law firm had informed the trial court of the settlement (the “February 8 settlement”) and circulated draft settlement documents, Sifferman discovered he had lacked authority to extend the settlement offer. After conferring with his clients, Sifferman made a new settlement offer, which materially varied from the February 8 settlement.
¶ 5 The Robertson Group moved to enforce the February 8 settlement. Without an evidentiary hearing, the trial court granted the motion, ruling that Sifferman had actual and apparent authority to extend the settlement offer and, alternatively, that the Ailing Group was equitably estopped from disputing that authority. The court also ruled that Arizona Rule of Civil Procedure 80(d) did not apply but, if it did, the emails exchanged between counsel satisfied the rule.
¶ 6 The court of appeals reversed. Robertson v. Ailing, 235 Ariz. 329, 339 ¶ 38, 332 P.3d 76, 86 (App.2014). After finding that a dispute existed concerning Sifferman’s authority to enter into the February 8 settlement, the court concluded that this dispute triggered Rule 80(d). Id. at 333 ¶ 10, 332 P.3d at 80. “Because the [Ailing Group’s] assent to the contract is not in writing,” the court reasoned, “the requirements of Rule 80(d) were not met, and the agreement is unenforceable as a matter of law.” Id. The court remanded for the trial court to determine whether the Ailing Group is equitably estopped from opposing enforcement of the February 8 settlement. Id. at 339 ¶ 37, 332 P.3d at 86.
¶ 7 We granted review to decide whether Rule 80(d) applies when an attorney’s authority to settle is challenged and to provide guidance on apparent authority, both recurring issues of statewide importance. We have jurisdiction pursuant to Article 6, Section 5 of the Arizona Constitution.
II. DISCUSSION
¶ 8 Because the trial court effectively granted summary judgment regarding the existence, terms, and enforceability of the parties’ settlement agreement, we employ the summary judgment standard of review. See Perry v. Ronan, 225 Ariz. 49, 52 ¶ 7, 234 P.3d 617, 620 (App.2010). Accordingly, we determine de novo whether any genuine disputes of material fact exist and whether the trial court correctly applied the law, viewing the facts in the light most favorable to the Ailing Group as the non-prevailing party. See Ariz. R. Civ. P. 56(a); BMO Harris Bank, N.A. v. Wildwood Creek Ranch, LLC, 236 Ariz. 363, 365 ¶ 7, 340 P.3d 1071, 1073 (2015).
A. Rule 80(d)
¶ 9 Rule 80(d) provides that “[n]o agreement or consent between parties or attorneys in any matter is binding if disputed, unless it is in writing, or made orally in open court, and entered in the minutes.” The issue before us is whether the rule requires a writing reflecting a client’s assent to a written agreement when the client disputes its attorney’s authority to make the agreement.
¶ 10 We interpret court rules to effect the drafters’ intent. State v. Salazar-Mercado, 234 Ariz. 590, 592 ¶ 4, 325 P.3d 996, 998 (2014). When a rule’s language is unambiguous, we apply it as written. Id. If the language is ambiguous, we apply secondary principles of construction, such as examining the rule’s spirit and purpose as well as the effects and consequences of differing interpretations. Id.
¶ 11 The Robertson Group relies on Hays v. Fischer as support for its argument that Rule 80(d) applies only if “the existence of the settlement agreement and its terms are ... in dispute” and not when the client disputes whether it is bound by the settlement agreement. 161 Ariz. 159, 166, 777 P.2d 222, 229 (App.1989); see also Perry, 225 Ariz. at 54 ¶¶ 17-18, 234 P.3d at 622 (holding that Rule 80(d) does not apply because the client “only disputes whether he is bound to the settlement agreement; the agreement’s existence and terms are not in dispute”). That group asserts that the Ailing Group does not dispute the existence or terms of the February 8 settlement, but only contests whether it is bound by the agreement, and, therefore, Rule 80(d) does not apply.
¶ 12 Like the court of appeals, see Robertson, 235 Ariz. at 338 ¶¶ 31-32, 332 P.3d at 85, the Ailing Group relies on Canyon Contracting Co. v. Tohono O’Odham Housing Authority, which held that if an attorney’s settlement authority is disputed, Rule 80(d) requires a written manifestation of the client’s assent to the agreement. 172 Ariz. 389, 393, 837 P.2d 750, 754 (App.1992). In Canyon Contracting, the court reasoned that this construction of Rule 80(d) furthers the rule’s “policy of avoiding difficult issues of proof.” Id.
¶ 13 We agree with the Robertson Group. Rule 80(d) serves to avoid collateral disputes between parties by requiring written evidence of any stipulations and agreements. Cf. Hackin v. Rupp, 9 Ariz.App. 354, 355-56, 452 P.2d 519, 520-21 (1969) (stating that most jurisdictions have adopted similar rules to “prevent fraudulent claims of oral stipulations, and to prevent disputes as to the existence and terms of agreements and to relieve the court of the necessity of determining such disputes” (quoting 83 C.J.S. Stipulations § 4 (1969)) (internal quotation marks omitted)). If parties do not dispute the existence or terms of an agreement, no purpose is served by applying Rule 80(d). Whether the agreement is in writing does not resolve whether the lawyer was authorized to bind the client. Because the parties here do not dispute the existence and terms of the February 8 settlement, Rule 80(d) does not apply-
¶ 14 But even if Rule 80(d) applies, the attorneys’ exchange of emails satisfied the rule. Nothing requires clients to separately assent in writing to a written agreement brokered by their attorney. Construing Rule 80(d) to require the client’s assent when the client disputes its attorney’s authority would abrogate the apparent authority doctrine in the attorney-client context. Our courts have long recognized that attorneys can bind clients who have cloaked them with apparent authority to act on their behalf. See, e.g., Panzino v. City of Phoenix, 196 Ariz. 442, 447 ¶ 17, 999 P.2d 198, 203 (2000); Ariz. Title Ins. & Trust Co. v. Pace, 8 Ariz.App. 269, 271-72, 445 P.2d 471, 473-74 (1968). Because apparent authority is invoked in the absence of an express written manifestation of client assent, and generally turns on factual disputes, see Goodman v. Physical Res. Eng’g, Inc., 229 Ariz. 25, 29 ¶ 12, 270 P.3d 852, 856 (App.2011), the Ailing Group’s interpretation would eliminate application of the apparent authority doctrine to an attorney’s acts. And, because Rule 80(d) applies to numerous stipulations and agreements, this interpretation could east doubt on agreements reached between attorneys to resolve discovery disputes and other routine matters. Neither Rule 80(d)’s text nor purpose suggests that the drafters intended this result. Cf. Mustang Equip., Inc. v. Welch, 115 Ariz. 206, 211, 564 P.2d 895, 900 (1977) (“It has always been the policy of the law to favor and encourage the resolution of controversies through compromise and settlement rather than through litigation.”).
¶ 15 We endorse the holding in Hays that Rule 80(d) applies only when parties dispute the existence or terms of an agreement, as distinct from other challenges to its enforceability. If such a dispute exists, the rule can by satisfied by writings exchanged between counsel. Rule 80(d) does not require the client’s written assent to the agreement. We disapprove Canyon Contracting insofar as it reached a different conclusion. Because the parties do not dispute the existence or terms of the February 8 settlement, Rule 80(d) does not preclude its enforcement.
B. Apparent Authority
¶ 16 The relationship between an attorney and client is governed by agency law principles. See Panzino, 196 Ariz. at 447 ¶ 17, 999 P.2d at 203. The Robertson Group concedes, contrary to the trial court’s ruling, that Sifferman lacked actual authority to enter into the February 8 settlement. It argues, however, that Sifferman had apparent authority to bind the Ailing Group to that agreement.
¶ 17 An attorney without actual authority to settle a dispute can nevertheless do so if the other party to the agreement “reasonably assumes that the lawyer is authorized to do the act on the basis of the client’s (and not the lawyer’s) manifestation of such authorization.” Restatement (Third) of Law Governing Lawyers § 27; Restatement (Third) of Agency § 3.03 (to same effect). The client “manifests assent or intention through written or spoken words or other conduct.” Restatement (Third) of Agency § 1.03. That the client has retained an attorney does not establish apparent authority to settle a dispute. See United Liquor Co. v. Stephenson, 84 Ariz. 1, 3, 322 P.2d 886, 887 (1958). The party seeking to enforce the settlement bears the burden of showing that its reliance on the attorney’s apparent authority was reasonable. See Miller v. Mason-McDuffie Co. of S. Cal, 153 Ariz. 585, 590, 739 P.2d 806, 811 (1987).
¶ 18 The undisputed facts establish Sifferman’s apparent authority to bind the Ailing Group to the February 8 settlement. At the end of the mediation, all members of the Ailing Group, after consulting with their attorneys, offered, through the mediator, to settle the lawsuit on specified terms. The attorneys for each side, at the mediator’s suggestion, immediately met without their clients to “hash out” the settlement terms. At Grasso’s request, Sifferman agreed to leave the offer open for forty-eight hours to enable Grasso to expedite discussions with the Robertson Group’s insurers concerning payment of the group’s attorney fees. Although the deadline initially requested by Grasso expired, Sifferman confirmed days later that the offer remained available on the same terms, and the Robertson Group accepted it.
¶ 19 By extending a settlement offer and then leaving Sifferman to finalize the timing and terms, the Ailing Group manifested its intention that Sifferman was empowered to conclude the settlement on the terms approved by the Ailing Group. The forty-eight-hour deadline was not part of the offer extended by the Ailing Group. Rather, Grasso requested the deadline for the benefit of the Robertson Group, Sifferman agreed to it without consulting the Ailing Group, and nothing suggested that the deadline was material to the Ailing Group. Without a deadline, the offer would have expired after a reasonable time period, unless revoked. 1 Williston on Contracts § 5:2 (4th ed.) (2015). By initially granting Grasso’s request for a forty-eight-hour deadline and then effectively extending the offer as “still open” days after the deadline expired, Sifferman acted within his apparent authority to complete the settlement on the terms agreed to by the Ailing Group. Cf. Restatement (Third) of Law Governing Lawyers § 21(3) (stating that absent client instruction or agreement, “a lawyer may take any lawful measure within the scope of representation that is reasonably calculated to advance a client’s objectives as defined by the client”).
¶ 20 In sum, we hold that the Ailing Group’s actions allowed the Robertson Group to reasonably assume that Sifferman had authority to keep a settlement offer on the table or reoffer the same settlement terms days after the agreement’s expiration, and the Robertson Group reasonably relied on the attorney’s apparent authority. Therefore, we agree with the trial court that the settlement agreement is binding on the Ailing Group.
C. Attorney Fees
¶ 21 The Robertson Group requests attorney fees pursuant to A.R.S. § 12-341.01, which gives courts discretion to award fees “[i]n any contested action arising out of a contract.” Because enforcement of the February 8 settlement is such an action, we award the Robertson Group its reasonable attorney fees expended on appeal upon its compliance with ARCAP 21(b).
III. CONCLUSION
¶ 22 Rule 80(d) applies only if a party disputes the existence or terms of an agreement. If such a dispute exists, the rule can be satisfied by writings exchanged by counsel. Rule 80(d) does not also require the written assent of a client who disputes that it is bound by the agreement. Because the parties here do not dispute the existence or terms of the February 8 settlement, Rule 80(d) does not apply. Finally, because the evidence shows that Sifferman was cloaked with apparent authority to bind the Ailing Group to the February 8 settlement, the trial court correctly enforced the agreement. We vacate the court of appeals’ opinion, affirm the trial court’s judgment, and award the Robertson Group its reasonable attorney fees on appeal.
. Another attorney represented one member of the Ailing Group. That member is not a party here, and the acts of that member and her attorney are not at issue.
|
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Vice Chief Justice PELANDER,
opinion of the Court.
¶ 1 We address in this case whether, in a prosecution for second-degree murder, the trial court may instruct the jury on manslaughter over a defendant’s objection if the evidence supports a finding that the killing occurred “upon a sudden quarrel or heat of passion resulting from adequate provocation by the victim” (“provocation manslaughter”) under A.R.S. § 13-1103(A)(2). We hold that the court may give such an instruction.
I.
¶ 2 Christepher Lua was tried on two counts of attempted second-degree murder and other charges. At the close of evidence, the trial court, over Lua’s objection, instructed the jury on attempted provocation man slaughter, which the court ruled was a lesser-included offense of attempted second-degree murder. Lua was convicted of both counts of attempted provocation manslaughter.
¶ 3 The court of appeals affirmed, holding that the jury instruction was proper because provocation manslaughter is a lesser-included offense of second-degree murder and the evidence supported the instruction, a point Lua did not dispute. State v. Lua, 235 Ariz. 261, 261 ¶ 1, 264 ¶ 12, 330 P.3d 1018, 1018, 1021 (App.2014). In doing so, the court rejected Lua’s argument that Peak v. Acuna, 203 Ariz. 83, 50 P.3d 833 (2002), “stands for the proposition that provocation manslaughter is not a lesser-included offense of second-degree murder.” Id. at 263 ¶ 8, 330 P.3d at 1020.
¶ 4 We granted review because the issue raised is recurring and of statewide importance. We have jurisdiction pursuant to Article 6, Section 5(3), of the Arizona Constitution and A.R.S. § 12-120.24.
II.
¶ 5 An instruction on an offense other than that charged is proper if the offense is included within the charged offense and the evidence supports giving the instruction. See State v. Miranda, 200 Ariz. 67, 68 ¶ 2, 22 P.3d 506, 507 (2001); see also Ariz. R.Crim. P. 23.3 (requiring court to submit jury verdict forms “for all offenses necessarily included in the offense charged,” including an attempt to commit the offense if such attempt is a crime); State v. Valenzuela, 194 Ariz. 404, 406 ¶ 10, 984 P.2d 12, 14 (1999). Whether an offense is included within another is a question of statutory interpretation that we review de novo. State v. Geeslin, 223 Ariz. 553, 555 ¶ 9, 225 P.3d 1129, 1131 (2010).
A.
¶ 6 A person commits second-degree murder, a class 1 felony, if, “without premeditation,” the person causes the death of another “intentionally,” “knowingly,” or “recklessly” “[u]nder circumstances manifesting extreme indifference to human life.” A.R.S. § 13-1104(A), (C). A person commits provocation manslaughter, a class 2 felony, by “[c]ommitting second degree murder ... upon a sudden quarrel or heat of passion resulting from adequate provocation by the victim.” Id. § 13-1103(A)(2), (C).
¶ 7 A lesser-included offense is one “composed solely of some but not all of the elements of the greater crime so that it is impossible to have committed the crime charged without having committed the lesser one.” State v. Celaya, 135 Ariz. 248, 251, 660 P.2d 849, 852 (1983). Under that “elements test,” provocation manslaughter is not a lesser-included offense of second-degree murder. Although it is a lesser degree of homicide, see A.R.S. §§ 13-1101(2), -1103(C), -1104(C), provocation manslaughter has the same (not fewer) elements as second-degree murder, with the added mitigating “circumstance” of adequate provocation. See Peak, 203 Ariz. at 84 ¶ 6, 50 P.3d at 834 (“Instead of deleting an element of the greater offense, [A.R.S. § 13-1103(A)(2) ] specifies a different circumstance as a requirement to find the lesser offense.”). Thus, it is possible to commit second-degree murder without committing provocation manslaughter; one who intentionally, knowingly, or with extreme recklessness kills another without premeditation and without provocation commits second-degree murder, but does not simultaneously commit provocation manslaughter. See id. at 84-85 ¶ 6, 50 P.3d at 834-35 (holding that double jeopardy did not bar retrial for second-degree murder following acquittal of provocation manslaughter because the acquittal “d[id] not necessarily mean that [Defendant] did not commit second-degree murder,” rather, “[i]t might well have meant that the jury found Defendant had not acted after a sudden quarrel or in the heat of passion”).
B.
¶ 8 Lua first argues that Arizona’s statutes do not allow a provocation-manslaughter instruction in a second-degree murder case unless that offense is separately charged or the defendant consents to an amendment adding that charge. The pertinent statutes do not expressly address Lua’s argument, and therefore we consider their context, historical background, spirit and purpose, and the effects and consequences of competing interpretations in determining legislative intent. See State ex rel. Montgomery v. Harris, 237 Ariz. 98, 101 ¶ 13, 346 P.3d 984, 987 (2014).
¶ 9 Allowing a provocation-manslaughter instruction in a second-degree murder trial if the evidence warrants such an instruction comports with the framework of Arizona’s homicide statutes, which provide increased punishment for progressively more serious crimes. See A.R.S. §§ 13-1102 to -1105; cf. State v. Woodall, 155 Ariz. 1, 4, 744 P.2d 732, 735 (App.1987) (observing that the drafters of the current homicide provisions intended that the “degree of culpable mental state” govern the degree of homicide). The classification of provocation manslaughter as a lesser-grade felony than second-degree murder reflects a policy that those who commit second-degree murder “upon a sudden quarrel or heat of passion resulting from adequate provocation by the victim” deserve a lesser punishment. A.R.S. § 13-1103(A)(2); cf. id. § 13-101(4) (declaring the “policy” and “general purposes” of the criminal code “[t]o differentiate on reasonable grounds between serious and minor offenses and to prescribe proportionate penalties for each”); State v. Garza Rodriguez, 164 Ariz. 107, 111, 791 P.2d 633, 637 (1990) (concluding that A.R.S. § 13-1904(A)(2) reflects the legislature’s determination that those who use deadly weapons or dangerous instruments deserve a greater punishment).
¶ 10 Because the state is required to prove second-degree murder to obtain a provocation-manslaughter conviction, however, see § 13-1103(A)(2), the state has little incentive to separately charge provocation manslaughter, even if the facts warrant it. As a practical matter, therefore, adopting Lua’s argument would undermine the legislature’s intent to reduce second-degree murder to manslaughter when circumstances exist to justify the less-serious charge.
¶ 11 Legislative history also suggests that the legislature intended to allow a provocation-manslaughter verdict in a second-degree murder case when justified by the evidence. Before 1978, Arizona’s criminal laws codified the common-law definitions of murder as “the unlawful killing of a human being with malice,” and manslaughter as “the unlawful killing of a human being without malice.” See former A.R.S. §§ 13-451, -455, repealed by 1977 Ariz. Sess. Laws, ch. 142, § 15 (1st Reg. Sess.). Under that scheme, a killing that was willful, deliberate, and premeditated, or occurred during the commission of certain specified crimes, constituted first-degree murder. State v. Schantz, 98 Ariz. 200, 206, 403 P.2d 521, 524-25 (1965). A killing that lacked willfulness, deliberation, or premeditation, and did not occur during the commission of one of the specified crimes but was accompanied by malice, constituted second-degree murder. Id. at 206, 403 P.2d at 525. And if the killing lacked the element of malice, it was still the lesser offense of manslaughter, “which if committed upon a sudden quarrel or heat of passion [wa]s known as voluntary manslaughter.” Id.
¶ 12 When the legislature adopted the current criminal code in 1977, it retained these distinctions. It defined the “premeditation” required for first-degree murder, A.R.S. § 13-1105(A)(1) (former § 13-452), “in terms of intention or knowledge that precedes the killing by enough time to allow reflection and exclude[d] killings that occur as a result of a sudden quarrel.” State v. Thompson, 204 Ariz. 471, 476 ¶ 18, 65 P.3d 420, 425 (2003) (discussing A.R.S. § 13-1101(1)); see also State v. Christensen, 129 Ariz. 32, 35, 628 P.2d 580, 583 (1981) (noting that the current criminal code “prescribe[s] the conditions when murder may be reduced to manslaughter through the lack of reason or planning; that is, when a person acts in the heat of passion with adequate provocation”). But rather than defining manslaughter as the “unlawful killing of a human being without malice,” as it had done previously, the legislature defined manslaughter in ways that gave content to the meaning of “without malice.” Cf. Christensen, 129 Ariz. at 35, 628 P.2d at 583 (“The distinguishing characteristic between murder and manslaughter is that malice is not an element of the latter.”). Compare A.R.S. § 13-1103(A)(2), with State v. Mendell, 111 Ariz. 51, 54, 523 P.2d 79, 82 (1974) (“[M]alice is implied when no considerable provocation appears .... ” (quoting for mer A.R.S. § 13-451(B))). Nothing in the current statutes or their histories suggests that the legislature intended to change the former statutory distinction between second-degree murder and voluntary manslaughter or to bar a jury instruction and finding on provocation manslaughter in a second-degree murder case.
¶ 13 In addition to effecting the legislature’s intent, our conclusion furthers the “societal interest in ‘avoiding the unjustified exoneration of wrongdoers and in punishing a defendant only to the extent of his crime.’ ” State v. Gipson, 229 Ariz. 484, 487 ¶ 16, 277 P.3d 189, 192 (2012) (quoting People v. Garcia, 188 IL2d 265, 242 Ill.Dec. 295, 721 N.E.2d 574, 582-83 (1999)); accord Padie v. State, 557 P.2d 1138, 1141-42 (Alaska 1976) (holding that the trial court must give a provocation-manslaughter instruction in a second-degree murder trial when the evidence supports such an instruction because without one, jurors may convict of second-degree murder even though, correctly instructed, they would find the defendant guilty of no crime more serious than manslaughter). Allowing juries the option of convicting on provocation manslaughter affords them a less drastic alternative than the choice between convicting and acquitting on the second-degree murder charge, and ensures the defendant has the full benefit of the reasonable doubt standard. See Valenzuela, 194 Ariz. at 407 ¶ 13, 984 P.2d at 15.
¶ 14 Our conclusion is also supported by a long line of cases in which we have approved provocation-manslaughter instructions in first- and second-degree murder trials when supported by the evidence. See, e.g., Gipson, 229 Ariz. at 485 ¶ 4, 487 ¶ 17, 277 P.3d at 190, 192 (upholding manslaughter conviction in a first-degree murder trial when trial judge sua sponte instructed jury on provocation manslaughter over both parties’ objections); State v. Delahanty, 226 Ariz. 502, 507 ¶ 23, 250 P.3d 1131, 1136 (2011) (“In a first degree murder trial, instructions for second degree murder, manslaughter, or negligent homicide are required when supported by the evidence.”); State v. Noleen, 142 Ariz. 101, 107, 688 P.2d 993, 999 (1984) (“An accused murderer is entitled to an instruction on the lesser-included offense of manslaughter if the evidence shows the killing was done in the heat of passion....”); Antone v. State, 49 Ariz. 168, 176, 65 P.2d 646, 649 (1937) (noting that, in a second-degree murder prosecution, it is the judge’s duty to instruct on manslaughter “[w]hen the evidence shows ... that the killing was the result of a sudden quarrel, or was committed in the heat of passion”). In addition, our conclusion is consistent with the views of other courts that have interpreted similar statutes. See State v. Smith, 284 Neb. 636, 822 N.W.2d 401, 416-17 (2012) (concluding that a voluntary-manslaughter instruction is appropriate in a second-degree murder trial when there is evidence that the defendant acted under the provocation of a sudden quarrel, notwithstanding that voluntary manslaughter, as defined by statute, is not a lesser-included offense of second-degree murder); State v. Shane, 63 Ohio St.3d 630, 590 N.E.2d 272, 274-75 (1992) (same, in a murder prosecution).
C.
¶ 15 Lua also argues that by instructing the jury on provocation manslaughter over his objection, the trial court “constructively amended the indictment” in violation of Arizona Rules of Criminal Procedure 13.2(c) and 23.3, and the Sixth Amendment’s notice requirement. We disagree.
¶ 16 Rules 13.2(c) and 23.3 relate to charging documents and jury verdict forms and address offenses that are “necessarily included” in the offense charged. See Ariz. R.Crim. P. 13.2(c), 23.3. Those two rules are not implicated here because provocation manslaughter is not a lesser- or necessarily included offense of second-degree murder, but merely a less serious offense. See Gipson, 229 Ariz. at 486 ¶ 14 n. 2, 277 P.3d at 191 n. 2 (“An offense is necessarily included ‘when it is lesser included’ and ‘the facts of the ease as presented at trial are such that a jury could reasonably find that only the elements of a lesser offense have been proved.’ ” (quoting State v. Wall, 212 Ariz. 1, 3 ¶ 14, 126 P.3d 148, 150 (2006))). Neither rule precludes a trial judge from instructing a jury on and submitting a verdict form for provo cation manslaughter when the indictment charges only second-degree murder but the evidence supports the less serious charge, Cf. id. at 486-87 ¶ 14, 277 P.3d at 191-92 (rejecting the argument that Rules 13.2(c) and 23.3 preclude a trial judge in a first-degree murder trial from instructing on provocation manslaughter over both parties’ objections). Indeed, the trial court complied with the second sentence of Rule 23.3 by submitting a verdict form for attempted provocation manslaughter. See Ariz. R.Crim. P. 23.3 (“The defendant may not be found guilty of any offense for which no form of verdict has been submitted to the jury.”).
¶ 17 Nor is the Sixth Amendment violated where, as here, the defendant “had actual notice of the charge, from either the indictment or other sources,” and is therefore not “actually prejudiced by a new or amended charge.” State v. Freeney, 223 Ariz. 110, 115 ¶ 29, 219 P.3d 1039, 1044 (2009) (emphasis added); see also id. at ¶¶ 28, 30 (finding no Sixth Amendment violation when defendant “never suggested that the amendment affected, let alone prejudiced, his litigation strategy, trial preparation, examination of witnesses, or argument” and did not “request a trial continuance or recess”); cf. State v. Hutton, 143 Ariz. 386, 389-90, 694 P.2d 216, 219-20 (1985) (holding that a defendant on trial for first-degree murder is on notice that he may be convicted of provocation manslaughter).
¶ 18 This case differs markedly from Freeney, in which the state’s amendment during trial “changed the nature of the offense and therefore violated Rule 13.5(b),” a rule that has not been argued in this case at any level. 223 Ariz. at 111 ¶ 2, 219 P.3d at 1040. Although provocation manslaughter requires proof of the additional circumstance set forth in § 13-1103 (A) (2), it does not substantively change the nature of second-degree murder in a way that requires it to be separately charged, either initially or by amendment. Given Arizona’s statutory history and our ease law, defendants charged with second-degree murder have sufficient notice that they may be convicted of provocation manslaughter when the evidence justifies an instruction on that separate, less serious offense.
D.
¶ 19 Having concluded that provocation manslaughter is not a lesser-included offense of second-degree murder, we further observe that our holding in State v. LeBlanc does not apply if a provocation-manslaughter instruction is given. 186 Ariz. 437, 438, 440, 924 P.2d 441, 442, 444 (1996) (stating that a “jury may deliberate on a lesser offense if it either (1) finds the defendant not guilty on the greater charge, or (2) after reasonable efforts cannot agree whether to acquit or convict on that charge,” and directing trial courts to give this “‘reasonable efforts’ instruction in every criminal ease involving lesser-included offenses”); cf. State v. Eddington, 226 Ariz. 72, 81-82 ¶ 31, 244 P.3d 76, 85-86 (App.2010) (noting the “logically compelling” argument that “a jury literally following the LeBlanc instruction would never reach the issue of adequate provocation in order to find a defendant guilty of manslaughter under § 13-1103(A)(2) rather than second-degree murder,” assuming the former is a lesser-ineluded offense of the latter). But because we now clarify that a provocation-manslaughter instruction is appropriate in a second-degree murder trial if supported by the evidence, to alleviate future confusion, we briefly address the form the instruction should take.
¶ 20 In a second-degree murder prosecution, when there is evidence that the homicide was committed upon a sudden quarrel or heat of passion resulting from adequate provocation by the victim, the following instruction should be given:
If you find the elements of second-degree murder proven beyond a reasonable doubt, you must consider whether the homicide was committed upon a sudden quarrel or heat of passion resulting from adequate provocation by the victim. If you unanimously find that the homicide was committed upon a sudden quarrel or heat of passion resulting from adequate provocation by the victim, then you must find the defendant guilty of manslaughter rather than second-degree murder.
RAJI (Standard Criminal) 11.04 (3d ed.). This instruction ensures that the jury -will consider whether the circumstance differentiating second-degree murder from provocation manslaughter is present, thus justifying a finding of guilt on the less serious offense. Id. emt.
III.
¶ 21 For the foregoing reasons, we affirm Lua’s convictions and sentences for two counts of attempted manslaughter. Although we agree with the result reached by the court of appeals, we disagree with some of its reasoning and therefore vacate its opinion.
|
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Justice BRUTINEL,
opinion of the Court.
¶ 1 Arizona Revised Statutes § 28-1381(A)(3) makes it unlawful for a driver to be in actual physical control of a vehicle if there is “any drug defined in [A.R.S.] § 13-3401 or its metabolite in the person’s body.” We are asked to determine whether the phrase “its metabolite” includes Carboxy-Tetrahydroeannabinol (“Carboxy-THC”), a non-impairing metabolite of Cannabis, a proscribed drug listed in § 13-3401. We conclude that it does not.
I.
¶ 2 Police stopped a vehicle driven by Hrach Shilgevorkyan for speeding and making unsafe lane changes. Suspecting that he was impaired, officers administered field sobriety tests. After participating in the tests, Shilgevorkyan admitted that he had smoked some “weed” the night before and voluntarily submitted to a blood test that revealed Car-boxy-THC in his blood.
¶ 3 The State charged Shilgevorkyan with two counts of driving under the influence. Count one alleged a violation of A.R.S. § 28-1381(A)(1) (“the (A)(1) charge”), which prohibits a person from driving a vehicle in Arizona “[w]hile under the influence of ... any drug ... if the person is impaired to the slightest degree.” Count two alleged a violation of A.R.S. § 28-1381(A)(3) (“the (A)(3) charge”), which prohibits driving a vehicle “[w]hile there is any drug defined in § 13-3401 or its metabolite in the person’s body.”
¶ 4 Shilgevorkyan moved to dismiss the (A)(3) charge, arguing that the blood test revealed neither the presence of THC nor “its metabolite” Hydroxy-Tetrahydrocannabinol (“Hydroxy-THC”). At an evidentiary hearing, the State presented expert witness testimony that: (1) marijuana has “many, many metabolites,” (2) Hydroxy-THC and Carboxy-THC are the two major marijuana metabolites, (3) although it is possible to test for Hydroxy-THC in the blood, the Arizona Department of Public Safety chooses not to do so because Hydroxy-THC does not “exist in the blood for very long” and is quickly converted to Carboxy-THC, (4) CarboxyTHC is inactive and does not cause impairment, and (5) Carboxy-THC can remain in a person’s body for as many as twenty-eight to thirty days after the ingestion of marijuana.
¶ 5 At the conclusion of the hearing, the justice court dismissed the (A)(3) charge, and the State voluntarily dismissed the (A)(1) charge. The State appealed to the superior court, which affirmed. That court reasoned that the word “metabolite” in § 28-1381(A)(3) is ambiguous because it is unclear whether it should be read as singular or plural. Although the court acknowledged that Carboxy-THC is a marijuana metabolite, it was unconvinced that the legislature intended to include all possible byproducts— particularly those that are inactive and cannot impair the driver.
¶ 6 The State then filed a petition for special action with the court of appeals, which accepted jurisdiction and granted relief. State ex rel. Montgomery v. Harris ex rel. Cnty. of Maricopa, 232 Ariz. 76, 301 P.3d 580 (App.2013). The court held that “§ 28-1381(A)(3)’s language prohibiting driving with a proscribed drug or ‘its metabolite’ includes the metabolite Carboxy-THC,” id. ¶ 14, based on the reasoning in State v. Hammonds, 192 Ariz. 528, 968 P.2d 601 (App. 1998), and State v. Phillips, 178 Ariz. 368, 873 P.2d 706 (App.1994). The court in Hammonds held that the (A)(3) offense was not “irrationally overinclusive,” 192 Ariz. at 530, 968 P.2d at 603, and the court in Phillips determined that it was not unconstitutionally vague or overbroad, 178 Ariz. at 370, 873 P.2d at 708. The court of appeals noted that although neither case considered the meaning of “metabolite,” they demonstrated that A.R.S. § 28-1381(A)(3) “must be interpreted broadly to appropriately effectuate the legislative purpose and intent underpinning the statutory language.” Montgomery, 232 Ariz. at 79 ¶ 14, 301 P.3d at 583.
¶ 7 We granted review because whether § 28-1381(A)(3) applies to non-impairing metabolites presents a recurring issue of statewide importance. We have jurisdiction under Article 6, Section 5(3) of the Arizona Constitution and A.R.S. § 12-120.24.
II.
A.
¶ 8 We review questions of statutory interpretation de novo. State v. Hansen, 215 Ariz. 287, 289 ¶ 6, 160 P.3d 166, 168 (2007). When interpreting a statute, our goal is to “fulfill the intent of the legislature that wrote it.” Bilke v. State, 206 Ariz. 462, 464 ¶ 11, 80 P.3d 269, 271 (2003). “[T]he best and most reliable index of a statute’s meaning is its language and, when the language is clear and unequivocal, it is determinative of the statute’s construction.” Hansen, 215 Ariz. at 289 ¶ 7, 160 P.3d at 168.
¶ 9 The term “metabolite” is not defined by statute. When statutory terms are undefined, courts may reference dictionaries. State v. Wise, 137 Ariz. 468, 470 n. 3, 671 P.2d 909, 911 n. 3 (1983); see Baker v. Univ. Physicians Healthcare, 231 Ariz. 379, 384 ¶ 15, 296 P.3d 42, 47 (2013). A standard medical dictionary defines metabolite as “[a]ny product of metabolism.” Taber’s Cyclopedic Medical Dictionary 1349 (20th ed.2005). It defines metabolism in pertinent part, as “the sum of all physical and chemical changes that take place within an organism.” Id. These definitions comport with the State’s expert’s testimony, which defined “metabolite” as “any chemical compound that is produced during the process of metabolism, the breakdown process of getting rid of a drug or substance.”
¶ 10 Shilgevorkyan argues that the meaning of “its metabolite” in § 28-1381(A)(3) is clear. He asserts that because the statute uses the possessive singular, it prohibits only Hydroxy-THC, the initial product of the metabolism of THC. Labeling Hydroxy-THC the “primary” metabolite, he contends the statute does not include the products of the further breakdown of Hydroxy-THC into subsequent or “secondary” metabolites such as Carboxy-THC. He further argues that interpreting “metabolite” in the plural expands the statutory definition to include a “secondary non-psyehoactive metabolite ... [that] does not cause impairment,” which is inconsistent with the legislature’s intent to criminalize driving under the influence of an intoxicating substance. The State, on the other hand, argues we should construe “metabolite” in the plural in accordance with A.R.S. § 1-214(B), which generally provides that statutory “[w]ords in the singular ... include the plural.... ”
¶ 11 There is more than one plausible meaning for the phrase “its metabolite,” whether read as singular or plural. The argument that “its metabolite,” although phrased in the singular, includes all of a proscribed drug’s byproducts is reasonable based on § 1-214(B). Conversely, the argument that the statutory language reflects the legislature’s intent to only penalize drivers with primary or impairment-causing metabolites in their system is equally reasonable. Additionally, even if read in the plural, “metabolites” could reasonably mean multiple primary metabolites for drugs having more than one rather than both primary and secondary metabolites.
¶ 12 Because the term “its metabolite” is reasonably susceptible to differing interpretations, the statute is ambiguous and we cannot determine from the term alone whether the legislature intended to penalize the presence of any byproduct, including Car-boxy-THC, in a driver’s blood. See Arizona Citizens Clean Elections Com’n v. Brain, 234 Ariz. 322, 325 ¶ 13, 322 P.3d 139, 142 (2014); see also Joshua C. Snow, The Unconstitutional Prosecution of Controlled Substance Metabolites Under Utah Code § 4.1-6A-517, 2013 Utah L.Rev. OnLaw 195, 198 (2013) (“Although [per se DUI] statutes are purportedly designed to make prosecution simpler and more effective by removing the necessity to prove impairment or quantifiable levels of drugs in the system, the statutes are rife with ambiguity and complexity, which weaken their legitimacy and validity.”). Accordingly, we look to secondary rules of statutory construction to determine § 28-1381(A)(3)’s meaning.
B.
¶ 13 Statutes should be construed sensibly to avoid reaching an absurd conclusion. Mendelsohn v. Super. Ct. in and for Maricopa Cnty., 76 Ariz. 163, 169, 261 P.2d 983, 987-88 (1953). When a statute’s meaning cannot be discerned from its language alone, “we attempt to determine legislative intent by interpreting the statute as a whole, and consider ‘the statute’s context, subject matter, historical background, effects and consequences, and spirit and purpose.’ ” Gallic v. Kongable, 195 Ariz. 496, 500 ¶ 16, 990 P.2d 1055, 1059 (1999) (quoting Aros v. Beneficial Arizona, Inc., 194 Ariz. 62, 66, 977 P.2d 784, 788 (1999)). Courts also consider “the policy behind the statute and the evil it was designed to remedy.” State v. Korzep, 165 Ariz. 490, 493, 799 P.2d 831, 834 (1990). Furthermore, we consider a statute “in light of its place in the statutory scheme,” Grant v. Bd. of Regents of Univ. and State Colls, of Ariz., 133 Ariz. 527, 529, 652 P.2d 1374, 1376 (1982), and although statutory title headings are not part of the law, they can aid in its interpretation, State v. Barnett, 142 Ariz. 592, 597, 691 P.2d 683, 688 (1984).
¶ 14 The State’s interpretation that “its metabolite” includes any byproduct of a drug listed in § 13-3401 found in a driver’s system leads to absurd results. See State v. Estrada, 201 Ariz. 247, 251 ¶ 14, 34 P.3d 356, 360 (2001) (observing that a “result is absurd if it is so irrational, unnatural, or inconvenient that it cannot be supposed to have been within the intention of persons with ordinary intelligence and discretion”) (internal quotation marks omitted).
¶ 15 Most notably, this interpretation would create criminal liability regardless of how long the metabolite remains in the driver’s system or whether it has any impairing effect. For example, at oral argument the State acknowledged that, under its reading of the statute, if a metabolite could be detected five years after ingesting a proscribed drug, a driver who tested positive for trace elements of a non-impairing substance could be prosecuted.
¶ 16 Additionally, this interpretation would criminalize otherwise legal conduct. In 2010, Arizona voters passed the Arizona Medical Marijuana Act (“AMMA”), legalizing marijuana for medicinal purposes. A.R.S. § 36-2801 et seq. Despite the legality of such use, and because § 28-1381(A)(3) does not require the State to prove that the marijuana was illegally ingested, prosecutors can charge legal users under the (A)(3) provision. Because Carboxy-THC can remain in the body for as many as twenty-eight to thirty days after ingestion, the State’s position suggests that a medical-marijuana user could face prosecution for driving any time nearly a month after they had legally ingested marijuana. Such a prohibition would apply even when the driver had no impairing substance in his or her body and notwithstanding the State’s ability to test both for THC, the primary substance that causes impairment, and Hydroxy-THC, the metabolite capable of causing impairment.
¶ 17 Finally, this interpretation would allow the prosecution of an individual who drives after ingesting a legal substance that shares a non-impairing metabolite with a proscribed substance. For example, serotonin, a legal substance, and the proscribed drug bufotenine share a common metabolite, 5-hydroxindoleactic acid (“5-HIAA”). See Karkkainen, Jorma, et ah, Urinary excretion of bufotenin (N, N — dimethyl-5-hydroxytryptamine) is increased in suspicious violent offenders: A confirmatory study, 58 Psychiatry Research, 145 (1995); Moore, Todd M., et al., A meta-analysis of serotonin metabolite 5-HIAA and antisocial behavior, 28 Aggressive Behavior, 299 (2002). Under the State’s interpretation of “metabolite,” it could prosecute a driver who had 5-HIAA in his or her system after ingesting a legal serotonin supplement or, for that matter, whose blood contains 5-HIAA as a byproduct of naturally produced serotonin. Because § 28-1381(A)(3) does not require the State to prove that a substance discovered in a driver’s body is actually metabolized from a proscribed drug, the State’s interpretation would permit prosecution if the discovered substance is a metabolite of a proscribed drug even if the proscribed drug was never ingested. These results are absurd and make the State’s argument untenable.
c.
¶ 18 The legislative history behind § 28-1881(A)(3) reflects that the legislature sought to prevent impaired driving. The statute was added in 1990 by House Bill (“H.B.”) 2433. A Senate fact sheet explained that H.B. 2433’s purpose was to “make numerous substantive and conforming changes to the provisions relating to the offense of driving under the influence of liquor or drugs.” Staff of Ariz. S., 39th Legis.2d Session, H.B. 2433 Fact Sheet, at 1 (June 21, 1990).
¶ 19 Section 28-1381(A)(3)’s placement within the statutory scheme also demonstrates a legislative intent to prevent and punish impaired driving, not simply driving while having a non-impairing metabolite in one’s system. The “its metabolite” language appears in the “Driving Under the Influence” section of Arizona’s statutes. A.R.S. Chapter 4, art. 3. And the statute’s title begins “Driving or actual physical control while under the influence....” A.R.S. § 28-1381 (emphasis added).
¶ 20 Consistent with this legislative history, the court of appeals has noted that “[t]he state has a compelling legitimate interest in protecting the public from drivers whose ability may be impaired by the consumption of controlled substances....” Phillips, 178 Ariz. at 372, 873 P.2d at 710. The court further explained that the (A)(3) charge was enacted as a part of comprehensive DUI legislation “designed to protect the public by ‘reducing the terrible toll of life and limb’ on our roads.” Id. (quoting Fuenning v. Supr. Ct. in and for Maricopa Cnty., 139 Ariz. 590, 595, 680 P.2d 121, 126 (1983)).
¶ 21 This legislative intent is further evidenced by A.R.S. § 28-1381(A)(2), which provides that “[i]t is unlawful for a person to drive or be in actual physical control of a vehicle ... [i]f the person has an alcohol concentration of 0.08 or more within two hours of driving or being in actual physical control of the vehicle....” Neither the (A)(2) nor (A)(3) charge requires that the State prove impairment. The (A)(2) charge creates a per se threshold at which a driver is presumed to be under the influence. See State v. Cooperman, 232 Ariz. 347, 350 ¶ 10, 306 P.3d 4, 7 (2013) (explaining that under § 28-1381(A)(2), whether the driver was impaired does not matter—the only pertinent questions are whether the alcohol concentration exceeded 0.08 and the reading was taken within two hours of driving or being in actual physical control of the vehicle).
¶ 22 Similarly, in enacting the (A)(3) charge, the legislature sought to proscribe driving by those who could be impaired from the presence of illegal drugs in their body. However, unlike alcohol, there is no generally applicable concentration that can be identified as an indicator of impairment for illegal drugs. Phillips, 178 Ariz. at 372, 873 P.2d at 710 (explaining that drugs’ potency cannot be accurately predicted); see also Gary M. Reisfield et ah, The Mirage of Impairing Drug Concentration Thresholds: A Rationale for Zero Tolerance Per Se Driving under the Influence of Drugs Laws, 36 J. Analytical Toxicology 353 (2012) (explaining that multiple phenomena make the task of establishing impairing concentrations impossible). The (A)(3) charge establishes that a driver who tests positive for any amount of an impairing drug is legally and irrefutably presumed to be under the influence. Although the legislature could rationally choose to penalize the presence of any amount of an impairing metabolite, we do not believe that the legislature contemplated penalizing the presence of a metabolite that is not impairing.
¶ 23 We find that the legislature intended to prohibit driving with any amount of an impairing substance resulting from a drug proscribed in § 13-3401 in the body. The State, however, essentially contends that the legislature intended a law that punishes driving under the influence to also punish drivers who it cannot prove were under the influence or had any impairing substance in their system at the time of driving. We are not persuaded and reject the State’s argument that § 28-1381(A)(3) “creates a flat ban on the presence of any drug or its metabolite in a person’s body while driving or in actual physical control of a vehicle,” even when the only metabolite found is not impairing. But we likewise reject Shilgevorkyan’s argument that “its metabolite” means only the primary metabolite, because there are drugs proscribed under § 13-3401 that have multiple primary or secondary impairing metabolites. See, e.g., Diazepam, National Highway Traffic Safety Administration, http://www.nhtsa. gov/people/injury/research/job185drugs/ diazepam.htm (last visited April 2, 2014) (explaining that diazepam has multiple psyehoactive metabolites).
¶ 24 Because the legislature intended to prevent impaired driving, we hold that the “metabolite” reference in § 28-1381(A)(3) is limited to any of a proscribed substance’s metabolites that are capable of causing impairment. Accordingly, marijuana users violate § 28-1381(A)(1) if they drive while “impaired to the slightest degree,” and, regardless of impairment, violate (A)(3) if they are discovered with any amount of THC or an impairing metabolite in their body. Drivers cannot be convicted of the (A)(3) offense based merely on the presence of a non-impairing metabolite that may reflect the prior usage of marijuana.
III.
¶ 25 The record establishes that Carboxy-THC, the only metabolite found in Shilgevorkyan’s blood, does not cause impairment. Accordingly, we vacate the court of appeals’ opinion and affirm the trial court’s dismissal of the (A)(3) charge.
Justice TIMMER, dissenting.
¶ 26 Arizona is one of at least seven states that combats drugged driving with a zero-tolerance, per se ban on driving with any controlled substance or its metabolite in the body. Joshua C. Snow, The Unconstitutional Prosecution of Controlled Substance Metabolites Under Utah Code § 4.1-6A-517, 2013 Utah L.Rev. OnLaw 195, 197-98 & n. 14 (2013). One of these states, Delaware, explicitly excludes inactive metabolites from its per se ban. Del.Code Ann. tit. 21, § 4177(c)(10) (West 2014). The Majority aligns Arizona with Delaware by construing A.R.S. § 28-1381(A)(3) in a manner that contradicts its plain meaning. I respectfully dissent.
¶ 27 The Majority holds that § 28-1381(A)(3) is ambiguous because the phrase “its metabolite” can mean all of a proscribed drug’s metabolites, some of its metabolites, or only those that can cause impairment. See Op. ¶ 11. But “metabolite” has an accepted meaning, see Taber’s Cyclopedic Medical Dictionary 1349 (20th ed.2005), and nothing in the language of § 28-1381 suggests that the legislature intended to exclude certain types of metabolites from the statutory prohibition. Because § 28-1381(A)(3) “admits of only one meaning,” it is not ambiguous. See Parrot v. DaimlerChrysler Corp., 212 Ariz. 255, 257 ¶ 7, 130 P.3d 530, 532 (2006); see also State v. Phillips, 178 Ariz. 368, 371, 873 P.2d 706, 709 (App.1994) (“We fail to see how section [28-1381(A)(3) ] is ambiguous in any way. It precisely defines, in unequivocal terms, the type of behavior prohibited[.]”).
¶ 28 I also disagree with the Majority that the legislature must have intended something different from what it plainly stated in § 28-1381(A)(3) because imposing a flat ban on driving with any metabolite of an illegal drug in the body is absurd. See Op. ¶¶ 14-17. The legislature reasonably could have concluded that a zero-tolerance provision would most effectively enhance detection and prosecution of drugged driving.
¶ 29 First, the difficulty of detecting drug impairment justifies a flat ban. See Phillips, 178 Ariz. at 372, 873 P.2d at 710 (noting that, unlike the case with alcohol impairment, “there is no useful indicator of impairment from ... drugs because they are fundamentally different from alcohol”). For example, an expert witness in this case testified that Hydroxy-THC converts quickly to Carboxy-THC, which is why law enforcement typically does not test blood for Hydroxy-THC. Thus, a driver with Carboxy-THC in the blood at the time of testing may or may not have had Hydroxy-THC in the blood while driving. The flat ban ensures that a driver who had an impairing substance in the body while driving is prosecuted even though that substance may have quickly metabolized into a non-impairing substance.
¶ 30 Second, the flat ban permits law enforcement to detect drugged driving by testing urine as well as blood. “[W]hile a urine test detecting metabolites does not conclusively establish the presence of the active proscribed parent drug in the bloodstream, neither does it rule it out, because the metabolite and the active parent will often be present in the body simultaneously.” State v. Hammonds, 192 Ariz. 528, 531 ¶ 10, 968 P.2d 601, 604 (App.1998). Imposing a flat ban on driving with a metabolite of a controlled substance in the body enhances law enforcement’s ability to detect drugged driving. Cf. id. ¶ 11 (“In seeking to protect the life and health of its citizenry, the legislature cannot be required to forego an effective prophylactic measure simply because it may be somewhat imprecise.”).
¶ 31 The Majority contends that a flat ban is absurd because it permits prosecution if the non-impairing metabolite in the driver’s body derives from ingesting either medically authorized marijuana or a legal substance that shares a metabolite with a controlled substance. See Op. ¶¶ 16-17. These isolated examples do not make the flat ban on the presence in the body of hundreds of proscribed drugs or their metabolites absurd. Either scenario described by the Majority would unquestionably trigger constitutional scrutiny that might invalidate § 28-1381(A)(3) as applied in particular circumstances. Cf. State v. Boyd, 201 Ariz. 27, 29-30 ¶¶ 12-13, 31 P.3d 140, 142-43 (App.2001) (holding that although “A.R.S. § 28-1381(A)(3) is not facially vague,” applying it to a defendant who consumed a legal product, GBL, that metabolized into GHB, a proscribed substance, was unconstitutional as applied to the defendant because it “fail[ed] to give him adequate notice that his actions were illegal”). And § 28-1381(A)(3) might not apply if the detected metabolites—active or inactive—emanated from medically authorized marijuana use. See A.R.S. § 28-1381(D) (“A person using a drug as prescribed by a medical practitioner licensed pursuant to title 32, chapter 7, 11, 13 or 17 is not guilty of violating subsection A, paragraph 3 of this section.”). This case does not present either situation.
¶ 32 I share some of the Majority’s concerns about imposing a zero-tolerance, per se ban on driving with the presence of non-impairing metabolites in the body. But because § 28-1381(A)(3) clearly and unambiguously reflects that the legislature intended this result, it is not appropriate to employ secondary canons of statutory construction to find a different meaning. Any constitutional challenges to this provision should be addressed on a case-by-case basis. I would affirm the court of appeals’ opinion.
. Cannabis is commonly referred to as marijuana and as defined in A.R.S. § 13-3401(4)(b) in-eludes tetrahydrocannabinol (“THC"), its primary psychoactive component.
. Bufotenine, proscribed by A.R.S. § 13-3401(6)(a)(v), is a hallucinogenic drug generally ingested by licking the backs of cane toads. See Christen Conger, Are there really hallucinogenic frogs?, How Stuff Works (August 12, 2008), http:// www.science.howstuffworks.com/zoology/ reptiles-amphibians/hallucinogenic-frogl.Fhtm
. The Dissent notes that under its plain language interpretation, § 28-1381(A)(3) might be constitutionally challenged as applied to a driver who had ingested a legal (or naturally occurring) substance that shares a metabolite with an illegal drug or who legally ingested marijuana. Dissent at ¶ 31. In support of this assertion the Dissent cites State v. Boyd, 201 Ariz. 27, 29-30 ¶¶ 12-13, 31 P.3d 140, 142-43 (App.2001), which held § 28—1381(A)(3), as applied, void for vagueness, id. That § 28—1381(A)(3) is subject to more than one reasonable interpretation, one of which might render it unconstitutional, highlights its ambiguity. Furthermore, we "construe statutes, when possible, to avoid constitutional difficulties." State v. Gomez, 212 Ariz. 55, 60 V 28, 127 P.3d 873, 878 (2006) (citing Hayes v. Cont’l Ins. Co., 178 Ariz. 264, 272, 872 P.2d 668, 676 (1994)).
. In light of our holding that "its metabolite” does not include Carboxy-THC, we do not address Shilgevorkyan's various constitutional arguments.
|
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OPINION
THOMPSON, Judge:
¶ 1 Appellant SPQR Venture (SPQR) appeals from the trial court’s grant of summary judgment in favor of Andrea and Bradley Robertson (the Robertsons). SPQR seeks to expand the reach of creditors under Arizona Revised Statutes (A.R.S.) § 25-215(B) (2007) to include the community property earnings of the non-debtor spouse. Finding no such extension warranted and no violation of the Uniform Fraudulent Transfers Act (UFTA) (A.R.S. §§ 44-1001 -1010 (2013)), we affirm the trial court.
FACTUAL AND PROCEDURAL HISTORY
¶ 2 SPQR is a judgment creditor of Andrea Robertson (Andrea). SPQR’s predecessor in interest obtained a default judgment against her in the amount of $240,000 plus attorneys’ fees, costs, and interest in July 2003, while she was married to her former husband Michael Week. The judgment has twice been renewed. In 2009, Andrea married Bradley Robertson. SPQR filed the instant garnishment suit against the Robertsons alleging community liability for Andrea’s separate premarital debt. It further alleged that the Robertsons engaged in behavior that violated the UFTA.
¶ 3 After cross-motions for summary judgment and argument, the trial court ruled in favor of the Robertsons, specifically finding that “contribution” under A.R.S. § 25-215(B) refers only to financial contributions of which Andrea had none. The trial court also found there could be no transfers violating the UFTA because, under A.R.S. § 25-215(B), Bradley’s community property income was “immune” from attachment. This appeal followed and we have jurisdiction.
DISCUSSION
¶ 4 SPQR asserts that the trial court erred in finding that the Robertsons’ community property was not liable for Andrea’s premarital debt. Specifically, SPQR argues that the trial court should have found that Bradley’s income should have been used to satisfy Andrea’s premarital debt where Andrea’s contributions to the Robertsons’ community were strictly nonfmancial. The relevant facts are that Andrea was a stay-at-home mother to their combined five children since her 2009 marriage to Bradley, and that Bradley provides the sole household income. Andrea’s uncontroverted affidavit included the information that Andrea provided full-time care for one of their children who has special needs and who is unable to care for herself.
¶ 5 SPQR stated its position in its motion for summary judgment this way:
Ms. Robertson has forgone her previously gainful employment in order to fulfill her current role in the Robertsons’ marital community. Ms. Robertson thus makes valuable contributions to the marital community, the monetary equivalent of which may be drawn from the Robertsons’ community income to satisfy Ms. Robertson’s premarital debts
Based on Ms. Robertson’s wages of $1,500 every two weeks prior to marriage, her child-rearing and homemaking contribution to the marital community is valued at not less than $39,000 per year. Therefore, Judgment Creditor may satisfy the debt from the marital community in the amount of her contribution — $39,000 per year, both from the time of marriage, November 2009, and going forward until the Debt is satisfied.
¶ 6 Summary judgment may be granted when “there is no genuine issue as to any material fact and the moving party is entitled to a judgment as a matter of law.” Ariz. R. Civ. P. 56(a). The parties here agree there are no genuine issues of material fact. We determine de novo whether the trial court properly applied the law. Eller Media Co. v. City of Tucson, 198 Ariz. 127,130, ¶ 4, 7 P.3d 136,139 (App.2000).
¶ 7 Section 25-215, “Liability of community property and separate property for community and separate debts,” reads in pertinent part:
B. The community property is liable for the premarital separate debts or other liabilities of a spouse, incurred after September 1, 1973 but only to the extent of the value of that spouse’s contribution to the community property which would have been such spouse’s separate property if single.
¶ 8 The key words that SPQR has relied on for its novel theory are “to the extent of the value of that spouse’s contributions to the community property.” It argues that Andrea provides a quantifiable, if non-financial, value which should open the Robertsons’ community income to garnishment. The Robertsons, in response, assert that SPQR’s analysis ignores the balance of the section which provides that the community is liable “only to the extent” a financial contribution “would have been such spouse’s separate property if single.” SPQR next argues that a proper and broad statutory interpretation supports the underlying legislative purpose of the statute to avoid “two dollar” bankruptcies and to prevent avoidance of existing obligations by the voluntary act of marriage. The trial court agreed with the Robertsons, as do we.
¶ 9 Statutory interpretation is a question of law that we review de novo. People’s Choice TV Corp. v. City of Tucson, 202 Ariz. 401, 403, ¶ 7, 46 P.3d 412, 414 (2002). When the statutory language is clear, we hold to the plain meaning of its terms. Rineer v. Leonardo, 194 Ariz. 45, 46, ¶ 7, 977 P.2d 767, 768 (1999). Only when the plain meaning of the statute is unclear do we consider other factors such as legislative history. Hobson v. Mid-Century Ins. Co., 199 Ariz. 525, 529, ¶ 8, 19 P.3d 1241, 1245 (App.2001). Further, we construe statutes so as to give effect to the whole and presume that “‘the legislature does not include in statutes provisions which are redundant, void, inert, trivial, superfluous or contradictory.’ ” Vega v. Morris, 184 Ariz. 461, 463, 910 P.2d 6, 8 (1996) (quoting Vega v. Moms, 183 Ariz. 526, 530, 905 P.2d 535, 539 (App.1995)).
¶ 10 We find that the statute, when read as a whole, does not support SPQR’s argument that Bradley’s income can be used to satisfy Andrea’s premarital debt where she has no income herself. See Hines v. Hines, 146 Ariz. 565, 567, 707 P.2d 969, 971 (App.1985). Nor do the cases cited by SPQR persuasively support such an extension of A.R.S. § 25-215(B). See Flexmaster Aluminum Awning Co., Inc. v. Hirschberg, 173 Ariz. 83, 87, 839 P.2d 1128, 1132 (App.1992) (creditor could seek recovery from community property on husband’s premarital debt only to the extent such debt remained after bankruptcy and only “to the extent of the debtor-spouse’s contribution to the community; that is, the value of property that would be the husband’s if he were single” and only after wife is joined as a party); Arab Monetary Fund v. Hashim, 219 Ariz. 108, 111, ¶ 17, 193 P.3d 802, 805 (App.2008) (citing A.R.S. § 25-215(B)) (holding, in an action by creditor to recover attorneys’ fees accrued in prosecuting husband’s premarital obligation from community property, “A premarital debt of one spouse can be recovered from community property, but only to the extent of the value of the debtor spouse’s contribution to the community.”); Heinig v. Hudman, 177 Ariz. 66, 75, 865 P.2d 110, 119 (App.1993) (holding creditor’s judgment against husband could not be satisfied out of community property without first showing that the community was liable). None of these cases permit a recovery against the income of the non-debt- or spouse for the “value” of the debtor’s nonfinancial services to the community. In Hines, this court said that A.R.S. § 25-215(B) “clearly precludes” assignment of non-debtor spouse’s income or wages to satisfy a separate premarital debt of the other spouse. 146 Ariz. at 567, 707 P.2d at 971. We did not allow that there might be a different result upon consideration of the proportion of each spouse’s contribution to the overall community. We reject SPQR’s assertion that wife’s non-monetary contribution should affect the issue.
¶ 11 For these reasons, the trial court correctly determined that the income of Bradley, the non-debtor spouse, is protected against liability for the premarital debt of Andrea. This is true even where it is uncontested that Andrea provides a service to the family that has value and for which the community would otherwise have to pay. The trial court is affirmed.
¶ 12 SPQR next argues that the Robertsons concealed community assets in order to defraud the judgment creditor in violation of the UFTA. In its motion for summary judgment, SPQR directed the trial court to examine a sample bank statement that demonstrated how “Ms. Robertson deliberately maintains an account balance less than the statutory minimum for non-wage garnishments. Defendants’ scheme of allocating small portions of community income to Ms. Robertson that is then immediately spent is a ‘transfer’ covered by UFTA” and intended to hinder, delay and defraud the judgment creditor. It asserts that the transfer is either an actual fraudulent transfer under A.R.S. § 44-1004(A) or a constructively fraudulent transfer under A.R.S. § 44-1004(B).
¶ 13 The transfers at issue are deposits by Bradley from his community property earnings which, SPQR argues, then become Andrea’s garnishable community property. It argued before the trial court:
there’s a basis to attach those funds, through [sic], and enter a judgment against the husband ... that’s the basis for that claim. The constructive trust obviously is if you find that the judgment should be effective against Mr. Robertson and that the community contributions that Mrs. Robertson has undertaken, has value, then we would ask the Court to institute a constructive trust to the extent that funds, which can be measured for her contribution, are set aside to pay the judgment.
The trial court, ruling from the bench, found deposits by Bradley could not be an applicable transfer because Bradley was not the debtor. The court explained “those are his funds. Those are his income which is immune from your judgment.” We agree.
¶ 14 Section 44-1004, under the UFTA, “Transfers fraudulent as to present and future creditors,” reads in pertinent part:
A. A transfer made or obligation incurred by a debtor is fraudulent as to a creditor, whether the creditor’s claim arose before or after the transfer was made or the obligation was incurred, if the debtor made the transfer or incurred the obligation under any of the following:
1. With actual intent to hinder, delay or defraud any creditor of the debtor.
(Emphasis added.) Any transfer made into the account at issue was made by Bradley from his community property income. Bradley is not the debtor. His ability to make transfers is not restricted under the UFTA. The trial court had already correctly determined that Bradley’s separate property was not directly garnishable, likewise the character of that income did not change into something garnishable by virtue of being deposited into a bank account that never exceeded the level at which garnishment is statutorily authorized. Because of the character of the funds and because the statutory language of A.R.S. § 44-1004(A) is clear that the transfer must be made by the debtor, we affirm the trial court.
CONCLUSION
¶ 15 For the above stated reasons, the trial court is affirmed.
|
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OPINION
GEMMILL, Judge:
¶ 1 In this opinion we address an aspect of the procedure established by the Arizona Rules of Civil Procedure for entry of an award and judgment after a superior court arbitration. Defendant Craig E. Garcia appeals the superior court’s denial of his motion to dismiss the arbitrator’s award. We conclude that we lack appellate jurisdiction, but in our discretion we exercise special action jurisdiction and grant relief by ordering dismissal of the action without prejudice.
PROCEDURAL BACKGROUND
¶ 2 In January 2012, Plaintiff Robert Phillips filed a complaint against Garcia in Maricopa County Superior Court alleging breach of contract, breach of the implied duty of good faith and fair dealing, and fraud/misrepresentation. The superior court ordered that the case was subject to compulsory arbitration and appointed an attorney as arbitrator. The matter was arbitrated in December 2012 and the arbitrator issued a ruling that was filed with the court on January 3, 2013. Phillips’s counsel prepared and submitted to the arbitrator a document entitled “Judgment” (hereinafter “the Judgment”). The arbitrator signed the Judgment on January 29, 2013, and it was filed with the court the same day. The Judgment was not signed by a judge or commissioner of the superior court. The Judgment, in pertinent part, declared that
[t]his matter having come on for arbitration on December 18, 2012, and the parties having presented their evidence and rested, and based on the Arbitrator’s ruling of January 3,2013,
IT IS HEREBY ORDERED, ADJUDGED AND DECREED:
1. Plaintiff Robert Phillips shall have and recover from Defendant Craig E. Garcia the sum of $11,967.00, together with interest thereon at the rate of 4.25% per annum until paid.
2. Plaintiff Robert Phillips shall have and recover from Defendant Craig E. Garcia attorney’s fees and costs in the sum of $8,687.00, together with interest thereon at the rate of 4.25% per annum until paid.
¶ 3 Nothing further was filed with the court until November 2013, approximately 10 months later, when Phillips filed a petition requesting that the court order Garcia to appear as a judgment debtor pursuant to Arizona Revised Statute (“A.R.S.”) § 12-1632. The petition further provided that “[a] Judgment has been entered against this Judgment Debtor and docketed.” (Emphasis added).
¶ 4 Garcia moved to dismiss the arbitration award because no application for entry of judgment was timely filed within 120 days after the arbitrator’s decision, in accordance with Arizona Rule of Civil Procedure (Rule) 76(d). After numerous pleadings by the parties, the court denied Garcia’s motion in a signed order filed February 26, 2014. Garcia filed his notice of appeal on March 7, 2014.
DISCUSSION
I. Jurisdiction ¶ 5 Garcia asserts this court has jurisdiction over this appeal under A.R.S. §§ 12-2101(A)(2), -(A)(3), and -(A)(4). This court, however, lacks appellate jurisdiction because a challenge to a trial court’s denial of a motion to dismiss is a non-appealable interlocutory order. See Engle Bros., Inc. v. Superior Court, 23 Ariz.App. 406, 407, 533 P.2d 714, 715 (App.1975); see also N. Propane Gas Co. v. Kipps, 127 Ariz. 522, 525, 622 P.2d 469, 472 (1980). No final, appealable judgment has been entered.
¶ 6 Although this court lacks appellate jurisdiction, we may exercise our discretionary special action jurisdiction under appropriate circumstances, even when the parties have not requested such relief. See A.R.S. § 12-120.21(A)(4) (providing court of appeals has “jurisdiction to hear and determine petitions for special actions brought pursuant to the rules of procedure for special actions, without regard to its appellate jurisdiction.”); Danielson v. Evans, 201 Ariz. 401, 411, ¶ 35, 36 P.3d 749, 759 (App. 2001) (court sua sponte accepted special action jurisdiction after it determined it lacked appellate jurisdiction); Arvizu v. Fernandez, 183 Ariz. 224, 227, 902 P.2d 830, 833 (App. 1995) (court treated appeal from the trial court’s paternity testing order as a special action and exercised special action jurisdiction). Special action jurisdiction is proper when a party has no “equally plain, speedy, and adequate remedy by appeal,” Ariz. R.P. Spec. Act. 1(a) or “in cases involving a matter of first impression, statewide significance, or pure questions of law,” see Roman Catholic Diocese v. Superior Court, 204 Ariz. 225, 227, ¶ 2, 62 P.3d 970, 972 (App. 2003) (internal quotation omitted).
¶ 7 The issue Garcia raises on appeal is primarily a question of law — requiring this court to interpret court rules and a statute. See Orme Sch. v. Reeves, 166 Ariz. 301, 303, 802 P.2d 1000, 1002 (1990) (accepting special action jurisdiction when the question is a pure issue of law that requires neither factual review nor interpretation). Additionally, the parties have briefed the issue and we have a complete record. We are presented a legal issue of first impression, and judicial economy will be served by a substantive ruling now. Therefore, in our discretion we accept special action jurisdiction to consider whether the trial court erred by not dismissing the case. See Ariz. R.P. Spec. Act. 1(a).
II. Merits
¶ 8 Garcia argues the trial court erred when it declined to dismiss the arbitration award in accordance with Rule 76(d), which provides:
If no application for entry of judgment has been filed within 120 days from the date of the filing of the notice of decision, and no appeal is pending, the case shall be dismissed.
According to Garcia, no true judgment was entered, no appeal filed, and the 120 day period allowed by Rule 76(d) has expired; therefore, the action must be dismissed. Phillips contends that the Judgment is a valid judgment under Rule 76(a) and A.R.S. § 12-133(E), and Garcia did not appeal that judgment. We first address whether a true judgment was entered.
A. A True Judgment Was Never Entered
¶ 9 This court reviews de novo the interpretation of rules and statutes. M-11 Ltd. P’ship v. Gommard, 235 Ariz. 166, 168, ¶ 6, 330 P.3d 356, 358 (App.2014). We look to the plain meaning of the language as the most reliable indicator of the construction and meaning. See State v. Hansen, 215 Ariz. 287, 289, ¶ 7, 160 P.3d 166, 168 (2007); New Sun Bus. Park, LLC v. Yuma Cnty., 221 Ariz. 43, 46, ¶ 12, 209 P.3d 179, 182 (App. 2009). When the language of a statute or rule is “clear and unequivocal, it is determinative of the statute’s construction.” See Janson v. Christensen, 167 Ariz. 470, 471, 808 P.2d 1222, 1223 (1991).
¶ 10 Rule 76(a) provides:
Within ten days after completion of the hearing, the arbitrator shall:
(1) render a decision;
(2) return the original superior court file by messenger or certified mail to the Superior Court Clerk;
(3) notify the parties that their exhibits are available for retrieval;
(4) notify the parties of the decision in writing (a letter to the parties or their counsel shall suffice); and
(5) file the notice of decision with the court.
Within ten days of the notice of decision, either party may submit to the arbitrator a proposed form of award or other final disposition, including any form of award for attorneys’ fees and costs whether arising out of an offer of judgment, sanctions or otherwise, an affidavit in support of attorneys’ fees if such fees are recoverable, and a verified statement of costs. Within five days of receipt of the foregoing, the opposing party may file objections. Within ten days of receipt of the objections, the arbitrator shall pass upon the objections and file one signed original award or other final disposition with the Clerk of the Superior Court and on the same day shall mail or deliver copies thereof to all parties or their counsel.
(Emphasis added.) This rule grants the arbitrator the power to render a decision, and the parties may then propose the form of award for the arbitrator to sign. After the parties have been given an opportunity to voice any objections, the arbitrator’s duty is to then “pass upon the objections and file one signed original award or other final disposition” with the clerk of the court. Ariz. R. Civ. P. 76(a) (emphasis added). Rule 76(b) directs that when no award is filed with the court, the notice of decision becomes the award of the arbitrator.
¶ 11 This court has explained that the rules of arbitration “clearly contemplate two separate filings” by the arbitrator: the “notice of decision” and “the award.” See Bittner v. Superior Court (Galati), 182 Ariz. 434, 436, 897 P.2d 736, 738 (App.1995). The arbitrator here filed a notice of decision on January 3, 2013. Phillips’s counsel submitted the Judgment to the arbitrator, and it was signed and filed on January 29. The Judgment, despite its name, must be correctly understood to be the “award or other disposition” under Rule 76(a), because it was signed by the arbitrator rather than a superior court judge or commissioner. See Ariz. R. Civ. P. 58(a) (generally, “judgments shall be in writing and signed by & judge or a court commissioner duly authorized to do so”) (emphasis added).
¶ 12 Phillips also argues that, based on the “or other final disposition” language in the rule, the mislabeling of the award should not matter. In Bittner, the mislabeling of an award was analyzed in the context of whether an appeal from an arbitrator’s award was untimely. Bittner, 182 Ariz. at 435, 897 P.2d at 737. An arbitrator first filed an “Arbitration Award” with the court but the award failed to provide for costs to the prevailing party. Id. at 436, 897 P.2d at 738. On the same day, the prevailing party was instructed to submit an affidavit in support of attorney fees and costs. Id. After the submittal, the arbitrator filed an “Amended Arbitration Award,” which included costs. Id. The non-prevailing party appealed after the “Amended Arbitration Award.” Id. The court held that the mislabeling of the awards was not fatal to the appeal because the “Arbitration Award” was not intended to be the final award from which a party could appeal and given the absence of costs in that award, it would have been impossible to treat it as final. Id. Based on Bittner, we agree that the mislabeling of an arbitration award does not necessarily affect an award for purposes of an appeal from the award. But the mislabeling of an award as a judgment does not make it a true judgment under the rules.
¶ 13 Rule 76(c) confirms an additional step within the compulsory arbitration procedure by providing that any party may, after the time for appeal of the award has expired, “file to have judgment entered on the award.” In other words, after an “award or other final disposition” is signed and filed by the arbitrator, a separate judgment is to be entered by the court. Ariz. R. Civ. P. 76; see also Ariz. R. Civ. P. 58(a). The rules therefore contemplate three steps leading to a judgment: the arbitrator’s notice of decision; the arbitrator’s award or other final disposition; and the superior court’s entry of judgment.
¶ 14 Rule 74 also supports our understanding of Rule 76. Under Rule 74, the arbitrator does not have the power to dispose of the case. Rather, the arbitrator has the power to determine the admissibility of evidence, decide the law and facts of the case, and make legal rulings. See Ariz. R. Civ. P. 74(a)-(c). And, once the arbitrator signs the award, he or she is divested of further jurisdiction. See Diggs Realty & Ins. v. Pertile, 114 Ariz. 85, 86, 559 P.2d 205, 206 (App.1977) (holding that after an arbitrator filed an award he was divested of jurisdiction and the case file was returned to the superior court).
¶ 15 Phillips nonetheless contends that A.R.S. § 12-133(E) supports his position that the award should be given the effect of a judgment in this case. Section 12-133(E) provides:
The arbitration award shall be in writing, signed by a majority of the arbitrators and filed with the court. The court shall enter the award in its record of judgments. The award has the effect of a judgment on the parties unless reversed on appeal.
(Emphasis added.) Phillips relies primarily on the italicized sentence to equate the award (the Judgment) with a formal, final judgment. Garcia argues that subsection (E) only applies to cases submitted to arbitration by an agreement of reference pursuant to A.R.S. § 12-133(D) because if the statute was applied to compulsory arbitration cases, it would conflict with Rule 76(c). We are not persuaded by either argument, and we must interpret § 12-133(E) in harmony with the Rules of Civil Procedure if possible. See Hansen, 215 Ariz. at 289, ¶ 7, 160 P.3d at 168 (“Rules and statutes ‘should be harmonized wherever possible and read in conjunction with each other.’ ”) (citation omitted); see also Evenstad v. State, 178 Ariz. 578, 582, 875 P.2d 811, 815 (App.1993) (“[W]hen we are considering the interpretation and application of statutes, we do not believe we can be limited to the arguments made by the parties if that would cause us to reach an incorrect result.”).
¶ 16 In order “[t]o harmonize a rule and a statute, a court should consider the purpose each is meant to serve.” State ex rel. McDougall v. Superior Court, 173 Ariz. 385, 387, 843 P.2d 1277, 1279 (App. 1992). Section 12-133 creates the system of compulsory non-binding arbitration and “mandates the arbitration of certain cases filed in the superior court.” Graf v. Whitaker, 192 Ariz. 403, 405, ¶ 6, 966 P.2d 1007, 1009 (App.1998). The statute relies on “judicial rulemaking to implement a workable arbitration scheme.” Id. at 403, 406, ¶ 13, 966 P.2d at 1010. When a dispute is within the jurisdictional dollar amount, it is subject to compulsory non-binding arbitration. A.R.S. § 12-133(A). Rules 72 through 77 “govern the procedure” for compulsory arbitrations, see Graf, 192 Ariz. at 405, ¶ 7, 966 P.2d at 1009, and thus supplement the statute. Cf. State ex rel. Collins v. Seidel, 142 Ariz. 587, 591, 691 P.2d 678, 682 (1984) (explaining that the court will “recognize ‘statutory arrangements which seem reasonable and workable’ and which supplement the rules we have promulgated”) (citation omitted). Harmonizing Rules 76 and 58(a) with A.R.S. § 12-133(E), we conclude that entry of a true judgment requires an affirmative act by the court. Here, there was no affirmative act by the court because no party requested entry of a judgment.
¶ 17 As the court held in Graf, we conclude Rule 76 “does not frustrate but rather advances the intent behind the statute.” Graf, 192 Ariz. at 407, ¶ 14, 966 P.2d at 1011. We have considered the purpose each is meant to serve and have avoided an interpretation that would render portions of the statute or rules meaningless or of no effect. See id.; see also State v. Clifton Lodge No. 1174, Benevolent & Protective Order of Elks, 20 Ariz. App. 512, 513, 514 P.2d 265, 266 (App.1973) (“Courts must avoid construction of statutes which would render them meaningless or of no effect.”) (citation omitted). To require a party in a compulsory arbitration proceeding to request entry of judgment by the court does not render any portion of § 12-133(E) meaningless. Rules 76 and 58(a) supplement the statute by clarifying that the court must enter judgment and any party may request the court to do so.
¶ 18 There is an additional reason we reject Phillips’s argument that A.R.S. § 12-133(E) creates a self-executing conversion of an arbitrator’s award into a true judgment. Prior to a 2007 change in the rules, the following provision was included in the rules:
Legal Effect of Award or Other Final Disposition. Upon expiration of the time for appeal and if no appeal has been taken, the arbitrator’s award or other final disposition shall become binding as a judgment of the Superior Court and shall be entered in the judgment docket.
See Ariz. R. Civ. P. 75(c) (West 2007). This provision was removed from the rules in 2007 and the provision in current Rule 76(c) requiring a party to apply for entry of judgment was created. See Ariz. R. Civ. P. 76(e) (West 2008). This rulemaking history confirms that the Arizona Supreme Court intended by these rules to require an affirmative act by the court to enter the formal judgment. No such affirmative act occurred here and no true judgment was entered.
B. Dismissal of the Action is Required Under Rule 76(d)
¶ 19 Garcia argues that because a judgment was never entered, the superior court should have dismissed the case in accordance with Rule 76(d), which provides that “[i]f no application for entry of judgment has been filed within 120 days from the date of the filing of the notice of decision, and no appeal is pending, the case shall be dismissed.” This language is plain and unambiguous, and should be enforced. See State ex rel Romley v. Superior Court (Stewart), 168 Ariz. 167, 169, 812 P.2d 985, 987 (1991) (noting that when the language of a rule “is not subject to different interpretations, we need look no further than that language to determine the drafters’ intent”).
¶ 20 The parties had until May 3, 2013, within which to request entry of judgment (120 days after the notice of decision was filed on January 3, 2013). Because no application for entry of judgment was filed and because no appeal from the arbitrator’s award was pending, the trial court should have dismissed the action.
ATTORNEY FEES AND COSTS
¶ 21 Both parties request attorney fees based on A.R.S. § 12-341.01. Garcia has prevailed in this court but neither party has prevailed overall and, in our discretion, we decline to make an award of attorney fees to Garcia. Because Phillips was unsuccessful, we also deny his request for attorney fees. Garcia is entitled to an award of statutory, taxable costs upon compliance with Arizona Rule of Civil Appellate Procedure 21.
CONCLUSION
¶ 22 We lack appellate jurisdiction over this attempted appeal from the denial of a motion to dismiss. But, in our discretion, we exercise special action jurisdiction to reach the merits of the issues presented. We determine that the Judgment signed by the arbitrator constituted the award under Rule 76, and no true judgment as described in Rules 58(a) and 76 was entered. In accordance with Rule 76(d), therefore, the action should have been dismissed. At oral argument before this court, both parties conceded that — if we determined dismissal was required — a dismissal without prejudice would be the appropriate disposition of this action. We therefore vacate the trial court’s denial of Garcia’s motion to dismiss and also the judgment entered in favor of Phillips, and we direct the entry of a judgment of dismissal without prejudice.
. Unless otherwise specified, we cite the current versions of statutes and rules when no material revisions have been enacted since the events in question.
. The rules analyzed in Bittner were the Uniform Rules of Procedure for Arbitration. In 2001, the arbitration rules were transferred to their current placement as Arizona Rules of Civil Procedure 72-77. See Sabori v. Kuhn, 199 Ariz. 330, 331, ¶ 6, 18 P.3d 124, 125 (App.2001).
. Subsection (D) provides
[r]egardless of whether or not suit has been filed, any case may be referred to arbitration by an agreement of reference signed by the parties or their respective counsel for both sides in the case. The agreement of reference shall define the issues involved for determination in the arbitration proceeding and may also contain stipulations with respect to agreed facts, issues or defenses. In such cases, the agreement of reference shall take the place of the pleadings in the case and shall be filed of record.
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OPINION
THUMMA, Judge:
¶ 1 Ian Harvey Cheatham appeals his conviction for misdemeanor possession or use of marijuana and resulting probation grant. Cheatham argues the superior court abused its discretion by denying his motion to suppress evidence obtained from a warrantless search of his car. Finding no error, Cheat-ham’s conviction and probation grant are affirmed.
FACTS AND PROCEDURAL HISTORY
¶ 2 One evening in late May 2013, two police officers were on patrol when they pulled over a car with a dark windshield that appeared to violate Arizona law. One officer approached the driver’s window and made contact with Cheatham, the driver. As the officer spoke with Cheatham, he noticed a strong odor of burnt marijuana from inside the vehicle. Cheatham complied with the officer’s request to step out of the car and the officer searched the car.
¶ 3 During the search, the officer saw an empty prescription bottle in the center console. The officer opened the bottle and smelled unburnt marijuana. The officer also saw an empty cigar package on the driver’s seat. As he testified at the suppression hearing, the significance of the empty cigar package was that people “take the tobacco out of the cigars and fill them with marijuana, and then they refer to those as blunts out in the street. They’re marijuana cigarettes.” The officer then searched under the driver’s seat, where he found a small amount (described as the “size of a marble”) of what he identified as unburnt marijuana. The officer seized the marijuana and arrested Cheatham. After being read his rights pursuant to Miranda v. Arizona, 384 U.S. 436, 86 S.Ct. 1602, 16 L.Ed.2d 694 (1966), Cheatham admitted the prescription bottle containing the odor of unburnt marijuana was his.
¶ 4 Before trial, Cheatham filed a motion to suppress, arguing the automobile exception to the search warrant requirement no longer authorizes searches based on the plain smell of marijuana after the enactment of the Arizona Medical Marijuana Act (AMMA), Arizona Revised Statutes (A.R.S.) §§ 36-2801 to -2819 (2015). The superior court denied the motion, finding probable cause existed based on the “plain smell” doctrine as adopted in State v. Harrison, 111 Ariz. 508, 509, 533 P.2d 1143, 1144 (1975). Although noting it “may well be an issue of first impression,” the superior court rejected Cheat-ham’s contention that, under the AMMA, “the police now have to presume that any marijuana that they’re smelling or seeing out there is lawful and that it needs to then be shown otherwise.”
¶ 5 After a bench trial, Cheatham was found guilty of possession or use of marijuana, a Class 1 misdemeanor, and placed on supervised probation for one year. From Cheatham’s timely appeal of his conviction and probation grant, this court has jurisdiction pursuant to the Arizona Constitution, Article 6, Section 9, and A.R.S. §§ 12-120.21(A)(1), 13-4031, and -4033.
DISCUSSION
¶ 6 This court reviews the denial of a motion to suppress for an abuse of discretion. State v. Manuel, 229 Ariz. 1, 4 ¶ 11, 270 P.3d 828, 831 (2011). Constitutional and legal issues are reviewed de novo. State v. Moody, 208 Ariz. 424, 445 ¶ 62, 94 P.3d 1119, 1140 (2004).
1. The AMMA Does Not Eliminate Arizona’s “Plain Smell” Doctrine.
¶ 7 Cheatham concedes that, “[u]nder pre-AMMA Arizona case law, the odor of marijuana was sufficient to establish the necessary probable cause to search a car. Harrison, 111 Ariz. at 509, 533 P.2d at 1144 (odor of unburnt marijuana emanating from vehicle supplied probable cause to search and arrest).” Cheatham argues, however, that the odor of marijuana no longer has an incriminating character sufficient to establish probable cause of a crime because AMMA cardholders legally may possess and use marijuana, and the AMMA authorizes others to be in the presence and vicinity of such use. Noting the arresting officer admitted he did not ask whether Cheatham was authorized to use marijuana under the AMMA, Cheatham argues that, “[a]bsent any additional evidence that could have provided sufficient evidence to rise to the level of probable cause, the mere smell of burnt marijuana is insufficient as a matter of law.”
¶ 8 Under the AMMA, a “registered qualifying patient ... is not subject to arrest, prosecution or penalty in any manner ... [f]or the registered qualifying patient’s medical use of marijuana pursuant to [the AMMA], if the registered qualifying patient does not possess more than” 2.5 ounces of marijuana. A.R.S. §§ 36 — 2811(B)(1); 2801(1)(a)(i). Under the AMMA, “[n]o person may be subject to arrest, prosecution or penalty in any manner ... for ... [b]eing in the presence or vicinity of the medical use of marijuana authorized under” the AMMA. A.R.S. § 36-2811(D)(2). A registered qualifying patient is presumed to be “engaged in the medical use of marijuana pursuant to” the AMMA if in possession of “a registry identification card” and 2.5 ounces of marijuana or less. A.R.S. § 36-2811(A)(1).
¶ 9 Contrary to Cheatham’s arguments, the AMMA does not decriminalize marijuana possession or use. Instead, where applicable, the AMMA provides immunity for possession or use of marijuana consistent with “the immunity provision” of the AMMA. See Reedr-Kaliher v. Hoggatt, 237 Ariz. 119, 122 ¶¶ 8-9, 347 P.3d 136, 139 (2015) (construing A.R.S. § 36-2811); see also State ex rel. Polk v. Hancock, 237 Ariz. 125, 127-28 ¶ 1, 347 P.3d 142, 144-45 (2015) (finding A.R.S. § 36-2811(B)(1) prohibits superior court “from for bidding AMMA-compliant marijuana use as a condition of probation”). The possession or use of marijuana remains a crime under Arizona law, A.R.S. § 13-3405(A)(1), albeit a crime subject to immunity if undertaken consistent with the AMMA, A.R.S. § 36-2802.
¶ 10 The fact that the AMMA does not decriminalize possession or use of marijuana under Arizona law distinguishes several non-Arizona cases Cheatham cites. See, e.g., Commonwealth v. Cruz, 459 Mass. 459, 945 N.E.2d 899, 908 (2011) (construing plain smell doctrine after state decriminalized possession of an ounce or less of marijuana); State v. Crocker, 97 P.3d 93, 94, 96-97 (Alaska Ct.App.2004) (quashing warrant to search home for marijuana where state law “allowed] possession by adults of any amount less than four ounces of marijuana in the home for personal use”); see also Oregon v. Castillejo, 345 Or. 255, 192 P.3d 1283, 1291-92 (2008) (reversing order suppressing evidence because affidavit supporting search warrant “was replete with probable cause” to “believe that an unlawful amount of marijuana — more than six usable ounces — would be found” in defendant’s house). In contrast to these jurisdictions, Vermont has a medical marijuana statute similar to the AMMA. See Vt. Stat. Ann. Title 18, § 4474b (West 2015) (exempting persons with valid registration cards who are in compliance with statutory requirements from arrest or prosecution). In construing that statute, the Vermont Supreme Court rejected an argument that the plain smell doctrine could not support probable cause, concluding that Vermont’s medical marijuana law “merely exempts from prosecution a small number of individuals who comply with rigid requirements for possession or cultivation. In that sense, the law creates a defense to prosecution.” State v. Senna, 194 Vt. 283, 79 A.3d 45, 49 (2013) (citation omitted); accord People v. Strasburg, 148 Cal.App.4th 1052, 56 Cal.Rptr.3d 306, 310-11 (2007) (applying California law); State v. Fry, 168 Wash.2d 1, 228 P.3d 1, 10 (2010) (applying Washington law). The Vermont Supreme Court’s analysis is more applicable to the AMMA than is the analysis used in states where marijuana has been decriminalized.
¶ 11 Apart from these non-Arizona cases cited by the parties, in claiming immunity under the AMMA, “it is a defendant’s burden to ‘plead and prove,’ by a preponderance of the evidence, that his or her actions fall within the range of immune action.” State v. Fields ex rel. Cnty. of Pima, 232 Ariz. 265, 269 ¶ 15, 304 P.3d 1088, 1092 (App. 2013). The record shows Cheatham did not meet his burden. Cheatham never claimed he was a registered qualifying patient with an AMMA registry identification card when he was pulled over, when the marijuana was seized, when he was arrested or at any other relevant time. Indeed, Cheatham conceded through counsel that he was not a registered qualifying patient under the AMMA. This record does not show that Cheatham attempted to claim, or could have claimed, any immunity under the AMMA. As a result, this court need not address any impact on the plain smell doctrine by the AMMA if Cheat-ham had presented an AMMA registry identification card issued in his name to the officers when he was stopped.
¶ 12 Cheatham cites the trial testimony of Raymond Farinas where Farinas stated he was a registered qualifying patient under the AMMA with a registry identification card, that he had ridden in Cheatham’s car earlier in the day and that, “[w]hen he got home, he measured [his] medical marijuana and realized that he was missing some of his medical marijuana.” After being stopped and arrested, however, Cheatham admitted the prescription bottle containing the odor of unburnt marijuana was his. Moreover, Farinas did not testify at the suppression hearing. See Blackmore, 186 Ariz. at 631, 925 P.2d at 1348 (when addressing appeal from suppression ruling, appellate court properly restricts its “review to consideration of the facts the trial court heard at the suppression hearing”) (citation omitted). Finally, even if Cheatham had proved that Farinas’ possession and use of marijuana complied with the AMMA, Cheatham was convicted for his possession of marijuana, not because he was “in the presence or vicinity of the medical use of marijuana” by Farinas. A.R.S. § 36-2811(D)(2).
¶ 13 The AMMA does not decriminalize the possession or use of marijuana in Arizona. Moreover, Cheatham has not shown how the AMMA would provide him any immunity or that, on this record, the AMMA eliminates the plain smell exception to the warrant requirement that led to the search and seizure here. The fact that a registered patient under the AMMA with a valid registry identification card can affirmatively claim immunity from arrest, prosecution or penalty for possession or use of marijuana as specified under the AMMA does not eliminate the significance of the smell of marijuana as an indicator of criminal activity in this case. Thus, the AMMA does not mean that the plain smell of marijuana is no longer sufficient to establish probable cause under Arizona law.
II. The Superior Court Did Not Err In Denying The Motion To Suppress.
¶ 14 Cheatham argues the superior court abused its discretion by denying his motion to suppress because the only evidence supporting probable cause for the warrant-less search of his car was the smell of marijuana. Under the plain smell doctrine, a police officer may conduct a warrantless search and seizure of contraband if: (1) the “officer [is] lawfully ... in a position to [smell] the object;” (2) “its incriminating character [is] immediately apparent;” and (3) “the officer [has] a lawful right of access to the object.” State v. Baggett, 232 Ariz. 424, 428 ¶ 16, 306 P.3d 81, 85 (App.2013) (citations omitted). There is no dispute that the officer was lawfully in a position to smell the marijuana and had a lawful right of access. Moreover, in this case, the odor of marijuana provided sufficient probable cause that marijuana was present and that a crime was being or had been committed. See Harrison, 111 Ariz. at 509, 533 P.2d at 1144; Baggett, 232 Ariz. at 428 ¶ 20, 306 P.3d at 85. Accordingly, the record at the suppression hearing was sufficient to support a finding that all three requirements of the plain smell doctrine were met. Thus, the superior court did not err in denying Cheatham’s motion to suppress.
CONCLUSION
¶ 15 Cheatham’s conviction and resulting probation grant are affirmed.
. In reviewing the denial of a motion to suppress, this court considers only the evidence received at the suppression hearing and does so in a light most favorable to sustaining the superior court’s ruling. See State v. Blackmore, 186 Ariz. 630, 631, 925 P.2d 1347, 1348 (1996).
. Absent material revisions after the relevant dates, statutes and rules cited refer to the current version unless otherwise indicated.
. The marijuana police seized from Cheatham weighed 100 milligrams, significantly less than 2.5 ounces.
. Cheatham argues for the first time in his reply brief on appeal that the State's argument "lacks merit” when compared to possession of prescription drugs, adding "the mere possession of prescription-only drug[s] would not cause a reasonable person to suspect a criminal activity." The statutes Cheatham cites for this argument, which are inapplicable here, prohibit a person from knowingly possessing or using “a prescription-only drug unless the person obtains the prescription-only drug pursuant to a valid prescription” from a specified prescriber, placing on the defendant "the burden of proof of any such exemption.” A.R.S. §§ 13 — 3406(A)(1), -3412(B). Moreover, by raising the issue for the first time in reply on appeal and failing to otherwise develop the argument, it is waived and not addressed here. State v. Lizardi, 234 Ariz. 501, 506 n. 5 ¶ 19, 323 P.3d 1152, 1157 n. 5 (App.2014); see also Ariz. R.Crim. P. 31.13(c)(1)(vi).
. Although adopting a different analysis, the majority in State v. Sisco, -Ariz. -, — P.3d -., 2015 WL 4429575 (App.2015) (2-1 decision) does not direct a different result. As applied to the facts of this case, the Sisco majority stated that "even with the AMMA’s passage, the odor of burnt marijuana in public or in an automobile still suggests a crime has occurred.” Id. at -, ¶ 26, - P.3d - (emphasis added). Moreover, Sisco involved "[a]n ex parte search warrant hearing” that "afford[ed] no opportunity to assert a defense” under the AMMA, id. at- ¶ 49, - P.3d-, unlike Cheatham's interaction with police where, had he been a registered qualifying patient, he could have asserted immunity under the AMMA by presenting his registry identification card to the officers when he was stopped. Finally, to the extent the analysis of the Sisco majority could be read to apply here to direct a different result, this court would respectfully disagree using, instead, the analysis set forth in this opinion.
. Given this conclusion, this court does not address the State’s argument that the officers properly searched Cheatham's car pursuant to the automobile exception to the warrant requirement.
|
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OPINION
KESSLER, Judge:
¶ 1 Barbara LaWall, in her official capacity as Pima County Attorney (“LaWall”), appeals the superior court’s summary judgment in favor of R.R. Robertson, L.L.C. dba R3 Investigations and Richard R. Robertson (hereinafter “R3”) and Christopher Dupont (collectively “Defendants” or “Appellees”). LaWall also appeals the denial of her cross-motion for summary judgment, dismissal of her second amended complaint, and the grant of attorneys’ fees to R3.
¶ 2 The material facts are undisputed and the issue is purely a question of statutory interpretation of Arizona’s public records law, see Arizona Revised Statutes (“A.R.S.”) sections 39-101 to -221 (2001 & Supp. 2014). The primary question presented and the dis-positive issue on appeal is whether Appellees’ three public records requests are excepted from the statutory definition of “commercial purpose,” see A.R.S. § 39-121.03(D) (2001), because they will or may be used “as evidence or as research for evidence in an action in any judicial or quasi-judicial body.” Because we conclude the requests fall within the exception, we affirm.
FACTUAL AND PROCEDURAL HISTORY
I. Defendants’ Requests for Public Records and LaWall’s Complaint
A. R3’s October Request for Records
¶ 3 In October 2013, R3 requested certain prosecutorial records maintained by the Pima County Attorney’s Office pursuant to Arizona’s public records statutes. R3 sought “a copy of selected portions of [LaWall’s] ‘register’ in electronic format ... of all criminal cases prosecuted by [LaWall’s] office ... initiated [between] 2002 through current.” R3 asserted that the request was “for a noncommercial purpose as defined in A.R.S. § 39-121.03(D) [because] this information will be used as evidence or as research for evidence in actions before judicial or quasi-judicial bodies.”
¶ 4 LaWall agreed to produce the information in electronic format with the exception of defendants’ birth dates. However, she stated she did not believe the request was for a non-commercial purpose because it did not apply to a “specific, pending case or proceeding.” LaWall also stated she did “not believe that use of prosecution records in plea and sentencing assessment qualifies as ‘evidence’ or ‘research for evidence.’” For these reasons, LaWall requested information including R3’s tax records to make the additional financial assessments authorized by A.R.S. § 39-121.03(A) for commercial requests.
¶ 5 After a response from R3 refuting La-Wall’s position, LaWall filed a complaint against R3 seeking a declaration that the request was for a commercial purpose as defined by A.R.S. § 39-121.03(D). The complaint alleged R3 must provide a statement of commercial purpose and pay associated charges as required by A.R.S. § 39-121.03(A).
B. R3’s December Request for Records
¶ 6 After LaWall filed the complaint, R3 filed another request for records in December 2013, seeking electronic records “of all criminal cases charged by [LaWall’s] office since Jan. 1, 2002, that include at least one count of first-degree murder.” R3 requested inclusion of the same data fields as its first request, see supra n. 3, and again maintained the request was for a non-commercial purpose. However, unlike the first request, R3 represented that the request was made “to conduct research on behalf of counsel for a client the results of which will be used as evidence before a judicial body.” LaWall responded by letter reaffirming her earlier positions regarding the October request, and amended the complaint by adding a second count seeking the same declaratory relief.
C. Dupont’s Request for Records
¶ 7 Dupont filed a public records request similar to R3’s December request asserting the request was “made to conduct research on behalf of a particular client, the results of which may be used as evidence before a judicial body and/or other public forum.” La-Wall responded, stating she was unable to determine whether “it is possible that these data might be used as ‘evidence’ or ‘research for evidence’ as contemplated [by the statute],” and was concerned Dupont would “turn the data over to R3 or another third party to analyze for a fee.” LaWall requested additional information to “[determine] whether [Dupont’s] request [was] truly for a non-commercial purpose.”
¶ 8 LaWall was permitted to amend her complaint again and added a third count reflecting allegations against Dupont substantially similar to those in counts one and two asserted against R3. See supra ¶ 5.
II. Summary Judgment and Attorneys’ Fees
¶ 9 R3 moved for summary judgment. It argued that the second sentence of A.R.S. § 39-121.03(D), which states that commercial purpose does not include “the use of a public record as evidence or as research for evidence in an action in any judicial or quasi-judicial body,” does not require a “specific” or “pending” action. It also argued that the exception does not require that the data requested be admissible.
¶ 10 Dupont joined R3’s motion and provided his own statement of facts in support of the motion for summary judgment. He avowed that he had been retained by a client to conduct a study of first-degree murder cases in Pima and Maricopa counties. Dupont also stated that he hired R3 to obtain the data requested, but when LaWall refused to produce the records to R3, he submitted his request. He stated that although he did not intend to provide the lists to R3, he would provide them to “other allied professionals to conduct a systemic processes analysis of the cases on the list.”
¶ 11 LaWall opposed the motion and filed a cross-motion for summary judgment relying on facts from R3’s discovery responses. Discovery had shown that R3’s sentencing analyses are “one of many services it offers to its client,” that the data from its records requests “would be used to populate its electronic database” and “added” to its database and “would be used, in part, to provide sentencing analyses to clients who are normally charged a fee for [the analyses] and a host of services provided by R3.” R3 “writ[es] queries in its compiled database, using SQL-based database programs” and the “queries extract a subset of responsive data which are compiled into a report, [and] formatted to meet the specific needs of the client.” “The reports become the basis for additional research on specific cases, including pulling case files, obtaining supporting records and conducting interviews” and that the “resultant ... report is the ‘tool’ that attorneys who retain R3 and their clients can use in whatever manner they deem most appropriate in defending their criminal cases.”
¶ 12 LaWall argued that because the requests were not “truly tied to a particular proceeding — ‘an action’ — as required by the plain language” of A.R.S. § 39-121.03(D), and because there is no statute or rule that makes R3’s sentencing analyses admissible as evidence in criminal proceedings, the requests were for commercial purposes. La-Wall maintained that there cannot be “an action in any judicial or quasi-judicial body” for purposes of the exception unless an action is “pending, or at least specifically contemplated,” and that the phrase “an action” in the statute impliedly means a “pending action.” LaWall asserted that because R3 intends to “sell a public record — or incorporate part of the record into a document it intends to sell” the request was “direct economic exploitation” of public records, and thus, did not qualify as noncommercial within the meaning of subsection (D) or Star Publ’g Co. v. Parks, 178 Ariz. 604, 605, 875 P.2d 837, 838 (App.1993).
¶ 13 The superior court granted Defendants’ motion and denied LaWall’s cross-motion. The court first recognized that the parties agreed the records must be disclosed, and identified the dispositive issue as whether the exception to the statutory definition of commercial purpose applied to the requests, thereby exempting Defendants from paying additional charges authorized by A.R.S. § 39-121.03(A). The court then examined the definition of “commercial purpose” in A.R.S. § 39 — 121.03(0), and relying upon the “sparse” governing case law, Star Publ’g Co. and Primary Consultants, L.L.C. v. Maricopa Cnty. Recorder, 210 Ariz. 393, 111 P.3d 435 (App.2005), ruled that the exception applied:
[I]t does not appear that defendants are seeking the records for a commercial purpose as that term is used in the statute, even setting aside the final sentence of Subsection D. But that sentence adds further weight to the defendants’ argument.... The Court agrees that nothing in [the exception] requires a currently pending case [in order to apply]. And, construing the word “evidence” broadly, rather than cabining it to something admissible under the [Arizona] Rules of Evidence, fosters the purpose of the statute (to make public records broadly available).
(Footnote omitted.)
¶ 14 R3 also requested an award of attorneys’ fees. LaWall opposed R3’s $30,833.50 attorneys’ fee request not because the fees were unreasonable, but rather because “there is very little appellate guidance on construing A.R.S. § 39-121.03(D)” and “this case does not involve the right to access public records,” to “monitor the performance of government officials and their employees.” Disagreeing with LaWall’s contentions, the superior court exercised its discretion pursuant to A.R.S. § 39-121.02(B) (Supp.2014) and awarded the requested fees.
¶ 15 The court then entered a final signed judgment from which LaWall timely appealed. We have jurisdiction pursuant to A.R.S. §§ 12-2101(A)(1) (Supp.2014) (final judgment of superior court), and 12-1837 (2003) (declaratory action judgment reviewable).
DISCUSSION
¶ 16 The parties agree that the requested public records must be disclosed. The issue on appeal is whether the requests are for a commercial purpose as defined by A.R.S. § 39-121.03(D) such that additional charges for the records can be imposed pursuant to A.R.S. § 39-121.03(A).
¶ 17 LaWall maintains that because the requests were not made in connection with a specific, pending, or contemplated action and would not lead to admissible evidence, the exception in A.R.S. § 39-121.03(D) does not apply to the requests. R3 repeats its argument below that its requests were not for a commercial purpose and the exception applies because the statute does not expressly limit the exception to a specific, pending, or contemplated action. Dupont joins R3’s briefing, urging us to affirm and maintains that the exception does not require disclosure to a custodian of records of the proceeding for which the records are sought nor how the records will lead to admissible evidence.
¶ 18 The issue is the meaning of the exception to the definition of commercial purpose. See A.R.S. § 39-121.03(D) (“Commercial purpose does not mean the use of a public record as evidence or as research for evidence in an action in any judicial or quasi-judicial body.”). We review de novo grants of summary judgment and matters of statutory interpretation. State ex rel. Montgomery v. Mathis, 231 Ariz. 103, 109, ¶¶ 17, 19, 290 P.3d 1226, 1232 (App.2012). As a matter of first impression and based on the undisputed facts in the record, the plain language of the statute dictates the exception applies to each of the three requests, see supra ¶¶ 3, 6-7. Thus, Appellees’ requests are not subject to additional costs authorized by A.R.S. § 39-121.03(A).
¶ 19 “Our primary goal of statutory interpretation is to find and give effect to legislative intent ... [and] look to the plain language of the statute as the best indicator of that intent.” Mathews ex rel. Mathews v. Life Care Ctrs. of Am., Inc., 217 Ariz. 606, 608, ¶ 6, 177 P.3d 867, 869 (App.2008). In A.R.S. § 39-121.03(D), the legislature excepted from commercial purposes the “use of a public record as evidence or as research for evidence in an action in any judicial or quasi-judicial body.” The statutory language is plain and unambiguous. Contrary to La-Wall’s arguments, the statute does not require that the records requested be used in an action pending at the time of the request, or that the records must be admissible in an action. Thus, Defendants’ requests are not subject to A.R.S. § 39-121.03(A) and the additional costs which can be charged for records requested for a commercial purpose.
¶ 20 Although we need look no further than the plain language of the statute to make our determination, the evolution of the statute supports our determination that we need not imply requirements or terms not included by the legislature. See Bd. of Swp’rs of Maricopa Cnty. v. Pratt, 4R Ariz. 536, 542-3, 57 P.2d 1220, 1223 (1936) (“It is only where there is no doubt as to the intention of those who frame an amendment or statute that a court may modify, alter, or supply words that will ‘obviate any repugnancy to or inconsistence with such intention’....”).
¶ 21 The second sentence of A.R.S. § 39-121.03(D), which we have referred to as the exception to the definition of commercial purpose, was added in 1985 by House Bill 2286. 1985 Ariz. Sess. Laws, ch. 213, § 4 (1st Reg. Sess.). House Bill 2286 made a variety of changes to statutes governing state and pub-lie records, not just in Title 39 (Public Records, Printing, and Notices) embodying the statute at issue here, but also in Title 11 (Counties) and Title 41 (State Government).
¶ 22 The 1985 amendment removed former subsection (A) requiring a “verified statement that the reproduction will not be used for a commercial purpose,” but retained the requirement of a “certified statement setting forth the commercial purpose.” 1985 Ariz. Sess. Laws, ch. 213, § 4 (1st Reg. Sess.) (depicting former subsection (A) requiring statement of noncommercial purpose and showing former subsection (B) became current subsection (A)); see House Comm, on Counties and Municipalities Meeting Minutes (Feb. 27, 1985) (stating House Bill 2286 “removes the requirement that [requesters] ... provide a verified statement that documents will not be used for a commercial purpose.... [and] further provides that commercial purpose does not include use ... as evidence before a judicial or quasi-judicial body.”); Senate Comm, on Gov’t Fact Sheet for H.B. 2286 (Mar. 25, 1985) (same). Thus, contrary to LaWall’s arguments, requesters need not explain to the custodian of records that the use is noncommercial so that the custodian can determine whether additional charges are appropriate.
¶ 23 Nor does the evolution of the statute support LaWall’s claim that to fall within the exception of A.R.S. § 39-121.03(D), the records requested have to be admissible in a proceeding before a judicial or a quasi-judicial body. The same bill that added the exception in subsection (D) to Title 39 (Public Records), also added a provision to Title 41 (State Government), that stated: “Except as otherwise provided by law, records reproduced as provided [in former A.R.S. § 41-1348(A), now renumbered as A.R.S. § 41-151.16(A) ] are admissible in evidence as provided in Section 12-2262, subsection (D).” 1985 Ariz. Sess. Laws, ch. 213, § 10 (1st Reg. Sess.); see A.R.S. § 41-151.16(B) (2013) (“Except as otherwise provided by law, records reproduced as provided in subsection A of this section are admissible in evidence.”).
¶ 24 Thus, amidst the 1985 overhaul of Arizona’s statutes governing management and reproduction of records, the same bill that introduced the word “evidence” into the exception in A.R.S. § 39-121.03(D), also provided more generally that records reproduced according to the new system are admissible as evidence unless otherwise provided by law. See generally 1985 Ariz. Sess. Laws, ch. 213 (1st Reg. Sess.). The legislature was providing, as a threshold matter, that if kept and reproduced according to the new terms implemented in 1985, such records were deemed admissible, e.g. as business records. See supra ¶ 23 & n. 12. The reference to “evidence” in the exception in subsection (D) does not refer to whether the documents would be ruled admissible by a judicial or quasi-judicial body in a particular case, but rather to the threshold admissibility of business records provided by A.R.S. § 41-151.16(B).
¶ 25 LaWall’s argument the records must be deemed admissible is unworkable. The admissibility of evidence depends on the particular jurisdiction, forum (i.e. judicial versus quasi-judicial), relevancy standards, and other considerations based on the particular facts in a particular matter (e.g., Ariz. R. Evid.401, 403). A custodian of records is neither equipped nor authorized to determine for purposes of our evidentiary rules or otherwise what will be deemed admissible in evidence in a given matter. Moreover, a custodian is even less equipped to make such a determination in the case of admissibility in “any judicial or quasi-judicial body.” A.R.S. § 39-121.03(D) (emphasis added); see, e.g., 2000 Ariz. Sess. Laws, ch. 88, § 55 (2d Reg. Sess.) (amending exception, by Senate Bill 1230, such that admissibility not limited to Arizona’s judicial or quasi-judicial bodies).
¶ 26 The 1985 amendment to A.R.S. § 39-121.03, removing the requirement that a requester make a statement of noncommercial purpose, also supports our determination that the requests here satisfy the plain language of the exception notwithstanding the legislature’s use of the words “an action.” See 1985 Ariz. Sess. Laws, ch. 213, § 4 (1st Reg. Sess.); House Comm, on Counties and Municipalities Meeting Minutes (Feb. 27, 1985) (stating “[t]he bill removes the requirement that persons requesting public documents provide a verified statement that documents will not be used for a commercial purpose.... [and] further provides that commercial purpose does not include use of public records as evidence before a judicial or quasi-judicial body.”); Senate Comm, on Gov’t Fact Sheet for H.B. 2286 (Mar. 25, 1985) (same). A requester that intends to use the records as evidence or research for evidence in an action in any judicial or quasi-judicial body need not make any statement of purpose at all. See supra ¶ 22. That Appellees provided such statements in their requests does not and cannot alter the requirements of the statute as written by our legislature. Had the legislature intended to require a mechanism by which custodians of records could inquire into the nature of a noncommercial request it would have so provided. Thus, we reject LaWall’s argument that a custodian of records may inquire into the “action” for which the records are requested for use as evidence or research for evidence, but acknowledge her claims of powerlessness to challenge a noncommercial requester.
¶ 27 The parties and amici make several compelling arguments regarding the variety of problematic ways in which each side views the statutory provisions including issues of attorney-client privilege, ethical responsibilities of attorneys and litigants, statutorily mandated duties of custodians of records, and enforcement mechanisms for noncompliance with statutory requirements. However, it is not our place to balance the host of competing interests and policy concerns implicated by the statutory language, nor to rewrite the statute for our legislature. See Shaw v. State, 8 Ariz.App. 447, 452, 447 P.2d 262, 267 (1968) (“The judiciary cannot sit as a super-legislature to determine the wisdom, the necessity, or the inconvenience of a legislative enactment.”) (relying on M’Culloch v. Maryland, 17 U.S. 316, 4 Wheat. 316, 4 L.Ed. 579 (1819)); see also In re Nicholas S., 226 Ariz. 182, 186, ¶ 18, 245 P.3d 446, 450 (2011) (“[C]ourts cannot salvage statutes by rewriting them because doing so would invade the legislature’s domain.”).
¶ 28 LaWall rightfully concedes that unless we vacate the judgment in favor of R3, R3 has “substantially prevailed,” and thus, it was within the superior court’s discretion to award attorneys’ fees pursuant to A.R.S. § 39-121.02(B). There is no basis to find the court abused its discretion. Thus, we affirm the fee award.
¶ 29 Again, citing A.R.S. § 39-121.02(B), R3 asks us to grant it attorneys’ fees and costs on appeal. In our discretion we deny attorneys’ fees, but award R3 its costs on appeal pursuant to A.R.S. § 12-341 (2003) upon its timely compliance with Arizona Rule of Civil Appellate Procedure 21.
CONCLUSION
¶ 30 For the reasons stated we determine the three requests at issue here satisfy the plain language of the exception to the definition of commercial purpose in A.R.S. § 39-121.03(D). Accordingly, we affirm the judgment.
. We cite the current version of applicable statutes because no revisions material to this decision have since occurred.
. Section 39-121.03(D) provides that " 'commercial purpose' means:”
the use of a public record for the purpose of sale or resale or for the purpose of producing a document containing all or part of the copy, printout or photograph for sale or the obtaining of names and addresses from public records for the purpose of solicitation or the sale of names and addresses to another for the purpose of solicitation or for any purpose in which the purchaser can reasonably anticipate the receipt of monetary gain from the direct or indirect use of the public record. Commercial purpose does not mean the use of a public record as evidence or as research for evidence in an action in any judicial or quasi-judicial body. (Emphasis added.)
. Section 11—532(A)(8) (2012) requires a county attorney to maintain "a register of official business, and enter therein every action prosecuted.” R3 requested portions of records including: superior court case numbers; names of defendants, prosecutors, defense counsel, and trial and sentencing judges; defendants’ race, gender, and birth dates; statutory charges; and case dispositions and sentences.
. Subsection A provides:
When a person requests copies, printouts or photographs of public records for a commercial purpose, the person shall provide a statement setting forth the commercial purpose for which the copies, printouts or photographs will be used. Upon being furnished the statement the custodian of such records may furnish reproductions, the charge for which shall include the following:
1. A portion of the cost to the public body for obtaining the original or copies of the documents, printouts or photographs.
2. A reasonable fee for the cost of time, materials, equipment and personnel in producing such reproduction.
3. The value of the reproduction on the commercial market as best determined by the public body,
. There is no dispute that the records are public, must be provided, and have been provided to Appellees. The crux of the dispute is whether the requests require a statement of commercial purpose and payment of associated charges due to the commercial nature of the requests.
. LaWall requested the following information: "The proceeding for which the requested data are sought including the nature and current status of the proceeding;” "How the data will be used in the proceeding, including specifically how you contend it will lead to admissible evidence;” "Whether you request the data for only your own use and that of your client, or whether it will be provided to a third party;” "If you intend to provide the data to a third party, the terms under which you intend to provide it, including whether the third party will charge a fee to use the data, how you believe the third party will use the data, and whether the data will thereafter remain available to third party for use.”
. R3 also responded to particular discovery requests by stating that the information and material was protected by the attorney-client privilege which extends to investigators and/or is covered by the work product doctrine, that R3’s client has not consented to such release, that the requested information was outside the scope of discovery in this matter, and not relevant nor reasonably calculated to lead to admissible evidence. The parties also argue about these matters on appeal; however, we need not address these issues given our narrow holding based on the plain language of the statute. See infra at Discussion.
. LaWall also maintained that because R3's analyses might never lead to something submitted to a court, its use of the records is prohibited by A.R.S. § 39-121.03(C), which forbids obtaining records for a noncommercial purpose and using them or knowingly allowing them to be used for a commercial purpose.
. With respect to Dupont, LaWall argues that because there is not enough information to determine whether the exception applies to his request we should vacate the judgment and remand for further proceedings.
. There are two Arizona judicial opinions that interpret the "commercial purpose” definition— Primary Consultants, 210 Ariz. at 399-400, ¶¶ 26-28, 111 P.3d at 441-42 (App.2005), and Star Publ'g Co., 178 Ariz. at 605, 875 P.2d at 838. Neither case involved facts that implicate the exception in the second sentence of A.R.S. § 39-121.03(D). See generally Primary Consultants, 210 Ariz. at 394, V3, 111 P.3d at 436 (involving records request by political consulting firm); Star Publishing, 178 Ariz. at 605, 875 P.2d at 838 (involving records request by newspaper).
. The 2000 amendment removed the requirement that the statement must be "certified.” 2000 Ariz. Sess. Laws, ch. 88, § 55 (2d Reg. Sess.).
. Section 41-151.16(A) grants authority to each state agency and political subdivisions to produce or reproduce records under specified conditions. Former A.R.S. § 12-2262 (1982), repealed by 1993 Ariz. Sess. Laws, ch. 6, § 1 (1st Reg. Sess.), pertained to the admissibility of business records, and subsection (D) specifically pertained to “reproductions of business records.”
. For example, if a requester does not voluntarily assert the request is for a commercial purpose based on its own understanding of the statutory requirements, short of bringing a judicial action there is no statutory mechanism for a custodian to evaluate the request or challenge the request before the record is obtained or used in a manner inconsistent with the statute. See e.g., supra n. 6, n. 7, and n. 8.
. Section 3 9-121.02(B) provides in relevant part:
The court may award attorney fees and other legal costs that are reasonably incurred in any action under this article if the person seeking public records has substantially prevailed.
|
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OPINION
ECKERSTROM, Chief Judge:
¶ 1 The state challenges the trial court’s order granting a mistrial after the jury returned contradictory verdict forms in which it found appellee Austin Hansen guilty of aggravated assault with a deadly weapon but not guilty of its lesser included offense of simple assault. We conclude the state lacks a right to appeal the mistrial order. We nonetheless exercise our special action jurisdiction to resolve a legal question of statewide importance regarding the effect of an ambiguous verdict. See A.R.S. § 12-120.21(A)(4).
Factual and Procedural Background
¶ 2 Hansen was charged with a single count of aggravated assault with a deadly weapon or dangerous instrument pursuant to A.R.S. § 13-1204(A)(2) as a result of a stabbing at a music festival. For sentencing enhancement purposes, the state alleged the offense was of a dangerous nature due to the use of a knife. See A.R.S. §§ 13-105(13), 13-704. The court bifurcated the trial to separately address the questions of guilt and dangerousness.
¶ 3 During the guilt phase, the jury received instructions and verdict forms for aggravated assault and its lesser included offense of simple assault. When the jury returned the forms in open court, the judge initially overlooked that the forms stated the jury had found Hansen both guilty of aggravated assault and not guilty of simple assault. Only the verdict of guilt was announced in court. The court asked the jurors whether this was their verdict, they replied in the affirmative, and no dissent was registered when the jury was polled at Hansen’s request.
¶ 4 After the jury was instructed on the question of dangerousness and returned an affirmative finding, the trial court discovered its previous oversight. The judge explained that he had seen only the guilty verdict form and had handed that form alone to the clerk to be announced. When the court asked the foreperson of the jury whether the jurors had believed they were required to render a verdict on simple assault, the foreperson responded, “I think it was more my confusion on what I was doing with the two sheets.” The court interrupted this response to maintain the secrecy of the jury’s deliberative process. Hansen’s counsel stated his belief that the only option was a mistrial, and the court agreed over the state’s objection. The state then filed its notice of appeal from the mistrial order.
Jurisdiction
¶ 5 This court’s appellate jurisdiction is provided and limited by statute. State v. Avila, 147 Ariz. 330, 333, 710 P.2d 440, 443 (1985); see Ariz. Const. art. VI, § 1; A.R.S. § 12-120.21(A)(1). Appeals by the state are historically disfavored, State v. Bejarano, 219 Ariz. 518, ¶ 9, 200 P.3d 1015, 1019 (App.2008), and A.R.S. § 13-4032 sets forth the exclusive grounds on which the state may appeal. State v. Fendler, 127 Ariz. 458, 461, 622 P.2d 17, 20 (App.1980). Because this statute provides a right in derogation of the common law, we construe its terms strictly and presume that the state has no right of appeal “in the absence of express legislative authority” to the contrary. State v. Dawson, 164 Ariz. 278, 280, 792 P.2d 741, 743 (1990); see State v. Moore, 48 Ariz. 16, 18, 58 P.2d 752, 752 (1936) (noting “right of appeal in criminal cases is not known to the common law”).
¶ 6 The state identifies § 13-4032(2) as the basis of our appellate jurisdiction. That provision allows the state to appeal “[a]n order granting a new trial.” Id. An order declaring a mistrial, however, is not equivalent to an order granting a new trial.
¶ 7 Although a new trial typically follows the declaration of a mistrial, see Gray v. Gardiner, 92 Ariz. 208, 211, 375 P.2d 562, 564 (1962), there are situations that plainly illustrate both the distinct nature of these orders and the fact a new trial is not an inevitable consequence of a mistrial. For purposes of changing judges, for instance, we distinguish an order granting a new trial from one granting a mistrial. King v. Superior Court, 108 Ariz. 492, 493, 502 P.2d 529, 530 (1972); see State v. Neil, 102 Ariz. 110,117, 425 P.2d 842, 849 (1967) (Bernstein, C.J., dissenting) (noting “[t]here is a critical distinction between a new trial and a mistrial,” because latter entails no judgment or sentence having been rendered by court). Similarly, if numerous trials have failed to result in a verdict, then a criminal defendant’s due process rights might prohibit a successive prosecution following the declaration of a mistrial. See State v. Huffman, 222 Ariz. 416, ¶¶ 12-15, 215 P.3d 390, 394-96 (App.2009). A new-trial order likewise might never result from a “mistrial” that is imposed as a sanction for a disclosure violation under Rule 15.7(a)(3), Ariz. R. Crim. P.
¶ 8 In the criminal context more broadly, the declaration of a mistrial does not automatically result in a new trial when the mistrial is occasioned by intentional prosecutorial misconduct. See State v. Jorgenson, 198 Ariz. 390, ¶ 4, 10 P.3d 1177, 1178 (2000). Furthermore, in the civil context the declaration of a mistrial is not equivalent to a new trial and cannot be appealed under the analogous provision in our civil statute, A.R.S. § 12-2101(A)(5)(a), which allows an appeal from an order “[granting or refusing a new trial, or granting a motion in arrest of judgment.” See Davis v. Davis, 195 Ariz. 158, ¶ 12, 985 P.2d 643, 646-47 (App.1999). Given these substantive differences between the terms of art, as well the applicable rule of strict construction, Dawson, 164 Ariz. at 280, 792 P.2d at 743, we therefore hold that the state does not have a right to appeal an order granting a mistrial under § 13-4032(2).
¶ 9 With our appellate jurisdiction lacking, we nevertheless find it appropriate to exercise our special action jurisdiction pursuant to § 12-120.21(A)(4) and address the merits of the state’s arguments presented in its brief. We exercise our discretion in this manner because this case presents an important legal question concerning the effect of an ambiguous verdict, and the state is without “an equally plain, speedy, and adequate remedy by appeal.” Ariz. R. P. Spec. Actions 1(a); see State v. Bayardi, 230 Ariz. 195, ¶ 7, 281 P.3d 1063, 1065-66 (App.2012).
Mistrial
¶ 10 Both parties agree that a final verdict was returned by the jury that must be given effect; they simply disagree about which verdict is final and which should be ignored. We reject this premise. Following federal authorities, we previously have held that “[a] verdict is final if (1) the deliberations are over, (2) the result is announced in open court, and (3) the jury is polled and no dissent is registered.” State v. Kiper, 181 Ariz. 62, 68, 887 P.2d 592, 598 (App.1994); accord State v. Webb, 186 Ariz. 560, 563, 925 P.2d 701, 704 (App.1996).
¶ 11 This statement is an oversimplification, however, insofar as it presumes the verdict is valid and has been accepted by the court. “There is no verdict as long as there is any uncertainty or contingency to the finality of the jury’s determination.” Cook v. United States, 379 F.2d 966, 970 (5th Cir.1967). “[A] verdict must be unqualified and unambiguous,” and “[a] trial court may not accept a verdict if it is defective but must either direct the jury to retire for further deliberation or declare a mistrial.” United States v. Lee, 532 F.2d 911, 913 (3d Cir.1976). “The test for validity of the verdict is whether it ‘was certain, unqualified and unambiguous considering the circumstances of the receipt of the verdict and poll of the jurors relative to their verdict.’ ” United States v. Morris, 612 F.2d 483, 490 (10th Cir.1979), quoting Cook, 379 F.2d at 968; see State v. Marin, 107 Ariz. 580, 582, 490 P.2d 1170, 1172 (1971) (verdict valid when jury’s intent “unmistakably expressed”). “‘An attempt by a jury to return a verdict that is not accepted by the trial judge is not a verdict. A verdict is not binding until the court accepts it and the jury is discharged.’ ” State v. Martinez, 198 Ariz. 5, ¶ 11, 6 P.3d 310, 313 (App.2000), quoting State v. Peters, 855 S.W.2d 345, 349-50 (Mo.1993).
¶ 12 Here, the trial court did not accept the ambiguous verdict but rather discharged the jury and declared a mistrial as permitted by our rules of procedure. Under Rule 23.4, Ariz. R. Crim. P., which is derived from Rule 31(d), Fed. R. Crim. P., either party or the court may poll the jury “[a]fter the verdict is returned and before the jury is discharged.” The rule also allows the court to “direct [jurors] to retire for further deliberations or ... discharge[ ]” them based on their responses. This process “compels the conclusion that a verdict is not final when announced.” United States v. Love, 597 F.2d 81, 84 (6th Cir.1979). And, although the language of the federal rule focuses on the need for jury unanimity, the rule has been interpreted to address “the equally important needs for clarity and certainty as to the meaning of the verdict being reported.” United States v. Rastelli, 870 F.2d 822, 835 (2d Cir.1989).
¶ 13 Historically, Arizona has permitted trial courts to reinstruet jurors and direct them to continue deliberations when the jury returns a verdict “‘so defective that the court cannot determine whether the jurors intended to acquit the defendant or to convict him of an offense for which judgment could be entered.’ ” State v. Barker, 94 Ariz. 383, 387, 385 P.2d 516, 518 (1963), quoting Ariz. R. Crim. P. 298, 17 A.R.S. (1956). The 1973 changes to our rules of criminal procedure did nothing to diminish this authority. See State v. Rich, 184 Ariz. 179, 181, 907 P.2d 1382,1384 (1995) (noting preference for reinstruction and further deliberations when jury returns guilty verdicts for charged and lesser included offense); cf. State v. Davolt, 207 Ariz. 191, ¶¶ 93-95, 84 P.3d 456, 478 (2004) (permitting court to allow jurors to make changes to verdict forms when foreperson’s comments indicated jurors had been confused about how to complete forms and forms therefore did not reflect jury’s verdict). Under the current Rule 23.2(a), “the jury shall in all cases render a verdict finding the defendant either guilty or not guilty.” It cannot do both simultaneously. And a trial court should take “immediate corrective action where, as here, the jury’s verdict is patently uncertain.” Rastelli, 870 F.2d at 835.
¶ 14 As noted, a trial court’s choice of remedies when faced with such a verdict is either to reinstruct jurors and direct them to resume deliberations or declare a mistrial. Lee, 532 F.2d at 913; see Ariz. R. Crim. P. 23.4 (allowing discharge of jury if responses to poll “do not support the verdict”). A mistrial is a dramatic remedy reserved for situations in which the interests of justice would be thwarted unless a mistrial is granted. State v. Miller, 234 Ariz. 31, ¶ 25, 316 P.3d 1219, 1228 (2013). When a trial court is presented with a verdict finding a defendant guilty and not guilty of the same offense, or guilty of one crime and not guilty of its lesser included offense, the best practice for the court is to attempt to discern the jury’s intention and remove the ambiguity from the verdict, if possible. See United States v. McCaleb, 552 F.3d 1053, 1058 (9th Cir.2009) (recognizing “such a practice ‘comports with common sense as well as efficiency and fairness’ ”), quoting Larson v. Neimi, 9 F.3d 1397, 1402 (9th Cir.1993). The opportunity for a “simple and efficient solution[ ] is permanently lost when jurors walk out the courtroom door.” United States v. Poole, 545 F.3d 916, 919 (10th Cir.2008). The decision to grant a mistrial, however, lies within the court’s sound discretion. State v. Adam-son, 136 Ariz. 250, 260, 665 P.2d 972, 982 (1983). And “the mere availability of another alternative does not render a mistrial order an abuse of discretion.” State v. Givens, 161 Ariz. 278, 281, 778 P.2d 643, 646 (App.1989).
¶ 15 Although we conclude the trial court partially erred, we cannot find the court’s declaration of a mistrial constitutes a reversible error. A discretionary determination predicated on an error of law constitutes abuse of discretion. See Jimenez v. Chavez, 234 Ariz. 448, ¶ 15, 323 P.3d 731, 734 (App. 2014). The state is correct that the trial court abused its discretion here insofar as it based its order on the mistaken impression that a mistrial was “required by law.” But we have been presented with no authority establishing the existence of an adequate remedy at this juncture. As discussed above, the verdict here was ambiguous, the effect of the mistrial was to nullify the proceeding without a verdict, see State ex rel. Sullivan v. Patterson, 64 Ariz. 40, 45, 165 P.2d 309, 312 (1946), and the only relief now available, either from this court or the lower court, would appear to be the grant of a new trial.
¶ 16 The state urges us to consider the record as a whole and find that the verdict of guilt, coupled with the dangerousness determination, represents the jury’s true intention to convict Hansen as charged. Although the state makes a non-trivial argument about the jury’s likely intentions, we cannot validate and accept the verdict in this manner for two principal reasons.
¶ 17 First, the trial court did not poll individual jurors to determine whether the not guilty verdict also represented their true verdict. Accordingly, while the existing record certainly suggests the foreperson viewed the not guilty verdict as an unintended mistake, we decline to speculate on this limited record about what the remaining seven members of the jury intended by their verdicts. Cf. Rich, 184 Ariz. at 180, 181, 907 P.2d at 1383, 1384 (noting jury not polled on verdict form for lesser included offense, and declining to speculate about “what the jury would have done” with further instruction and deliberations). And, while we must be mindful that Arizona courts will give effect to inconsistent verdicts, the defendant also enjoys a constitutional right to a valid, unanimous verdict. See Morris, 612 F.2d at 490 (recognizing need for “safeguard[s] ... to protect the constitutional right of [defendants] to valid, unanimous verdicts”).
¶ 18 Second, any judicial interpretation of the verdict after the discharge of the jury deprives Hansen of the opportunity to poll the jurors and confirm such an interpretation. In addition, it might undermine the voluntary choice Hansen made arguing for a mistrial — a choice that waived any claim of double jeopardy protections arising from the verdict form in his favor. See United States v. Scott, 437 U.S. 82, 99, 98 S.Ct. 2187, 57 L.Ed.2d 65 (1978) (“[T]he Double Jeopardy Clause, which guards against Government oppression, does not relieve a defendant from the consequences of his voluntary choice.”). In sum, given the limited record, the uncertainty about the jury’s intended meaning, and the potential constitutional problems involved in imposing a verdict at this stage by judicial construction, we find no basis to reverse the trial court’s ruling.
¶ 19 The state further asserts that the ambiguous verdicts here were simply “inconsistent verdicts” that “the law clearly allows.” Indeed, in Arizona we do not disturb inconsistent verdicts. Gusler v. Wilkinson, 199 Ariz. 391, ¶ 25, 18 P.3d 702, 707 (2001); State v. Zakhar, 105 Ariz. 31, 32, 459 P.2d 83, 84 (1969); e.g., Webb, 186 Ariz. at 561, 925 P.2d at 702 (defendant acquitted of felony DUI but convicted of DUI and driving without license); State v. Parsons, 171 Ariz. 15, 15-16, 827 P.2d 476, 476-77 (App.1992) (defendant convicted of aggravated assault with deadly weapon, but crime found not to be dangerous-nature offense); State v. Estrada, 27 Ariz.App. 38, 39-40, 550 P.2d 1080, 1081-82 (1976) (defendant guilty of conspiracy but acquitted of underlying drug offenses).
¶ 20 The rationale for this approach is that the inconsistency might not represent an error detrimental to the defendant but instead could be a favorable error or the result of jury nullification, compromise, or lenity. See United States v. Moran-Toala, 726 F.3d 334, 342 (2d Cir.2013); United States v. Siegelman, 640 F.3d 1159, 1185 n. 36 (11th Cir.2011); Zakhar, 105 Ariz. at 32-33, 459 P.2d at 84-85. It is unclear “whose ox has been gored” by the inconsistency, United States v. Powell, 469 U.S. 57, 65, 105 5. Ct. 471, 83 L.Ed.2d 461 (1984), as the defendant might have received a benefit to which he or she was not entitled. Id. at 69, 105 S.Ct. 471. We do not guess about what the jury “ ‘really meant’ ” by its verdicts, id. at 68, 105 S.Ct. 471, nor do we generally inquire into the jury’s deliberative process. Id. at 66, 105 S.Ct. 471; see Ariz. R. Crim. P. 24.1(d). Hence, we will not subject an inconsistent verdict to any special judicial review. Powell, 469 U.S. at 68-69, 105 S.Ct. 471.
¶ 21 However, this rationale does not apply to contradictory verdicts returned on a single count. These verdicts are not simply legally inconsistent or “ ‘rationally incompatible,’” United States v. Suarez, 682 F.3d 1214, 1218 (9th Cir.2012), quoting United States v. Guzman, 849 F.2d 447, 448 (9th Cir.1988), as the state suggests. Rather, they are impossible in the sense that they cannot be given simultaneous effect. Nullification, compromise, and lenity cannot explain the result; there is no question but that the jury erred and failed to express a meaningful intention. Moreover, a court cannot simply let this type of ambiguous verdict stand, as it may with other inconsistencies, because the verdicts of guilt and acquittal together prevent either one from functioning. Neither party receives a benefit from such an unintelligible determination, and resolving the ambiguity by any other means than further deliberations would require a court to speculate about the reason for the inconsistency or inquire into the jury’s deliberations. This, as Powell explains, we do not do. 469 U.S. at 66, 105 S.Ct. 471.
¶ 22 We publish this opinion, as the state requests, to clarify this important distinction and give guidance to trial courts and parties who face issues of inconsistency or ambiguity. Ordinarily, an inconsistency involving criminal verdicts does not render them invalid or permit a trial court to reject them; in other words, an inconsistency does not authorize a court to reinstruct jurors and resume deliberations. See Webb, 186 Ariz. at 563, 925 P.2d at 704; Malott v. Miller, 162 Ariz. 239, 242, 782 P.2d 715, 718 (App.1989). A court must simply accept the verdicts without probing into the jurors’ thought processes or demanding adherence to its instructions.
¶ 23 Remedial efforts are appropriate, however, when a jury returns (1) guilty verdicts on both a greater and lesser included offense or (2) an ambiguous verdict finding the defendant guilty and not guilty of the same offense, or guilty of the greater offense but not guilty of the lesser included offense. In the latter situation, a court cannot give legal effect to the verdicts without resolving the question of the jury’s intended meaning. See Brown v. Ohio, 432 U.S. 161, 167-68, 97 S.Ct. 2221, 53 L.Ed.2d 187 (1977) (holding greater and lesser included offenses are same for jeopardy purposes). In the former, our supreme court has required such action in Rich, 184 Ariz. at 181, 907 P.2d at 1384, and we are not at liberty to ignore this precedent, see State v. Miranda, 198 Ariz. 426, ¶ 13, 10 P.3d 1213, 1216 (App.2000), aff'd, 200 Ariz. 67, 22 P.3d 506 (2001).
¶ 24 Under controlling Arizona case law, the trial court here would have erred by simply ignoring the not guilty verdict on the lesser included offense and accepting the defective verdict announced in court. See Rich, 184 Ariz. at 181 & n. 1, 907 P.2d at 1384 & n.1. That the court declared a mistrial rather than directing jurors to resume deliberations and thereby resolve the ambiguity in the verdict does not constitute a reversible error under the circumstances of this case.
¶ 25 We understand the perspective that the jury’s intentions to convict were “abundantly clear,” as our dissenting colleague maintains. And, on the dry record before us, we do not dispute that our colleague’s interpretation of the jury’s intent is a plausible one. But we do not write on a clean slate. Implicit in the trial court’s ruling was a conclusion that the jury’s intent had not been clarified either by the dangerousness finding or the foreperson’s incomplete statement thereafter. And, although the court presided over the proceeding and had the opportunity to assess the demeanor of both the foreperson and the jury, it declined to credit the foreperson’s suggestion that the not guilty verdict was a mere clerical error. Moreover, given the availability of the curative measures not taken, which could have readily clarified the jurors’ intent, we are reluctant now to place undue confidence in the limited evidence of such intent that still survives. Although the dissent maintains the poll of the jury demonstrates the jury’s intent to convict, the jury’s return of a not guilty verdict on the lesser offense is substantial evidence of a conflicting intent, and the trial court was entitled to consider it as such. Here, the jury poll did nothing to eliminate the ambiguity when that ambiguity was clearly the product of the jury’s misunderstanding of the law. We decline to speculate on the precise nature of that misunderstanding and do not consider the incomplete statement of the foreperson dispositive evidence of the mindset of the remaining seven jurors.
¶ 26 Procedurally, Hansen was entitled to a certain verdict confirmed by all jurors, and we cannot agree with the dissent that he somehow waived his right to poll the jury anew or otherwise confirm its intent when, after the trial court had refused to accept the verdicts based on their ambiguity, he requested a mistrial. A defendant does not waive an alternative remedy when he asks for, and is granted, relief that the law entitles him to have. In short, Hansen requested a mistrial rather than another poll, and it would be fundamentally unfair to now provide him neither.
Disposition
¶ 27 Accordingly, we accept special action jurisdiction and affirm the trial court’s order.
. "Logically, ... if one has not committed the lesser offense, one cannot have committed the greater,” Peak v. Acuna, 203 Ariz. 83, ¶ 5, 50 P.3d 833, 834 (2002), and "the extra element distinguishing the lesser included offense of assault from the greater offense, aggravated assault, is the use of a deadly weapon.” State v. Torres, 156 Ariz. 150, 152, 750 P.2d 908, 910 (App.1988). We refer to the contradictory verdict forms here as an ambiguous verdict, following People v. Carbajal, 56 Cal.4th 521, 155 Cal. Rptr.3d 335, 342, 298 P.3d 835 (2013).
. The record indicates that two bench conferences were held on this matter, but, because those discussions were not transcribed, we do not know what arguments or requests the parties may have made during that time. We disapprove the practice of not recording bench conferences. State v. Dann, 220 Ariz. 351, ¶ 104, 207 P.3d 604, 623 (2009).
. We need not specifically address Hansen's claim that the verdict form finding him not guilty of simple assault constitutes an acquittal for purposes of the Double Jeopardy Clause. Hansen did not file a notice of appeal from the trial court’s mistrial order, and the double jeopardy issue is not otherwise ripe for our review. See State v. Rasch, 188 Ariz. 309, 312-13, 935 P.2d 887, 890-91 (App.1996) ("[A] double jeopardy issue is not ripe’ until the defendant is prosecuted following a mistrial.”), quoting State v. Marquez, 113 Ariz. 540, 541, 558 P.2d 692, 693 (1976).
. A trial court also might postpone the discharge of the jury to allow legal briefing or to allow a party to seek a stay from this court for a special action. See Ariz. R.P. Spec. Actions 5.
. While Hansen asserts that the not guilty verdict should be given effect because it was announced in court, we note that not eveiy declaration by a jury in favor of a defendant constitutes a final verdict. See, e.g., Rastelli, 870 F.2d at 834 (acquittals announced, foreman indicated confusion, deliberations resinned, and verdicts of guilt returned on some counts previously acquitted); United States v. Mears, 614 F.2d 1175, 1179 (8th Cir.1980) (jury permitted to correct not guilty verdict form after announcement in court when foreman immediately indicated form was incorrectly signed; verdict changed to guilty after further deliberation); Love, 597 F.2d at 83-84 (acquittal announced, but non-unanimous poll led to mistrial).
. A third possible situation, which was contemplated in Powell, 469 U.S. at 69 n.8, 105 S.Ct. 471, occurs when a jury returns verdicts of guilt on separate offenses but the "verdict on one count logically excludes a finding of guilt on the other.” Arizona has yet to address such a case of so-called "mutually exclusive verdicts,” United States v. Maury, 695 F.3d 227, 263 (3d Cir.2012), and we do not purport to resolve that question. We note, however, that the problem of ambiguous verdicts, as we use the term, is akin to the problem of mutually exclusive verdicts: in both scenarios, the verdicts negate one another and the defendant receives no benefit.
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OPINION
THOMPSON, Judge:
¶ 1 Douglas Alan Cornman (defendant) appeals from his conviction and sentence for possession of dangerous drugs for sale, a class 2 felony. Finding no reversible error, we affirm.
FACTUAL AND PROCEDURAL HISTORY
¶ 2 On the morning of November 29, 2012, police served a search warrant on defendant’s home. Defendant and his wife were the only occupants. After defendant was read his Miranda rights, he agreed to speak with the police. Defendant first denied selling methamphetamine, then stated he only sold it to family and close friends. Defendant admitted that he had “a gram left” in his bedroom safe but told the police that his wife had nothing to do with any sales. At the police station, defendant was interviewed again. The following exchange occurred:
Detective: Do you remember your rights that I read to you up there at your house?
Defendant: I remember em.
Detective: Okay do you have any questions?
Defendant: Anything I might say might be used against me in a court of law so I can’t say anything more.
Detective: Oh that’s up to you, those are your rights and I just wanna, I want to come in here and ask some, get some clarifying questions and ask some clarifying questions. If you ...
Defendant: My wife’s okay?
Detective: I’m sorry?
Defendant: My wife okay?
Detective: Oh yeah she’s fine. Your wife and your dogs. I know you guys are worried about your dogs.
Additional discussion about how defendant’s dogs were being handled then occurred, followed by this exchange:
Detective: Your wife here she’s just getting charged with paraphernalia. Um, you know, she admitted to smoking, um, we know she’s not the one. We know she’s not the big seller, we know you’re not a big seller. We know that okay? We know, you know, you told me out there hey you know don’t get her involved I was the one selling.
Defendant: Yeah.
Detective: I know you’re not a big seller but we have drug buys on you okay?
Defendant: Well who, who was that?
Detective: Well I, an informant.
Defendant: What kind of, what’s their name?
Detective: Confidential informant.
Defendant: Confidential, was it like supposedly somebody I sold to or something?
Detective: Yeah a confidential informant bought drugs off of you.
Defendant: They did? That’s a lie.
Detective: So on that note.
Defendant: Who was it?
Detective: I can’t tell you.
Defendant: Yes you can.
Detective: No I cannot! Then that wouldn’t be a confidential informant then would it?
Defendant: I’m gonna find out.
The two then discussed how much methamphetamine was found in defendant’s safe. After defendant asserted he only had the drug for personal use, the following exchange occurred:
Detective: You just use for — so what you just sell to friends or family friends or people you know well?
Defendant: Yeah.
Detective: How many — okay well I mean how often have you sold in the last week?
Defendant: I don’t know not very much.
Shortly thereafter, defendant invoked his right to counsel and the interview was terminated.
¶ 3 Police found 1.3 grams of methamphetamine in defendant’s safe, inside a baggie stuffed inside a pill bottle. Five methamphetamine pipes, a digital scale, small unused baggies, a baggie with residue in it, an unloaded gun, and ammunition were also found in defendant’s home. Police noted that defendant had a surveillance camera outside his front door.
¶ 4 Before trial, defendant filed two motions. The first motion sought to suppress statements defendant made to police after he said he remembered his rights and “anything I might say might be used against me in a court of law so I can’t say anything more.” The second was a motion in limine to preclude the admission of evidence of both the existence of the search warrant and the basis for the search warrant. After an evidentiary hearing, the trial court denied the motion to suppress defendant’s statements, finding defendant had not clearly invoked his Miranda rights and the statements were voluntarily given and admissible. On the motion in limine, the trial court ruled that the fact that there was a search warrant was admissible, but the evidence in support of the warrant was not.
¶ 5 At trial, among other witnesses, the detective and defendant testified. The police station interview was played with no objection. During his testimony, the detective spoke at length about how methamphetamine is used and sold in Mohave County. He testified that digital scales, unused jewelry bags, surveillance cameras and guns are commonly found where drug sales are occurring. The detective testified that in this case the digital scale and small unused jewelry bags were found together in a bathroom drawer. The detective testified that a monitor over defendant’s bedroom safe displayed the images from the exterior surveillance camera.
¶ 6 Defendant admitted to personal use of methamphetamine, but denied selling it. He stated he had said “yeah” to the question “you just sell to friends or family friends or people you know well” because his wife was sick and he didn’t want her to go to jail. Defendant explained that the small baggies were used for his wife’s fingernail accessories, that the gun had been given to him the day before the event, and that the surveillance camera was to watch his father-in-law’s garage because people had been stealing from it.
¶ 7 Defendant was convicted of possession of dangerous drugs for sale and sentenced to a mitigated term of five years in prison. Defendant timely appealed.
ISSUES ON APPEAL
¶ 8 On appeal, defendant makes five assertions of error:
a. That the trial court erred in denying defendant’s motion to suppress his statements;
b. That the trial court abused its discretion by failing to redact the detective’s statements that police had “buys” by a confidential informant, thereby, allowing the state to “backdoor” evidence of a confidential informant;
c. That the trial court erred in failing to give a corpus delicti “corroboration instruction;”
d. That there is insufficient evidence to support his conviction for possession of dangerous drugs for sale; and
e. That the trial court erred in admitting a PowerPoint presentation as demonstrative evidence when it had not been disclosed before trial.
DISCUSSION
A. Motion to Suppress
¶ 9 Defendant argues that the trial court erred in denying his motion to suppress the statements he made at the police station after he stated “anything I might say might be used against me in a court of law so I can’t say anything more.” The state asserts that defendant did not unambiguously invoke his right to remain silent. The state further argues that even if that ruling was error, it was harmless. To this end, the state asserts defendant did not object to defendant’s similar statements to the detective at his house and, because defendant testified, the police station statements would have been available for impeachment purposes.
¶ 10 We review the denial of a motion to suppress under an abuse of discretion standard and will only reverse when there is clear error. State v. Carter, 145 Ariz. 101, 110, 700 P.2d 488, 497 (1985). In reviewing a ruling on a motion to suppress, we view the facts in the light most favorable to upholding the trial court’s ruling. State v. Sheko, 146 Ariz. 140, 141, 704 P.2d 270, 271 (App.1985).
¶ 11 After an evidentiary hearing, the trial court determined defendant did not unambiguously invoke his Miranda rights. In coming to this conclusion, the trial court, after testimony and an in camera review of the interview, found that this was not a case of the officer wearing down a defendant after an invocation because the detective spent more of the remaining interview answering defendant’s questions than the defendant spent answering the detective’s questions. The trial court found that the detective spent “a couple of minutes” answering defendant’s questions after defendant stated “anything I might say might be used against me in a court of law so I can’t say anything more” before the detective asked his first question. The record supports the trial court’s ruling that defendant did not unambiguously invoke his right to remain silent under Miranda and, therefore, we affirm. See Berghuis v. Thompkins, 560 U.S. 370, 381, 130 S.Ct. 2250, 176 L.Ed.2d 1098 (2010) (“If an accused makes a statement concerning the right to counsel ‘that is ambiguous or equivocal’ or makes no statement, the police are not required to end the interrogation or ask questions to clarify whether the accused wants to invoke his or her Miranda rights”) (quoting Davis v. United States, 512 U.S. 452, 461-62, 114 S.Ct. 2350, 129 L.Ed.2d 362 (1994)).
B. Confidential Informant
¶ 12 Defendant next argues the trial court abused its discretion by failing to redact from the police station interview the detective’s statement that they had “buys” by a confidential informant. Defendant claims this violated the Confrontation Clause because it constituted a “backdoor” for the police to introduce evidence supporting the search warrant that the trial court had previously ruled inadmissible.
¶ 13 Before the trial court, defendant filed a very short motion that cited no authority for the requested redaction, saying only that discussion of the buys was prohibited by the trial court’s ruling on the motion regarding the search warrant. The state responded citing State v. Boggs, 218 Ariz. 325, 185 P.3d 111 (2008), and arguing that the information was not a violation of the Confrontation Clause even though the informant would not testify, because the information was needed to provide context for defendant’s statements. In his reply, defendant argued he would be prejudiced by the admission of this evidence and that this was not a situation in which State v. Boggs applied. The trial court denied the motion in limine stating that police may say “things that may or may not be true or may or may not be provable at trial to elicit a response” during interrogations. The jury was given as the standard instructions as well as the following instruction:
Although it is appropriate for officers to use investigative techniques during questioning of the defendant, you must not consider any statements of a law enforcement officer during that questioning unless substantiated by other evidence.
¶ 14 We review evidentiary rulings under an abuse of discretion standard. State v. Payne, 233 Ariz. 484, 503, ¶ 56, 314 P.3d 1239, 1258 (2013). We review challenges under the Confrontation Clause de novo. Boggs, 218 Ariz. at 333, ¶ 31,185 P.3d at 119. We presume the jury followed the jury instructions. See Jimenez v. Starkey, 85 Ariz. 194, 196, 335 P.2d 83, 84 (1959).
¶ 15 In State v. Boggs, another Confrontation Clause case, our Supreme Court held there was no error in the trial court’s admission of a videotaped interrogation for context rather than for the truth of the matter asserted. 218 Ariz. at 334, ¶¶ 32-34, 185 P.3d at 120. Because the state introduced this part of the interview to provide context for defendant’s answers to statements regarding buys, we cannot find error. See id. Similarly, although defendant also cites Rule 404(b), that provision only restricts the admission of evidence of “other crimes, wrongs, or acts ... to prove the character of a person in order to show action in conformity therewith.” Under Rule 404(b), “[e]vidence relevant for any purpose other than showing propensities to act in a certain way remains admissible.” State v. Connor, 215 Ariz. 553, 563, ¶ 32, 161 P.3d 596, 606 (App.2007) (citation omitted). Defendant has not shown the trial court abused its discretion in the face of the stated reason for the introduction and the limiting instruction provided to the jury.
C. Corpus Delicti “Corroboration Instruction”
¶ 16 Defendant next asserts that the trial court erred in failing to give either this corpus delicti “corroboration instruction:”
Evidence has been presented that the Defendant may have admitted that he possessed dangerous drugs for sale as described in the Indictment. You may not convict the Defendant solely upon his own uncorroborated statement or alleged admission,
or this instruction:
The guilt of a defendant in a criminal action cannot lawfully be established solely by evidence of a confession, or of an admission, or by both, made by him on an occasion or occasions other than this trial.
¶ 17 “The purpose of jury instructions is to inform the jury of the applicable law.” State v. Noriega, 187 Ariz. 282, 284, 928 P.2d 706, 708 (App.1996). We review the decision of whether to give a jury instruction for an abuse of discretion. State v. Forde, 233 Ariz. 543, 566, ¶ 90, 315 P.3d 1200, 1223 (2014).
¶ 18 We previously ruled in State v. Jones that whether there is a corpus delicti is a legal analysis for the judge. 198 Ariz. 18, 23, ¶ 13, 6 P.3d 323, 328 (App.2000). Support for our holding in State v. Jones and its rationale may be found in U.S. v. Dickerson, 163 F.3d 639, 642 (D.C.Cir.1999) (“the jury need not be separately instructed on the issue for it is akin to other admissibility issues, and therefore the trial judge alone decides whether the corroboration test has been met”). We do not instruct juries on particular rules of evidence but rather to provide guidance on how to evaluate evidence. See id. at 641 — 43; George E. Dix et al, McCormick on Evidence, 145 (Kenneth S. Brown ed., 6th ed.) (“Juries, of course, are to evaluate the credibility of confession evidence and the sufficiency of the evidence as a whole, but the corroboration rule does not add anything specific to the jury’s consideration of these matters.”).
¶ 19 The trial court correctly determined that no jury instruction was required on the corroboration rule. The trial court knew that there was evidence, other than defendant’s statements, to corroborate defendant’s intent to sell including the small clean baggies, the scale, the surveillance camera and the gun, all of which the detective testified are the types of objects commonly found where drugs are offered for sale.
¶ 20 Further, the jury was adequately instructed as to how it would evaluate all the evidence, including the defendant’s state- merits and the other information tending to establish the intent to sell. Those instructions included that they must find the facts from the evidence produced in court, to consider all the evidence in light of reason, common sense and experience, what circumstantial evidence is, how to evaluate testimony, including the defendant’s statements, and the burden of proof. Explanation of the requirements of the corpus rule was not needed for the jury to fairly evaluate the evidence supporting the sale of dangerous drugs charge. Given the fact that the jury received an adequate legal instruction on the matter, we find no error.
D. Insufficient Evidence
¶ 21 Defendant asserts that there is insufficient evidence to support his conviction for possession of dangerous drugs for sale. “Reversible error based on insufficiency of the evidence occurs only where there is a complete absence of probative facts to support the conviction.” State v. Soto-Fong, 187 Ariz. 186, 200, 928 P.2d 610, 624 (1996) (citation omitted). We review the sufficiency of evidence only to determine if substantial evidence existed to support the jury verdict. See Hutcherson v. City of Phoenix, 192 Ariz. 51, 53, ¶ 13, 961 P.2d 449, 451 (1998). Substantial evidence is “more than a ‘mere scintilla’” of evidence that “reasonable persons could accept as sufficient to support a guilty verdict beyond a reasonable doubt.” State v. Stroud, 209 Ariz. 410, 411-12, ¶ 6, 103 P.3d 912, 913-14 (2005) (citations omitted). In determining whether such evidence exists, we view the facts in the light most favorable to sustaining the verdict. Id.
¶ 22 Between defendant’s admission to the police that he sold methamphetamine and the corroborating evidence in the form of scales and the like, sufficient evidence supports the conviction.
E. PowerPoint Presentation
¶ 23 Finally, defendant claims that the trial court erred in admitting the state’s PowerPoint presentation as demonstrative evidence when it had not been disclosed before trial. Defendant asserts that the presentation was prejudicial because it did not accurately reflect the facts of his case. Specifically, defendant objected to items such as the slide showing large quantities of methamphetamine when his ease concerned only 1.3 grams. The state responded that the presentation had been prepared just that morning and it was being used demonstratively to accompany the detective’s “dry” testimony. During a bench conference, the trial court examined the slides. The court found it “clear that none of the [slides] are from this case.” A break was taken to allow defendant to review the presentation and make objections.
¶ 24 Eventually, the presentation was held to be admissible because the relevance outweighed any prejudice to defendant, as long as the state made clear that the slides were not from this case. The state so advised the jury. Further, the court required the state to lay additional foundation for the presentation, which it did.
¶ 25 We examine defendant’s assertion of error here under a very deferential abuse of discretion standard. See Payne, 233 Ariz. at 503, ¶ 56, 314 P.3d at 1258. Because the jury was told the photos were “not part of this case” and the state laid further foundation for the demonstrative nature of the presentation, we can find no error in their admission. The trial court is affirmed.
CONCLUSION
¶ 26 For the above stated reasons, defendant’s conviction is affirmed.
. Defendant does not appeal from his conviction and sentence as to possession of drug paraphernalia (Count 4).
. We report the dialogue as it was transcribed, without grammatical changes.
. In response to the detective’s statement that the police had “drug buys,” defendant twice tried to discover who the informant was. Defendant then stated "I’m gonna find out.”
. On appeal defendant, for the first time, specifically argues that the statements relating to buys by a confidential informant violated both Rule 404(b), Arizona Rule of Evidence (Rule 404(b)), and the Confrontation Clause.
|
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OPINION
SWANN, Judge:
¶ 1 In this opinion, we hold that a property owner challenging a property tax assessment under A.R.S. § 42-18352(E) is entitled to maintain the action in tax court once the taxes are paid, without regard to the delinquency of the payment.
FACTS AND PROCEDURAL HISTORY
¶ 2 Strawberry Ridge Estates, LLC (“Strawberry Ridge”), owns multiple parcels of real property (“the Property”) located in a residential subdivision in Gila County (“the County”). For tax years 2008 through 2011, Strawberry Ridge failed to pay real property taxes. The Gila County Treasurer (“the Treasurer”) sold the tax liens on the Property to CCC & S Family Limited Partnership (“CCC & S”).
¶ 3 In 2013, Strawberry Ridge and CCC & S applied to the Treasurer for removal of tax liens and abatement of property tax liability under A.R.S. § 42-18352. Their application alleged that under § 42-18351(A), the County had committed an error resulting in improper imposition of a property tax, because it had assessed the Property based on the incorrect premise that it had previously granted final approval for the subdivision.
¶ 4 The Treasurer denied the application, and Strawberry Ridge and CCC & S filed a complaint in tax court under § 42-18352(E). Strawberry Ridge redeemed the tax lien certificates, then filed an amended complaint. The County filed a motion to dismiss, which the tax court granted on the ground that Strawberry Ridge had no right to maintain an action under § 42-18352(E) because it had not timely paid the taxes as required by §§ 42-11004 and -16210(A). Strawberry Ridge appeals.
DISCUSSION
¶ 5 This appeal presents a question of law that we review de novo, accepting Strawberry Ridge’s allegations as true and resolving all reasonable inferences in favor of Strawberry Ridge. McDonald v. City of Prescott, 197 Ariz. 566, 567, ¶ 5, 5 P.3d 900, 901 (App.2000). We liberally construe tax-imposing statutes in favor of taxpayers and against the government. Ariz. Tax Comm’n v. Dairy & Consumers Coop. Ass’n, 70 Ariz. 7, 18, 215 P.2d 235, 242 (1950). We avoid constructions that deprive statutes of meaning and effect. St. Joseph’s Hosp. & Med. Ctr. v. Maricopa County, 130 Ariz. 239, 248, 635 P.2d 527, 536 (App.1981). When the provisions of a specific statute are inconsistent with those of a general statute on the same subject, the specific statute will control. Ariz. State Tax Comm’n v. Phelps Dodge Corp., 116 Ariz. 175, 177, 568 P.2d 1073, 1075 (1977). In such circumstances, the specific statute is regarded as an exception to the terms of the general statute. Kearney v. Mid-Century Ins. Co., 22 Ariz.App. 190, 192, 526 P.2d 169, 171 (1974).
¶ 6 The statutes at issue in this appeal are A.R.S. §§ 42-11004, -16210, and -18352. Section 42-11004, which falls within Chapter 11 (titled “Property Tax”), Article 1 (titled “General Provisions”) of Title 42, provides that “[a] person on whom a tax has been imposed or levied under any law relating to taxation may not test the validity or amount of tax, either as plaintiff or defendant, if any of the taxes ... [t]hat are the subject of the action are not paid before becoming delinquent.” Section 42-11004 is a general statute that establishes a general rule to serve as “an outline for the more specific statements which are later made.” See Neil B. McGinnis Equip. Co. v. Riggs, 4 Ariz.App. 556, 558, 422 P.2d 187, 189 (1967). Both § 42-16210 and § 42-18352 are such “more specific statements,” setting forth the requirements for specific types of actions. Section 42-16210 provides that the general rule applies to appeals from a county assessor’s valuation or classification of property. See A.R.S. §§ 42-1620KA), -16210(A). Section 42-18352, by contrast, prescribes a different rule for appeals from a county treasurer’s denial of an application to remove tax liens and abate tax liability.
¶ 7 Section 42-18352 falls within Chapter 18 (titled “Collection and Enforcement”), Article 8 (titled “Abatement of Tax and Removal of Lien”) of Title 42. Chapter 18 establishes the authority of county treasurers to collect and enforce taxes through the sale of tax liens. A.R.S. §§ 42-18101 to -18127. Within Chapter 18, Article 8 addresses the grounds and procedure for the removal of tax liens and the abatement of taxes. See A.R.S. §§ 42-18351 to -18353. Under §§ 42-18351 and -18352, the county treasurer may remove tax liens and abate taxes, either sua sponte or on application by a property owner, if an error or omission resulted in improper imposition of a property tax. Section 42-18352(E) provides that if the treasurer denies the application, the property owner may file an action in tax court:
A property owner who is aggrieved by an adverse determination on an application pursuant to this section and who pays the tax may maintain an action to recover the tax alleged to be illegally collected. If the tax due is determined to be less than the amount paid, the excess shall be refunded in the manner provided by this title.
(Emphasis added.) Under this subsection, the property owner must pay the tax to maintain the action, but the payment need not be timely. Indeed, a requirement for timely payment would make little sense, because Article 8 presupposes a situation in which the county has taken steps to collect unpaid delinquent taxes. The remedy provided by § 42-18352(E) would be meaningless if timely payment were required.
¶ 8 The superior court’s dismissal of Strawberry Ridge’s action was error. Section 42-18352 is a specific statute that establishes an exception to § 42-11004, and § 42-16210 is inapplicable. Strawberry Ridge applied to the Treasurer for removal of tax liens and abatement of property tax liability, received an adverse decision, and paid the tax (by redeeming the tax lien certificates) shortly after commencing an action in tax court. Strawberry Ridge is therefore entitled to maintain an action under § 42-18352(E).
CONCLUSION
¶ 9 For the foregoing reasons, we reverse the dismissal of the action and remand for further proceedings on the merits. In the exercise of our discretion, we grant Strawberry Ridge’s request for an award of attorney’s fees on appeal under A.R.S. § 12-348(B), subject to the limitation imposed by § 12-348(E)(5).
. We acknowledge the tax court's concern that § 42-18352 appears to benefit property owners whose tax payments are so delinquent that the county has sold tax lien certificates on their property. Nevertheless, the language of Article 8 indicates that the Legislature intended to allow such property owners the opportunity to challenge an error or omission outside of the normal statutory time frame.
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Justice TIMMER,
opinion of the Court:
¶ 1 Under the Arizona Medical Marijuana Act (“AMMA”), A.R.S. §§ 36-2801 to -2819, a registered qualifying patient cannot be “arrest[ed], prosecut[ed] or penalized] in any manner” or denied “any right or privilege” for authorized medical marijuana possession and use. A.R.S. § 36-2811(B). We must decide whether this provision prohibits a trial court from forbidding AMMA-compliant mar ijuana use as a condition of probation. If the condition is prohibited, we must also decide whether the state can withdraw from a plea agreement after the trial court rejects a term that prohibits medical marijuana use.
I. BACKGROUND
¶ 2 In 2012, a police officer arrested Jennifer Ferrell after finding her unconscious in the front seat of a car parked off a road. The State charged Ferrell with multiple offenses, including driving under the influence (“DUI”). At the time of her arrest, Ferrell had a registry identification card, which allowed her to use medical marijuana in compliance with AMMA.
¶ 3 In exchange for dismissal of the remaining charges, Ferrell agreed to plead guilty to three charges, including DUI. She signed a plea agreement containing the following condition (“Marijuana Condition”), which the Yavapai County Attorney places in all plea agreements:
As a condition of any grant of probation in this matter, the Court shall include the following term of probation:
Defendant shall not buy, grow, possess, consume, or use marijuana in any form, whether or not Defendant has a medical marijuana card issued by the State of Arizona pursuant to A.R.S. § 36-2801, et seq. (or its equivalent under another state’s law).
¶ 4 The trial court accepted the negotiated guilty pleas and scheduled a sentencing date. Before sentencing, Ferrell moved to strike the Marijuana Condition as prohibited by AMMA. The court did not address AMMA but nevertheless struck the Marijuana Condition, reasoning that although the State was free to recommend probation conditions, it could not require the court to impose them. The State moved to withdraw from the plea agreement, but the court denied the request.
¶ 5 On special action review, the court of appeals did not address whether the Marijuana Condition violates AMMA. Instead, it disapproved the Yavapai County Attorney’s use of a blanket policy to include the Marijuana Condition in all plea agreements. Polk v. Hancock, 236 Ariz. 301, 307 ¶ 25, 340 P.3d 380, 386 (App.2014). The court held, however, that the trial court erred by failing to consider the appropriateness of the Marijuana Condition on a case-by-case basis. Id. at 302 ¶ 2, 340 P.3d at 382. Because the court concluded that the condition was justified in a DUI case, it reversed the trial court’s ruling and reinstated the provision. Id. The trial court has stayed sentencing until our disposition of the case.
¶ 6 We granted Ferrell’s petition and the State’s cross-petition for review because the impact of AMMA on plea agreements presents recurring issues of statewide importance. We have jurisdiction pursuant to Article 6, Section 5(3) of the Arizona Constitution.
II. DISCUSSION
A. Validity of the Marijuana Condition Under AMMA
¶ 7 In 2010, Arizona voters adopted AMMA by passing Proposition 203, codified at A.R.S. §§ 36-2801 to -2819. The Act authorizes a person with a debilitating medical condition to obtain a registry identification card, which allows that person to possess and use limited amounts of marijuana for medical reasons without fear of “arrest, prosecution or penalty in any manner.” A.R.S. §§ 36-2804.02, -2811(B). A registered qualifying patient also cannot be denied “any right or privilege ... by a court” for the patient’s medical use of marijuana. Id. § 36—2811(B)(1).
¶ 8 Ferrell argues that the Marijuana Condition conflicts with AMMA by penalizing her for lawful possession and use of medical marijuana. For the reasons explained in Reed-Kaliher v. Hoggatt, 237 Ariz. 119, 347 P.3d 136, 2015 WL 1529123 (2015), filed contemporaneously with this opinion, we hold that § 36-2811(B)(1) prohibits a trial court from conditioning probation on refraining from possessing or using medical marijuana in compliance with AMMA.
¶ 9 The State nevertheless argues that Ferrell waived her AMMA rights by agreeing to the Marijuana Condition. A defendant generally can waive statutory and constitutional rights as part of a plea agreement. Cf. State v. Allen, 223 Ariz. 125, 127 ¶ 13, 220 P.3d 245, 247 (2009) (acknowledging that a defendant waives several constitutional rights when pleading guilty). But a defendant cannot do so in contravention of an identifiable public policy. Cf. State v. Ethington, 121 Ariz. 572, 573-74, 592 P.2d 768, 769-70 (1979) (holding that, as a matter of public policy, a defendant cannot bargain away the right to appeal); see also CSA 13-101 Loop, LLC v. Loop 101, LLC, 236 Ariz. 410, 412 ¶ 6, 341 P.3d 452, 454 (2014) (“Contract provisions are enforceable unless prohibited by law or otherwise contrary to identifiable public policy.”). By adopting AMMA, voters established as public policy that qualified patients cannot be penalized or denied any privilege as a consequence of their AMMA-compliant marijuana possession or use. This policy would be severely compromised if the state and a defendant could bargain away the defendant’s ability to lawfully use medical marijuana.
¶ 10 Aso, parties cannot confer authority on the court that the law proscribes. Special Fund Din, Indus. Comm’n v. Tabor, 201 Ariz. 89, 93 ¶ 24, 32 P.3d 14, 18 (App. 2001). The trial court’s authority to grant probation is constrained by statutes. State n Jordan, 120 Ariz. 97, 98, 584 P.2d 561, 562 (1978). Because § 36-2811(B) prohibits the court from conditioning probation on a defendant refraining from AMMA-compliant marijuana use, see Reed-Kaliher, 237 Ariz. at 122 ¶ 10, 347 P.3d at 139, the parties to a plea agreement cannot confer this authority on the court.
¶ 11 The Marijuana Condition, as applied to AMMA-compliant use, is an illegal term, and the trial court correctly rejected it. In light of our holding, we need not address whether the court of appeals correctly disapproved the Yavapai County Attorney’s use of a blanket policy to include the Marijuana Condition in Ferrell’s plea agreement.
B. Withdrawal by State from Plea Agreement
¶ 12 The State argues that it was entitled to withdraw from the plea agreement after the trial court granted Ferrell’s motion to strike the Marijuana Condition. Because the court’s ruling did not depend on the resolution of any factual issues, we review the ruling de novo as a matter of law. See State v. Gonzalez-Gutierrez, 187 Ariz. 116, 118, 927 P.2d 776, 778 (1996).
1.
¶ 13 The state and a defendant “may negotiate concerning, and reach an agreement on, any aspect of the case,” Ariz. R.Crim. P. 17.4(a), except as limited by public policy or the law, cf. State v. Rutherford, 154 Ariz. 486, 488, 489 n. 1, 744 P.2d 13, 15, 16 n. 1 (1987) (observing that while Rule 17.4(a) permits plea agreements on “any aspect” of a ease, that authorization is constrained by public policy). Once the parties enter into a written plea agreement, the trial court can either accept the plea or reserve acceptance until a later date. Dominguez v. Meehan, 140 Ariz. 329, 331, 681 P.2d 912, 914 (App.1983), adopted and approved, 140 Ariz. 328, 681 P.2d 911 (1984). Once the court accepts a plea, it is bound by all provisions of the plea agreement except those concerning the sentence or the term and conditions of probation. Ariz. R.Crim. P. 17.4(d); Williams v. Superior Court, 130 Ariz. 209, 210, 635 P.2d 497, 498 (1981).
¶ 14 A party’s ability to withdraw from a plea agreement depends on whether the court has accepted the plea, which then constitutes a conviction. See Boykin v. Alabama, 395 U.S. 238, 242, 89 S.Ct. 1709, 23 L.Ed.2d 274 (1969) (“A plea of guilty is more than a confession which admits that the accused did various acts; it is itself a conviction; nothing remains but to give judgment and determine punishment.”). Either party may revoke the agreement before acceptance by the court. Ariz. R.Crim. P. 17.4(b). The defendant may withdraw a plea after the court’s acceptance only if the court has rejected a provision in the plea agreement regarding the sentence or the term and conditions of probation. Ariz. R.Crim. P. 17.4(e), 17.5. If the defendant withdraws the plea, the plea agreement is voided, returning the parties to their original positions. Dominguez, 140 Ariz. at 331, 681 P.2d at 914.
¶ 15 Unlike the defendant, the state generally cannot withdraw from an agreement if the court rejects a provision regarding the sentence or the term and conditions of probation because jeopardy has attached, and proceeding to trial would place the defendant in double jeopardy in violation of the state and federal constitutions. U.S. Const. amend. V; Ariz. Const. art. 2, § 10; see also Williams, 130 Ariz. at 210, 635 P.2d at 498 (“Rejecting the plea after acceptance and setting the case for trial constitutes double jeopardy.”); Dominguez, 140 Ariz. at 331, 681 P.2d at 914. If the defendant waives double jeopardy protection, however, then the state can withdraw from the plea agreement. See Ricketts v. Adamson, 483 U.S. 1, 9-10, 107 S.Ct. 2680, 97 L.Ed.2d 1 (1987); see also Dominguez, 140 Ariz. at 332, 681 P.2d at 915 (“Just as the [defendant] may waive other constitutional rights he may waive double jeopardy.”).
¶ 16 In State v. Superior Court, this Court stated, without limitation, that Rule 17.4(e) implicitly authorizes the state to withdraw after the court rejects a plea agreement or any of its provisions. 125 Ariz. 575, 578, 611 P.2d 928, 931 (1980), rejected on other grounds by Smith v. Superior Court, 130 Ariz. 210, 212, 635 P.2d 498, 500 (1981). The authority conferred by Rule 17.4(e), however, does not override a defendant’s double jeopardy rights. We disapprove of State v. Superior Court to the extent it suggests that Rule 17.4(e) authorizes the state to withdraw from a plea agreement and continue the prosecution in violation of a defendant’s unwaived double jeopardy rights.
2.
¶ 17 The State does not address the Double Jeopardy Clause restrictions on its ability to withdraw from the plea agreement. Nevertheless, it argues that the trial court was required to permit withdrawal because Ferrell agreed that the State could withdraw if the trial court rejected any provision of the agreement, including the Marijuana Condition. Paragraph seven of the agreement provides as follows:
If, after accepting this Plea Agreement, the Court concludes that any of its provisions regarding the sentence or the term and conditions of probation are inappropriate, it can reject the plea, giving the State and Defendant each an opportunity to withdraw from the Plea Agreement. In the event this Plea Agreement is withdrawn, all original charges will be automatically reinstated.
¶ 18 Although this provision, which parrots paragraph seven of court-recommended form 18(a), see Ariz. R.Crim. P. 41, is not a model of clarity, Ferrell does not dispute that it provides that the State may withdraw from the agreement upon the court’s rejection of an agreed-upon term. She argues, however, that double jeopardy protection is waived only when a defendant breaches the plea agreement or negotiates in bad faith, neither of which occurred here.
¶ 19 We are guided by the court of appeals’ decision in Dominguez, which this Court adopted. 140 Ariz. at 328, 681 P.2d at 911. The trial court in that case accepted a negotiated plea pursuant to a written plea agreement and set the matter for sentencing. Dominguez, 140 Ariz. at 330, 681 P.2d at 913. On the sentencing date, the court rejected the agreement as against the interests of justice, set aside the plea, and scheduled a trial. Id. On special action review, the court of appeals vacated the trial court’s order and directed the court to offer the defendant the opportunity to withdraw from the plea agreement. Id. The defendant elected to keep the plea in place, but the state moved to withdraw and the court granted the motion, setting the case for trial. Id. at 330, 331, 681 P.2d at 913, 914.
¶ 20 After acknowledging that jeopardy attached when the trial court accepted the negotiated guilty plea, the court of appeals determined that the defendant had waived his double jeopardy rights by the terms of the plea agreement:
If, after accepting the plea, the Court concludes that any of the terms or provisions of this agreement are unacceptable, both parties shall be given the opportunity to withdraw from this agreement, or the Court can reject the agreement.... Should the Court reject this agreement, or the State withdraw from the agreement, the Defendant hereby waives all claims of double jeopardy.
Id. at 331, 681 P.2d at 914. Because the state’s withdrawal was prompted by a reason contained in the agreement — the trial court’s determination that terms or provisions were unacceptable — the court of appeals held that the trial court did not err by permitting the state to withdraw from the plea agreement. Id. at 330, 331, 681 P.2d at 914, 915.
¶ 21 Like the plea agreement in Dominguez, the agreement here authorized the State to withdraw from the agreement if the trial court rejected the agreed-upon sentence or the term or conditions of probation. Although Ferrell did not expressly waive her double jeopardy rights, she nevertheless did so by agreeing that the State could withdraw if the trial court rejected any probation condition and by acknowledging that the original charges would then be reinstated. See Ricketts, 483 U.S. at 9-10, 107 S.Ct. 2680 (holding that it is not necessary to waive double jeopardy “by name in the plea agreement” because “an agreement specifying that charges may be reinstated given certain circumstances is, at least under the provisions of this plea agreement, precisely equivalent to an agreement waiving a double jeopardy defense”).
¶ 22 Amici argue that permitting the State to withdraw from the plea agreement would violate A.R.S. § 36-2811(B) by penalizing Ferrell or denying her the privilege of probation due to her AMMA-compliant marijuana use. We would agree with Amici if the sole basis for the State’s request to withdraw is that Ferrell would otherwise be permitted to use marijuana in compliance with AMMA while on probation. Just as the State cannot extend a plea offer that requires imposition of a probation condition that would prohibit a defendant’s AMMA-compliant marijuana use, see Reedr-Kaliher, 237 Ariz. at 122 ¶ 10, 347 P.3d at 139, it cannot withdraw from a plea agreement solely because the trial court refuses to require that the defendant refrain from AMMA-compliant marijuana use while on probation.
¶ 23 But the State has a lawful basis for withdrawing from the plea agreement. The stricken Marijuana Condition validly required Ferrell to abstain from recreational marijuana use while on probation, even if she visits states that allow such use. No other provision in the agreement conditions Ferrell’s probation on her abstention from using marijuana outside AMMA’s authorization. Pursuant to paragraph seven of the agreement, therefore, the State must be allowed to withdraw from the plea agreement.
III. CONCLUSION
¶ 24 For the foregoing reasons, we vacate the court of appeals’ opinion and affirm in part and reverse in part the trial court’s order. The trial court properly rejected the Marijuana Condition to the extent it prohibited Ferrell from using marijuana in compliance with AMMA during her probation. Because the plea agreement authorizes the State’s withdrawal, Ferrell waived double jeopardy protection in this circumstance, and the trial court erred by refusing to permit the State to withdraw.
|
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OPINION
KELLY, Presiding Judge:
¶ 1 Esteban Terrazas seeks review of the trial court’s order summarily denying his petition for post-conviction relief filed pursuant to Rule 32, Ariz. R.Crim. P. We will not disturb that ruling unless the court clearly abused its discretion. State v. Swoopes, 216 Ariz. 390, ¶ 4, 166 P.3d 945, 948 (App.2007). Terrazas has not met his burden of demonstrating such abuse here.
¶ 2 After a jury trial, Terrazas was convicted of manslaughter and sentenced to a 10.5-year prison term. We affirmed his conviction and sentence on appeal, but vacated the criminal restitution order entered at sentencing. State v. Terrazas, No. 2 CA-CR 2011- 0341, 2013 WL 2152630 (memorandum decision filed May 17, 2013). Terrazas initially had been charged with aggravated assault and first-degree murder. He was acquitted of aggravated assault, and the trial court declared a mistrial as to the first-degree murder charge when the jury failed to reach a verdict. During the first trial, Terrazas had been represented by an attorney as well as by a law student who had been certified to practice pursuant to Rule 38(d), Ariz. R. Sup.Ct. The same attorney and the student, who had since graduated law school and taken the bar exam but had not yet been admitted to the state bar, represented Terrazas at his second trial.
¶ 3 After his conviction, Terrazas learned that the former student’s Rule 38(d) certification had expired before the second trial. He then sought post-conviction relief, arguing that, as a result, he had been denied the right to counsel. The trial court summarily denied relief, concluding that Terrazas had not been denied his right to counsel because, irrespective of the former student’s lack of current Rule 38(d) certification, Terrazas had been represented by the properly licensed attorney throughout his trial. This petition for review followed.
¶ 4 On review, Terrazas reurges his claim that representation by the former student violated his right to counsel and “require[s] reversal of [his] conviction without the necessity of showing actual prejudice.” We agree with Terrazas that the complete deprivation of counsel during a critical stage of the proceedings is structural error — that is, it is presumptively prejudicial. See State v. Valverde, 220 Ariz. 582, ¶ 10 & n. 2, 208 P.3d 233, 235-36 & 236 n. 2 (2009). Terrazas relies primarily on Solina v. United States, in which the Second Circuit Court of Appeals determined that representation by an individual never authorized to practice law eonstituted the complete deprivation of counsel and that a defendant represented by such an individual suffered prejudice per se. 709 F.2d 160, 167-68 (2d Cir.1983). The Second Circuit limited its reasoning to those
situations where, unbeknown to the defendant, his representative was not authorized to practice law in any state, and the lack of such authorization stemmed from failure to seek it or from its denial for a reason going to legal ability, such as failure to pass a bar examination, or want of moral character.
Id. at 167.
¶ 5 The situation presented in Solina does not exist here, nor is it remotely analogous. While represented by the uncertified former student, Terrazas also was represented by a member of the bar. That attorney was “fully responsible for the manner in which [the proceedings] [we]re conducted.” Ariz. R.Crim. P. 38(d)(5)(C)(i)(e). Thus, his right to counsel was not violated. Although Terrazas complains the attorney’s presence cannot “cure[ ]” the former student’s lack of proper certification, he does not support this argument with citation to authority, and we can discern no reason to adopt such a rule. Indeed, we find authority adverse to Terrazas’s position. The Illinois Supreme Court has concluded that, “[t]he presence of the licensed attorney, who certainly is counsel for constitutional purposes, is not somehow ‘can-celled out’ by the law student’s participation, even if the law student has not complied with” the applicable rules. In re Denzel W., 237 Ill.2d 285, 341 Ill.Dec. 460, 930 N.E.2d 974,982 (2010). We agree.
¶ 6 Although we grant review, we deny relief.
. Rule 38(d) allows qualified law students and recent graduates to "be deemed an active member of the state bar” and, inter alia, participate in certain court proceedings, including criminal proceedings in superior court when accompanied by a supervising attorney.
. Terrazas asserts the attorney had "no authority” to supervise the former student due to the lack of Rule 38(d) certification and was "merely present” during trial. He has identified nothing in the record suggesting either party or the court was aware of the former student's lack of proper certification or that the attorney failed to adequately supervise the student or be present during all proceedings as required by Rule 38(d)(5)(C)(i)(c).
|
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Justice BERCH,
opinion of the Court.
¶ 1 Keenan Reed-Kaliher pleaded guilty to possession of marijuana for sale and attempted possession of a narcotic drug for sale. A superior court judge sentenced him to 1.5 years in prison on the marijuana count and suspended the sentence on the narcotic drug count, imposing three years’ probation. One of the conditions of his probation required him to “obey all laws.”
¶ 2 While Reed-Kaliher was serving his prison term, the people of Arizona passed Proposition 203, the Arizona Medical Marijuana Act (“AMMA”). AMMA permits “a person who has been diagnosed by a physician as having a debilitating medical condition” to apply for a card identifying the possessor as a “registered qualifying patient.” A.R.S. § 36-2801(13), (14). The definition of “debilitating medical condition” includes a “chronic ... medical condition ... that produces ... severe and chronic pain.” Id. § 36—2801(3)(b).
¶ 3 Reed-Kaliher suffers chronic pain resulting from a fractured hip. After AMMA became state law, Reed-Kaliher obtained a “registry identification card” from the Arizona Department of Health Services that identifies him as a “registered qualifying patient” under AMMA, so that he might obtain medical marijuana to ease his pain.
¶ 4 During the term of Reed-Kaliher’s probation, his probation officer added a new condition to his probation, specifying that he “not possess or use marijuana for any reason.” Reed-Kaliher opposed this condition and sought relief in the superior court. He claimed that AMMA’s immunity provision, A.R.S. § 36-2811(B), shields him from prosecution, revocation of probation, or other punishment for his possession or use of medical marijuana. That provision specifies that “[a] registered qualifying patient ... is not subject to arrest, prosecution or penalty in any manner, or denial of any right or privilege ... [f]or ... medical use of marijuana pursuant to [AMMA],” as long as the patient complies with statutory limits on quantity and location of marijuana use. Reed-Kaliher asked the court to amend his probation conditions to delete the “no marijuana” term. The court denied the motion.
¶ 5 Reed-Kaliher filed a special action in the court of appeals. That court granted relief, holding that a qualifying patient cannot “be deprived of the privilege of probation solely based on his medical use of marijuana” within the limitations on quantity and location provided by AMMA, and “a condition of probation threatening to revoke his privilege for such use cannot be enforced lawfully and is invalid.” Reed-Kaliher v. Hoggatt (State), 235 Ariz. 361, 364 1112, 332 P.3d 587, 590 (App.2014). We granted review because the scope of immunity under AMMA is a question of statewide importance.
I. DISCUSSION
¶ 6 We review questions of statutory interpretation de novo. Gutierrez v. Indus. Comm’n of Ariz., 226 Ariz. 395, 396 ¶ 5, 249 P.3d 1095, 1096 (2011). “Our primary objective in construing statutes adopted by initiative is to give effect to the intent of the electorate.” State v. Gomez, 212 Ariz. 55, 57 ¶ 11, 127 P.3d 873, 875 (2006).
A. AMMA’s Application to Probationers
¶ 7 AMMA permits those who meet statutory conditions to use medical marijuana. Because marijuana possession and use are otherwise illegal in Arizona, A.R.S. § 13-3405(A), the drafters sought to ensure that those using marijuana pursuant to AMMA would not be penalized for such use. They therefore included an immunity provision that protects users from being “subject to arrest, prosecution or penalty in any manner, or denial of any right or privilege” as long as their use or possession complies with the terms of AMMA. A.R.S. § 36-2811(B).
¶ 8 AMMA broadly immunizes qualified patients, carving out only narrow exceptions from its otherwise sweeping grant of immunity against “penalty in any manner, or denial of any right or privilege.” Id. (emphasis added). It does not allow qualified patients to use medical marijuana “in any correctional facility,” in public places, or while driving or performing other tasks that must be undertaken with care, nor does it immunize possession of marijuana in excess of the quantity limitations provided by the Act. Id. §§ 36-2802, -2811(B). But it does not expressly prohibit those who have been convicted of drug offenses from using medical marijuana pursuant to AMMA. The immunity expressly applies to any “registered qualifying patient.” Id. § 36-2811(B). The State does not contest that Reed-Kaliher is such a patient. Thus, the immunity provision by its terms would include rather than exclude him.
¶ 9 AMMA precludes people who have committed “excluded felony offense[s]” from serving as “designated caregiver[s]” or “medical marijuana dispensary agent[s].” Id. § 36— 2801(5)(c), (10). But even such offenders are not disqualified from being “qualifying patient[s].” Id. § 36-2801(13). The “excluded felony offense[s]” include violent crimes and recent drug offenses, except “conduct that would be immune” under AMMA. Id. § 36-2801(7). Thus, AMMA does not deny even those convicted of violent crimes or drug offenses (so long as they are not incarcerated) access to medical marijuana if it could alleviate severe or chronic pain or debilitating medical conditions. Id. §§ 36-2801(3), -2802(B)(3). We therefore conclude that the immunity provision of AMMA does not exclude probationers.
B. Conditioning Probation on Abstention from AMMA-Compliant Marijuana Use
¶ 10 Probation is a privilege. State v. Montgomery, 115 Ariz. 583, 584, 566 P.2d 1329, 1330 (1977). Revocation of probation is a penalty. State v. Lyons, 167 Ariz. 15, 17, 804 P.2d 744, 746 (1990). Under AMMA, if the state extends a plea offer that includes probation, it cannot condition the plea on acceptance of a probationary term that would prohibit a qualified patient from using medical marijuana pursuant to the Act, as such an action would constitute the denial of a privilege. Nor may a court impose such a condition or penalize a probationer by revoking probation for such AMMA-compliant use, as that action would constitute a punishment.
¶ 11 “When granting probation, the trial court has only that authority given by the statutes of Arizona.” State v. Jordan, 120 Ariz. 97, 98, 584 P.2d 561, 562 (1978); see also Green v. Superior Court (State), 132 Ariz. 468, 471, 647 P.2d 166, 169 (1982) (to same effect). In this case, an Arizona statute, AMMA, precludes the court from imposing any penalty for AMMA-compliant marijuana use. A.R.S. § 36-2811(B)(1).
¶ 12 The State nonetheless argues that prohibiting one convicted of a drug crime from using marijuana should be permitted because it is a reasonable and necessary condition of probation. Our job here, however, is not to determine the appropriateness of the term, but rather to determine its legality. While the State can and should include reasonable and necessary terms of probation, it cannot insert illegal ones. Coy v. Fields (State), 200 Ariz. 442, 446 ¶ 13, 27 P.3d 799, 803 (App.2001) (noting that “when ... a sentencing or probation provision in [a] plea agreement[] proves to be illegal and unenforceable,” that provision cannot stand). See
¶ 13 The State observes that probation conditions can prohibit a wide range of behaviors, even those that are otherwise legal, such as drinking alcohol or being around children. While the court can condition probation on a probationer’s agreement to abstain from lawful conduct, it cannot impose a term that violates Arizona law.
¶ 14 We therefore hold that any probation term that threatens to revoke probation for medical marijuana use that complies with the terms of AMMA is unenforceable and illegal under AMMA.
C. Harmonizing AMMA’s Immunity Provision with Statutes Prohibiting Marijuana Use
¶ 15 The court of appeals’ dissent reasoned that an existing statute banning possession or use of narcotic drugs “requires defendants convicted of enumerated drug offenses and placed on probation to be ‘prohibited from using any marijuana’ ” during the term of probation. Reed-Kaliher, 235 Ariz. at 370 ¶ 38, 332 P.3d at 596 (Espinosa, J., dissenting) (quoting A.R.S. § 13-3408(G)). The dissent maintained that this provision conflicts with the immunity provision and that “we could give meaning to both the AMMA and the more specific drug-sentencing statutes by interpreting the AMMA’s silence [regarding] probationers [as] assent to the long-standing limitations on drug use by those convicted of drug-related offenses.” Id.
¶ 16 Just as AMMA provides immunity for charges of violating § 13-3405, which would otherwise subject a person to criminal prosecution for marijuana use, AMMA also provides immunity for charges of violating § 13-3408(G), which might otherwise subject a person to revocation of probation for marijuana use.
¶ 17 Section 13-3408(G) prohibits the use of marijuana or narcotic or prescription drugs except as “lawfully administered by a health care practitioner,” a phrase that suggests that the legislature intended to distinguish between illicit use and lawful medicinal use of such drugs. Medical marijuana use pursuant to AMMA is lawful under Arizona law. Thus, we harmonize § 13-3408(G) with AMMA by interpreting the former as barring probationers from illegally using drugs while nonetheless permitting legal medicinal uses of such drugs, which seems to be the intent of the statutes. See Estate of Hernandez v. Ariz. Bd. of Regents, 177 Ariz. 244, 249, 866 P.2d 1330, 1335 (1994) (observing that, when possible, we harmonize “apparently conflicting statutes”); Dietz v. Gen. Elec. Co., 169 Ariz. 505, 510, 821 P.2d 166, 171 (1991) (noting that when “more than one interpretation [of a statute] is plausible, we ordinarily interpret the statute in such a way as to achieve the general legislative goals that can be adduced from the body of legislation in question”).
D. Preemption
¶ 18 Citing State v. Camargo, the State argues that the probation condition requiring Reed-Kaliher to “obey all laws” requires compliance with federal laws, including federal drug laws. 112 Ariz. 50, 52, 537 P.2d 920, 922 (1975) (“A court can order as a condition of probation that the probationer comply with the law, federal as well as state.”). Although a court may require corn pliance with federal law as a condition of probation, federal law does not require the court to do so. Cf. Printz v. United States, 521 U.S. 898, 935, 117 S.Ct. 2365, 138 L.Ed.2d 914 (1997) (“Congress cannot compel the States to enact or enforce a federal regulatory program.”). AMMA, an Arizona law, now precludes Arizona courts from conditioning probation on the probationer’s abstention from medical marijuana use pursuant to AMMA. Federal law does not require our courts to enforce federal law, and Arizona law does not permit them to do so in contravention of AMMA. Thus, while the court can impose a condition that probationers not violate federal laws generally, it must not include terms requiring compliance with federal laws that prohibit marijuana use pursuant to AMMA.
¶ 19 The State suggests that AMMA conflicts with federal law, and because state officers cannot simultaneously follow both laws, they should enforce the federal proscriptions on marijuana use pursuant to the Controlled Substances Act (“CSA”), 21 U.S.C. §§ 801-971, even if doing so requires them to violate state law. The State is correct in this assertion only if the CSA preempts AMMA. A federal law can preempt a state law if (1) the federal law contains “an express preemption provision,” (2) Congress has determined it must exclusively govern the field, or (3) the federal and state law conflict to such an extent that compliance with both is “a physical impossibility” or the state law “stands as an obstacle to the accomplishment and execution of the full purposes and objectives of Congress.” Arizona v. United States, — U.S.-, 132 S.Ct. 2492, 2501, 183 L.Ed.2d 351 (2012) (internal citations and quotation marks omitted). “In preemption analysis, courts should assume that ‘the historic police powers of the States’ are not superseded ‘unless that was the clear and manifest purpose of Congress.’ ” Id. (quoting Rice v. Santa Fe Elev. Corp., 331 U.S. 218, 230, 67 S.Ct. 1146, 91 L.Ed. 1447 (1947)).
¶ 20 Congress itself has specified that the CSA does not expressly preempt state drug laws or exclusively govern the field:
No provision of [the subchapter on control and enforcement of United States drug laws] shall be construed as indicating an intent on the part of the Congress to occupy the field ... to the exclusion of any State law on the same subject matter which would otherwise be within the authority of the State, unless there is a positive conflict between that provision ... and that State law so that the two cannot consistently stand together.
21 U.S.C. § 903.
¶ 21 There is no such conflict here. By not including a prohibition against AMMA-compliant marijuana use, or in this case by removing the condition upon Reed-Kaliher’s request, the trial court would not be authorizing or sanctioning a violation of federal law, but rather would be recognizing that the court’s authority to impose probation conditions is limited by statute. Jordan, 120 Ariz. at 98, 584 P.2d at 562.
¶ 22 We find persuasive the analysis of the Michigan Supreme Court, which held that the CSA does not preempt a Michigan statute that is substantially identical to AMMA. See Ter Beek v. City of Wyoming, 495 Mich. 1, 846 N.W.2d 531, 536-41 (2014). That court reasoned that the statute does not prevent federal authorities from enforcing federal law — it merely provides “a limited state-law immunity.” See id. at 537 (emphasis omitted) (noting that the statute “does not purport to prohibit federal criminalization of, or punishment for” use permitted by state law). The manifest purpose of the CSA was “to conquer drug abuse and to control the legitimate and illegitimate traffic in controlled substances.” Gonzales v. Raich, 545 U.S. 1, 12, 125 S.Ct. 2195, 162 L.Ed.2d 1 (2005). A state law stands as an obstacle to a federal law “[i]f the purpose of the [federal law] cannot otherwise be accomplished — if its operation within its chosen field else must be frustrated and its provisions be refused their natural effect.” Crosby v. Nat’l Foreign Trade Council, 530 U.S. 363, 373, 120 S.Ct. 2288, 147 L.Ed.2d 352 (2000) (quoting Savage v. Jones, 225 U.S. 501, 533, 32 S.Ct. 715, 56 L.Ed. 1182 (1912)).
¶ 23 The state-law immunity AMMA provides does not frustrate the CSA’s goals of conquering drug abuse or controlling drug traffic. Like the people of Michigan, the people of Arizona “chose to part ways with Congress only regarding the scope of acceptable medical use of marijuana.” Ter Beek, 846 N.W.2d at 539. Possession and use of marijuana not in compliance with AMMA remain illegal under Arizona law.
¶ 24 Nor does the oath of office taken by state officers require them to condition probation on abstention from AMMA-compliant marijuana use. All state officers and employees in Arizona, including judges and prosecutors, swear to “support the Constitution of the United States and the Constitution and laws of the State of Arizona.” A.R.S. § 38-231(E)-(F). Under the Supremacy Clause, laws made pursuant to the federal constitution are part of “the Supreme Law of the Land” and “Judges in every State shall be bound thereby.” U.S. Const. art. 6, cl. 2. But, as noted above, nothing in federal law purports to require state judges to include a prohibition on the use of medical marijuana pursuant to AMMA as a condition of probation. Because AMMA prohibits such a condition and federal law does not require it, a state judge does not violate the oath of office by omitting such a condition.
E. Waiver
¶ 25 Finally, the State argues that Reed-Kaliher’s agreement to the “obey all laws” term implies a waiver of his right to use marijuana pursuant to AMMA. But Reed-Kaliher could not have knowingly waived his rights under AMMA because it did not exist when he entered the plea agreement. See Ariz. Title Guar. & Trust Co. v. Modem Homes, Inc., 84 Ariz. 399, 402, 330 P.2d 113, 114 (1958) (“[B]efore a waiver of a right may be inferred, such right must be in existence at the time the claimed waiver occurred.”). Moreover, such a waiver would be ineffective because, as noted above, AMMA bars courts from imposing a probation condition prohibiting the use of medical marijuana pursuant to AMMA. See State v. Ferrell, 237 Ariz. 125 ¶ 9, 347 P.3d 142 (2015), filed contemporaneously with this opinion.
II. CONCLUSION
¶ 26 For the foregoing reasons, we affirm the opinion of the court of appeals.
. Whether the State may seek to withdraw from a plea agreement when an added term thereof is stricken is not before us, as Reed-Kaliher had already served his prison term before the State attempted to add the marijuana term to his probation conditions. For a discussion of the circumstances in which the State may withdraw from a plea agreement after a court strikes a term of the agreement, see State v. Ferrell, 237 Ariz. 125, 347 P.3d 142, 2015 WL 1529193 (2015), filed contemporaneously with this opinion.
. At least three other statutes contain identical language prohibiting probationers convicted under those sections from engaging in illegal drug use: A.R.S. §§ 13-3405(E), 13-3406(D), and 13-3407(1). Our analysis applies to any statutes containing this language.
|
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OPINION
MILLER, Presiding Judge:
¶ 1 Francisco Valenzuela was convicted after a bench trial of two counts of aggravated driving under the influence of alcohol (DUI) and sentenced to concurrent prison terms totaling 1.5 years. On appeal, he contends he was coerced into consenting to blood, breath, or urine tests by the language the arresting officer used to implement Arizona’s implied consent admonition. He also contends his consent to testing was involuntary based on the totality of the circumstances. For the following reasons, we affirm.
Factual and Procedural Background
¶ 2 We consider only the evidence introduced at the hearing on the motion to suppress and view the facts in the light most favorable to sustaining the trial court’s rul ing. State v. Butler, 232 Ariz. 84, ¶ 8, 302 P.3d 609, 612 (2013). In August 2012, a Department of Public Safety (DPS) officer responded to a call about an unconscious man behind the wheel of a vehicle on a state highway. The officer found Valenzuela asleep in a truck with the gear in drive, an open container of alcohol in the center console, and the odor of alcohol coming from the vehicle. After waking Valenzuela, the officer conducted several field sobriety tests and then arrested him for DUI. At the police station, the officer read Valenzuela an administrative implied consent affidavit (admin per se) form. According to the officer, he did not threaten Valenzuela or make any promises to obtain his consent for testing, and Valenzuela understood the questions asked and agreed to provide breath and blood samples. Valenzuela’s results on the breath tests were .223 and .241. Valenzuela also provided a blood sample. He was subsequently charged with five counts of aggravated DUI.
¶ 3 The trial court denied Valenzuela’s motion to suppress the results of the chemical testing upon the conclusion of the hearing. In its oral ruling, the court rejected the argument that a warrantless search following consent was “per se unreasonable”; further, it found that Valenzuela’s consent was “unequivocal” as a matter of fact and “not ... involuntary” under a Fourth Amendment totality-of-the-circumstances analysis. Soon after the suppression hearing, Valenzuela waived his right to a jury trial and proceeded based on stipulated facts. The court found him guilty on all five counts, but dismissed three counts at sentencing because they were lesser-included offenses. He was sentenced as described above, and this appeal followed. This court granted a motion for Arizona Attorneys for Criminal Justice to file an amicus brief in support of Valenzuela’s appeal.
Discussion
¶ 4 Valenzuela argues the trial court erred when it concluded he freely and voluntarily consented to the breath test and blood draw. We review a court’s ruling on a motion to suppress for an abuse of discretion, but we review the court’s legal conclusions de novo. State v. Peterson, 228 Ariz. 405, ¶ 6, 267 P.3d 1197, 1199-1200 (App.2011).
¶ 5 Arizona’s implied consent statute provides in relevant part that the driver of a motor vehicle “gives consent ... [for tests] of the person’s blood, breath, urine or other bodily substance for the purpose of determining alcohol concentration” if the person is arrested by a law enforcement officer who has reasonable grounds to believe the person was in actual physical control of a motor vehicle while under the influence of liquor. A.R.S. § 28-1321(A). If a driver refuses any test, he “shall be informed” that the license will be suspended, “unless [he] expressly agrees to submit to and successfully completes” the tests. § 28-1321(B). The statute does not specify any particular language or a form to implement the admonition. Despite the suggestion that consent is given at the time of licensure, if the driver refuses to submit, § 28-1321(D)(1) prohibits the officer from giving a test unless he obtains a search warrant or another exception applies.
¶ 6 Before the test results can be used in a criminal proceeding, a blood draw administered pursuant to Arizona’s implied consent statute must comply with the Fourth Amendment’s restrictions on warrantless searches. Butler, 232 Ariz. 84, ¶ 10, 302 P.3d at 612; cf. Campbell v. Superior Court, 106 Ariz. 542, 550, 479 P.2d 685, 693 (1971) (license suspension proceedings civil in nature). Generally, warrantless searches “ ‘are per se unreasonable under the Fourth Amendment — subject only to a few specifically established and well-delineated exceptions.’” Arizona v. Gant, 556 U.S. 332, 338, 129 S.Ct. 1710,173 L.Ed.2d 485 (2009), quoting Katz v. United States, 389 U.S. 347, 357, 88 S.Ct. 507,19 L.Ed.2d 576 (1967). One such exception is voluntary consent. Butler, 232 Ariz. 84, ¶ 13, 302 P.3d at 612.
¶ 7 Valenzuela challenges his consent based on portions of what the arresting officer told him, as well as a general contention that any time an arresting officer provides a § 28-1321 admonishment, any subsequent consent is the result of coercion. We begin with the suppression hearing record, which is limited.
¶ 8 The arresting officer testified that he read Valenzuela “the admin per se” from a written form he had been using for more than ten years. Although the officer was cross-examined about the form, it never was offered into evidence. Amicus curiae asserts that “[t]he admonition which was read to Mr. Valenzuela is identical to the admonition read to DUI arrestees throughout the state.” It relies, however, on the officer’s testimony about how he uses the form. Amicus curiae also provides one page of a sample form which it contends is used generally by law enforcement. It provides no citation to statutory or administrative regulations about the source or authority of the attached document, nor sufficient background for any court to take judicial notice of it. Amicus curiae does not explain why the form is dated 2014, which is two years after Valenzuela’s arrest. Finally, the proffered form referred to “reasons stated on the front of this form,” but does not provide that page.
¶ 9 At oral argument, Valenzuela and amicus curiae also sought to rely on the stipulated facts filed in advance of trial. Although the stipulation provides what appears to be additional language from the admonition, the motion to suppress was argued and decided before the stipulated facts were submitted to the trial court. Moreover, counsel for the state conceded that it was not known whether the officer was consulted about the stipulated facts. Finally, the parties disagreed whether Valenzuela checked the box indicating he would submit to the test. Because the stipulated facts were not before the court at the motion to suppress and the parties assert different factual assumptions attendant to those facts, we do not consider them on review. See Butler, 232 Ariz. 84, ¶ 8, 302 P.3d at 612; see also State v. Herrera, 232 Ariz. 536, ¶ 24, 307 P.3d 103, 113 (App.2013) (noting limitation on review of pre-trial motion to suppress is consistent with general rule that appellate court’s review is limited to record before trial court).
¶ 10 In summary, the record on the motion to suppress is devoid of evidence and legal authority to evaluate Valenzuela’s arguments about “the admin per se form” in his case or generally, as well as how police officers provide § 28-1321 admonitions. Accordingly, consideration of the parties’ arguments must be based on and limited to the officer’s testimony at the suppression hearing. Most important, to the extent that Valenzuela’s principal argument begins and ends with the first sentence of what he contends are the admonition’s fatally irrevocable words, the form itself is unnecessary to our consideration of his arguments.
¶ 11 Valenzuela focuses on the officer’s statement to him that “Arizona law requires you to submit to and successfully complete tests of breath, blood or other bodily substance as chosen by the law enforcement officer to determine alcohol concentration or drug content.” Valenzuela relies on Bumper v. North Carolina, 391 U.S. 543, 548-49, 88 S.Ct. 1788, 20 L.Ed.2d 797 (1968), for the proposition that the six-word phrase “Arizona law requires you to submit” renders any consent involuntary because it was secured under the claim of lawful authority.
¶ 12 In Bumper, the state argued a home search was consensual, but the person who gave consent stated at the hearing that one of the officers “walked up and said, ‘I have a search warrant to search your house,’ ” before she let them in. Id. at 546, 88 S.Ct. 1788. There was no evidence in the record that the officer had a search warrant. Id. at 549-50, 88 S.Ct. 1788. The Supreme Court concluded that a prosecutor cannot prove consent was voluntary by “showing no more than acquiescence to a claim of lawful authority.” Id. at 548-49, 88 S.Ct. 1788. The Court held that an officer who says he has a warrant “announces in effect that the occupant has no right to resist the search.” Id. at 550, 88 S.Ct. 1788.
¶ 13 Drivers in Arizona, however, may refuse a warrantless search. Section 28-1321(B) explicitly acknowledges and supports a driver’s right to refuse tests, albeit with civil penalties of increasing severity. The officer testified he notifies a driver that he has a choice whether to submit to the test. Additionally, if the driver refuses the test the officer informs the person that the officer will apply for a warrant to compel testing. Unlike in Bumper, Valenzuela was informed by the statute and the officer’s admonition that he had a choice, not that the officer intended to search him regardless of his answer or whether the officer had a warrant. See People v. Harris, 234 Cal.App.4th 671, 184 Cal.Rptr.3d 198, 210-12 (2015) (distinguishing Bumper from state implied consent admonition); State v. Brooks, 838 N.W.2d 563, 571 (Minn.2013) (same); McCoy v. N.D. Dept, of Transp., 848 N.W.2d 659, ¶¶ 17, 20-24 (N.D.2014) (same).
¶ 14 Further, in another context, the United States Supreme Court has considered whether a state’s attachment of consequences to refusing to submit to alcohol testing is coercive. In South Dakota v. Neville, 459 U.S. 553, 564, 103 S.Ct. 916, 74 L.Ed.2d 748 (1983), the Court held that a driver is not coerced into testifying against himself in violation of his Fifth Amendment rights when the state uses his refusal against him at trial. The Court concluded that the driver was given the choice between submitting and refusing, and although it was “not ... an easy or pleasant [choice] for a suspect to make,” it was “not an act coerced by the officer.” Id. Similarly here, the choice between two civil penalties does not result in coerced consent. See Harris, 184 Cal.Rptr.3d at 211-13; Brooks, 838 N.W.2d at 570; McCoy, 848 N.W.2d 659, ¶ 21.
¶ 15 The choice is analogous to a party’s decision whether to invoke the Fifth Amendment in a civil case if the answers could expose the person to criminal liability. The person may invoke the privilege against self-incrimination, State v. Ott, 167 Ariz. 420, 425, 808 P.2d 305, 310 (App.1990), or may choose to testify to increase the likelihood of a favorable civil judgment. But even if a witness is not instructed on his Fifth Amendment rights during the civil litigation, his testimony is admissible in a later criminal trial, absent additional findings of coercion or duress. State v. Tudgay, 128 Ariz. 1, 4-5, 623 P.2d 360, 363-64 (1981).
¶ 16 Valenzuela also contends he should have been asked whether he consented to testing before being warned about civil penalties. We find persuasive the reasoning of the Oregon Supreme Court in State v. Moore, 354 Or. 493, 318 P.3d 1133, 1138 (2013), when it confronted a similar argument:
[I]t is difficult to see why the disclosure of accurate information about a particular penalty that may be imposed — if it is permissible for the state to impose that penalty — could be unconstitutionally coercive. Rather, advising a defendant of the lawful consequences that may flow from his or her decision to engage in a certain behavior ensures that that defendant makes an informed choice whether to engage in that behavior or not. Indeed, the failure to disclose accurate information regarding the potential legal consequences of certain behavior would seem to be a more logical basis for a defendant to assert that his or her decision to engage in that behavior was coerced and involuntary.
Id. Courts in North Dakota and California also have adopted this reasoning. Hams, 184 Cal.Rptr.3d at 212; McCoy, 848 N.W.2d 659, ¶¶ 18, 21. We agree it is more beneficial to provide full information before requesting consent. Moreover, persons contesting administrative suspension of their driver’s licenses would argue they would not have declined the test had they been told beforehand that their decisions could result in the loss of their driving privileges.
¶ 17 Valenzuela also argues that two recent cases, Missouri v. McNeely, — U.S. -, -, 133 S.Ct. 1552, 1556, 185 L.Ed.2d 696 (2013), and Butler, 232 Ariz. 84, ¶ 10, 302 P.3d at 612, equate “implied consent” with a “compelled blood draw,” thereby negating the voluntary nature of any consent to a test that followed the admonishment. But these decisions cannot be stretched so far. McNeely was limited to the question of whether the potential dissipation of alcohol in a defendant’s blood over time constitutes a per se exception to the Fourth Amendment warrant requirement. — U.S. at -, 133 S.Ct. at 1556. In concluding that it does not, the Court reaffirmed its holding in Schmerber v. California, 384 U.S. 757, 770, 86 S.Ct. 1826, 16 L.Ed.2d 908 (1966), that a warrant generally is required to draw a DUI suspect’s blood. McNeely, — U.S. at -, 133 S.Ct. at 1558. There was no argument that actual consent given at the time of the blood draw would be invalid or involuntary based on an implied consent warning. Further, a plurality of the Court noted that all fifty states have implied consent laws that impose penalties on drivers who refuse to submit to a blood alcohol test, characterizing these laws as “legal tools” designed to help states enforce drunk-driving laws without resorting to warrantless nonconsensual blood draws. Id. at -, 133 S.Ct. at 1566.
¶ 18 Regarding Butler, Valenzuela is correct that the court concluded, “[A] compelled blood draw, even when administered pursuant to [the implied consent statute], is a search subject to the Fourth Amendment’s constraints.” 232 Ariz. 84, ¶ 10, 302 P.3d at 612. But Valenzuela is mistaken that the court concluded all blood draws pursuant to the implied consent statute were “compelled.” Rather, in Butler, the state had argued actual consent was not required at the time of the blood draw because the driver already had given consent by driving and subjecting himself to the terms of the stat ute. Id. ¶ 9. The court concluded the Fourth Amendment applied to a blood draw despite the statute, requiring voluntary consent before blood is drawn. Id. ¶ 10. Indeed, the court then proceeded to analyze whether the driver’s consent was voluntary under the totality of the circumstances. Id. ¶¶ 18-21. The court did not hold, as Valenzuela argues, that one could never voluntarily consent to a blood draw after being informed of the statute’s provisions. See id.
¶ 19 Valenzuela also appears to argue his actual consent was involuntary due to all of the surrounding circumstances. He specifically contends the trial court failed to consider all voluntariness factors listed in United States v. Jones, 286 F.3d 1146, 1152 (9th Cir.2002).
¶ 20 Our dissenting colleague enlarges Valenzuela’s contention with the assertion of a “categorical rule” that “reasonable persons do not — and should not — believe themselves free to decline an officer’s demand that they follow the requirements of law.” He reasons this rule forecloses the totality of the circumstances analysis, relying on Bumper, 391 U.S. at 550, 88 S.Ct. 1788. We disagree, both under Arizona law and the recent, well-reasoned decisions from other states employing virtually identical admonition language.
¶ 21 To the extent we addressed Valenzuela’s conceptually similar argument that the first six words spoken by the officer rendered any subsequent consent involuntary and coerced, we will not repeat the entire analysis here. Simply stated, Arizona statutory law gives notice to drivers that officers cannot perform the test if an arrested driver refuses to submit, except pursuant to a search warrant. § 28-1321(D)(1). Moreover, the officer asked Valenzuela if he consented, and the officer was prepared to explain that he would apply for a search warrant if Valenzuela refused to submit. Therefore, those six words do not assume an importance that dwarfs other laws and the full context of the admonition, as well as the actual facts. In this respect, Arizona is markedly similar to several other states that reviewed their admonition statutes postMcNeely.
¶ 22 Minnesota and North Dakota require law enforcement officers to advise drivers arrested for DUI that state law requires them to take a blood or alcohol test. Minn. Stat. § 169A.51 (“Minnesota law requires the person to take a test”); N.D. Cent.Code § 39-20-01 (“North Dakota law requires the individual to take the test”). Both statutes were challenged on a variety of grounds after McNeely, including the allegedly coercive effect of the statement that the “law requires” the driver to take the test. In Brooks, 838 N.W.2d at 571, the Minnesota Supreme Court rejected the driver’s blanket validity argument, principally on the basis that the driver was informed he had a choice whether to submit and “the police are required to honor that refusal and not perform the test.” Although it is true the drivers also are informed that they can confer with counsel, the fact of such consultation only pertains to whether there was coercion. Id. Moreover, advice of counsel may be particularly prudent in Minnesota because the refusal to submit to the test can result in criminal liability. Id. at 569.
¶ 23 North Dakota’s statute also guarantees a driver’s right to refuse testing. N.D. CentCode § 39-20-04. The North Dakota Supreme Court found that the choice embodied within that statute defeated the driver’s argument that he was coerced. State v. Smith, 849 N.W.2d 599, 606 (2014). The special concurrence simplified the reasoning to a single sentence: “While the voluntariness of consent is decided from the totality of the circumstances, submitting to a blood alcohol test is not rendered involuntary merely by an officer fairly giving the implied consent advisory including the criminal penalty for refusing to take the test.” Id. at 606-07.
¶ 24 Even when statutes do not require a law enforcement officer to inform a driver about what the law ‘requires,’ it is not a per se violation of the Fourth Amendment if the officer phrases the admonition as a requirement. In Harris, 184 Cal.Rptr.3d at 204, 210-12, the arresting deputy told the driver that refusal to submit to testing would result in license suspension, it could be used against him in court, and he was required to submit to the test. The court declined Harris’s invi tation to view the deputy’s “requirement” statement as the only factor to consider in the totality analysis. Id. at 215. Instead, it recognized the trial court is vested with the power to judge credibility of the witnesses, resolve conflicts in facts, and to draw the inferences as to whether consent was voluntary. Id. at 214.
¶ 25 Construing a legally-accurate six-word phrase as a constitutional barrier that nullifies the totality of the circumstances analysis finds no support in McNeely. For instance, Chief Justice Roberts proposed giving guidance to officers on whether to apply for a search warrant: if there is time to secure a warrant before the alcohol dissipates, then it must be done. — U.S. at -, 133 S.Ct. at 1574. The Court characterized his suggestion as a “categorical,” “modified per se rule.” Id. -, 133 S.Ct. at 1563. In stating its preference for a traditional totality of the circumstances analysis, the Court observed that a bright line may distort police practices and, implicitly, does not take into account the wide variety of circumstances in this regular police-driver interaction. Id. at -, 133 S.Ct. at 1563-64. There is little reason to believe the Supreme Court would apply the conclusion in Bumper to abandon the totality-of-the-circumstances analysis it recently re-affirmed in McNeely.
¶ 26 We also examine McNeely and Butler to determine whether the respective courts intended their decisions to change law enforcement procedures that had been in place for many decades. If the logical extension of a holding would be to preclude the great majority of DUI blood tests for a significant period of time, it is reasonable to expect those courts to signal anticipation of such a change. Compare, e.g., Escobedo v. Illinois, 378 U.S. 478, 488, 84 S.Ct. 1758, 12 L.Ed.2d 977 (1964) (frequency of pre-indictment confessions “points up its critical nature” as stage when legal advice “surely needed”), with Miranda v. Arizona, 384 U.S. 436, 504, 86 S.Ct. 1602, 16 L.Ed.2d 694 (1966) (Harlan, J., dissenting) (decision establishes new constitutional rules for confessions).
¶ 27 In McNeely, the court granted certiorari to resolve a split in authority among the states. — U.S. at -, 133 S.Ct. at 1558. It rejected the per se exigency rule adopted by several states in favor of the ease-by-case analysis it established in Schmerber forty-seven years earlier. Id. at -, 133 S.Ct. at 1561. A plurality of the court noted in its review of state laws that the holding essentially had been adopted by many of the states. Id. at -, 133 S.Ct. at 1566. McNeely is more accurately read as an affirmance of state laws and police procedures that advanced with the times. Similarly, our supreme court in Butler accepted jurisdiction to reject the state’s argument that all drivers give “implied consent” and to affirm the totality of the circumstances analysis. 232 Ariz. 84, ¶¶ 10, 14, 18, 302 P.3d at 612-13. There was no criticism of the admonition, which was given in two different versions, but presumably contained the same “requirement” language. Id. ¶ 4. The majority did not suggest the admonition was problematic. In fact, concurring Justice Pelander stated he would have concluded consent was voluntary had review been de novo rather than abuse of discretion. Id. ¶ 31. Certainly, if an admonition in use for many decades constituted a per se violation of the constitution such that the remainder of the interaction between officer and driver would not even be subject to a totality of the circumstances analysis, the issue would have been foreshadowed by one or both of the courts. The absence of any such indication also persuades us McNeely and Butler do not require the dissent’s categorical, per se rule. Therefore, we turn next to whether Valenzuela voluntarily consented to the test.
¶ 28 Voluntariness of consent is a question of fact determined by reviewing the totality of the circumstances. See Butler, 232 Ariz. 84, ¶ 13, 302 P.3d at 613, citing Schneckloth v. Bustamonte, 412 U.S. 218, 227, 93 S.Ct. 2041, 36 L.Ed.2d 854 (1973). In Jones, the Ninth Circuit listed five factors to consider in determining voluntariness: “(1) whether the defendant was in custody; (2) whether the arresting officers had their guns drawn; (3) whether Miranda warnings were given; (4) whether the defendant was notified that [he] had a right not to consent; and (5) whether the defendant had been told a search warrant could be obtained.” 286 F.3d at 1152. The factors are “guideposts, not a mechanized formula to resolve the voluntariness inquiry.” United States v. Patayan Soriano, 361 F.3d 494, 502 (9th Cir.2003).
¶ 29 In its oral ruling on Valenzuela’s motion, the trial court only expressly mentioned the fourth factor — whether he had been affirmatively notified he had a right to refuse the tests. Despite acknowledging the factor, the court did not make an explicit finding, ultimately determining consent was voluntary based on the totality of the circumstances. Valenzuela now contends the arresting officer’s failure to tell him he had a right to refuse is the most important factor and “alone should have been sufficient for the trial Court to suppress the evidence.” The Supreme Court in Schneckloth, however, rejected an argument that a Miranda-style warning informing the defendant of his right to refuse consent was necessary. 412 U.S. at 246-48, 93 S.Ct. 2041. The Court concluded knowledge of a right to refuse is not “an indispensable element of a valid consent” to a search. Id. at 246, 93 S.Ct. 2041. Valenzuela provides no further support for his argument that the trial court improperly weighed the Jones factors, and we find no abuse of discretion in the trial court’s determination.
¶ 30 Valenzuela does, however, argue the trial court erred in its analysis of voluntariness by considering his demeanor when he consented. He relies on United States v. McWeeney, 454 F.3d 1030, 1034 (9th Cir.2006), to argue “subjective” factors such
as age, intelligence, and length of detention should not be considered in determining voluntariness. But McWeeney concerned the physical scope of a consensual search, and is not applicable here. Id. at 1034-35. Rather, the voluntariness of consent is based on a totality-of-the-eircumstanees test. Schneckloth, 412 U.S. at 226, 93 S.Ct. 2041. Relevant factors may include age, education, intelligence, advice regarding constitutional rights, length of detention, and deprivation of food or sleep. Id. at 226, 248, 93 S.Ct. 2041. Thus, in Butler, the court considered age, criminal history, the length of detention, the absence of parents, physical demeanor, and emotional state. 232 Ariz. 84, ¶ 20, 302 P.3d at 613. Despite Valenzuela’s contention, such factors are valid considerations in determining voluntariness.
¶ 31 Here, the trial court concluded the officer provided the implied consent admonition to Valenzuela, and he unequivocally agreed to the testing. Although the court did not identify all circumstances that might be relevant, no evidence was presented that Valenzuela was upset, lacked intelligence, felt threatened, or had been detained for a long time. The court did not err in determining Valenzuela’s consent was voluntary based on the totality of the circumstances.
¶ 32 Valenzuela also argues his consent was limited to administrative use — that is, he maintains he had agreed the blood test results could be used against him only for license suspension, but not in a criminal case. He cites McWeeney for this argument but that case is inapplicable. In McWeeney, the defendant agreed to let an officer “ ‘look’ ” in the ear, but argued his consent did not extend to the officer searching the trunk and lifting the carpet liner. 454 F.3d at 1034. The Ninth Circuit Court of Appeals concluded the defendant’s general consent included the trunk and under the carpet, but ultimately held that the officers might have coerced the defendant into believing he had no right to withdraw or modify consent when the officers told him he was not allowed to observe the search. Id. at 1033-37.
¶ 33 Additionally, Valenzuela’s argument has limited factual support. He asserts he consented only to a search for administrative purposes because the admonition did not refer to the Fourth Amendment. But this ignores the fact that the admonition was given only after he was arrested for DUI. See § 28-1321(B). Further, nothing in the officer’s testimony about his statements to Valenzuela suggested the test results would only be used in administrative proceedings. Finally, Valenzuela fails to further develop any argument that the fruits of an administrative search could not be used against him in a criminal trial. The trial court did not err in concluding Valenzuela’s consent was not limited to administrative proceedings.
¶ 34 Finally, Valenzuela appears to make a facial challenge to the Arizona implied consent statute by noting that he “questions whether Arizona’s ‘implied consent’ statute is Fourth Amendment compliant.” However, he engages in no statutory analysis and principally relies on purported language from the form throughout the rest of his brief, not the language of the statute. Any facial challenge to the language of the actual statute is therefore waived. See Ariz. R.Crim. P. 31.13(c)(1)(vi) (argument in brief shall include “citations to the authorities, statutes and parts of the record relied on”); see also State v. Bolton, 182 Ariz. 290, 298, 896 P.2d 830, 838 (1995).
Disposition
¶ 35 For the foregoing reasons, Valenzuela’s convictions and sentences are affirmed.
. At the suppression hearing, Valenzuela stipulated that the results of the field sobriety tests provided the officer with reasonable suspicion of DUI.
. Valenzuela stipulated that these were the results of his tests and that the tests were conducted properly. The trial court's sentencing minute entry contains a clerical error in reporting the results of one of the tests; we correct that error by this decision. See Ariz. R.Crim. P. 31.17(b).
. We cite the current version of the statute, which has not changed in material part since Valenzuela committed his offenses. See 2013 Ariz. Sess. Laws, ch. 128, § 1.
. At oral argument, Valenzuela asserted the full admonition was in the record, but eventually conceded it had not been admitted as an exhibit.
. The officer did not testify at the bench trial because the parties apparently agreed to proceed using only their stipulated facts.
. Almost two weeks after oral argument, Valenzuela moved to expand the record with the admin per se form he obtained from the Motor Vehicle Division. There was no suggestion that the trial court was provided this form or relied upon it to assess the totality of the circumstances. We declined the invitation to introduce the exhibit in this court and then speculate about the impact it could have had on the trial court. C.f. Ariz. R. Evid. 201. Parties bear the responsibility of making and preserving the appellate record. See State v. Dixon, 226 Ariz. 545, ¶ 44, 250 P.3d 1174, 1183 (2011) (party did not preserve objection where document not marked for identification despite discussion with witness about contents). Record expansion in the appellate court is rare absent unusual need or extraordinary circumstances, which do not exist in this case. See, e.g., State v. Mott, 162 Ariz. 452, 456-57, 458 & n. 2, 784 P.2d 278, 282-83, 284 & n. 2 (App.1989) (court considered psychiatric records from different case that trial court relied on for its ruling).
. Although the court noted the state's assertion at argument "that the searching officers did, in fact, have a warrant,” it never was returned and, therefore, could not be evaluated or considered. Id. at 550 n. 15, 88 S.Ct. 1788.
. Several cases cited by amicus curiae are distinguishable for the same reason — they involve law enforcement officers who implied or stated that a person had no choice but to consent to a search or that no warrant was necessary. See Amos v. United States, 255 U.S. 313, 315, 41 S.Ct. 266, 65 L.Ed. 654 (1921); Orhorhaghe v. I.N.S., 38 F.3d 488, 500 (9th Cir.1994); United States v. Johnson, 994 F.2d 740, 742, 743 (10th Cir.1993); State v. Casal, 410 So.2d 152, 155-56 (Fla.1982); Commonwealth v. Krisco Corp., 421 Mass. 37, 653 N.E.2d 579, 582, 584-85 (1995). Valenzuela also relies on State v. Kananen, 97 Ariz. 233, 238, 399 P.2d 426, 429 (1965), for his argument. In Kananen, our supreme court implied that the defendant’s having been handcuffed and under arrest when he accompanied an officer to search a motel room resulted in coercion or duress, but ultimately determined the defendant never provided an unequivocal consent to the search. Id. at 237, 399 P.2d at 428-29. There is no argument here that Valenzuela’s consent was equivocal.
. Amicus curiae cites several cases in which consent was deemed involuntary because it was given after a claim of lawful authority. In each of those cases, however, it was the officer’s misstatement of the law, rather than the correct use of the state’s implied consent statute, that resulted in coercion. See Cooper v. State, 277 Ga. 282, 587 S.E.2d 605, 612 (2003) (consent invalid where driver not suspected of violating DUI law, rendering implied consent law inapplicable; choice of consenting to chemical test or losing license not legally authorized); Hannoy v. State, 789 N.E.2d 977, 988 (Ind.Ct.App.2003) (deputy never discussed implied consent law, stating instead, " '[I]t is my duty to check your blood for blood alcohol’ ”), aff'd on reh'g, 793 N.E.2d 1109 (Ind.Ct.App.2003); State v. Edgar, 296 Kan. 513, 294 P.3d 251, 255, 262 (2013) (officer’s misstatement that driver "d[id] not have a right to refuse” breath test resulted in involuntary consent).
. We recognize that the totality-of-the-circumstances analysis in McNeely pertains to exigent circumstances rather than the absence of coercion, but the principle remains the same for either question.
. The Court included Arizona in the category of states that do not permit nonconsensual blood tests, instead requiring officers to obtain a search warrant. Id. at -, 133 S.Ct. at 1566 nn. 9 & 10. It is significant, though not dispositive, that the Court did not criticize or question Arizona law, or any other state law, for an admonition that begins with the phrase that is the subject of this case.
. The officer read the admonition and then restated it "in 'plain English.' ” Id. ¶ 4. The officer’s paraphrasing was not provided.
. Valenzuela cites Skinner v. Railway Labor Executives' Association, 489 U.S. 602, 109 S.Ct. 1402, 103 L.Ed.2d 639 (1989), to argue that the results of chemical testing under the implied consent statute could not be used in a criminal trial. But the Court did not conclude that results of administrative searches never could be so used. Id. at 618-19, 109 S.Ct. 1402. Rather, it merely cited the fact that the railroad employees’ drug and alcohol test results were not intended to be used by prosecutors as one factor of many in its determination that the warrantless tests were "reasonable” under the Fourth Amendment. Id. at 620, 623-24, 109 S.Ct. 1402.
. Valenzuela also argued below that the question before the court was whether "Arizona’s implied consent law [is] compliant with the Fourth Amendment.” In context, and as the trial court clarified, the issue was whether his consent was voluntary in light of the admonition read to him.
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] |
OPINION
JONES, Judge:
¶ 1 Appellants appeal from a judgment entered by the superior court affirming an order of the Arizona Corporation Commission (Commission) finding Appellants had committed numerous violations of the registration and anti-fraud provisions of the Arizona Securities Act (ASA), Arizona Revised Statutes (A.R.S.) sections 44-1801 to -2126, levying administrative penalties totaling $4.65 million and ordering nearly $190 million in restitution. For the following reasons, we hold the Commission was authorized by statute and administrative rule to impose the administrative penalties levied and determine the amount of restitution owed. We further hold the Commission acted within its discretion in ordering the restitution and penalties against Appellants, and, therefore, affirm the superior court’s order.
FACTS AND PROCEDURAL HISTORY
¶ 2 On March 12, 2009, the Securities Division (Division) of the Commission initiated an administrative proceeding against Radical Bunny, L.L.C. (Radical Bunny) and Appellants. The Division alleged Radical Bunny and Appellants had violated the registration and antifraud provisions of the ASA, specifically A.R.S. §§ 44-1841 (sale of unregistered securities), -1842 (sale of securities by unregistered dealers and salesmen), and - 1991 (fraud in purchase or sale of securities). The Division further alleged Appellants were jointly and severally liable for the violations of Radical Bunny, as controlling persons, pursuant to A.R.S. § 44-1999(B). In April 2010, Radical Bunny signed a consent and decision order agreeing to pay restitution in the amount of $189,800,867 for the registration and anti-fraud violations described below. This appeal arises out of the Commission’s enforcement action against Appellants, who were not part of the consent and decision order with Radical Bunny.
A. The Investment Scheme
¶ 3 The Commission’s enforcement action concerned two separate loan programs conducted from 1999 to 2008 by Radical Bunny and Mortgages, Ltd. (ML). Radical Bunny was a member-managed limited liability company formed in 1999 for the specific purpose of pooling funds to invest in ML. Appellant Hirsch has been a member manager of Radical Bunny since its inception.
¶ 4 ML operated as a private mortgage lender for residential and commercial real estate projects, typically providing what is commonly referred to as bridge financing. As part of these operations, ML originated, invested in, sold, and serviced short-term loans secured by the underlying real estate.
1. The ML Pass-Through Program
¶ 5 The first loan program Radical Bunny invested in was the ML Pass-Through Program (P-T Program), which ML used to help fund loans to its borrowers. Under this program, investors such as Radical Bunny received a “pass-through” fractional loan and lien interest in ML’s loans and the collateral used to secure a specific loan. The investor thereby acquired an interest in the promissory note evidencing ML’s loan and was assigned a beneficial interest in the corresponding real estate collateral, with the assignment recorded with the appropriate county recorder.
¶ 6 Radical Bunny raised the funds it invested in the P-T Program by selling membership interests in its own company. Appellants found investors for Radical Bunny through referrals and general word of mouth. Investors would purchase a membership interest in Radical Bunny, which would then invest the money in the P-T Program; all endorsements of the secured promissory notes and corresponding assignments of beneficial interests in the underlying real estate collateral were then issued and recorded in Radical Bunny’s name.
¶ 7 Radical Bunny issued a “Direction to Purchase” to each investor that authorized a managing member of Radical Bunny, as the investor’s agent, to acquire an interest in a specific ML loan. The Direction to Purchase also stated essential information, such as the amount invested, the investor’s pro rata share in the ML loan, the annual interest rate owed to the investor, and the maturity date of the ML loan. For its services in facilitating the transaction, Radical Bunny collected a management fee ranging from 0.25 to 0.5 percent of the interest paid by ML to Radical Bunny investors. Radical Bunny never registered the sale of its membership interests with the Commission, and neither Radical Bunny nor Appellants were registered with the Commission as securities dealers or salespersons. Radical Bunny raised approximately $40 million from investors between 1999 and 2005.
¶ 8 In mid-2005, Appellants Shah and Walders joined Radical Bunny as member-managers. Shortly thereafter, Radical Bunny curtailed its investment activity in the PT Program to concentrate on a second loan program that became the major focus of the Commission’s enforcement action: the RB-ML Loan Program.
2. The RB-ML Loan Program
¶ 9 The RB-ML Loan Program operated differently than the P-T Program, as Radical Bunny transitioned from being a “pass-through” investor in loans originating from ML to making loans directly to ML, with ML using the proceeds to fund loans to its own borrowers. Radical Bunny raised funds for this program, which essentially operated as a line of credit to ML, by selling fractional interests in the RB-ML loans. Participants would advance funds to Radical Bunny, which would hold the funds until an ML loan became available; Radical Bunny would then advance the funds to ML, and ML would sign a promissory note evidencing the loan in Radical Bunny’s favor. These loans were typically for a term of one year and carried an annual interest rate of thirteen percent. ML made monthly interest payments to Radical Bunny, which, in turn, made monthly interest payments to Radical Bunny participants. Participants received an eleven percent return on their investment, and Radical Bunny received the two percent spread as a management fee. When a particular loan matured or was repaid in full, participants were given the option to “rollover” the principal into a new RB-ML Loan or liquidate the principal amount.
¶ 10 As with the P-T Program, Radical Bunny issued each participant a “Direction to Purchase” stating the amount invested by the participant, the investor’s proportional share in a specific RB-ML loan, the annual interest rate due the participant, and the loan maturity date. Unlike the Direction to Purchase used in the P-T Program, however, this Direction to Purchase did not identify any specific collateral securing the RB-ML loan, but simply asserted, “Your investment is collateralized by the beneficial interest under various deeds of trusts held by [ML].”
¶ 11 In late 2006, Appellants became aware the RB-ML Loan Program could be operating in violation of federal and state securities laws and sought legal advice concerning Radical Bunny’s business structure and activities. In January 2007, Appellants met with attorneys Ronald Logan and Carl Ranno. After hearing a description of Radical Bunny’s business activities, Logan advised Appellants they “could not do business in the future without violating some State or Federal regulatory scheme,” and were in violation of federal and/or state law by operating Radical Bunny without a license. Again, during the existence of this program, Radical Bunny never registered its sale of the interest in the loans with the Commission, and neither Radical Bunny nor Appellants registered as securities dealers or salespersons.
¶ 12 In February 2007, attorneys at Quarles & Brady (Q & B), advised Appellants for the second time that it was likely the RB-ML program violated state and federal securities laws. Q & B further advised Appellants the RB-ML loans might not be secured at all. Several months later, Q & B informed Appellants it believed they had in fact violated federal and state securities laws and the collateral documents securing Radical Bunny loans were indeed defective. Q & B advised Appellants to stop accepting participants in its programs until they complied with applicable securities laws. Despite these admonitions, Radical Bunny continued to solicit participation in the RB-ML Loan Program.
¶ 13 The RB-ML Loan Program was discontinued in June 2008 after ML filed for bankruptcy. At the time of ML’s bankruptcy filing, Radical Bunny had approximately $197 million in outstanding loans to ML involving 900 participants and evidenced by ninety-nine separate promissory notes. ML stopped making monthly interest payments, and Radical Bunny filed for bankruptcy in October 2008. This enforcement action followed.
B. The Administrative Hearing
¶ 14 Following a twelve-day hearing, the Commission determined both the limited liability membership interests sold by Radical Bunny between 1999 and 2005, and the investment contracts and notes sold by Radical Bunny between 2005 and 2008, were unregistered, nonexempt “securities” for purposes of the ASA. The Commission also found Radical Bunny and Appellants offered and sold unregistered securities from or within the State of Arizona without registering as securities dealers or salespersons. Furthermore, the Commission determined that, in connection with the offer and sale of these securities, Appellants violated each of the anti-fraud provisions contained within A.R.S. § 44-1991. Specifically, the Commission found Appellants misled investors by: (1) providing inaccurate information about the nature, quality, and sufficiency of the collateral securing the RB-ML loans, and thereafter failing to inform investors of the concerns surrounding the collateral identified by its attorneys in 2007; (2) representing ML and its CEO were financially sound, which Appellants emphasized by telling investors Hirsch and Shah reviewed ML’s financial information while preparing its tax returns, without having performed any due diligence; (3) misrepresenting the manner in which participants’ funds would be used by ML; and (4) withholding from participants the suspicion, and later knowledge, that Radical Bunny was operating in violation of Arizona securities laws.
¶ 15 Based upon these findings, the Commission concluded Appellants were primarily liable for violations of the registration and antifraud provisions of the ASA, and also jointly and severally liable as “control persons” of Radical Bunny, pursuant to A.R.S. § 44-1999(B). Accordingly, the Commission ordered Radical Bunny and Appellants to cease and desist from further securities violations. The Commission also ordered Appellants to pay restitution in the amount of $189,800,867 to the 900 remaining Radical Bunny participants, subject to offsets from related federal judicial proceedings. Finally, the Commission ordered Appellants Hirsch, Berta Walder, Howard Walder, and Shah to pay administrative penalties in the amounts of $2 million, $1.25 million, $750,000, and $500,000, respectively.
¶ 16 Appellants timely appealed the Commission’s decision to the superior court. Following briefing and oral argument, the court adopted and affirmed the Commission’s findings and orders. Appellants timely appealed to this Court. We have jurisdiction pursuant to Article 15, Section 17, of the Arizona Constitution, and A.R.S. §§ 12-913 and - 2101(A)(1).
DISCUSSION
¶ 17 On appeal, Appellants do not contest the Commission’s conclusion that they offered and sold securities subject to regulation under the ASA. Nor do they contend the securities were actually registered or exempt, or that either Appellants or Radical Bunny was registered to sell securities. Instead, Appellants raise several issues concerning the sufficiency of the evidence supporting the various violations and the Commission’s calculation of the restitution award and administrative penalties.
¶ 18 “On appeal from a superior court’s review of an administrative decision, we must determine, as did the superior court, whether the administrative action was illegal, arbitrary, capricious or involved an abuse of discretion.” Eaton, 206 Ariz. at 432, ¶ 7, 79 P.3d 1044 (citing Samaritan Health Servs, v. AHCCCS, 178 Ariz. 534, 537, 875 P.2d 193 (App.1994)); see also Ariz. Corp. Comm’n v. Pac. Motor Trucking Co., 116 Ariz. 465, 466, 569 P.2d 1363 (App.1977) (noting it was the burden of the party contesting a decision to show “by clear and satisfactory evidence that the Commission’s decision was unreasonable or unlawful”) (citing Ariz. Corp. Comm’n v. Reliable Transp. Co., 86 Ariz. 363, 372, 346 P.2d 1091 (1959)). “ ‘When reviewing a superior court’s de novo review of a Commission order this Court will not conduct a separate de novo trial but will uphold the trial court’s judgment if it is supported by any reasonable evidence.’ ” Ariz. Corp. Comm’n v. Citizens Utils. Co., 120 Ariz. 184, 187, 584 P.2d 1175 (App.1978) (quoting Sun City Water Co. v. Ariz. Corp. Comm’n, 113 Ariz. 464, 465, 556 P.2d 1126 (1976)). We review de novo, however, questions of law, including issues of statutory interpretation. Webb v. State ex rel. Ariz. Bd. of Med. Examn’rs, 202 Ariz. 555, 557, ¶ 7, 48 P.3d 505 (App.2002) (citing Hansson v. State Bd. of Dental Exam’rs, 195 Ariz. 66, 68, ¶ 6, 985 P.2d 551 (App.1998)).
I. ASA Registration and Anti-Fraud Violations
A. The Loss Causation Requirement Does Not Apply in Enforcement Actions Brought by the Commission.
¶ 19 Appellants argue the Commission is required to prove loss causation in every securities ease and for each type of securities violation, including registration violations. Because the Commission did not present proof of loss causation as to each of the 900 participants, Appellants argue the Commission’s conclusion that they violated the ASA and the corresponding imposition of administrative penalties were unsupported by evidence and therefore, legally erroneous. We disagree.
¶ 20 “Loss causation is nothing more than proximate cause — ‘the allegedly unlawful conduct caused the economic harm.’ ” Grand v. Nacchio, 214 Ariz. 9, 19, ¶ 30, 147 P.3d 763 (App.2006) (quoting AUSA Life Ins. Co. v. Ernst & Young, 206 F.3d 202, 209 (2d Cir.2000)). Appellants argue Grand extended the loss causation requirement to “all statutory and common law securities cases.” In response, the Commission contends Grand’s holding applies only to private securities actions.
¶ 21 The answer is statutory. Arizona’s loss causation requirement is codified in A.R.S. § 44-2082(E), which states in relevant part:
[I]n any private action arising under [Title 44, chapter 12 of the Arizona Revised Statutes], the plaintiff has the burden of proving that the act or omission of the defendant alleged to violate the section under which the private action is brought caused the loss for which the plaintiff seeks to recover damages.
(Emphasis added). Thus, by its plain language, A.R.S. § 44-2082(E) limits the requirement of loss causation to private actions. And, where a statute’s language is clear and unambiguous, we give full effect to that language. Heatec, Inc. v. R.W. Beckett Corp., 219 Ariz. 293, 295, ¶ 6, 197 P.3d 754 (App.2008) (citing Janson ex rel. Janson v. Christensen, 167 Ariz. 470, 471, 808 P.2d 1222 (1991)). Contrary to Appellants’ position, we held in Grand only that a plaintiff in a private action brought under the ASA for damages “must prove loss causation unless the statute governing that claim specifies otherwise.” 214 Ariz. at 26, ¶ 55, 147 P.3d 763. And Grand further specifically recognizes that A.R.S. § 44-1991(A)(2) (prohibiting false statements or material omissions in the offer or sale of securities) does not require a plaintiff to prove loss causation; instead, the lack of loss causation may be asserted as an affirmative defense to the charge. Id. (citing A.R.S. § 44-2082(E)).
¶ 22 Additionally, Arizona’s loss causation requirement with respect to its anti-fraud provisions closely mirrors that of its federal counterpart, rendering federal interpretations instructive. Id. at ¶ 58; see also 1996 Ariz. Sess. Laws, eh. 197, § 11(C) (2d Reg. Sess.) (encouraging courts to “use as a guide the interpretations given by the securities and exchange commission [ (SEC) ] and the federal or other courts in construing substantially similar provisions in the federal securities laws of the United States” when construing the ASA). And federal courts have consistently held that the loss causation requirement does not apply in a federal enforcement action. See, e.g., SEC v. Pirate Investor L.L.C., 580 F.3d 233, 239 n. 10 (4th Cir.2009) (“Unlike private litigants, the SEC need not prove the additional elements of reliance or loss causation.”) (citing SEC v. Rana Research, Inc., 8 F.3d 1358, 1364 (9th Cir.1993)); see also SEC v. Morgan Keegan & Co., Inc., 678 F.3d 1233, 1244 (11th Cir.2012) (similar); SEC v. Blavin, 760 F.2d 706, 711 (6th Cir.1985) (similar) (citing SEC v. N. Am. Research & Dev. Corp., 424 F.2d 63, 84 (2d Cir.1970); Berko v. SEC, 316 F.2d 137, 143 (2d Cir.1963); and SEC v. Lum’s, Inc., 365 F.Supp. 1046, 1059 (S.D.N.Y.1973)).
¶ 23 Neither party specifically addresses application of the loss causation requirement to the ASA’s registration provisions in an enforcement action brought by the Commission. We can discern no reason to treat these provisions differently than those addressing fraud, particularly in light of the statutory language, the immateriality of reliance in performing the Commission’s enforcement purpose, see Morgan Keegan, 678 F.3d at 1244, and federal case law omitting the requirement, see SEC v. Calvo, 378 F.3d 1211, 1214 (11th Cir.2004) (listing elements of a prima facie registration violation under federal law, which did not include proof of causation) (citing SEC v. Cont’l Tobacco Co., 463 F.2d 137, 155 (5th Cir.1972)); see also SEC v. Friendly Power Co. L.L.C., 49 F.Supp.2d 1363, 1373 (S.D.Fla.1999) (imposing civil penalty for registration violation where the “failure to register the[ ] securities ... created a substantial risk that the investors would lose their investments”).
¶ 24 We hold the loss causation requirement articulated in A.R.S. § 44-2082(E) is applicable only to private actions brought pursuant to Title 44, chapter 12 of the Arizona Revised Statutes. Accordingly, the Commission did not err in concluding Appellants violated the registration and anti-fraud provisions of the ASA even absent evidence of loss causation.
B. Sufficient Evidence Supports the Commission’s Finding that Appellants Violated A.R.S. § 44-1991(A)(2).
¶ 25 The Commission found Appellants committed 900 violations of A.R.S. § 44-1991(A)(2) — one for each participant remaining in either of Radical Bunny’s loan programs at the time it filed for bankruptcy. Under this section, a person commits fraud in connection with the offer or sale of securities if that person “[m]ake[s] any untrue statement of material fact, or [fails] to state any material fact necessary in order to make the statements made, in the light of the circumstances under which they were made, not misleading.” A.R.S. § 44-1991(A)(2); see also Aaron v. Fromkin, 196 Ariz. 224, 227, ¶ 15, 994 P.2d 1039 (App.2000) (noting A.R.S. § 44-1991(A)(2) “imposes an affirmative duty not to mislead”) (citation omitted).
¶ 26 Appellants first contend that only five violations are supported by the record because only five participants testified regarding the materiality of Appellants’ representations. They argue that, except for the five participants who testified, the Commission failed to show “a substantial likelihood that the omitted facts would have assumed actual significance in the buyer’s decision.”
¶ 27 Materiality is based upon an objective standard. See TSC Indus., Inc. v. Northway, Inc., 426 U.S. 438, 445, 96 S.Ct. 2126, 48 L.Ed.2d 757 (1976) (“The question of materiality, it is universally agreed, is an objective one, involving the significance of an omitted or misrepresented fact to a reasonable investor.”); Rose v. Dobras, 128 Ariz. 209, 214, 624 P.2d 887 (App.1981) (adopting TSC Industries as the Arizona standard for materiality under securities law). The requirement of materiality is satisfied by “a showing of substantial likelihood that, under all the circumstances, the misstated or ‘omitted fact would have assumed actual significance in the deliberations’ of a reasonable buyer.” Trimble v. Am. Sav. Life Ins. Co., 152 Ariz. 548, 553, 733 P.2d 1131 (App.1986) (quoting Rose, 128 Ariz. at 214, 624 P.2d 887). “Under this test, there is no need to investigate whether an omission or misstatement was actually significant to a particular buyer.” Id.
¶ 28 Here, after hearing testimony and reviewing documentary evidence, the Commission found the misstatements and omissions by Appellants were a substantial factor in a reasonable buyer’s decision to invest. This determination is supported by the record. Appellants misrepresented the status and sufficiency of the collateral purportedly securing the loans to ML, inappropriately vouched for the financial stability of ML and its CEO, misstated the manner in which the loans would be used by ML, and thereby misrepresented the degree of risk involved in the investment. Moreover, Appellants were on notice for at least a year they were violating securities laws but did not disclose this concern despite the fact that the information could not possibly have been perceived as insignificant to their participants.
¶ 29 Appellants next argue Radical Bunny had an “equitable lien” against ML’s assets, and therefore, their statements to participants concerning the existence of collateral securing the loans to ML were not misleading. As an initial matter, we note Appellants do not challenge the other misstatements and omissions upon which the Commission’s finding is based, and those deficiencies persist. Therefore, we remain convinced that reasonable evidence supports the Commission’s finding that Appellants violated A.R.S. § 44-1991(A)(2).
¶ 30 Moreover, assuming Radical Bunny had an equitable interest in ML’s assets, Appellants’ statements to investors were misleading as to the existence, sufficiency, and type of security interest underlying the loans made to ML. In each Direction to Purchase sent to Radical Bunny’s participants, Appellants stated, “Your investment is collateralized by [a] beneficial interest under various deeds of trusts held by [ML].” A beneficial interest is “[a] right or expectancy in something ... as opposed to legal title to that thing. For example, a person with a beneficial interest in a trust receives income from the trust but does not hold legal title to the trust property.” Black’s Law Dictionary (10th ed.2014).
¶ 31 In contrast, an equitable lien has been defined as:
[A] right over property constituting an encumbrance, so that the property itself may be proceeded against in an equitable action and either sold or sequestered upon proof of a contract out of which the lien could grow or of a duty on the part of the holder so as to give the other party a charge or lien on it.
Wolfsmnkel v. Superior Court ex rel. Gila Cnty., 145 Ariz. 154, 156, 700 P.2d 852 (App. 1984). Importantly, the purported equitable lien interest “is merely floating equity until the time that a judgment or decree is rendered actually subjecting the property to the payment of the debt or claim.” Id. (citations omitted). That Radical Bunny might have been able to pursue ML’s assets at some point in the future is radically different, in both design and substance, from the actual first position, secured interest in real estate Appellants promised their investors. See In re Naarden Trust, 195 Ariz. 526, 529, ¶ 11, 990 P.2d 1085 (App.1999) (noting material differences between a beneficial interest in property, created via trust, versus a personal claim against the promissor, created via contract).
¶ 32 Moreover, participants were sent a “Loan Participation Disclosure Statement and Acknowledgements” referencing a security agreement with ML that simply did not exist. And, even after being specifically advised there was no collateral securing the RB-ML Loans, Appellants continued to mislead their investors and took no steps to correct the previous misstatements. The record contains substantial evidence to support the Commission’s determination that Appellants violated A.R.S. § 44-1991(A)(2), and we find no error.
II. Administrative Penalties
¶ 33 Appellants contend the administrative penalties imposed by the Commis sion — totaling $2.15 million against Hirsch, $1.25 million against Berta Walder, $750,000 against Shah, and $500,000 against Howard Walder — are contrary to the evidence. Specifically, Appellants contend that “only five transactions were proven which justify [administrative penalties]” because only five investors testified about their personal dealings with Radical Bunny. Accordingly, Appellants argue the highest aggregate amount of penalties the Commission could impose upon them for the anti-fraud violations was $25,000.
¶ 34 The Commission is authorized by A.R.S. § 44-2036(a) to assess an administrative penalty against a person found to have violated the ASA, or other rule or order of the Commission, “in an amount [] not to exceed five thousand dollars for each violation.” Here, the Commission found each Appellant had committed 900 violations of both of the registration provisions and the anti-fraud provision, for a total of 2,700 violations, and would have been within its power to assess administrative penalties of $13.5 million. However, at the recommendation of the Division, the Commission adopted the penalty amounts stated above.
¶ 35 We find no abuse of discretion. Even if Appellants’ antifraud penalties were capped at $25,000, the total penalty amounts are amply supported by the record. It is undisputed Appellants did not register the securities they offered and sold to 900 participants, were not registered securities dealers or salespersons, and are responsible for 1,800 separate violations of the ASA’s registration provisions. These facts alone support a maximum aggregate penalty of $9 million, far above what was actually imposed. The Commission acts within its discretion in imposing administrative penalties within the applicable limits. Cf. State v. Small, 105 Ariz. 363, 368, 464 P.2d 955 (1970) (‘We cannot say the trial court ... abused its discretion in imposition of the sentence, which is within the statutory minimum and maximum limits.”). Nor can we say the penalties were unsupported by the evidence or arbitrarily or capriciously imposed.
II. Restitution
¶ 36 At the time Radical Bunny stopped the RB-ML Loan Program and the Division brought the enforcement action, the Radical Bunny participants, excluding Appellants, had an outstanding loan principal of $189,800,867. Accordingly, the Commission ordered Appellants to provide restitution in that amount to “repay the nonmanager Participants the principal amount of their investment.”
¶ 37 The Commission’s authority to order restitution arises from A.R.S. § 44-2032(1), which provides in pertinent part:
If it appears to the commission, either on complaint or otherwise, that any person has engaged in, is engaging in or is about to engage in any act, practice or transaction that constitutes a violation of [Title 44, chapter 12], or any rule or order of the commission under this chapter, the commission, in its discretion may:
1. Issue an order directing such person ... to take appropriate affirmative action within a reasonable period of time, as prescribed by the commission, to correct the conditions resulting from the act, practice or transaction including, without limitation, a requirement to provide restitution as prescribed by rules of the commission.
As authorized by A.R.S. § 44-2032(1), the Commission promulgated Arizona Administrative Code (A.A.C.) R14-4-308(C)(Z), which establishes a formula for determining the amount of restitution when ordered, which states:
If restitution is ordered by the Commission, [t]he amount payable as damages to each purchaser shall include:
a. Cash equal to the fair market value of the consideration paid, determined as of the date such payment was originally paid by the buyer; together with
b. Interest at a rate pursuant to A.R.S. § 44-1201 for the period from the date of the purchase payment to the date of repayment; less
c. The amount of any principal, interest, or other distributions received on the security for the period from the date of purchase payment to the date of repayment.
¶ 38 Appellants do not cite or discuss this formula but argue by implication it is invalid because “[w]hen the legislature used the word restitution [in A.R.S. § 44-2032(1)], it imposed the existing case law defining [] restitution,” which they contend is limited to profit personally received by Appellants, rather than the investors’ loss. We review issues of statutory construction de novo, giving words their ordinary meaning unless the context of the statute requires otherwise. Canon Sch. Dist. No. 50 v. W.E.S. Constr. Co., Inc., 177 Ariz. 526, 529, 869 P.2d 500 (1994) (citing Bd. of Supervisors v. Pratt, 47 Ariz. 536, 542-43, 57 P.2d 1220 (1936)).
¶ 39 The plain language of A.R.S. § 44-2032 grants the Commission authority to order actions to “correct the conditions resulting from” the violation of the ASA “including, without limitation, a requirement to provide restitution.” Nothing in A.R.S. § 44-2032 limits the amount of restitution that can be ordered to the benefits “pocketed” by the wrongdoer; on the contrary, the statute specifically states the relief is “without limitation,” and grants the Commission abundant discretion in fashioning a remedy that may “include” restitution — but not to the exclusion of any other type of relief appropriate to “correct” the results of the violations. See State v. Leonardo, 226 Ariz. 593, 595, 250 P.3d 1222 (App.2011) (“The use of the word ‘including’ denotes the list is illustrative and not exclusive.”) (citing Prince & Princess Enters., L.L.C. v. State ex rel. Ariz. Dep’t of Health Servs., 221 Ariz. 5, 8, ¶ 13, 209 P.3d 141 (App.2008)). Notably, the language of both A.R.S. § 44-2032 and A.A.C. R14-4-308 has remained unchanged for at least thirty years, despite sweeping revisions to other areas of the ASA, negating any suggestion the legislature had concerns regarding the Commission’s definition of restitution.
¶ 40 Moreover, the Commission’s interpretation is consistent with both the ordinary meaning of restitution, which focuses on restoring the victim to a prior position, see Hughey v. United States, 495 U.S. 411, 416, 110 S.Ct. 1979, 109 L.Ed.2d 408 (1990) (“[T]he ordinary meaning of ‘restitution’ is restoring someone to a position he occupied before a particular event.”), and the stated intent of the ASA as a remedial measure that should be liberally construed for the protection of the public, Grand, 225 Ariz. at 174, ¶ 16, 236 P.3d 398 (quoting 1951 Ariz. Sess. Laws, ch. 18, § 20 (1st Reg.Sess.)). Thus, the Commission’s formula for restitution addressing the loss to the investor, rather than the — in this case much more limited — profits earned by the violator, is consistent with the plain language of A.R.S. § 44-2032(1).
¶ 41 Appellants argue we must construe A.R.S. § 44-2032(1) in conformance with federal law, but do not cite a federal provision substantially similar to A.R.S. § 44-2032. Such a statute arguably exists in 15 U.S.C. § 78u-2(e), which grants the SEC “[authority to enter an order requiring an accounting and disgorgement” against a person who commits a securities violation. However, the terms restitution and disgorgement, while similar, are different and have different purposes. As the federal courts have routinely found, “disgorgement is not precisely restitution. Disgorgement wrests ill-gotten gains from the hands of a wrongdoer ... and is meant to prevent the wrongdoer from enriching himself by his wrongs. Disgorgement does not aim to compensate the victims of the wrongful acts, as restitution does.” SEC v. Huffman, 996 F.2d 800, 802 (5th Cir.1993) (citations omitted); see also SEC v. Fischbach Corp., 133 F.3d 170, 175-76 (2d Cir.1997). That federal securities laws specify a different remedy than that provided for under Arizona law gives us “good reason to depart from that authority.” Sell v. Gama, 231 Ariz. 323, 327, ¶ 18, 295 P.3d 421 (2013) (noting federal law is persuasive in interpretation of Arizona securities laws only where provisions and underlying policies are similar) (citing State v. Gunni son, 127 Ariz. 110, 112-13, 618 P.2d 604 (1980)).
¶ 42 The Commission promulgated rules to define the remedy available in actions for enforcement of securities violations. Appellants do not dispute that the Commission applied those rules correctly, and the record reflects that the restitution amount was appropriate. Cf. Clay v. Ariz. Interscholastic Assoc., Inc., 161 Ariz. 474, 476, 779 P.2d 349 (1989) (“[A]n agency must follow its own rules and regulations; to do otherwise is unlawful.”); see also Gibbons v. Ariz. Corp. Comm’n, 95 Ariz. 343, 347, 390 P.2d 582 (1964) (determining decision of Commission was void where it failed to comply with its own rules and regulations concerning notice to interested parties). Accordingly, the Commission did not abuse its discretion or act in an arbitrary or capricious fashion by ordering Appellants pay restitution in the amount of $189,800,867. See Grand, 214 Ariz. at 23, 147 P.3d 763 (“[W]e see no injustice in requiring a defendant to return the consideration an unwitting purchaser paid for any securities sold during the course of [a fraudulent] scheme.”)
CONCLUSION
¶ 43 We affirm the superior court’s order upholding the Commission’s order levying administrative penalties and imposing restitution upon Appellants.
¶ 44 Appellants request their attorneys’ fees on appeal. Because Appellants are not the prevailing party, we deny their request. However, as the prevailing party, the Commission is entitled to its costs on appeal, subject to compliance with ARCAP 21(b).
. Absent material changes from the relevant date, we cite a statute's current version.
. We view the facts in the light most favorable to upholding the Commission’s decision. See Eaton v. AHCCCS, 206 Ariz. 430, 431, ¶ 2, 79 P.3d 1044 (App.2003); see also State v. Barber, 133 Ariz. 572, 578, 653 P.2d 29 (App.1982) (noting, in reviewing whether evidence of securities-related crimes was sufficient for presentation to the jury, "all reasonable inferences must be resolved against the appellant”).
. The Division also named Horizon Partners, L.L.C. (Horizon) in the action. Horizon was formed by Appellant Tom Hirsch in 1997 to invest in products offered by Mortgages, Ltd., and essentially subsumed into Radical Bunny in 2005. The Commission found Horizon committed multiple violations of the ASA and levied an administrative penalty against it in the amount of $150,000. However, Horizon did not appeal the decision and is not a party to this appeal.
. Section 44-1991(A) prohibits a person, in connection with any transaction involving the sale or offer to sell securities, from "employ[ing] any device, scheme or artifice to defraud,” "makfing] any untrue statement of material fact, or omit[ting] to state any material fact,” or "engaging] in any transaction, practice or course of business which operates or would operate as a fraud or deceit.”
. Appellants represented to new and existing participants that their funds were to be used by ML solely to fund loans to its own borrowers. However, no document limited ML's use in such a manner, and in fact ML used $35 million to fund its general business operations.
. The Commission did not delineate within its order the specific violations or penalties it considered in calculating these sums.
. Appellants acknowledge evidence of loss causation was provided as to the five Radical Bunny participants that testified at the enforcement hearing.
. Of this amount, $2 million was assessed for Hirsch’s involvement with Radical Bunny and $150,000 for his involvement with Horizon.
. For this reason, we reject Appellants’ argument that we must adopt the penalty imposed by the United States District Court for the District of Arizona in separate proceedings against Appellants for violations of federal securities laws.
|
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OPINION
NORRIS, Judge:
¶ 1 In May 1999, the Legislature repealed the statute that enabled municipalities to use tax increment financing (“TIF”) to finance redevelopment projects. The issue in this appeal is whether Defendant/Appellee Pinal County Treasurer Delores Doolittle is required to distribute TIF revenues to Plaintiffs/Appellants, the Cities of Apache Junction and Casa Grande, because, before the effective date of the repeal, the Cities adopted redevelopment plans that allowed them to use TIF. We hold the County Treasurer is not required to make those distributions and, therefore, affirm the superior court’s judgment in her favor.
FACTS AND PROCEDURAL BACKGROUND
¶ 2 Arizona law authorizes a municipality to acquire and redevelop slum or blighted real property after making a finding of necessity and approving a redevelopment plan. Ariz.Rev.Stat. (“A.R.S.”) §§ 36-1473, - 1474, -1479 (2014). A municipality may finance a redevelopment project with bonds, loans, grants, city tax revenues, cash advances, and other municipal funds. A.R.S. §§ 36—1474(A)(3)(f), (5), (8), -1481(A), -1488 (2014). As codified in A.R.S. § 36-1488.01, 1977 Ariz. Sess. Laws ch. 91, § 7, from 1977 until December 31,1998, a municipality could also fund redevelopment with TIF. A.R.S. § 36-1488.01 (1993) repealed by 1999 Ariz. Sess. Laws ch. 165, § 4.
¶3 TIF allowed a municipality to use property taxes generated by increases in property values above their pre-redevelopment levels, or tax increments, to finance redevelopment itself. Specifically, by including a TIF provision in its redevelopment plan, a municipality became eligible to pay redevelopment costs with “[t]hat portion of the levied taxes each year in excess of’ the amount that would be produced by property within the redevelopment area as valued before approval of the redevelopment plan (“base value”). A.R.S. § 36-1488.01(B); accord City of Tucson v. Corbin, 128 Ariz. 83, 86, 623 P.2d 1239, 1242 (App.1980).
¶ 4 The TIF statutory scheme imposed a corresponding obligation on taxing agencies to pay the tax increment revenues “into a special fund” for the municipality’s redevelopment costs. A.R.S. § 36—1488.01(B). The TIF statute required every redevelopment plan with a TIF provision to specify the length of time TIF revenues could be collected and allocated for redevelopment. Id. at (D)(1). “When the loans, advances and indebtedness [associated with redevelopment], if any, and interest, ha[d] been paid,” any remaining TIF revenues were to be “paid into the funds of the respective taxing agencies as taxes on all other property are paid.” Id. at (B)(2).
¶ 5 In March 1996 and July 1998, respectively, Casa Grande approved the High School Area Redevelopment and Improvement Plan and the Central City Area Redevelopment Plan, and in July 1998, Apache Junction approved the Crossroads Redevelopment Area Improvement Plan (collectively, the “Plans”). All three Plans included a TIF provision that authorized the Cities to use TIF for up to 30 years “from the date of the first collection and allocation of said tax increments.”
¶ 6 In May 1999 the Legislature repealed A.R.S. § 36-1488.01 “effective retroactively to from and after December 31, 1998.” 1999 Ariz. Sess. Laws ch. 165, §§ 4, 10. Despite the repeal, the County Treasurer’s predecessor began to distribute TIF revenues to Apache Junction for its Crossroads Redevelopment Plan in October 1999 and to Casa Grande for its High School and Central City Redevelopment Plans in December 2000 and October 2002, respectively. The County Treasurer continued to make TIF distributions to Apache Junction until September 2010 and to Casa Grande until October 2010. Thereafter, the County Treasurer refused to make any additional TIF distributions to the Cities.
¶ 7 The Cities sued the County Treasurer, and sought, inter alia, a writ of mandamus “ordering the Treasurer to distribute all past and future owed TIF Funds.” The superior court granted summary judgment to the County Treasurer, essentially ruling that the Cities had no right to TIF distributions because the Legislature had repealed A.R.S. § 36-1488.01.
DISCUSSION
I. The Repealing Act
¶ 8 On appeal, the Cities argue the superior court misinterpreted the repealing act, arguing it merely abrogated a municipality’s “authority to include a TIF-based repayment provision in any new redevelopment plan” while leaving intact their right to TIF distributions because they had adopted their Plans before the repeal. Because the construction of the repealing act presents a question of law, we exercise de novo review. See, e.g., Spirlong v. Browne, 236 Ariz. 146, 149, ¶ 8, 336 P.3d 779, 782 (App.2014).
¶ 9 The language of the repealing act does not support the Cities’ argument. See, e.g., Bunker’s Glass Co. v. Pilkington PLC, 206 Ariz. 9, 12, ¶ 4, 75 P.3d 99, 102 (2003) (“Generally, the best indicator of the meaning of a statute is its plain language.” (citation omitted)). The repealing act did not simply address a municipality’s authority to adopt a redevelopment plan incorporating TIF, but rather the entirety of A.R.S. § 36-1488.01. The repealing act states, in relevant part, “Section 36-1488.01, Arizona Revised Statutes, is repealed.” 1999 Ariz. Sess. Laws ch. 165, § 4. Thus, not only did the repealing act repeal the authority of municipalities to include TIF provisions in their redevelopment plans, but it also repealed the obligation of “taxing agencies”—the County Treasurer for our purposes—to annually allocate, collect, and pay the portion of property taxes generated when redevelopment property exceeds its base value. A.R.S. § 36-1488.01(B). Thus, when the Legislature repealed A.R.S. § 36-1488.01, it also revoked and abrogated the County Treasurer’s duty to allocate, collect, and pay TIF distributions each year after December 31, 1998.
¶ 10 Our interpretation of the repealing act is consistent with the intent of the Legislature as reflected in the Senate Fact Sheet which accompanied the repeal. See, e.g., State v. Payne, 223 Ariz. 555, 563 n. 5, ¶ 25, 225 P.3d 1131, 1139 n. 5 (App.2009) (“Senate fact sheets” are “relevant legislative history and ... reflective, though not dispositive, of legislative intent.” (citing State ex rel. Ariz. Dep’t of Revenue v. Capitol Castings, Inc., 207 Ariz. 445, 449, ¶ 19, 88 P.3d 159, 163 (2004))). The stated purpose of the repealing act was “to limit access to public monies for the purpose of financing theme parks, multipurpose facility districts and redevelopment plans.” Final Revised Senate Fact Sheet, H.B.2026, 44th Leg., 1st Reg. Sess. (May 11, 1999) (emphasis added). In particular, the Fact Sheet explained, succinctly and without qualification, the repealing act “[r]etroactively repealed] [the] statute authorizing a city, town or county to utilize property tax increment financing to finance redevelopment projects from and after December 31, 1998.” Id. (emphasis added).
¶ 11 Further, if the Legislature had intended to preserve a municipality’s right to receive TIF distributions under redevelopment plans approved before the repeal, it could have done so clearly and easily with language similar to what it used in other sections of the same act. In addition to TIF, the repealing act also addressed a municipality’s authority to “borrow money and issue bonds to finance construction of ... infrastructure ... reasonably necessary to complete construction of any theme park,” and the authority of municipalities in the same county to organize a multipurpose facilities district with the power to tax and spend county monies. 1999 Ariz. Sess. Laws eh. 165, §§ 1, 8. The Legislature abrogated a municipality’s authority to finance theme park infrastructure or organize a multipurpose facilities district. But, unlike its outright repeal of TIF, the Legislature nevertheless allowed municipalities to continue those projects along with their concomitant financing if they had reached certain milestones by a specified date. See id. Thus, the repealing act allowed municipalities to continue to issue bonds and borrow money to finance infrastructure related to those theme parks “subject to a memorandum of understanding ... entered into before January 1, 1999.” Id. at § 1. Similarly, the repealing act allowed municipalities to form multipurpose facility districts and exercise the associated authority to tax and spend county monies but only if, before December 31, 1998, “the governing body of one or more of the municipalities [forming the multipurpose facilities district] identified the location of a multipurpose facility and ha[d] voted with the purpose of forming a district for multipurpose facilities under this subsection.” Id. at § 8.
¶ 12 The Legislature did not take similar action to preserve a municipality’s right to TIF distributions and notably did not describe any circumstance under which TIF distributions could continue. In the absence of any action similar to the amendment of the theme park and multipurpose facility statutes described above, we will not read an intent to preserve a municipality’s right to TIF distributions into the simple and straightforward language the Legislature did employ to repeal A.R.S. § 36-1488.01. Cf. Sharpe v. Ariz. Health Care Cost Containment Sys., 220 Ariz. 488, 496, ¶ 25, 207 P.3d 741, 749 (App. 2009) (“Under the statutory interpretive principle of expressio unius est exclusio alterius, when the legislature makes a requirement in one provision of the statute but does not include it in another, we assume the absence of the requirement was intentional.” (citation omitted)).
¶ 13 Nevertheless, the Cities argue that by using a retroactive effective date, the Legislature demonstrated an intent to preserve a municipality’s right to TIF distributions under redevelopment plans approved before that date. If the Legislature did not intend to preserve pre-existing rights to TIF revenues without “invit[ing] a rush of cities to enact TIF-based redevelopment plans before the repeal took effect,” the Cities argue, “why have a retroactively effective date at all?” Besides being speculative, this argument begs the question of whether the Legislature intended to preserve such rights in the first place.
¶ 14 Contrary to the Cities’ argument, rejecting their interpretation of the repealing act does not render the retroactive effective date “a nullity.” Cf. Grand v. Nacchio, 225 Ariz. 171, 175-76, ¶ 22, 236 P.3d 398, 402-03 (2010) (“We ordinarily do not construe statutes so as to render portions of them superfluous.” (citation omitted)). The Legislature may have repealed A.R.S. § 36-1488.01 “to from and after December 31, 1998” for other reasons. 1999 Ariz. Sess. Laws ch. 165, § 10. For example, the Legislature may have adopted the retroactive effective date because it wanted to prevent another year of TIF distributions in light of its intent “to limit access to public monies for the purpose of financing ... redevelopment plans.” Final Revised Senate Fact Sheet, H.B.2026, 44th Leg., 1st Reg. Sess. (May 11, 1999). Or, the Legislature may have repealed A.R.S. § 36-1488.01 “to from and after December 31, 1998,” to avoid the administrative complexity of cutting off TIF distributions at a time other than the end of the calendar year. Property taxes are levied annually in August based on valuations assessed as of January 1 of the preceding calendar year. A.R.S. §§ 42-11001(18), (19)(a), -17151(A) (Supp. 2014).
¶ 15 Thus, we hold the repealing act did not preserve the Cities’ right to TIF distributions arising from taxes levied after December 31, 1998, and it affirmatively abrogated the County Treasurer’s obligation to make TIF distributions after that date.
II. A.R.S. Section 1-249
¶ 16 The Cities also argue that interpreting the repeal of A.R.S. § 36-1488.01 to abrogate their right to TIF distributions violates the rule of statutory construction that “no right accrued is affected by the repealing act.” A.R.S. § 1-249 (2002). See Higgins’ Estate v. Hubbs, 31 Ariz. 252, 264, 252 P. 515, 519-20 (1926). The Cities contend their “right” to receive TIF distributions for the entire 30-year term of their Plans accrued when they “exercised their state-conferred authority to promulgate TIF-based redevelopment plans” in 1996 and 1998, and, that right, having accrued in 1996 and 1998, remained unaffected by the repeal. We disagree.
¶ 17 Black’s Law Dictionary defines “accrue” as “[t]o come into existence as an enforceable claim or right; to arise,” 22 (8th ed.2004), and “accrued right” as a “matured right; a right that is ripe for enforcement.” Id. at 1347. Our case law substantiates this articulation as Arizona courts have held that a statutory right has accrued, and thus is unaffected by repeal under A.R.S. § 1-249, only when all conditions necessary for its enforcement have occurred before the effective date of the repeal. See, e.g., Maricopa Cnty. v. Douglas, 69 Ariz. 35, 42, 208 P.2d 646, 650 (1949) (county’s statutory right to pursue recovery of old-age assistance from recipient’s children not abrogated by amendments enacted after events giving rise to county’s claim); Higgins’ Estate, 31 Ariz. at 264-65, 252 P. at 519-20 (state’s statutory claim against estate for inheritance tax “accrued” at time of death and, thus, was unaffected by subsequent repeal); Brunet v. Murphy, 212 Ariz. 534, 540, ¶ 25, 135 P.3d 714, 720 (App.2006) (right to sue physician under statute had “accrued” because predicate injury occurred before amendment abrogating right to sue). Of. Broum Wholesale Elec. Co. v. H.S. Lastar Co., 152 Ariz. 90, 94, 730 P.2d 267, 271 (App.1986) (statutory right to proceed against general contractor’s bond did not survive modification of statute because condition that building materials be used not met before effective date of repeal); In re Dos Cabezas Power Dist., 17 Ariz.App. 414, 418, 498 P.2d 488, 492 (1972) (right to form power district did not survive amendment precluding its formation because power district’s “future existence was [still] subject to a favorable vote” on effective date of amendment).
¶ 18 Here, the Cities’ right to TIF distributions did not accrue—was not ripe for enforcement—when they approved the Plans; instead that right was expectant and contingent. See Hall v. A.N.R. Freight Sys., Inc., 149 Ariz. 130, 140, 717 P.2d 434, 444 (1986) (“[Rights] are expectant when they depend upon the continued existence of the present condition of things until the happening of some future event. They are contingent when they are only to come into existence on an event or condition which may not happen....” (quoting Steinfeld v. Nielsen, 15 Ariz. 424, 465, 139 P. 879, 896 (1913))).
¶ 19 First, when they adopted the Plans, the Cities’ right to receive a TIF distribution was contingent on property values within the redevelopment areas exceeding their base values. A.R.S. § 36-1488.01(B). Rising property values are never certain, even with redevelopment. See, e.g., Joseph Blocher & Jonathan Q. Morgan, Univ. of N.C. at Chapel Hill Sch. of Gov’t, Questions About Tax In crement Financing in North Carolina, 5 Community and Econ. Dev. Bull. 1, 9-10 (2008); Richard Briffault, The Most Popular Tool: Tax Increment Financing and the Political Economy of Local Government, 77 U. Chi. L.Rev. 65, 80-82 (2010). Second, even ignoring this practical reality, when they approved their Plans, the Cities’ right to any TIF distribution remained contingent on taxes being levied, allocated, and, most importantly, collected. A.R.S. § 36-1488.01(B). Thus, the Cities’ right to TIF distributions arising from taxes levied after the effective date of the repeal was not ripe for enforcement when the Cities approved their Plans in 1996 and 1998. Cf. Dos Cabezas Power Dish, 17 Ariz.App. at 418, 498 P.2d at 492 (party seeking to enforce right to form power district, based on statute repealed while formation of district was still “subject to the contingency of a favorable vote at the polls,” “beg[ged] the question” by framing its right as “a vested right to call an election,” and “real issue” remained whether party seeking to form district “had an immediate fixed right to in fact be a power district”).
¶ 20 The Cities rely on a case decided by the Ohio Supreme Court for the proposition that the repeal of a statute cannot affect “the consequences of its operation while in force.” State ex rel. Bd. of Educ. of Kenton City Sch. Dish v. State Bd. of Educ., 174 Ohio St. 257, 189 N.E.2d 72, 75 (1963) (citation omitted). Even accepting this general rule of law, the Cities do not take the crucial analytical step of addressing the consequences of A.R.S. § 36-1488.01 when it was in force. As the Ohio Supreme Court also noted: “the determination of what is a ‘right’ in a situation ... must be made with respect to that particular situation or instance out of which it is claimed to have arisen.” Kenton City Sch. Dish, 189 N.E.2d at 76. Kenton City School District as well as Toledo City School District Board of Education v. State Board of Education — a case the Cities relied on at oral argument before this court — both held school districts were entitled to certain funds notwithstanding the repeal of the statutes that entitled the school districts to those funds. Kenton City Sch. Dish, 189 N.E.2d at 76; Toledo City Sch. Dish, 18 N.E.3d 505, 519-20 (Ohio App.2014). In each case, however, unlike here, before the repeals, the school districts had met all of the conditions necessary to earn the funding, and thus, to deny the school districts the funding would be to undo the consequences of the statutes’ operation while they were in force. Kenton City Sch. Dish, 189 N.E.2d at 76 (“Inasmuch as the statute was in force at the time of consolidation [which entitled the school district to certain funds] in the present case, a right accrued to the consolidated district which, if the statute had not been amended, could have beyond question been enforced by a writ of mandamus.”); Toledo City Sch. Dish, 18 N.E.3d at 518 (“[T]o the extent that the 2009 Budget Bill nullifies the [school] Districts’ statutory right to ... funding in [financial year] 2005 through [financial year] 2007, the Budget Bill affects a substantive right belonging to the [school] Districts. As such, the relevant portion of the 2009 Budget Bill is unconstitutionally retroactive....”).
¶ 21 In contrast to Kenton City School District and Toledo City School District, denying the Cities TIF distributions from taxes levied on and after December 31, 1998 does not alter the consequences of the operation of A.R.S. § 36-1488.01 before that date. Unlike the Ohio cases, with the repeal of AR.S. § 36-1488.01 the Legislature did not nullify or deny funds the Cities had earned before the repeal. Our conclusion, thus, merely effectuates the Legislature’s intent to halt the operation of the TIF machinery “to from and after December 31, 1998.” 1999 Ariz. Sess. Laws ch. 165, § 10.
III. The Presumption against Retroactivity
¶ 22 Finally, the Cities argue the superior court’s ruling violates the “deeply rooted” policy against retroactive legislation. Landgraf v. USI Film Prods., 511 U.S. 244, 265, 114 S.Ct. 1483, 1497, 128 L.Ed.2d 229 (1994); see also A.R.S. § 1-244 (2002). “If a right is not vested,” however, “abrogation of that right does not amount to a retroactive abrogation.” Brunet, 212 Ariz. at 538, ¶ 14, 135 P.3d at 718; accord Hall, 149 Ariz. at 139-40, 717 P.2d at 443-44. Even if we assume the Cities could have a vested right to TIF distributions, but see City of Tucson v. Whiteco Metrocom, Inc., 194 Ariz. 390, 394, ¶ 9, 983 P.2d 759, 763 (App.1999), on appeal the Cities have specifically acknowledged they are not claiming any such right.
CONCLUSION
¶ 23 For the foregoing reasons, we affirm summary judgment in favor of the County Treasurer. Pursuant to A.R.S. § 12-348.01 (Supp.2014), and A.R.S. § 12-341 (2003), we award the County Treasurer reasonable attorneys’ fees and statutory taxable costs on appeal, contingent upon her compliance with Arizona Rule of Civil Appellate Procedure 21.
. "In theory, the [TIF] process is a closed circuit: the incremental revenues pay for the public expenditures, which induce the private investment, which generates the incremental revenues, which pay for the public expenditures.” Richard Briffault, The Most Popular Tool: Tax Increment Financing and the Political Economy of Local Government, 77 U. Chi. L.Rev. 65, 68 (2010).
. Though the Arizona Legislature amended these statutes after it repealed A.R.S. § 36-1488.01, these amendments did not materially alter the subsections referenced above.
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OPINION
THOMPSON, Judge:
¶ 1 Flood Control District of Maricopa County (District) appeals from the revised second amended judgment entered on remand after this Court’s decisions in Flood Control District of Maricopa County v. Paloma Investment Ltd. Partnership, 230 Ariz. 29, 279 P.3d 1191 (App.2012). The District contends that the interest rate on the amended judgment is contrary to law, and that the superior court erred in ordering partial payments on the amended judgment to be credited first to interest accrued and then to the remaining principal balance. For the following reasons, we affirm.
FACTS AND PROCEDURAL HISTORY
¶ 2 This appeal arises from a 1993 flood of the Gila River and breach of the Gillespie Dam, which caused extensive downstream flood damage to land owned by farmers (the Farmers). Before the flood, the District was involved in a flood control project and had entered into an agreement with the owners of Gillespie Dam, Paloma Investment Limited, Prudential Insurance Company of America, and Paloma Ranch Joint Venture (Dam Owners), whereby the Dam Owners granted the District a flood control easement over 26.8 acres of the flood plain and river bed in exchange for the District’s indemnification of the Dam Owners.
¶ 3 The Farmers filed a complaint for damages against the Dam Owners and the District. In 1997, the District filed a complaint for declaratory relief against the Dam Owners seeking a judgment declaring that the District had no obligation under the easement agreement to defend or indemnify the Dam Owners in any claim brought by the Farmers. The Dam Owners then filed a counterclaim against the District, alleging that the District’s flood control project caused the Dam to fail, and seeking compensation from the District pursuant to the indemnity agreement. The cases were later consolidated for trial, and then the consolidated eases were bifurcated into liability and damages phases.
¶ 4 In 2007, after the jury’s liability finding but before the award of damages, the Dam Owners and the Farmers settled their dispute in a Damron/Morris agreement. United Sens. Auto. Ass’n v. Morris, 154 Ariz. 113, 741 P.2d 246 (1987); Damron v. Sledge, 105 Ariz. 151, 460 P.2d 997 (1969). The Dam Owners agreed to pay the Farmers $3.3 million, consented to a $14.75 million judgment, and agreed to either assign their indemnity claim against the District to the Farmers or allow the Farmers to join their indemnity action against the District. In exchange, the Farmers agreed not to execute on the judgment against the Dam Owners beyond the $3.3 million. The superior court determined that the settlement between the Farmers and the Dam Owners was reasonable, and on August 21, 2007, entered judgment consistent with the settlement, “with interest running at the legal rate of 10% per annum.”
¶ 5 After a hearing on the District’s declaratory judgment action and the scope of the indemnity agreement, the superior court ruled that the indemnification clause in the easement imposed a duty on the District to indemnify the Dam Owners for the full amount of the stipulated judgment in favor of the Farmers, $14.75 million, and obligated the District to compensate the Dam Owners for all costs and fees they incurred during various actions pertaining to the flood. Thus, on November 18, 2009, the court entered an amended judgment awarding the Dam Owners $11.45 million for the unpaid portion of the stipulated judgment with the Farmers, and awarding the Dam Owners approximately $8.4 million in costs and fees incurred in defending the claims brought by Farmers. The Judgment further stated that: “All sums awarded in this judgment shall bear interest from the date hereof at the rate provided by law, except that interest shall accrue on the amount of [$11.45 million] ... at the rate provided by law from August 21, 2007, the date on which an order was entered on the issue of the reasonableness of that judgment in the companion case.” Finally, the superior court awarded the District Rule 68 sanctions against certain Dam Owners (not parties to the indemnity agreement) who failed to recover against the District.
¶ 6 Both parties appealed, and on May 31, 2012, this court affirmed the superior court’s ruling that the indemnity agreement between the District and the Dam Owners covered all of the Dam Owners’ liability related to the breach in the Dam, including the entire amount stipulated to by the Dam Owners in the settlement agreement with the Farmers. See Flood Control Dist. of Maricopa Cnty., 230 Ariz. at 36, ¶ 11, 279 P.3d at 1198. However, we reversed and remanded to the superior court for it to consider whether to allocate the Rule 68 sanctions in proportion to the offer of judgment that the District made to certain Dam Owners, and to determine the amount of prejudgment interest on the Farmers’ settlement amount, accruing as of the date of the judgment approving the Farmers’ settlement with the Dam Owners. Id. at 50-51, ¶ 91, 279 P.3d at 1212-13. The District’s petition for review was denied by our Supreme Court on December 4, 2012.
¶ 7 On December 28, 2012, the District tendered payment via wire transfers in the following amounts: $14,059,111.54 to a trust account for the Farmers, as partial assignees of the Dam Owners; and $9,612,678.20 to a trust account for the Dam Owners. Approximately an hour after the wire transfer, counsel for the District sent an e-mail to the Dam Owners’ and the Farmers’ attorneys notifying them of the payments on the amended judgment. The District’s e-mail explained that the wire transfer to the Farmers “represents payment of the principal amounts due to the Farmers as partial assignees of the Dam Owners per the 11/18/09 judgment, plus interest at 4.25% from 8/21/07 through 12/28/12.” In addition, the e-mail said that the wire transfer to the Dam Owners’ account “represents payment of the principal amounts due to [the Dam Owners] per the 11/18/09 judgment plus interest at 4.25% from 11/18/09 through 12/28/12.” The e-mail concluded by stating:
[p]ayment of interest has been made calculated on the statutory rate currently in effect of ... 4.25. It is the intention of the District to “cut-off’ as much accruing interest as possible by the making of these payments today and for the issues surrounding [Arizona Revised Statutes] A.R.S. [§ ] 44-1201 to be resolved by the parties or with the assistance of the courts in the future.
¶ 8 Counsel for the Farmers immediately responded to the District’s e-mail, requesting confirmation that “the Farmers’ [sic] may use the wired funds without risking any claim by [the District] that they have waived their right to pursue interest on the judgment at the 10% rate in effect at the time the judgment was entered.” Counsel for the Dam Owners likewise sought confirmation that the Dam Owners “reserve their rights to dispute the sufficiency of the sums wired and that the use of these funds will not result in an accord and satisfaction claim by [the District].” In two follow-up e-mails and a letter dated January 17, 2013, the District’s counsel clarified that although it is the District’s position that “it has made payment in full of amounts owed by the District per the 2009 Amended Judgment,” the payment “did not prevent further litigation of the interest rate issue” and was “intended to ‘cut off the further accrual of interest on the principal amounts due to the judgment creditors” while leaving the issue of the correct statutory rate of interest to be resolved in the future.
¶ 9 The Farmers and Dam Owners accepted the District’s payments on the amended judgment and applied the payment first to the accrued interest, at a rate of ten percent per annum, with the remaining amount applied to the principal judgment. After crediting the payments in this fashion, a principal balance of $1,506,768.17 remained on the judgment in favor of the Farmers, and a principal balance of $426,629.54 remained on the judgment in favor of the Dam Owners.
¶ 10 On January 8, 2013, this court issued its Mandate requiring the superior court to determine whether to apportion sanctions among the Dam Owners in proportion to the offers of judgment made by the District, and to determine the amount of prejudgment interest on the Farmers’ settlement amount. At the hearing, the Dam Owners also moved to enforce their claim for the alleged unpaid portion of the amended judgment. After apportioning sanctions, the superior court found that “A.R.S. § 44-1201[ (B) ] controls and that the proper rate of interest to be accumulated on the Amended Judgment entered on November 18, 2009, continues to be interest at the rate of ten (10%) per cent per annum until paid in full.” The superior court also found that the District’s partial payment on the amended judgment should be “credited first to the accumulated interest and then to the principal balance of the amended judgment” pursuant to the “United States Rule.” Accordingly, the superior court entered a second amended judgment in favor of the Dam Owners and the Farmers.
¶ 11 The District timely appealed. We have jurisdiction pursuant to A.R.S. § 12-2101(A)(1) (Supp.2014).
DISCUSSION
Appeal is Not Moot
¶ 12 The Dam Owners assert that the District’s appeal is moot because the District paid the entire remaining amount of principal and interest due on September 3, 2013, which was after the superior court’s June 20, 2013 minute entry ruling, but before that ruling was reduced to judgment on November 1, 2013. The Dam Owners contend that because the payment was made before the entry of the second amended judgment, the District’s payment was not compulsory. We disagree.
¶ 13 Payment of a judgment will preclude an appeal only when the payment is voluntary. Del Rio Land, Inc. v. Haumont, 110 Ariz. 7, 10, 514 P.2d 1003, 1006 (1973). Payments made “by way of compromise and settlement or under an agreement not to appeal or under circumstances leaving only a moot question for determination” are considered to be voluntarily made. Id. (quoting 2 A.C. Freeman, A Treatise on the Law of Judgments § 1165, at 2410 (5th ed.1925)); see Webb v. Crane Co., 52 Ariz. 299, 320, 80 P.2d 698, 708 (1938) (stating that even though execution of judgment has not issued, payment of judgment “must be regarded as compulsory”); see also Raimey v. Ditsworth, 227 Ariz. 552, 559, ¶ 22, 261 P.3d 436, 443 (App.2011) (when judgment reversed, judgment debtor who has satisfied the judgment is entitled to restitution); Restatement (First) of Restitution § 74 (1937) (stating that a person who has conferred a benefit upon another in compliance with judgment is entitled to restitution if the judgment is reversed or set aside).
¶ 14 In this case, there was no compromise, settlement, nor an agreement not to appeal. Indeed, the District filed its reply in support of its motion for reconsideration of the superior court’s minute entry eight days after it had tendered payment of the remaining amount due under the amended judgment. Furthermore, because the District’s satisfaction of the judgment was to avoid the consequences of failing to comply with the court’s order and the additional accrual of interest on the judgment, it cannot be said to have benefited from satisfying the judgment. Therefore, the District’s appeal is not moot.
Interest Rate on the Amended Judgment
¶ 15 The District first argues that the interest on the amended judgment awarded by the trial court was contrary to law. Although the interest rate was ten percent at the time the amended judgment was entered on November 18, 2009, the District claims that the superior court should have reduced the rate to 4.25 percent for the period after the judgment was entered based on an amendment to A.R.S. § 44-1201(B) (Supp. 2012).
¶ 16 When parties have not agreed otherwise, a statute will control the interest rate applied to a judgment resolving their dispute. McBride v. Superior Court, 130 Ariz. 193, 194, 635 P.2d 178, 179 (1981) (“Interest upon a judgment is a statutory and not a contractual obligation.”). Whether the interest rate set forth in A.R.S. § 44-1201(B) applies to a 2009 judgment presents a question of law we review de novo. See Jenkins v. Hale, 218 Ariz. 561, 563, ¶ 10, 190 P.3d 175, 177 (2008) (statutqry interpretation is a legal question).
¶ 17 Normally, we regard a statute’s plain language as the best indicator of its intended meaning, and we attempt to give effect to that meaning. Mathews ex rel. Mathews v. Life Care Ctrs. of Am., Inc., 217 Ariz. 606, 608, ¶ 6, 177 P.3d 867, 869 (App.2008). If the language is subject to more than one interpretation, “we attempt to determine legislative intent by interpreting the statutory scheme as a whole and consider the statute’s context, subject matter, historical background, effects and consequences, and spirit and purpose.” Hughes v. Jorgenson, 203 Ariz. 71, 73, ¶ 11, 50 P.3d 821, 823 (2002), (quoting UNUM Life Ins. Co. of Am. v. Craig, 200 Ariz. 327, 330, ¶ 12, 26 P.3d 510, 513 (2001)).
¶ 18 Prior to the 2011 amendment, A.R.S. § 44-1201(A) (2003) stated: “Interest on any loan, indebtedness, judgment or other obligation shall be at the rate of ten per cent per annum, unless a different rate is contracted for in writing, in which event any rate of interest may be agreed to.” As amended, A.R.S. § 44-1201(B) provides:
Unless specifically provided for in statute or a different rate is contracted for in writing, interest on any judgment shall be at the lesser of ten per cent per annum or at a rate per annum that is equal to one per cent plus the prime rate as published by the board of governors of the federal reserve system in statistical release H.15 or any publication that may supersede it on the date that the judgment is entered. [ ] The judgment shall state the applicable interest rate and it shall not change after it is entered.
¶ 19 Section 44-1201(B) was amended by 2011 Ariz. Sess. Laws, ch. 99, § 17 (1st Reg.Session). Section 17 of that session law provides that:
B. Section 44-1201, Arizona Revised Statutes, as amended by this act, applies to all loans that are entered into, all debts and obligations that are incurred and all judgments that are entered on or after the effective date of this act.”
2011 Ariz. Sess. Laws, ch. 99, § 17 (1st Reg.Session) (emphasis added).
¶ 20 The language of section 17 is a clear indication that A.R.S. § 44-1201(B) does not apply to judgments entered before the effective date of the amendment, July 20, 2011. Nonetheless, the District contends that because the plain language of A.R.S. § 44-1201(B) includes interest “on any judgment,” this court is precluded from considering the enacted 2011 session law. We find this argument to be without merit. When the legislature specifies the statute’s applicability or purpose in the session law that contains the statute, it is appropriate to interpret the statutory provisions in light of that enacted provision. See Grand Canyon Trust v. Ariz. Corp. Comm’n, 210 Ariz. 30, 40 n. 13, ¶¶ 43-44, 107 P.3d 356, 366 n. 13 (App.2005) (noting the “statement of legislative purpose is itself enacted and is thus subject to the entire review process by which a bill becomes law”); see also Smith v.Super. Ct., Pima County, 17 Ariz.App. 79, 82, 495 P.2d 519, 522 (1972) (citing legislative history as further support despite finding no ambiguity in the statute).
¶ 21 Because we conclude that the 2011 amendment to A.R.S. § 44-1201(B) is limited to judgments entered on or after its effective date, the District’s reliance on McBride v. Superior Court is misplaced. In McBride, the petitioners obtained a personal injury judgment in January 1979 with a statutory interest rate of 6 percent. 130 Ariz. at 193, 635 P.2d at 178. The petitioners argued that a December 1979 amendment to A.R.S. § 44-1201(A), which increased the rate of interest on a judgment from 6 percent to 10 percent per annum, applied to their judgment. Id. at 193-94, 635 P.2d at 178-79. Our Supreme Court agreed, holding that “interest [on] a judgment is a statutory and not a contractual obligation, and when the interest rate [is] changed by statute, the rate of interest on [a] judgment [is] also changed.” Id. at 194, 635 P.2d at 179. Thus, the Court found that the petitioners were entitled to 6 percent interest from the date of the judgment until the effective date of the amendment, and 10 percent interest thereafter. Id.
¶ 22 However, the 1979 amendment to A.R.S. § 44-1201 did not contain the applicability language included in the enactment of the 2011 amendment. 1980 Ariz. Sess. Laws, ch. 2, § 4 (2nd Spec.Sess.). Moreover, the legislature further clarified the statute’s applicability by adding the following sentence in the 2011 amendment: “The judgment shall state the applicable interest rate and it shall not change after it is entered.” Based on the plain language of the statute and this history, it is obvious that the legislature intended to limit the applicability of the reduced interest rate set forth in A.R.S. § 44-1201(B) to judgments that were entered on or after July 20, 2011, and to further limit any future statutory interest rate changes from affecting those judgments entered during the time that the current statute remained in effect. Consequently, the superior court did not err in applying an interest rate of ten percent per annum on the amended judgment from November 18, 2009 until satisfaction of the judgment.
Application of Payments to Principal or Interest
¶ 23 The District next argues the superior court erred in ordering that the De cember 28, 2012 partial payment be credited first to interest accrued, and then to the remaining principal balance. The District asserts that because it informed the Dam Owners and Farmers that the wire transfer represented payment of the principal amount due, plus interest at 4.25 percent per annum, Arizona law required the court to order that the payment be applied first to the principal balance. We review de novo the superior court’s legal conclusions, as well as its findings regarding mixed questions of law and fact. Pueblo Santa Fe Townhomes Owners’ Ass’n v. Transcontinental Ins. Co., 218 Ariz. 13, 19, ¶ 19, 178 P.3d 485, 491 (App.2008).
¶ 24 Arizona courts have long held that a debtor who makes a payment has a right to direct how the payment shall be applied, and that if no instruction was given, the creditor has the right to make the application as he or she sees fit. See Cameron v. Sisson, 74 Ariz. 226, 246 P.2d 189 (1952); Valley Nat’l Bank of Phoenix v. Shumway, 63 Ariz. 490, 163 P.2d 676 (1945); Chudzinski v. Chudzinski, 26 Ariz.App. 130, 546 P.2d 1139 (1976); Braden Machinery Co. v. Valley Nat’l Bank of Arizona, 19 Ariz.App. 447, 508 P.2d 112 (1973); Webb, 52 Ariz. at 311-12, 80 P.2d at 704. However, this court has also recognized that “the above-cited common law rule relates only to application of payments that have been voluntarily made by the debtor; it has no application where the payment has been involuntarily made, such as through execution or judicial sale.” Nestle Ice Cream Co. v. Fuller, 186 Ariz. 521, 523, 924 P.2d 1040, 1042 (App.1996) (emphasis added) (citing 60 Am.Jur.2d Payment § 103 (1987)); see also O’Dell v. United States, 326 F.2d 451, 456 (10th Cir.1964) (holding that the court could not require the I.R.S. to credit the involuntary payment for tax liabilities in the manner instructed by the debtor); In re Bulk Sale of Inventory, 6 Kan.App.2d 579, 631 P.2d 258, 262 (1981) (noting that although the debtor’s act of turning over assets for bulk sale was voluntary, the payment of tax lien from proceeds was involuntary and thus, subject to the application as designated by the creditor).
¶ 25 Here, the District’s December 2012 partial payment on the amended judgment was clearly involuntary. See Nestle Ice Cream Co., 186 Ariz. at 523, 924 P.2d at 1042; see also Del Rio Land, 110 Ariz. at 10, 514 P.2d at 1006 (absent compromise, settlement, or an agreement not to appeal, payment of judgment is involuntary); Freeman v. Wintroath Pumps-Div. of Worthington Corp., 13 Ariz.App. 182, 184, 475 P.2d 274, 276 (1970) (“Even though execution was not issued, the payment of a judgment must be regarded as compulsory.”). Thus, the question before us is how the District’s involuntary payments should be applied to the principal on the amended judgment and to the interest accrued. This court faced a similar issue in Martin v. Martin, 198 Ariz. 135, 138, ¶¶ 14-15, 7 P.3d 144, 147 (App.2000). In Martin, the father argued that his child support payments should apply first to the principal of his arrearage and thereafter to the interest accrued. Id. at 138, ¶ 12, 7 P.3d at 147. In rejecting the father’s argument, this court first noted that in Arizona, each child support installment vests as a final judgment as it becomes due and is enforceable by law. Id. at ¶ 14 (citing Jarvis v. Jarvis, 27 Ariz.App. 266, 267-68, 553 P.2d 1251, 1252-53 (1976)). We then adopted the “United States Rule” for partial payments on such final judgments. Id. at ¶ 15; see Story v. Livingston, 38 U.S. (13 Pet.) 359, 10 L.Ed. 200 (1839) (establishing the “United States Rule”). Under the “United States Rule,” absent an agreement or statute to the contrary, partial payments of a debt are to be applied “first to unpaid interest due and thereafter to the principal debt.” Id. at ¶ 14; see also 44B Am.Jur.2d Interest and Usury § 72 (1999).
¶ 26 We agree with Martin that the purpose behind the “United States Rule” is sound:
[Ajllocating payments first to interest encourages debtors to pay the full balance due when both principal and interest are owing____If payment were applied first to principal, then a creditor could be left with a non-interest bearing balance of accumulated interest and the debtor would have no incentive for speedy payment. By encouraging full payment, the rule ensures that the creditor is compensated for the loss of use of the principal.
Id. at ¶ 15; see also Alley v. Stevens, 209 Ariz. 426, 428, ¶ 10, 104 P.3d 157, 159 (App. 2004) (following “United States Rule” to apply father’s child support payments to interest arrearage first and principal arrearage second). Although a contrary result may be dictated by agreement of the parties, no such agreement existed here. Accordingly, the superior court correctly applied this rule by crediting payments first to the accrued interest on the amended judgment, and then to the remaining principal.
CONCLUSION
¶ 27 For the foregoing reasons, we affirm the superior court’s second amended judgment. The Dam Owners request an award of attorneys’ fees pursuant to A.R.S. § 12-349 (Supp.2014). We deny that request. The Dam Owners also request attorneys’ fees pursuant to A.R.S. §§ 12-348 (Supp.2014), and -341.01 (Supp.2014), which request we grant upon their compliance with ARCAP 21.
. Gillespie 0am Investments, L.L.C., Paloma Water Users, Inc. and Charter, L.L.C. joined the counterclaim, seeking to recover damages for the District’s alleged fault in the breach of the Dam. They were not beneficiaries of the indemnify agreement.
. The jury found that although the District did not cause the Dam to fail, it was ten percent at fault for the Farmers’ damages, and the Dam Owners were eighty percent at fault for negligently maintaining the Dam. See A Tumbling-T Ranches v. Flood Control Dist. of Maricopa Cnty., 222 Ariz. 515, 532 ¶ 44, 217 P.3d 1220, 1237 (App.2009) (affirming judgment on allocation of fault).
. This court affirmed the reasonableness of the settlement agreement in A Tumbling-T Ranches v. Flood Control Dist. of Maricopa Cnty., 220 Ariz. 202, 208, ¶ 15, 204 P.3d 1051, 1057 (App. 2008), but left the scope of the indemnification agreement to be determined in the pending declaratory judgment action.
. To the extent the Dam Owners assert that the payments of the amended judgment were voluntary, we are not obliged to adopt erroneous statements of the law and reject that characterization both as to mootness and payment allocation between principal and interest. See infra, ¶ 25; see also Engel v. Landman, 221 Ariz. 504, 510, ¶ 21, 212 P.3d 842, 848 (App.2009) (“We draw our own legal conclusions from [the] facts found or implied in the judgment.”).
. This amendment was signed by the governor on April 13, 2011. See 2011 Ariz. Sess. Laws, ch. 99, § 17 (1st Reg.Sess.). An act containing no specific date takes effect on the ninety-first day after the Legislature adjourns the session in which it was enacted. True v. Stewart, 199 Ariz. 396, 397 n. 1, ¶ 3, 18 P.3d 707, 708 n. 1 (2001). In this case, the session adjourned on April 20, 2011, and accordingly the effective date was July 20, 2011. See id.
. Under the amended statute, the post-judgment rate was 4.25 percent, based on the prime rate of 3.25 percent on July 2011. See Board of Governors of the Federal Reserve System, http://www. federalreserve.gov/releases/h15/20110725/ (last visited January 30, 2015).
. We reject the District's logical fallacy that the applicability of the "United States Rule” in Arizona is limited to pre-December 1998 child support arrearage payments. Martin held that absent an agreement or statute to the contrary, payments on final judgments are to be applied first to interest due, and second to the remaining principal, pursuant to the "United States Rule.” 198 Ariz. at 138, ¶ 13, 7 P.3d at 147. The 1998 statutory change in family support cases does not affect the general rule set forth in Martin applying the "United States Rule” to final judgment payments. See A.R.S. § 25-510(A)(4) (Supp. 2014).
. The District asserts for the first time in its reply brief that it "takes the position that the correspondence between the parties ... demonstrates an agreement to pay principal and interest up to 4.25%.” Because the District failed to raise this issue in the trial court and opening brief, it is deemed untimely and waived. See Odom v. Farmers Ins. Co. of Ariz., 216 Ariz. 530, 535, ¶ 18, 169 P.3d 120, 125 (App.2007); Jones v. Burk, 164 Ariz. 595, 597, 795 P.2d 238, 240 (App.1990).
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OPINION
MILLER, Judge:
¶ 1 Josiah Austin appeals from the trial court’s judgment denying his motion to compel arbitration. For the following reasons, we affirm.
Factual and Procedural Background
¶ 2 In reviewing a denial of a motion to compel arbitration, we must defer to the trial court’s factual findings unless clearly erroneous. Harrington v. Pulte Home Corp., 211 Ariz. 241, ¶¶ 8, 16, 119 P.3d 1044, 1048, 1049-50 (App.2005). None of the parties directly challenges the court’s factual findings under this standard. Given the complex nature of the underlying property transactions in the case before us, a detailed review of the factual background is necessary.
¶ 3 Josiah and Valer Austin were married in 1982. Valer has two children by a previous marriage (hereinafter “children”). Valer had inherited substantial property before her marriage to Josiah. Early in the marriage, Valer agreed to Josiah’s management of a portion of her assets with the understanding that the majority of the assets would continue to be managed by third parties and monitored by Josiah.
¶ 4 Valer, in her estate planning, wished to ensure that certain of her property would be transferred to the children at specific future dates. Accordingly, in November 1987, Valer created two Grantor Retained Income Trusts (GRITs) for the benefit of her children. The Valer C. Austin Trust I dated November 19, 1987 (Valer GRIT) was created as an irrevocable trust for a period of 15 years, with the children designated as the beneficiaries, and was funded by Valer’s separate property. The Josiah Austin Trust I dated December 17, 1987 (Josiah GRIT) was created as an irrevocable trust for a period of 20 years with the children designated as the beneficiaries. Although Josiah was shown as the grantor of the assets in the Josiah GRIT, those assets too were derived from Valer’s separate property.
¶ 5 In 1996, Josiah was appointed trustee of the GRITs and, in 1997, El Coronado Holdings, LLC (ECH) was formed. The 1997 ECH operating agreement shows the initial members as Josiah, Valer, the Josiah GRIT, and the Valer GRIT. Directly pertinent provisions of the 1997 operating agreement include:
a. Josiah was designated as the sole manager with absolute, exclusive authority, power, and discretion to act on behalf of ECH, which provided Valer with no authority or control over the assets transferred into ECH.
b. Josiah’s removal as manager required the affirmative vote of members holding two-thirds of the ownership interests, which, given the size of holding attributable to Josiah under the agreement, made it impossible for Valer or any other member to remove Josiah without his consent.
c. Withdrawal by a member constituted a breach of the 1997 operating agreement, permitting ECH to recover damages as an offset against any amount distributable to the withdrawing member. The amount of damages was determined in the Manager’s sole discretion.
d. Josiah had the sole power to determine whether distributions would be made to members and, if so made, whether or not it would be distributed on a pro-rata basis.
e. All disputes among members were to be arbitrated if they could not be resolved through mediation.
¶ 6 Josiah and Valer signed the 1997 operating agreement in August 1997. Valer testified she had signed the 1997 operating agreement without reading it and without knowing it contained an arbitration provision. Josiah testified it was possible he only gave the signature page of the 1997 operating agreement to Valer and told her to sign it. Valer testified she had not seen the 1997 operating agreement before she signed it and it was her practice to trust her husband as to signing what he put in front of her. Valer was not advised about the operating agreement, its arbitration clause, or its effect on her rights or property.
¶ 7 In January 2000, Valer signed a document creating the Austin Family Revocable Trust. Valer was not advised that the family trust document might transmute her sole and separate property into community property, nor was she advised of the significant effects of transmuting sole and separate property to community property in the event of a divorce. The family trust document did not describe which assets would be transferred into that trust nor was Valer so advised. As of August 1997, the value of Valer’s separate property brokerage account, which Josiah had transferred into ECH, was valued at approximately $58 million.
¶ 8 In April 2005, Josiah provided Valer with the signature page for an Amended and Restated Operating Agreement for ECH effective April 16, 2005 (2005 operating agreement). Valer was not provided the text of the rest of the 2005 operating agreement and signed it based on Josiah’s direction. The 2005 operating agreement amended the members of ECH to include: the Austin Family Revocable Trust, the Josiah GRIT, and the Valer GRIT. In the 2005 operating agreement, Josiah was once again designated as the sole manager of ECH, and a vote of ninety percent of the ECH members was required to remove him as manager.
¶ 9 In November 2013, Valer filed a petition for dissolution of marriage from Josiah. Soon after, Valer moved for joinder of the children as additional parties necessary to resolve disputes regarding the management of ECH. In January 2014, Josiah filed a civil complaint against Valer and the children seeking to compel arbitration of the ECH dispute. The trial court granted Valer’s motion to join the children as necessary parties as well as her motion to consolidate Josiah’s civil case with the dissolution proceeding. In March 2014, the children filed a cross-claim against Josiah. In response, Josiah moved to compel the children to arbitrate their cross-claims.
¶ 10 After a two-day evidentiary hearing the trial court issued an under advisement ruling and signed order denying Josiah’s motions to compel arbitration. Josiah timely filed this notice of appeal, and we have jurisdiction pursuant to A.R.S. § 12-2101.01(A)(1).
Valer’s Claims
¶ 11 Josiah argues the trial court erred when it improperly applied the heightened standards of In re Harber’s Estate, 104 Ariz. 79, 449 P.2d 7 (1969), instead of ordinary contract principles in its analysis of the arbitration agreement, as it concerned Valer and him. Our review of this issue is de novo. Smith v. Pinnamaneni, 227 Ariz. 170, ¶ 7, 254 P.3d 409, 412 (App.2011).
¶ 12 Although public policy supports arbitration agreements, “ ‘[o]nly when the arbitration provision is enforceable will the court compel arbitration.’ ” WB, The Building Company, LLC v. El Destino, LP, 227 Ariz. 302, ¶ 11, 257 P.3d 1182, 1186 (App. 2011), quoting Stevens/Leinweber/Sullens, Inc. v. Holm Dev. & Mgmt., Inc., 165 Ariz. 25, 30, 795 P.2d 1308,1313 (App.1990) (alteration in WB). An arbitration provision is not valid or enforceable where “a ground exists ... at law or in equity for the revocation of a contract.” A.R.S. § 12-3006(A). Generally, “[I]egal or equitable grounds for revoking any contract include allegations that ‘the contract is void for lack of mutual consent, consideration or capacity or voidable for fraud, duress, lack of capacity, mistake or violation of a public purpose.’ ” Stevens/Leinweber/Sullens, 165 Ariz. at 28-29, 795 P.2d at 1311-12, quoting U.S. Insulation v. Hilro Const. Co., 146 Ariz. 250, 253, 705 P.2d 490, 493 (App.1985).
¶ 13 In Harber’s Estate, a husband and wife entered into a postnuptial agreement, not incident to or in contemplation of separation or divorce, which provided all property not otherwise described therein was to become the sole property of husband. See 104 Ariz. at 84, 449 P.2d at 12. Our supreme court concluded that marital partners may “validly divide their property presently and prospectively by a post-nuptial agreement” but such an agreement must include built-in safeguards to ensure the agreement is “free from any taint of fraud, coercion or undue influence; that the wife acted with full knowledge of the property involved and her rights therein, and that the settlement was fair and equitable.” Id. at 88, 449 P.2d at 16. Accordingly, although “all contracts or agreements between husband and wife in Arizona are [not] presumptively void or fraudulent,” our supreme court held that spouses may enter a contract to divide their property outside a divorce or separation, but that when such a postnuptial agreement is
attacked by a wife on the grounds that the transaction was fraudulent or coerced, or is inequitable and unfair, the wife may have a judicial determination at that time whether the agreement is invalid as to her, and that it is the husband’s burden to prove by clear and convincing evidence that the agreement was not fraudulent or coerced, or that it was not unfair or inequitable[ ]
Id.
¶ 14 We therefore examine whether the ECH operating agreement is a postnuptial agreement governed by the principles outlined in Harber’s Estate. A postnuptial agreement is defined as “[a]n agreement en tered into during marriage to define each spouse’s property rights in the event of death or divorce.” Black’s Law Dictionary 1356 (10th ed.2014).
¶ 15 Both the ECH 1997 operating agreement and the 2005 operating agreement, as well as the arbitration clauses, were made between Josiah and Valer while husband and wife. ECH was created to allow the Austins to obtain discounts on the valuation of the LLC assets and tax savings for the surviving spouse when either Josiah or Valer died, or for Valer’s children when one or both of them passed. As the trial court found, the operating agreements placed “severe and permanent” limitations on Valer’s property rights and resulted in a significant transfer of authority to Josiah, such that the operating agreements affected Valer’s property rights “to the same or greater extent than would a post-nuptial property settlement agreement.”
¶ 16 Josiah argues that Harber’s Estate is limited only to postnuptial property division agreements and “should not be extended to all business agreements between spouses.” But Josiah’s attempt to characterize the ECH operating agreements as arm’s-length business transactions between spouses is unavailing. Substantial evidence supports the trial court’s finding that the net effect of the operating agreements was to place permanent and significant limitations on Valer’s property rights, arguably including the transformation of separate property to community property. Despite the sophistication of the legal instruments employed, the impact of the operating agreements was no less severe than a more traditional postnuptial property division agreement.
¶ 17 Josiah correctly observes that all subsequent Arizona cases applying the requirements outlined in Harber’s Estate have been applied to marital property division agreements. See Wick v. Wick, 107 Ariz. 382, 384-85, 489 P.2d 19, 21-22 (1971); Breitbartr-Napp v. Napp, 216 Ariz. 74, 76, 163 P.3d 1024, 1026 (App.2007); Sharp v. Sharp, 179 Ariz. 205, 207, 877 P.2d 304, 306 (App.1994); Keller v. Keller, 137 Ariz. 447, 448, 671 P.2d 425, 426 (App.1983). But Josiah points to no authority, and we are aware of none, that precludes application of Harber’s Estate to the facts before us. Unlike the agreements at issue in the cases cited by Josiah, both the postnuptial agreement in Harber’s Estate and the operating agreements between Josiah and Valer were made at a time when separation or divorce was not imminent or contemplated. See Harber’s Estate, 104 Ariz. at 84, 449 P.2d at 12.
¶ 18 Josiah also relies on Bell-Kilboum v. Bell-Kilboum, 216 Ariz. 521, ¶¶ 8-11, 169 P.3d 111, 113-14 (App.2007), and Bender v. Bender, 123 Ariz. 90, 94, 597 P.2d 993, 997 (App.1979), to distinguish Harber’s Estate. But both cases involved disclaimer deeds and both are clear that such deeds are not analyzed as postnuptial agreements. See Bell-Kilboum, 216 Ariz. 521, ¶¶ 9-10, 169 P.3d at 113-14; Bender, 123 Ariz. at 93-94, 597 P.2d at 996-97. Moreover, both Bell-Kilboum and Bender explicitly noted that the issue of mistake or fraud had not been raised. See Bell-Kilboum, 216 Ariz. 521, ¶ 9, 169 P.3d at 114; Bender, 123 Ariz. at 94, 597 P.2d at 997. Therefore, these cases are inapposite.
¶ 19 Finally, Josiah contended at oral argument that application of Harber’s Estate in this context would result in the need for separate counsel for both spouses before creating trusts or other complex estate documents, which would burden the delivery of legal services. To the extent that separate property is transferred to the community estate, or even significant limitations are placed on separate property, lawyers have always had to consider whether joint representation is possible or nonconsentable. See, e.g., ER 1.7, Ariz. R. Prof'l Conduct, Ariz. R. Sup.Ct. 42. Even if separate counsel is deemed necessary to ensure the independence and loyalty of counsel’s advice, it preserves “essential elements in the lawyer’s relationship to a client.” Id. at emt. 1. Al though we do not see our holding as an expansion of Harber’s Estate, if there is an increase in independent legal advice, it will be for a permissible and laudable purpose.
¶ 20 In sum, the mere use of a limited liability company to effectuate changes to the property rights of spouses does not transmute such an agreement into an arm’s-length business transaction as Josiah suggests. The trial court did not err in applying the requirements in Harber’s Estate to the facts of the instant ease. Because the operating agreements were made during Valer and Josiah’s marriage and altered each spouse’s property rights in the event of death, the ECH operating agreements meet the definition of a postnuptial agreement. Therefore, the requirements of Harber’s Estate apply. See 104 Ariz. at 88, 449 P.2d at 16. The court did not err when it required Josiah to demonstrate by clear and convincing evidence that Valer was aware of the property subject to the arbitration provision or advised of the effect of the arbitration provision, or her rights therein.
¶ 21 Josiah argues in the alternative that “under ordinary contract law principles, a party is bound by the terms of an agreement that she signs without reading it.” Although we agree with Josiah’s contention as a general legal principle, he does not provide Arizona authority applying that principle to a postnuptial agreement. See Jones v. Chiado, 137 Ariz. 298, 298-99, 670 P.2d 403, 403-04 (App.1983) (dispute between real estate developers); Harrington, 211 Ariz. 241, ¶ 2, 119 P.3d at 1046 (dispute between homeowners and homebuilder); Rocz v. Drexel Burnham Lambert, Inc., 154 Ariz. 462, 463, 743 P.2d 971, 972 (App.1987) (dispute between securities brokerage firm and client). Thus, we find the cited cases unpersuasive in the context of a postnuptial agreement that falls under Harber’s Estate. To the extent Josiah argues we should overrule the holding in Harber’s Estate to analyze postnuptial agreements the same as all commercial agreements under ordinary contract law, this court is bound by the decisions of our supreme court and must apply the law it has declared. See Bazzanella v. Tucson City Court, 195 Ariz. 372, ¶ 8, 988 P.2d 157, 161 (App.1999).
The Children’s Claims
¶ 22 Josiah argues the trial court erred in concluding that the children were not bound by the arbitration agreement. Although he concedes the children were not signatories to either the 1997 or 2005 operating agreement, he contends they are intended beneficiaries and therefore estopped from avoiding arbitration. We review separately, but de novo, whether the children’s claims are subject to arbitration. See Estate of Decamacho ex rel. Guthrie v. La Solana Care and Rehab, Inc., 234 Ariz. 18, ¶ 9, 316 P.3d 607, 609-10 (App.2014). We also review a trial court’s decision not to apply estoppel for an abuse of discretion. Flying Diamond Airpark, LLC v. Meienberg, 215 Ariz. 44, ¶ 27, 156 P.3d 1149, 1155 (App.2007). “To constitute an abuse of discretion, the [trial] court’s decision must be either premised on an application of the law that is erroneous, or on an assessment of the evidence that is clearly erroneous.” Grigson v. Creative Artists Agency L.L.C., 210 F.3d 524, 528 (5th Cir.2000); see also City of Tucson v. Clear Channel Outdoor, Inc., 218 Ariz. 172, ¶ 65, 181 P.3d 219, 237 (App.2008).
Third-Party Beneficiary
¶ 23 With certain exceptions, the general rule is that an arbitration agreement is binding only on parties to the agreement. Dueñas v. Life Care Ctrs. of Am., Inc., 236 Ariz. 130, ¶ 26, 336 P.3d 763, 772 (App.2014). Courts have made clear, however, that a “nonsignatory party may be bound to an arbitration agreement if so dictated by the ‘ordinary principles of contract and agency,’ ” Thomson-CSF, S.A. v. Amer. Arbitration Ass’n, 64 F.3d 773, 776 (2d. Cir.1995), quoting McAllister Bros., Inc. v. A & S Transp. Co., 621 F.2d 519, 524 (2d Cir.1980). Although “there is a dearth of Arizona precedent” on arbitration-by-estoppel, Crawford Prof l Drugs, Inc. v. CVS Caremark Corp., 748 F.3d 249, 261 (5th Cir.2014) (applying Arizona law), the third-party beneficiary doctrine is one of the established grounds upon which a party to an arbitration agreement can require a nonsignatory to arbitrate, see Bridas S.AP.I.C. v. Gov’t of Turkmenistan, 345 F.3d 347, 356, 362 (5th Cir.2003).
¶ 24 Under the third-party beneficiary exception, a non-signatory party may be barred from avoiding arbitration if he has received a direct benefit from the arbitration agreement. Schoneberger v. Oelze, 208 Ariz. 591, ¶ 14, 96 P.3d 1078, 1081 (App.2004). “Arbitration rests on an exchange of promises,” and “[p]arties to a contract may decide to exchange promises to substitute an arbitral for a judicial forum.” Id. ¶ 20, 96 P.3d 1078. In evaluating whether the third-party beneficiary theory applies to a particular arbitration agreement, “a court must look to the intentions of the parties at the time the contract was executed.” Id. n. 6, quoting Bridas S.A.P.I.C., 345 F.3d at 362.
¶ 25 The trial court found “that the children did not receive benefits directly from ECH that they were not already entitled to receive as beneficiaries of the GRITs.” Additionally, the court found that the children’s “interests in the GRITs were detrimentally impacted by Josiah putting the GRIT assets into ECH without their knowledge or consent.” Therefore, it concluded the ECH operating agreement was not enforceable against the children.
¶ 26 Josiah contends the trial court erred in finding the children did not receive a direct benefit from the ECH operating agreement because the children were “intended to benefit from ECH as the ultimate heirs of the ECH assets, which would be substantially discounted in value for estate tax purposes.” This argument lacks support in the record. For instance, the children would not receive any additional estate tax benefit for the GRIT assets by being included in ECH, at least as long as the children are alive, as acknowledged at the hearing by the Austins’ attorney. To the extent Josiah also claims the children would receive a federal estate tax discount on the non-GRIT assets in ECH, the evidence at the hearing demonstrated that the ECH structure, combined with another family trust created by Josiah, was a vehicle that would allow Josiah to take all of these assets for himself, to the exclusion of the children, should Valer predecease Josiah. Thus, even assuming arguendo the third-party beneficiary doctrine can be applied in circumstances in which the benefit has not yet been received, the benefits Josiah alleges the children will enjoy are entirely contingent on whether Valer predeceases Josiah, an outcome that is by no means assured. Accordingly, any tax benefits the children might enjoy are speculative in nature.
¶ 27 Josiah also argues the children were intended to benefit from “the asset protection features of ECH.” To the contrary, however, any judgment creditor of the children could obtain a charging order against ECH, and thereby “intercept” any ECH assets that might otherwise be paid to the children. See A.R.S. § 29-655(A) (upon court order, judgment creditor “may charge the member’s interest in the limited liability company with payment of the unsatisfied amount of the judgment plus interest”). In addition, by placing the GRIT assets into ECH, the children may have those assets exposed to ECH’s creditors.
¶ 28 In sum, the record discloses no evidence of a benefit or exchange of promises between Josiah and the children. Here, the children do not seek any benefits under the arbitration agreement; in fact, they claim “that ECH and/or its Operating Agreement were invalid from inception.” In addition, as this court pointed out in Schoneberger, a non-party to an arbitration agreement must receive a direct benefit from the agreement if they are going to be required to abide by the arbitration. See 208 Ariz. 591, ¶¶ 13-14, 96 P.3d at 1081; see also E.I. DuPont de Nemours & Co. v. Rhone Poulenc Fiber & Resin Intermediates, S.A.S., 269 F.3d 187, 196-97 (3d Cir.2001) (“[I]f it was not the promisee’s intention to confer direct benefits upon a third party, but rather such third party happens to benefit from the performance of the promise either coincidentally or indirectly, then the third party will have no enforceable rights under the contract.”). No such direct benefit is present here.
Direct Benefits Estoppel
¶ 29 Josiah next argues the children are compelled to arbitrate under the direct benefits estoppel theory because their cross-claims must be determined by reference to the arbitration agreement. Under direct benefits estoppel, a nonsignatory may be compelled to arbitrate only when the non-signatory (1) knowingly exploits the benefits of an agreement containing an arbitration clause, or (2) seeks to enforce terms of that agreement or asserts claims that must be determined by reference to the agreement. See Reid v. Doe Run Res. Corp., 701 F.3d 840, 846 (8th Cir.2012).
¶ 30 As noted above, the children do not benefit from the ECH operating agreement; instead their interests “were detrimentally impacted by Josiah putting the GRIT assets into ECH without their knowledge or consent.” Thus, the children cannot be said to have knowingly exploited the benefits of the ECH operating agreement. We therefore next examine whether the children seek to enforce terms of the ECH operating agreement or assert claims that must be determined by reference to the agreement.
¶ 31 In making this determination, we must “ ‘look past the labels the parties attach to their claims to the underlying factual allegations.’ ” Id. at 848, quoting SM Co. v. Amtex Sec., Inc., 542 F.3d 1193, 1199 (8th Cir.2008). Although it is true that one or more of the children’s alternative cross-claims may require reference to the ECH operating agreement, the principal factual allegation underlying the children’s cross-claims is that the GRITs should never have been transferred into ECH and that they are involuntary members of ECH. As the trial court concluded, the alternative relief sought by the children in their cross-claim applies only if the court deems the ECH structure to be binding on them. Such a contingency, to which they object, is not sufficient to create estoppel that requires the children to arbitrate their claims. Thus, the children are not estopped from avoiding arbitration, and the trial court did not err by finding the arbitration provision unenforceable against them.
Scope of Trial Court’s Findings
¶ 32 Josiah argues the “trial court failed to limit itself to the questions of whether an arbitration agreement exists and whether the parties were bound by it.” He cites A.R.S. § 12-3006 and National Bank of Arizona v. Schwartz, 230 Ariz. 310, ¶ 4, 283 P.3d 41, 42 (App.2012), for the proposition that a reviewing court is limited in its review to the determination of whether an arbitration agreement exists and whether the parties are bound by that agreement. But to the extent the court made findings such as the source of the securities that funded the GRITs and ECH was Valer’s sole and separate property, such findings were necessary to determine whether the operating agreement was fraudulent or coerced, or whether it was unfair or inequitable. See Harber’s Estate, 104 Ariz. at 88, 449 P.2d at 16. Accordingly, the court did not err in the scope of its findings in determining whether the arbitration agreement was enforceable as to Valer and the children.
Language of Arbitration Agreement
¶ 33 Josiah raises several arguments related to the trial court’s determination that the plain language of the arbitration clause did not permit Josiah, as manager of ECH, to enforce the arbitration agreement. Because we affirm the court’s denial of Josiah’s motions to compel arbitration on other grounds, we need not address them.
Attorney Fees
¶ 34 The parties request attorney fees pursuant to A.R.S. § 12-341.01, under which a court may award reasonable fees to the successful party in an action arising out of contract. But we have interpreted § 12-341.01 to mean that the ultimate prevailing party in an underlying action arising out of contract may be awarded attorney fees. See U.S. Insulation, 146 Ariz. at 259, 705 P.2d at 499. Because a decision on the merits has not yet been made in this case, we deny the attorney fees requests. See id.; Esmark, Inc. v. McKee, 118 Ariz. 511, 514, 578 P.2d 190, 193 (App.1978).
Disposition
¶ 35 For the foregoing reasons, we affirm the trial court’s ruling denying Josiah’s motions to compel arbitration.
. We note, however, that Josiah, for the first time in his reply brief, alleges several of the trial court’s factual findings are clearly erroneous. But ”[w]e will not consider arguments made for the first time in a reply brief.” Dawson v. Withycombe, 216 Ariz. 84, ¶ 91, 163 P.3d 1034, 1061 (App.2007).
. "The GRIT is a variation on the inter vivos gift, which has long been used by taxpayers as an estate-planning strategy designed to reduce transfer-tax liability.” Mitchell M. Gans, GRIT's, GRAT’s and GRUT's: Planning and Policy, 11 Va. Tax Rev. 761, 763 (1992). The GRIT was recognized in the 1980s as a particularly attractive method by which to effect an inter vivos gift and was therefore one of the most popular estate-planning strategies. See id.
. Valer also moved to join the Chisos Trust and Hanu Holdings, LLC as members of ECH. In 2010, the Chisos Trust was funded with assets previously held in the Josiah GRIT and was created to hold assets in trust for the children’s lifetimes. Chisos Trust included Chisos 1 and Chisos 2. In December 2010, the entirety of the membership interest of Chisos 2 in ECH was transferred to Hanu Holdings, LLC.
. Although Harber’s Estate employs antiquated language indicative of its time, the principle applied therein — that the relationship between spouses is confidential and fiduciary — is still applicable today. See 104 Ariz. at 88, 449 P.2d at 16; Gerow v. Covill, 192 Ariz. 9, ¶ 40, 960 P.2d 55, 64 (App.1998) (holding that fiduciary relationship exists between spouses).
. Josiah asserted at oral argument that the documents did not automatically transform Valer's separate property to community property. But he qualified this assertion with the limitation that the trial court would decide later if some or all of her separate property was transformed, presumably on the basis of the subject documents. This distinction in timing does not constitute a meaningful difference.
. We also note that Josiah, for the first time in his reply brief, asserts that we should "establish the proper procedures for findings on a motion to compel arbitration and direct that the case be reassigned.” But again, we do not consider arguments made for the first time in a reply brief. Dawson, 216 Ariz. 84, ¶ 91, 163 P.3d at 1061. Accordingly, we deny as moot Valer and the children’s joint motion to strike portions of the reply brief in which they request we strike those arguments made for the first time therein.
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OPINION
CATTANI, Judge:
¶ 1 This case addresses whether Arizona Revised Statutes (“A.R.S.”) § 33-814(0), which precludes an action to recover a deficiency on a qualifying residential deed of trust, applies to guarantors in the same manner in which it applies to borrowers. This court previously held that anti-deficiency protections under § 33-814(G) apply to and cannot be waived by borrowers; we left unanswered, however, whether guarantors are protected by § 33-814(G) as well and, if so, whether guarantors can waive that protection. We now hold that, assuming § 33-814(G) applies to guarantors, the protections afforded under the statute can be prospectively waived. Because the guarantors in this case entered written agreements expressly waiving anti-deficiency protections, we affirm the superior court’s grant of summary judgment in favor of the lender.
FACTS AND PROCEDURAL BACKGROUND
¶ 2 In mid-2005, TDJ Land Investments, LLC (“TDJ”) purchased several vacant lots of real property (“Subdivision”). Arizona Bank & Trust (“AZ Bank”) financed TDJ’s purchase and development of the Subdivision with a business loan secured by a promissory note and a blanket construction deed of trust on all lots within the Subdivision. Several individuals and entities (collectively, “Guarantors”) executed written, unconditional loan guaranties, which expressly waived any protection under anti-deficiency statutes:
Guarantor also waives any and all rights or defenses based on suretyship or impairment of collateral including, but not limited to, any rights or defenses arising by reason of (A) any “one action” or “anti-deficiency” law or any other law which may prevent [AZ Bank] from bringing any action, including a claim for deficiency, against Guarantor, before or after [AZ Bank’s] commencement or completion of any foreclosure action, either judicially or by exercise of a power of sale ... or (F) any defenses given to guarantors at law or in equity other than actual payment and performance of the indebtedness.
¶ 3 AZ Bank later provided TDJ two additional loans for the construction of specific homes within the Subdivision. Both loans specified that they were secured by the previously-executed guaranties. TDJ defaulted on both of these loans, and Guarantors failed to bring the loans current. AZ Bank foreclosed on the deeds of trust and purchased the loan properties at trustee’s sales with credit bids for less than the amount owed, leaving deficiency balances of several hundred thousand dollars.
¶ 4 AZ Bank sued Guarantors to recover the deficiency under the terms of the written guaranties. The superior court granted summary judgment in favor of AZ Bank on Guarantors’ liability for the deficiencies, reasoning in part that Guarantors had waived any protection provided by § 33-814(G). After the parties stipulated to the loan properties’ fair market values, the court entered judgment in favor of AZ Bank.
¶ 5 Guarantors timely appealed. We have jurisdiction under Article 6, Section 9, of the Arizona Constitution and A.R.S. §§ 12-120.21(A)(1) and-2101(A)(1).
DISCUSSION
¶ 6 Guarantors argue that the superior court erred by denying their cross-motion for summary judgment and by granting summary judgment in favor of AZ Bank. Guarantors assert that (1) as a matter of public policy, the anti-deficiency protections under § 33-814(G) apply to guarantors as well as borrowers and cannot be waived; (2) their generic waivers signed as part of a previous business loan did not waive anti-deficiency protections under § 33-814(G); and (3) whether the purported waivers were made knowingly and voluntarily is a question of fact that precludes entry of judgment.
¶ 7 Summary judgment is appropriate if there are no genuine issues as to any material fact and the moving party is entitled to judgment as a matter of law. Ariz. R. Civ. P. 56(a); Orme Sch. v. Reeves, 166 Ariz. 301, 305, 802 P.2d 1000, 1004 (1990). We review de novo the superior court’s grant of summary judgment, viewing the facts in the light most favorable to the party against whom judgment was entered. United Bank of Ariz. v. Allyn, 167 Ariz. 191, 193, 195, 805 P.2d 1012, 1014, 1016 (App.1990). We also address de novo issues of statutory interpretation — in this case the interpretation of the anti-deficiency provisions of § 33-814(G). See BMO Harris Bank, N.A., v. Wildwood Creek Ranch, LLC, 236 Ariz. 363, 365, ¶ 7, 340 P.3d 1071, 1073 (2015). “We interpret statutes to give effect to the legislature’s intent, looking first to the statutory language itself.” Baker v. Univ. Physicians Healthcare, 231 Ariz. 379, 383, ¶ 8, 296 P.3d 42, 46 (2013).
I. A Guarantor Can Waive Anti-Deficiency Protections Under A.R.S. § 33-814(G).
¶8 The Arizona Legislature crafted the deed of trust framework in 1971 to provide an alternative to judicial foreclosures. BMO Harris Bank, 236 Ariz. at 365, ¶ 8, 340 P.3d at 1073. Under this framework, foreclosure occurs extra-judicially through a trustee’s sale. Id.; A.R.S. § 33-807. Following a trustee’s sale, the statutes limit the lender’s ability to recover a deficiency judgment on deeds of trust that finance certain single or two-family residences:
If trust property of two and one-half acres or less which is limited to and utilized for either a single one-family or a single two-family dwelling is sold pursuant to the trustee’s power of sale, no action may be maintained to recover any difference between the amount obtained by sale and the amount of the indebtedness and any interest, costs and expenses.
A.R.S. § 33-814(G). Here, the parties agree that the properties at issue are of the type described in this statutory provision, but they disagree on whether the statute protects guarantors as well as borrowers, and if so, whether a guarantor can prospectively waive the statutory protections.
¶ 9 For purposes of our analysis we assume, without deciding, that the “no action” provision in § 33-814(G) precludes an action against anyone, including a guarantor, to recover the difference between the amount owed on the borrower’s indebtedness and the fair market value of the property securing the residential deed of trust. We thus address whether this statutory protection can be waived.
¶ 10 Preliminarily, contract provisions are enforceable unless they are prohibited by law or are contrary to identifiable public policy. CSA 13-101 Loop, LLC, v. Loop 101, LLC, 236 Ariz. 410, 411, ¶ 6, 341 P.3d 452, 453 (2014). Arizona law values the private ordering of commercial relationships and seeks to protect bargained-for expectations. Id. Accordingly, the contractual terms between AZ Bank and Guarantors evidencing a bargained-for guaranty expressly waiving anti-deficiency protections should be upheld unless the terms are contrary to a legislative enactment or a public policy concern that clearly outweighs the parties’ interest in enforcing agreed-upon contractual terms. See id. (citing Restatement (Second) of Contracts § 178) (1981).
¶ 11 In Parkway Bank & Trust Co. v. Zivkovic, this court held that § 33-814(G) precludes recovery of any type of deficiency from a borrower notwithstanding the borrower’s express written agreement in the original deed of trust to waive anti-deficiency protections. 232 Ariz. 286, 290, ¶ 16, 304 P.3d 1109, 1113 (App.2013). Parkway left unanswered, however, whether the statute precludes recovery from a guarantor under an express written guaranty prospectively waiving anti-deficiency protections. Id. at 291 n. 5, ¶ 17, 304 P.3d at 1114 n. 5.
¶ 12 In Parkway, this court noted the “significant public policy concerns” addressed through the anti-deficiency statutes:
The statutes were intended to “protect [ ] consumers from financial ruin” and “eliminat[e] ... hardships resulting to consumers who, when purchasing a home, fail to realize the extent to which they are subjecting assets besides the home to legal process.” The anti-deficiency statutes “allocate the risk of inadequate security” to lenders, “thereby discouraging overvaluation of the collateral.” Additionally, “[i]f inadequacy of the security results, not from overvaluing, but from a decline in property values during a general or local depression, [the anti-deficiency statutes] prevent the aggravation of the downturn that would result if defaulting purchasers were burdened with large personal liability.”
232 Ariz. at 290, ¶ 16, 304 P.3d at 1113 (quoting Helvetica Servicing, Inc. v. Pasquan, 229 Ariz. 493, 496, 500-01, ¶ ¶ 9, 30, 277 P.3d 198, 201, 205-06 (App.2012)).
¶ 13 Although some of these policy concerns arguably apply as between a lender and a guarantor, individuals who guarantee loans do not appear to be the type of consumers the Legislature intended to protect, primarily because a guarantor who is not the borrower does not face the risk of losing a home to foreclosure in the wake of a default. See Baker v. Gardner, 160 Ariz. 98, 101, 770 P.2d 766 (1988) (noting legislative intent to protect consumers who fail to realize the extent to which they are subjecting assets besides their home to legal process and prevent artificial deficiencies resulting from market swings); see also Long v. Corbet, 181 Ariz. 153, 159, 888 P.2d 1340, 1346 (App.1994) (declining to extend anti-deficiency protections to someone who guaranteed a business loan and noting that “[t]he purpose of Arizona’s anti-deficiency statutes is to protect ‘homeowners’ from deficiency judgments”).
¶ 14 Moreover, Arizona courts have recognized significant differences between guarantors and borrowers, and this court has held in particular that “[a] guaranty may provide for greater liability than that of the principal debtor.” Provident Nat’l Assurance Co. v. Sbrocca, 180 Ariz. 464, 466, 885 P.2d 152, 154 (App.1994) (citation omitted) (concluding that guarantors of a nonrecourse loan could be held liable to a lender based on their agreement to unconditionally guarantee what would otherwise be a nonrecourse promissory note). Thus, a guarantor may remain liable even if a lender has no further recourse against a borrower.
¶ 15 Prohibiting a guarantor from waiving anti-deficiency protections would be inconsistent with the basic purpose of a guaranty. If a guarantor could never be held liable for a deficiency on a residential real estate loan of the type contemplated under § 33-814(G), a guaranty on such a loan would be substantively meaningless following a trustee’s sale. Unlike the homeowner/debtor, a guarantor risks nothing other than the funds to cover a deficiency. Thus, if § 33-814(G) cannot be waived by a guarantor, there would be no financial downside (other than a potential blemish on a credit report) for failing to pay the guaranteed amount. Such a guaranty would be illusory, and there would be little or no reason for lenders to seek loan guaranties or to proffer loans that would not otherwise be available without a guaranty.
¶ 16 We note that, unlike § 33-814(G), a separate portion of the anti-deficiency statute that provides “fair market value” protections following a trustee’s sale specifically references guarantors. See A.R.S. § 33-814(A) (limiting the deficiency amount to be recovered from borrowers and guarantors under a foreclosed deed of trust by requiring an offset for the fair market value of the property or the sales price at the trustee’s sale, whichever is higher). In CSA 13-101 LOOP, relying in part on the express statutory reference to guarantors, the Arizona Supreme Court concluded that the fair market value protection in subsection (A) applies to and cannot be waived by guarantors. 236 Ariz. at 414-15, ¶¶ 22-24, 341 P.3d at 456-57. But the absence of any such reference to guarantors in subsection (G) — particularly in light of the express reference to guarantors in subsection (A) — suggests the Legislature did not intend that subsection (G) would apply in the same manner with regard to guarantors. See Anderson v. Valley Union High School, 229 Ariz. 52, 59, ¶ 21, 270 P.3d 879, 886 (App.2012) (noting that “[t]he legislature is capable of saying what it means” and finding that the absence of terminology used in a related statute suggests an intentional choice not to use it in a different context) (citation omitted).
¶ 17 Moreover, the substance of such transactions also shows why the fair market value protection of subsection (A) applies to guarantors differently than the “no action” provision of subsection (G). Without subsection (A)’s fair market value protection, lenders would obtain a windfall if the sales price at a trustee’s sale were lower than the fair market value of the property and the lender nevertheless collected from a guarantor a deficiency amount calculated using the sales price. In contrast, there is no windfall to lenders if guarantors are permitted to waive the “no action” protection under subsection (G). If a borrower under a deed of trust defaults and the lender recovers a deficiency from a guarantor (limited to the amount based on the fair market value under subsection (A)), the lender is simply made whole. Accordingly, although the fair market value protection of subsection (A) applies to guarantors and cannot be waived, we decline to apply the “no action” provision of subsection (G) to guarantors in the same manner.
¶ 18 Finally, we note that other states have similarly found that guarantors can waive anti-deficiency protections, even if debtors cannot. See, e.g., Bank of Okla., N.A. v. Red Arrow Marina Sales & Serv., Inc., 224 P.3d 685, 698 (Okla.2009) (“As the specially protected beneficiaries of the anti-deficiency statute, mortgage debtors cannot contract away that statute’s protection. The guarantor is not so constrained.”); O’Brien v. Ravenswood Apts., Ltd., 169 Ohio App.3d 233, 862 N.E.2d 549, 556, ¶ 30 (2006) (“In light of this clear waiver language, we hold that the guarantors were precluded from raising any defenses under [Ohio anti-deficiency statutes]”); Valley Bank v. Larson, 104 Idaho 772, 663 P.2d 653, 655 (1983) (“A guarantor may legally contract to waive a defense provided by anti-deficiency judgment statute.”). We are unaware of any court that has concluded that a guarantor cannot waive anti-deficiency protections of the type contemplated under § 33-814(G).
¶ 19 Guarantors rely on two cases from other jurisdictions in which anti-deficiency protections have been extended to guarantors. See First Interstate Bank of Nev. v. Shields, 102 Nev. 616, 730 P.2d 429 (1986), and Gen. Motors Acceptance v. Smith, 399 So.2d 1285 (La.Ct.App.1981). But those cases involve only the applicability of fair market value protections similar to those set forth in § 33-814(A). See First Interstate Bank of Nevada, 730 P.2d at 431; Gen. Motors Acceptance, 399 So.2d at 1287. Thus, the cases on which Guarantors rely are unavailing.
¶ 20 In sum, we do not find a compelling public policy reason that outweighs the parties’ interest in enforcing an express contractual provision guaranteeing payment of the debt at issue, anti-deficiency provisions notwithstanding. Accordingly, we decline to extend Parkway beyond its application to borrowers, and we thus hold that a guarantor can waive the anti-deficiency protections set forth in § 33-814(G).
II. Guarantors Executed a Valid Waiver.
¶ 21 Guarantors argue that they did not waive anti-deficiency protections because the waiver at issue did not reference § 33-814(G) and was issued as part of a prior loan that was not subject to anti-deficiency protections. Guarantors further assert that there is a question of fact regarding whether they knowingly and voluntarily waived such protections.
¶ 22 We disagree with Guarantors’ assertion that the signed guaranties did not waive anti-deficiency protections under § 33-814(G). In this context, waiver is “the express, voluntary, intentional relinquishment of a known right.” Am. Cont’l Life Ins. Co. v. Ranier Constr. Co., 125 Ariz. 53, 55, 607 P.2d 372, 374 (1980). Although the guaranties were originally signed in conjunction with a prior transaction, the promissory notes securing the two loans expressly provided that each of the previously signed guaranties would secure these loans as well. Moreover, each of the guaranties expressly provided that Guarantors waived “any and all rights or defenses based on suretyship or impairment of collateral including, but not limited to, any rights or defenses arising by reason of (A) any ‘one action’ or ‘anti-deficiency’ law or any other law which may prevent [AZ Bank] from bringing any action, including the claim for deficiency, against Guarantor.” Even absent a specific reference to § 33-814(G), this language explicitly referencing anti-deficiency provisions was sufficient to show an express waiver of any anti-deficiency protection.
¶ 23 Nor did Guarantors present a genuine issue of material fact as to whether this waiver was knowing and voluntary. They did not submit any evidence supporting their assertion that they did not know what rights they were waiving, and, in addition to the explicit reference to anti-deficiency law within the waiver provision, the guaranties included a written acknowledgment providing that each Guarantor “warrants and agrees that each of the waivers set forth above is made with Guarantor’s full knowledge of its significance and consequences and that, under the circumstances, the waivers are reasonable and not contrary to public policy or law.” The guaranties themselves thus show a knowing, voluntary waiver, and absent any evidence to the contrary, the superior court properly granted AZ Bank summary judgment on this issue. See Wells Fargo Bank, N.A. v. Allen, 231 Ariz. 209, 213, ¶¶ 17-18, 292 P.3d 195, 199 (App.2012).
III. Attorney’s Fees and Costs.
¶ 24 AZ Bank seeks an award of its attorney’s fees and costs on appeal under the terms of the guaranties. As the prevailing party on appeal, AZ Bank is entitled to such fees and costs, subject to compliance with ARCAP 21.
CONCLUSION
¶ 25 The parties’ bargained-for expectations contemplated that Guarantors would be liable for the loan deficiency after sale of the security. Given the absence of an express legislative provision addressing the enforceability of such a guaranty, and given Guarantors’ express waiver of any arguably applicable provisions in § 33-814(G), we affirm the superior court’s ruling granting summary judgment to AZ Bank and denying Guarantors’ cross-motion for summary judgment.
. Absent material revisions after the relevant date, we cite a statute's current version.
. Specifically, Guarantors are the Barrens Family Trust, T-Group, LLC, Creative Real Estate Investments # 1, Inc., James R. Barrens, Laura E. Barrens, Daniel S. Warren, Stacey L. Warren, Thomas J. Tierney, and Patricia R. Tierney.
. AZ Bank also sued TDJ to recover the deficiencies, but the parties later agreed to dismiss the claims against TDJ because recovery was precluded by the anti-deficiency provisions of § 33-814(G).
. We note that Arizona is one of only 12 states that have this type of anti-deficiency protection. States that do not extend anti-deficiency protections to borrowers necessarily do not extend such protections to guarantors. Thus, a ruling that a guarantor cannot waive anti-deficiency protections under § 3 3-814(G) would reflect a "minority within a minority" position and would result in Arizona being the only jurisdiction in the United States to adopt such a rule.
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Justice BERCH,
opinion of the Court.
¶ 1 The Fourth Amendment guarantees “[t]he right of the people to be secure ... against unreasonable searches and seizures.” U.S. Const. amend. IV. An officer’s investigatory stop of a vehicle is a seizure and therefore must be based on reasonable suspicion. United States v. Cortez, 449 U.S. 411, 417, 421-22, 101 S.Ct. 690, 66 L.Ed.2d 621 (1981). We must decide whether, to establish that reasonable suspicion exists, the state must show that the circumstances giving rise to a vehicle stop “eliminate a substantial portion of the innocent motoring public,” as petitioner Dale Evans asserts. We conclude that the Fourth Amendment does not require such a showing.
I. BACKGROUND
¶ 2 Cochise County Deputy Sheriff Dana Anderson saw Evans, who was the driver of a truck stopped at a stop sign on an adjoining street, “[f]lailing his arms” with closed fists toward the truck’s front seat passenger. Anderson alerted his partner to a potential assault and instructed him to turn around. As the patrol car approached, Evans drove away from the intersection. The deputies initiated a traffic stop that ultimately led to Evans’s arrest for possession of marijuana, possession of drug paraphernalia, and aggravated driving under the influence. Before trial, Evans moved to suppress the evidence on the ground that the deputies lacked reasonable suspicion to pull him over.
¶ 3 At the suppression hearing, Anderson testified that he could clearly see the truck’s driver direct three rapid, closed-fisted movements toward the passenger. He demonstrated the arm movements he witnessed. Defense counsel asked during cross-examination if Anderson had seen “blows” actually being struck, and thus the motions Anderson demonstrated apparently suggested punching or hitting. The deputy acknowledged that he did not see contact between Evans’s fists and the passenger. Nonetheless, he was concerned enough that he directed his partner to turn the patrol car around so they could investigate further.
¶ 4 The trial court denied Evans’s motion to suppress, finding that “the arm movements, though they might not have been criminal activity, were articulable facts that justified the Officers in trying to find out more.” The court of appeals affirmed the trial court’s denial of Evans’s suppression motion. State v. Evans, 235 Ariz. 314, 315 ¶ 1, 332 P.3d 61, 62 (App.2014). Deferring to the trial court’s ability to view Anderson’s demonstration of the actions that aroused his suspicion, id. at 317 ¶ 8, 332 P.3d at 64, the court of appeals declined to require that “every stop be supported by testimony regarding how the factors ‘serve to eliminate’ innocent conduct” before reasonable suspicion will be satisfied, id. at 320 ¶ 22, 332 P.3d at 67 (quoting United States v. Foreman, 369 F.3d 776, 781 (4th Cir.2004)).
¶ 5 We granted review to clarify what constitutes reasonable suspicion sufficient to justify an investigatory stop, a recurring issue of statewide importance. We have jurisdiction pursuant to Article 6, Section 5(3) of the Arizona Constitution and A.R.S. § 12-120.24.
II. DISCUSSION
¶ 6 Whether there is a sufficient legal basis to justify a stop of a vehicle is a mixed question of fact and law. State v. Gonzalez-Gutierrez, 187 Ariz. 116, 118, 927 P.2d 776, 778 (1996). We review the trial court’s factual findings on the motion to suppress for an abuse of discretion, but we review its ultimate legal determination de novo. Id.; see also State v. Gilstrap, 235 Ariz. 296, 297 ¶ 6, 332 P.3d 43, 44 (2014).
¶ 7 “[P]olice can stop and briefly detain a person for investigative purposes if the officer has a reasonable suspicion supported by articulable facts that criminal activity ‘may be afoot,’ even if the officer lacks probable cause.” United States v. Sokolow, 490 U.S. 1, 7, 109 S.Ct. 1581, 104 L.Ed.2d 1 (1989) (quoting Terry v. Ohio, 392 U.S. 1, 30, 88 S.Ct. 1868, 20 L.Ed.2d 889 (1968)). Although the reasonable suspicion standard affords flexibility, investigatory stops cannot be arbitrary. “The Fourth Amendment requires ‘some minimal level of objective justification’ for making the stop.” Id. (quoting INS v. Delgado, 466 U.S. 210, 217, 104 S.Ct. 1758, 80 L.Ed.2d 247 (1984)).
¶ 8 Courts have struggled to articulate when evidence rises to a level that satisfies the reasonable suspicion standard. See Ornelas v. United States, 517 U.S. 690, 695, 116 S.Ct. 1657, 134 L.Ed.2d 911 (1996) (noting that “[a]rticulating precisely what ‘reasonable suspicion’ and ‘probable cause’ mean is not possible”). Reasonable suspicion has been called a “commonsense, nontechnical conception[ ] that deal[s] with ‘the factual and practical considerations of everyday life on which reasonable and prudent [people], not legal technicians, act.’ ” Id. (quoting Illinois v. Gates, 462 U.S. 213, 231, 103 S.Ct. 2317, 76 L.Ed.2d 527 (1983)). In determining whether reasonable suspicion exists, officers and courts reviewing their actions take into account “the totality of the circumstances — the whole picture” of what occurred at the scene. Cortez, 449 U.S. at 417, 101 S.Ct. 690. From “that whole picture” the officers must derive “a particularized and objective basis for suspecting the particular person stopped of criminal activity.” Id. at 417-18, 101 S.Ct. 690. Although a mere “unparticularized suspicion or ‘hunch’ ” does not establish reasonable suspicion, consideration “must be given ... to the specific reasonable inferences [that an officer] is entitled to draw from the facts in light of his experience.” Terry, 392 U.S. at 27, 88 S.Ct. 1868.
¶ 9 Citing several eases, Evans argues that the state must show that the “factors together ... serve to eliminate a substantial portion of innocent travelers before the requirement of reasonable suspicion will be satisfied.” See, e.g., United States v. Neff, 681 F.3d 1134, 1142 (10th Cir.2012); Foreman, 369 F.3d at 781; Karnes v. Skrutski, 62 F.3d 485, 493 (3d Cir.1995), abrogated on other grounds by Curley v. Klem, 499 F.3d 199 (3d Cir.2007). That is, his argument suggests that officers must affirmatively consider the number of people who might engage in the activity observed so that significant percentages of innocent travelers are not subject to seizures.
¶ 10 We view the constitutional requirements differently. To say that an officer must have “particularized” suspicion incorporates the notion that the facts supporting a stop must be specific, distinct, or “particular” to the suspect. That alone will eliminate most members of the public. See Reid v. Georgia, 448 U.S. 438, 441, 100 S.Ct. 2752, 65 L.Ed.2d 890 (1980) (noting that particularized suspicion necessarily does not “describe a very large category of presumably innocent travelers”). And that most non-criminal activity does not give rise to “suspicion” also serves to prevent the reported facts from applying to too many people. Cf. Gonzalez-Gutierrez, 187 Ariz. at 121, 927 P.2d at 781 (holding that a Hispanic driver glancing, scratching his head, and gripping his steering wheel tightly was insufficiently particularized to provide a reasonable suspicion of illegal alienage). Thus, the requirement that an officer state facts that, when taken together, give rise to particularized suspicion already serves to eliminate a substantial number of innocent travelers.
¶ 11 Nor, as Evans concedes, need the officer expressly rule out the possibility of innocent explanations for the conduct. See United States v. Arvizu, 534 U.S. 266, 277, 122 S.Ct. 744, 151 L.Ed.2d 740 (2002). “Although there could, of course, be circumstances in which wholly lawful conduct might justify the suspicion that criminal activity was afoot,” that would be an unusual case, and the combination of actions and circumstances would have to be such that a “fair inference” justified the observing officer’s reasonable suspicion. Reid, 448 U.S. at 441, 100 S.Ct. 2752; cf Sokolow, 490 U.S. at 10, 109 S.Ct. 1581 (“[T]he relevant inquiry is not whether particular conduct is ‘innocent’ or ‘guilty,’ but the degree of suspicion that attaches to particular types of noncriminal acts.” (quoting Gates, 462 U.S. at 243 n. 13, 103 S.Ct. 2317)).
¶ 12 Particularized suspicion is a common sense assessment that officers make every time they conduct an investigatory stop. If all the circumstances taken together, along with the reasonable inferences derived from them, describe behavior that is entirely ordinary, then that behavior cannot reasonably give rise to particularized suspicion. In deciding that behavior is, in the totality of the circumstances, suspicious, a reasonable officer recognizes that the circumstances are atypical in a way that suggests possible criminal conduct.
¶ 13 Thus, the reasonableness standard does not demand that an officer affirmatively “consider the number of innocent travelers who might engage in similar behaviors,” Evans, 235 Ariz. at 320 ¶ 20, 332 P.3d at 67, nor does it require that the officer rule out possible alternative, innocent explanations for the actions observed, Navarette v. California, — U.S. -, -, 134 S.Ct. 1683, 1691, 188 L.Ed.2d 680 (2014). It requires only that an officer exercise common sense to determine whether the facts justify an objectively reasonable suspicion. Ornelas, 517 U.S. at 695-96, 116 S.Ct. 1657.
¶ 14 We agree with the court of appeals that there is no “additional requirement” that every stop be supported by testimony regarding how the factors “serve to eliminate” innocent conduct. Evans, 235 Ariz. at 320 ¶ 22, 332 P.3d at 67 (quoting Foreman, 369 F.3d at 781). Officers need not provide such testimony at suppression hearings, and trial courts need not make separate findings on that point. Instead, the trial court must exercise its judgment to determine whether an officer’s suspicion was reasonable under the totality of the circumstances. This is what occurred when the superior court concluded that Anderson’s observation of Evans appearing to punch his passenger justified an investigatory stop. Although there might have been an innocent explanation for Evans’s actions, the court did not abuse its discretion in concluding that Anderson had reason to suspect that an assault or domestic violence event was occurring that warranted further investigation.
¶ 15 Evans observes that two Arizona cases — State v. Sweeney, 224 Ariz. 107, 113 ¶ 22, 227 P.3d 868, 874 (App.2010), and State v. Teagle, 217 Ariz. 17, 24 ¶ 25, 170 P.3d 266, 273 (App.2007) — have cited with approval Foreman’s “serve to eliminate” language, 369 F.3d at 781. He asserts that the court of appeals’ disavowal of that language in this ease has created a split of authority on the court of appeals.
¶ 16 We do not read either Teagle or Sweeney, which merely quote the cited language from Foreman, as creating a rule requiring a separate showing. The court of appeals in this ease read them similarly, disavowing the “serve to eliminate” language in Foreman only insofar as it “articulates a standard not present in Sokolow[ ].” Evans, 235 Ariz. at 319 ¶ 16, 332 P.3d at 66. It correctly held that “[w]hen determining whether reasonable suspicion exists, the police are not required to rule out the possibility of innocent explanations for a defendant’s conduct.” Id. at 320 ¶ 19, 332 P.3d at 67 (quoting State v. Ramsey, 223 Ariz. 480, 485 ¶ 23, 224 P.3d 977, 982 (App.2010)).
¶ 17 We hold that reasonable suspicion under the Fourth Amendment does not require officers to testify about how their observations reduce or eliminate the possibility that innocent travelers will be subject to seizures or trial courts to make specific findings on that issue. Objectively reasonable, particularized suspicion of criminal activity necessarily will reduce the risk of sweeping in a substantial number of innocent travelers.
III. CONCLUSION
¶ 18 We affirm the opinion of the court of appeals and the trial court’s denial of Evans’s motion to suppress.
|
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OPINION
HOWE, Judge:
¶ 1 Starr Bennett appeals her convictions for production of marijuana and possession of marijuana and drug paraphernalia. She argues that the trial court abused its discretion in denying her motion to suppress evidence obtained during a warrantless search. Because the emergency aid exception to the warrant requirement justified the search here, we affirm.
FACTS AND PROCEDURAL HISTORY
¶ 2 The police received a “911 hang up” call, and after a failed attempt to reach the caller, the 911 dispatcher sent two deputy sheriffs to a specific address near Paulden, Arizona. According to the Sheriffs Office policies and procedures, 911 hang-up calls are treated as emergencies and deputies are required to respond to the location and check for any emergency and on the well-being of the person who may have called.
¶ 3 When the deputies arrived at the address, they noticed a main structure and a smaller structure. They knocked on the main structure’s front door, but no one responded. They then walked around the side past an unlocked gate to an enclosed patio. The deputies looked inside the windows, but saw no one and heard nothing. One of the deputies stood on a pedestal and looked inside a window. Inside and to the “right of the window [that the deputy] was looking into,” both deputies saw part of a marijuana plant. After attempting to open the patio door, they turned around and noticed several potted marijuana plants in the smaller structure’s yard.
¶ 4 Soon after, Bennett came out of the smaller structure, and the deputies went over and talked to her. She was “[v]ery cooperative, very kind, pleasant.” The deputies asked Bennett if she called 911; she said no. At that point, the deputies were satisfied that they had no emergency.
¶ 5 The deputies subsequently asked Bennett about the marijuana plants. She said that the plants were hers and that she used them for medicinal purposes, although she did not have a medical marijuana card. The deputies asked for the plants, and Bennett put them in burlap bags. Bennett subsequently let the deputies inside the smaller structure where she gave them marijuana stored in a coffee can, marijuana cigarettes, and marijuana buds. After the deputies left, the 911 dispatcher told them that someone with a cell phone accidentally placed the call. The dispatcher had learned this information eight to ten minutes after the hang-up call when the person called her back. She also learned that the calls came from the same cell phone, but had different GPS coordinates.
¶ 6 Bennett was charged with production of marijuana and possession of marijuana and drug paraphernalia. Before trial, she moved to suppress the marijuana plants and the fruits found from the search arguing that the deputies conducted the search without a warrant and that no exception to the warrant requirement applied. After conducting an evidentiary hearing, the trial court denied her motion. The court found that the emergency aid exception applied because the deputies had reasonable grounds to believe an emergency existed, their primary intent was to make sure no one was hurt, and a reasonable basis existed to associate the emergency with the place searched.
¶ 7 After a bench trial, the court found Bennett guilty as charged. The court sentenced her to one year of unsupervised probation. Bennett timely appealed.
DISCUSSION
¶ 8 Bennett argues that the trial court abused its discretion by denying her motion to suppress because the emergency aid exception to the warrant requirement of the Fourth Amendment to the United States Constitution did not justify the search. “We review the trial court’s denial of a motion to suppress evidence for an abuse of discretion.” State v. Jacot, 235 Ariz. 224, 227 ¶ 9, 330 P.3d 981, 984 (App.2014). We defer to the court’s factual findings, but review its legal conclusions de novo. State v. Olm, 223 Ariz. 429, 432 ¶ 7, 224 P.3d 245, 248 (App. 2010). “In our review, we look only to the evidence presented at the suppression hearing and view it in the light most favorable to sustaining the court’s ruling.” State v. Brown, 233 Ariz. 153, 156 ¶ 4, 310 P.3d 29, 32 (App.2013).
¶ 9 The trial court did not abuse its discretion in denying suppression of the marijuana plants and fruits found from the search. The Fourth Amendment prohibits unreasonable searches and seizures of a person’s dwelling without a search warrant. But the emergency aid exception to the warrant requirement permits a warrantless entry into a dwelling when police officers reasonably believe that someone within is in need of immediate aid or assistance. State v. Fisher, 141 Ariz. 227, 237, 686 P.2d 750, 760 (1984). The exception applies when (1) the police have reasonable grounds to believe an emergency exists that requires their immediate assistance to protect life or property and (2) a reasonable basis exists to associate the emergency with the place to be searched. State v. Inzunza, 234 Ariz. 78, 82 ¶ 12, 316 P.3d 1266, 1270 (App.2014). “The reasonableness of a police officer’s response in a given situation is a question of fact for the trial court.” Fisher, 141 Ariz. at 237-38, 686 P.2d at 760-61. Here, the trial court found that the two elements were met, but Bennett argues that the court erred in applying them. We disagree and find that both elements were met.
¶ 10 First, the deputies had reasonable grounds to believe an emergency was at hand that required their assistance to protect life or property. They were dispatched because of a 911 hang-up call, which the deputies treated as an emergency, to check on the well-being of persons that may have dialed 911, and to attempt to exhaust all avenues to determine whether an emergency existed. This was exactly what the deputies did. They knocked on the front door, but received no response. They scanned the premises, especially the main building, looking into windows, attempting to open the back-patio door, but neither saw nor heard anything from inside. Only after they spoke to Bennett — who was cooperative, kind, and pleasant — were they satisfied that no emergency was afoot.
¶ 11 Bennett counters that a 911 hang-up call with nothing further does not support a reasonable belief that someone is either seriously injured or in imminent threat of being injured. But the circumstances here reflect more than only a 911 hang-up call to justify the deputies’ reasonable belief that an emergency existed that needed their immediate assistance. Specifically, as noted, the deputies knocked on the main structure’s front door and received no answer and were unable to verify that either there had never been an emergency or the emergency had passed. These additional circumstances gave the deputies additional objective information that the emergency that had first brought them to the address had not abated.
¶ 12 Second, a reasonable basis existed to associate the emergency with the area searched. The 911 dispatcher gave the deputies an exact address, and they responded to that address to make sure no one needed help. At that address, the deputies saw the marijuana plants in the yard. See Mincey v. Arizona, 437 U.S. 385, 393, 98 S.Ct. 2408, 57 L.Ed.2d 290 (1978) (“[T]he police may seize any evidence that is in plain view during the course of their legitimate emergency activities.”). Although the 911 dispatcher knew that the call came from a cell phone with GPS coordinates, she did not relay this information to the deputies, and thus, they had no reason to suspect that they were not at the correct address. Because, under the circumstances presented here, the emergency aid exception justified the deputies’ warrantless search, the search was lawful.
¶ 13 Bennett counters that the dispatcher knew that the 911 hang-up call was an accident. She argues that because the collective knowledge of all police officers involved in a case can be considered in determining whether probable cause exists, then analogously, the collective knowledge of all officers involved should be considered to negate reasonable belief. But Bennett has not cited, nor have we found, any case to support her contention. Probable cause and reasonable belief are similar in that they are determined by the objective effect of the officers’ actions. The fundamental difference, however, is the extent to which we examine the objective effect of the officers’ actions. Whether probable cause exists depends on the totality of the facts and circumstances known to police officers at the time of the arrest, and therefore, Arizona courts have held that those facts may include the collective knowledge of all law enforcement agents involved in the case. State v. Lawson, 144 Ariz. 547, 553, 698 P.2d 1266, 1272 (1985). In contrast, whether reasonable belief justifies a warrantless entry under the emergency aid doctrine depends on the facts and circumstances known to the officers on the scene at the time. See generally Fisher, 141 Ariz. at 237-41, 686 P.2d at 760-64. As Arizona courts have recognized, this is because the officers are entering a premises to preserve human life, which is “paramount to the right of privacy protected by search and seizure laws and constitutional [guarantees].” Id. at 237, 686 P.2d at 760.
¶ 14 Bennett further counters that the exclusionary rule’s deterrent purpose is served by suppressing the evidence. The exclusionary rule “is a judicially created remedy designed to safeguard Fourth Amendment rights generally through its deterrent effect.” Id. at 240, 686 P.2d at 763. But because a search under the emergency aid exception is reasonable and because we do not want to deter officers from engaging in searches to protect life or property, the exclusionary rule does not apply. Id. Consequently, the deputies’ action here fell within the emergency aid exception to the warrant requirement, and accordingly, the trial court did not abuse its discretion in denying Bennett’s motion to suppress the marijuana or the fruits found from the search.
CONCLUSION
¶ 15 For the foregoing reasons, we affirm.
. Bennett also argues that the Arizona Constitution provides greater protection to homeowners than the Fourth Amendment. Bennett does not cite to any authority, however, that Arizona courts apply the emergency aid exception under the Arizona Constitution any differently than under the United States Constitution. In fact, the emergency aid exception applies under both the Arizona and United States Constitutions. See State v. Jones, 188 Ariz. 388, 395, 937 P.2d 310, 317 (1997).
. Our supreme court has also required considering whether the search was primarily motivated by intent to arrest and seize evidence. See Jones, 188 Ariz. at 395, 937 P.2d at 317; Fisher, 141 Ariz. at 237-38, 686 P.2d at 760-61. We will not consider this element, however, because the United States Supreme Court has since rejected it. See Brigham City v. Stuart, 547 U.S. 398, 404-05, 126 S.Ct. 1943, 164 L.Ed.2d 650 (2006) (holding that the Fourth Amendment exclusively concerns whether the circumstances confronting officials provided an objectively reasonable basis for the action). In any event, the outcome would be the same because the record reflects that the deputies' search here was motivated by their reasonable belief that an emergency existed.
. Because the emergency aid exception justified the warrantless search, we need not address the State's argument that the search was proper under the community caretaker doctrine. See State v. DeWitt, 184 Ariz. 464, 468, 910 P.2d 9, 13 (1996) (providing that a search conducted without a warrant is constitutional when one of the specific and well-established exceptions to the warrant requirement applies).
|
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GEMMILL, Judge:
¶ 1 The State of Arizona filed a Petition for Special Action objecting to a jury instruction proposed by the Real Party in Interest Joseph Morgan and adopted in the underlying ease by the South Mountain Justice Court. For the following reasons, we accept jurisdiction and grant relief.
BACKGROUND
¶ 2 On February 25, 2012, Morgan was stopped by police for suspicion of driving while under the influence of alcohol. A blood test indicated that Morgan’s blood alcohol concentration (“BAC”) was 0.17 percent within two hours of being in actual physical control of a vehicle. In June 2012, he was charged with three counts of driving or being in actual physical control of a vehicle while under the influence of alcohol (“DUI”): (1) impaired to the slightest degree, a Class 1 misdemeanor under Arizona Revised Statutes (“A.R.S.”) section 28-1381(A)(1) (“DUI-impaired”); (2) DUI with a BAC of 0.08 percent or more, a Class 1 misdemeanor under A.R.S. § 28-1381(A)(2) (“per se DUI”); and (3) extreme DUI with a BAC of 0.15 percent or more, a Class 1 misdemeanor under A.R.S. § 28-1382(A)(1) (“extreme DUI”). In June 2013, a jury acquitted Morgan of extreme DUI, but was unable to reach a verdict on either of the other two charges.
¶ 3 The State intends to retry Morgan on the first two charges: DUI-impaired and per se DUI. Prior to the retrial, Morgan moved to suppress the blood test result showing that his BAC was 0.17. Morgan argued that the jury’s acquittal on extreme DUI “necessarily determined that the blood test did not demonstrate that he had a BAC over .15.” The justice court denied the motion to sup press, but directed the parties to draft a limiting instruction regarding the proper use of evidence of the blood test result. Ultimately, the justice court adopted Morgan’s proposed limiting instruction, ruling that the jury in the second trial would be instructed as follows:
The Court has admitted a purported blood alcohol result of .170 in this case. That result has been admitted for the limited purpose of helping you to determine whether the Defendant’s blood alcohol concentration was in excess of .08% within two hours of him being in actual physical control of a motor vehicle, as a result of alcohol consumed before or while being in actual physical control of a motor vehicle. It has been previously determined that this evidence does not prove beyond a reasonable doubt that the Defendant had an alcohol concentration of .15 or above within two hours of him being in actual physical control of a motor vehicle, as a result of alcohol consumed before or while being in actual physical control of a motor vehicle. You shall accept this determination as a fact.
¶ 4 The State filed a petition for special action in Maricopa County Superior Court, challenging the justice court’s order adopting the limiting instruction. The superior court denied relief under the State’s petition, ruling that the justice court may utilize the “previously prepared” limiting instruction. The superior court also granted the State’s motion to stay the retrial, to allow the State to file a special action with this court.
SPECIAL ACTION JURISDICTION
¶ 5 Special action review, rather than appellate review, of a special action decided by a superior court is appropriate when there is no equal or adequate remedy on appeal. Ariz. R.P. Spec. Act. 8(a); see also Stant v. City of Maricopa Emp. Merit BcL, 234 Ariz. 196, 200, ¶ 12, 319 P.3d 1002, 1006 (App.2014) (explaining that Rule 8 “gives our court procedural flexibility to expedite our review of a superior court’s special action decision, either by processing the case as an ordinary appeal, a modified appeal, or a special action”). This court’s decision to aecept special action jurisdiction is discretionary, and the exercise of jurisdiction is appropriate when the issue involved is one of law and of statewide importance. See Andrade v. Maricopa Cnty. Super. Ct., 183 Ariz. 113, 115, 901 P.2d 461, 463 (App.1995).
¶ 6 Here, if the jury is erroneously instructed as to the reliability of the BAC test, the State has no adequate remedy by appeal. Moreover, whether this intended jury instruction is appropriate is a question of law and does not turn on the resolution of disputed facts. For these reasons, and in the exercise of our discretion, we accept special action jurisdiction to address the substantive question presented.
¶ 7 "When reviewing a special action initiated in a superior court, we conduct a two-part review. Hamilton v. Mesa Mm. Ct., 163 Ariz. 374, 377, 788 P.2d 107, 110 (App.1989). First, we consider whether the superior court erred in accepting jurisdiction, and second, we consider the superior court’s decision on the merits. Id. We conclude that the superior court did not abuse its discretion by accepting jurisdiction in the special action below. Accordingly, we now consider the merits of the superior court’s decision.
DISCUSSION
¶ 8 The State argues that the superior court erred when it upheld the justice court’s ruling adopting Morgan’s proposed jury instruction. We review a court’s decision to adopt a particular jury instruction for an abuse of discretion, State v. Johnson, 205 Ariz. 413, 417, ¶ 10, 72 P.3d 343, 347 (App. 2003), and review de novo whether a jury instruction correctly states the law, State v. Morales, 198 Ariz. 372, 374, ¶ 4, 10 P.3d 630, 632 (App.2000). Because the jury’s acquittal on the extreme DUI charge did not constitute a judicial determination that the blood test result was unreliable, we conclude that the proposed limiting instruction contains incorrect statements of law and fact.
¶ 9 This court’s decision in State v. Bartolini, 214 Ariz. 561, 564, ¶ 10, 155 P.3d 1085, 1088 (App.2007), is instructive here. In Bartolini, we held that collateral estoppel principles did not preclude the State from introducing BAC results in a DUI retrial following an acquittal. Id. There, the defendant was charged with DUI-impaired and per se DUI. Id. at 563, ¶ 3, 155 P.3d at 1087. As evidence, the State introduced BAC results from two breathalyzer tests. Id. at 562, ¶ 2, 155 P.3d at 1086. The jury in the initial trial found Bartolini guilty of DUI-impaired and not guilty of per se DUI. Id. at 562, ¶ 1, 155 P.3d at 1086. The court thereafter granted a new trial on DUI-impaired, finding evidence regarding the vertical gaze nystagmus test should not have been admitted. Id. at 563, ¶ 3, 155 P.3d at 1087.
¶ 10 Facing a second trial on the DUI-impaired charge, Bartolini argued — as Morgan argues here — that the acquittal on the per se DUI charge constituted a determination that the BAC test result was “unreliable.” Id. at 564, ¶ 10, 155 P.3d at 1088. This court disagreed:
Bartolini further contends that because her BAC test results were rejected as unreliable by the first jury when it acquitted her on the per se DUI charge, the test results cannot be used in the retrial on the DUI-impaired charge. We might agree with this proposition if the acquittal on per se DUI constituted a jury determination that the BAC results were unreliable for any purpose. But the per se DUI acquittal establishes merely that the State did not prove beyond a reasonable doubt that Bartolini had a BAG of .08 or more within two hours of driving and that she cannot be retried on any charge that requires such a finding. The BAC test results remain relevant and probative, however, on the issue of impairment.
Id. (emphasis added).
¶ 11 Consistent with the reasoning of Bartolini, we conclude that Morgan’s acquittal was not a judicial determination that the BAC test result was unreliable. See id. The acquittal could have resulted from jury concerns about the accuracy of the BAC test result or from other discretionary considerations unrelated to the accuracy or reliability of the test result. Although we cannot know with certainty why the jury acquitted Morgan of extreme DUI, in our view the only fact established by its acquittal was that the State did not prove beyond a reasonable doubt that Morgan had a BAC of 0.15 or above within two hours of being in actual physical control of a motor vehicle.
¶ 12 Based on the constitutional protection against double jeopardy, the first jury’s acquittal precludes the State from retrying Morgan on the charge of extreme DUI. In the second trial, however, the State is not attempting to convict Morgan of DUI with a BAC of 0.15 or higher. That the jury may have discounted the probative strength of the 0.17 BAC test result in the first trial does not conclusively establish that the test result is suspect or unreliable for the purpose of proving charges distinct from that of extreme DUI. See Bartolini, 214 Ariz. at 564, ¶ 10, 155 P.3d at 1088. The State is not precluded from introducing evidence of the blood test result in support of the distinct charges of DUI-impaired and per se DUI.
¶ 13 The justice court correctly rejected Morgan’s argument that collateral estoppel applied to preclude altogether the admission of the blood test result at the second trial. See State v. Rodriguez, 198 Ariz. 139, 141, ¶ 7, 7 P.3d 148, 150 (App.2000) (explaining that collateral estoppel applies only when an issue litigated in the second trial is exactly the same as an issue “necessarily decided in the defendant’s favor” in the first trial (quoting Schiro v. Farley, 510 U.S. 222, 236, 114 S.Ct. 783, 127 L.Ed.2d 47 (1994))). But the court erred when it determined that a limiting instruction informing the second jury of the first trial’s result was appropriate. We recognize that jury instructions describing the results of prior judicial proceedings have been upheld when they “merely informed the jury of an uncontroverted fact.” See Barrett v. Samaritan Health Sens., Inc., 153 Ariz. 138, 143, 735 P.2d 460, 465 (App.1987). But it is not an uncontroverted fact that, by-acquitting, the jury in the first trial deemed the blood test result unreliable. Whatever evidence Morgan used in the first trial to undermine the test result may again be relevant and persuasive, but the jury should not be instructed that the result of the first trial has any bearing on the evidence presented in the second.
¶ 14 Accordingly, the proposed jury instruction contains both incorrect and irrelevant information. It is legally erroneous to instruct the jury that the 0.17 BAC result is now tarnished or unreliable. In the second trial, the result of the first trial — on a separate charge — is irrelevant. For these reasons, the proposed instruction is erroneous as a matter of law.
CONCLUSION
¶ 15 The limiting instruction proposed by Morgan misstates the law and may not be submitted to the jury. The BAC test result is admissible upon proper foundation, as if the first trial had not occurred. No limiting instruction is needed. This court accepts special action jurisdiction and grants relief by vacating that portion of the justice court’s order adopting the limiting instruction. We also vacate the superior court’s order denying relief and approving the proposed limiting instruction.
. We disagree with Morgan that State ex rel. McDougall v. Maricopa County Superior Court, 179 Ariz. 295, 877 P.2d 1351 (App.1994), should control the outcome here. McDougall allowed the use of previously admitted evidence so long as it was not offered to contradict the results of a prior verdict. 179 Ariz. at 298, 877 P.2d at 1354. The State does not seek to contradict the first verdict here, because it intends to re-try Morgan on the two separate and distinct charges that were not resolved by the first jury.
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OPINION
BROWN, Judge:
¶ 1 Lisa Gurtler sustained multiple injuries from a car accident that occurred as she was driving home, only minutes after she conducted a business errand at the end of her work day. Her subsequent claim for workers’ compensation was denied. Because we conclude that Gurtler’s accident did not occur while she was in the course of her employment, we affirm the decision by the administrative law judge (“ALJ”) that the claim was noncompensable.
BACKGROUND
¶ 2 We view the evidence in the light most favorable to upholding the ALJ’s award. Munoz v. Indus. Comm’n, 234 Ariz. 145, 147, ¶ 2, 318 P.3d 439 (App.2014). Gurtler was employed by the self-insured respondent employer, City of Scottsdale, as an assistant auditor responsible for assisting with auditing various programs and functions as approved by the City Council. Gurtler performed her work both at her office in Scottsdale and at the offices of her “audit clients.” She drove her personal vehicle for out-of-office appointments, and although travel reimbursement was available, she requested it only about one-third of the time. Gurtler usually worked from 7:30 a.m. to 5:00 p.m., with a half-hour for lunch.
¶ 3 In the days leading up to her injury, Gurtler had been doing some preliminary work for an upcoming audit of Vista del Camino (‘VDC”), a City facility that provides welfare and community assistance programs. She had borrowed a “policy and procedure” manual from Kathy Breen, VDC’s manager, to familiarize herself with VDC’s functions, and had told VDC she would return the manual on Monday, January 23, 2012. Gurtler was unable to return the manual on Monday, so in an email exchange with Ms. Breen, she promised instead to return it the next day.
¶ 4 Gurtler left her office on Tuesday afternoon at about 5:15 p.m. and drove 2.8 miles to VDC to deliver the manual. According to Gurtler, she wanted to return it in a timely manner to demonstrate professionalism and to develop a good rapport with the new audit client. She testified that she was not required to return the manual on Tuesday, and had no required time frame for returning audit documents. Gurtler also acknowledged that rather than return the manual herself, she could have used the City’s internal mail delivery system, with daily pick-up and delivery between all City departments, to return it.
¶ 5 When Gurtler arrived at VDC, the office was closed, so she put the manual through a “glass opening” at the reception desk along with her business card and then left to drive home. The accident occurred shortly before she reached the point that would have placed her back on the route she typically used for her daily commute (Scottsdale Road). As Gurtler would later explain, although her work for the day was completed and she was driving home, she would not have been at the location where the accident occurred were it not for her trip to the VDC office. Gurtler filed a workers’ compensation claim with the Industrial Commission of Arizona (“ICA”) for injuries she sustained in the accident, but her claim was denied and she timely requested a hearing.
¶ 6 After hearing testimony, the ALJ found that Gurtler’s claim was precluded by the going and coming rule and none of the exceptions to the rule applied. Gurtler timely requested administrative review, asserting that the ALJ erred in failing to apply the dual purpose doctrine, a recognized exception to the going and coming rule. The ALJ summarily affirmed the award and this timely appeal followed.
DISCUSSION
¶ 7 Generally, we will not set aside an ICA decision and award reasonably supported by the evidence. Finnegan v. Indus. Comm’n, 157 Ariz. 108, 109, 755 P.2d 413 (1988). We defer to the ALJ’s factual findings, but review questions of law de novo. Young v. Indus. Comm’n, 204 Ariz. 267, 270, ¶ 14, 63 P.3d 298 (App.2003). As the claimant, Gurtler has the burden of showing she is entitled to compensation. Malinski v. Indus. Comm’n, 103 Ariz. 213, 216, 439 P.2d 485 (1968).
A. The Going and Coming Rule
¶ 8 For an injury to be covered by Arizona’s Workers’ Compensation Act (“the Act”), the injury must “aris[e] out of’ and be sustained “in the course of’ an activity related to the claimant’s employment. Ariz. Const. art. 18, § 8; Ariz.Rev.Stat. (“A.R.S.”) § 23-1021(A); Finnegan, 157 Ariz. at 109, 755 P.2d 413. “Whether an activity is related to the claimant’s employment — making an injury sustained therein compensable — will depend upon the totality of the circumstances.” Finnegan, 157 Ariz. at 110, 755 P.2d 413.
¶ 9 The Act, like similar provisions in other jurisdictions, “was not intended to give protection to workers going to and from work.” Malinski, 103 Ariz. at 217, 439 P.2d 485. Thus, as a general rule, the going and coming rule excludes an employee’s ordinary commute to and from work from the protections of the Act:
It is of course the general rule in compensation cases ... that [an employee] does not enter an employment until [ ]reach[ing] the place where the work of [the] employer is to be carried on, and similarly, when [the employee] has finished all the work required ... and leaves the place of business ... to go ... home, [the employee] has left the employment, and that an accident which may occur [on the employee’s way to or from] work is not in the due course of [] employment.
Ebasco Servs., Inc. v. Bajbek, 79 Ariz. 89, 93, 284 P.2d 459 (1955) (quotation omitted) (emphasis added). The reasoning behind the rule is that until an employee actually begins work or arrives at her employer’s premises, any risk of injury is the same as those faced by the general public and not related to the employment. Hansen v. Indus. Comm’n, 141 Ariz. 190, 192-93, 685 P.2d 1342 (App.1984).
¶ 10 It is undisputed that after leaving her office for the day, Gurtler carried out a business errand by returning the policy manual to VDC. Upon completion of that task, her work for the day had ended and she was driving toward her home when the accident occurred. Under a plain application of the going and coming rule, Gurtler was not injured while in the course of her employment. Therefore, absent one of the several exceptions to the going and coming rule, Gurtler’s traffic accident falls outside the coverage of the Act. See generally Arizona Workers’ Compensation Handbook § 4.2.2, at 4-2 to - 9 (Ray Jay Davis, et ah, eds., 1992 & Supp. 2013) (noting various exceptions to the going and coming rule, such as going and coming on the employer’s premises, performing a special errand, employer conveyance, payment for travel time or expenses, dual purpose trips, and deviations).
B. Dual Purpose Exception
¶ 11 Gurtler asserts that because the ALJ found that delivery of the VDC manual “was in the course and scope of her employment,” she qualifies for coverage under the Act based on the dual purpose doctrine, a commonly asserted exception to the going and coming rule. The dual purpose doctrine is based on a test enunciated in Marks’ Dependents v. Gray, 251 N.Y. 90, 167 N.E. 181 (1929), which our supreme court later adopted:
If the work of the employee creates the necessity for travel, [the employee] is in the course of [ ] employment, though he is serving at the same time some purpose of his own----If, however, the work has had no part in creating the necessity for travel, if the journey would have gone forward though the business errand had been dropped, and would have been cancelled upon failure of the private purpose, though the business errand was undone, the travel is then personal, and personal the risk.
Butler v. Indus. Comm’n, 50 Ariz. 516, 522-23, 73 P.2d 703 (1937) (citations and quotations omitted) (overruled on other grounds by Wiley v. Indus. Comm’n, 174 Ariz. 94, 97, 847 P.2d 595 (1993)).
¶ 12 The Marks’ Dependents rule has been clarified such that “there is no need to evaluate the primary purpose of the trip, nor must a court find that absent the personal motive, the business trip would have been taken ‘by this particular employee at this particular time.’ ” 2 Lex K. Larson, Larson’s Workers’ Compensation Law § 16.03, at 16-1 (Matthew Bender, Rev. Ed. & Supp.2014) (“Larson’s ”).
It is enough that someone sometime would have had to take the trip to carry out the business mission. Perhaps another employee would have done it; perhaps another time would have been chosen; but if a special trip would have had to be made for this purpose, and if the employer got this necessary item of travel accomplished by combining it with this employee’s personal trip, it is accurate to say that it was a concurrent cause of the trip, rather than an incidental appendage or afterthought.
Id. (emphasis added).
¶ 13 Campbell v. Industrial Commission, 165 Ariz. 583, 586, 799 P.2d 1357 (App.1990), illustrates the application of this principle. In Campbell, a ranch hand was injured while on his way into town to perform some personal errands and to purchase several items for his employer at a hardware store. The employer testified the items requested were not urgently needed, they were not important enough for a special trip, and he doubt ed the employee would have been sent for them if he were not traveling to town on personal business. Id. at 585, 799 P.2d 1357. The employee acknowledged “he would have taken the trip even if there had not been a business purpose for it.” Id. at 585-86, 799 P.2d 1357. Despite these facts, the ALJ concluded that the employee’s claim was compensable because the injury occurred during a trip that served both a business and personal purpose. Id. at 586, 799 P.2d 1357. On appeal, this court vacated the award, holding that a special trip would not have been undertaken by the employee for the hardware items because someone else could have done it at another time without the need for a special trip. Id. at 588, 799 P.2d 1357.
¶ 14 Here, Gurtler argues that even though she had completed the specific task (delivery of the manual) that led to the “dual purpose” of her trip when the accident occurred, she remained in the course of employment “at least” until she returned to Scottsdale Road, which was the usual street she used for her daily commute. Gurtler’s own testimony, however, demonstrates she does not meet the threshold showing required under the dual purpose exception because there was no necessity for her or any other employee to make a “special trip” to return the manual to Ms. Breen at the VDC:
Q. [By Gurtler’s attorney] All right. If you had not been able to return the folder on the way home on January 24th, would the manual have made it back to Ms. Breen some other way or was it really not that important?
A. [Gurtler] It would have eventually made it back to Ms. Breen.
Q. Okay. Do you have any idea what options were available to get that manual back to Ms. Breen, including you or other people?
A. Me or other people or the City’s mail department.
Q. Do you know if the policy would have permitted you to deliver the manual on a different day if you had something to do and you couldn’t stop on the way home on January 24th?
A. Yes ... there was no policy that prohibited me from making that delivery or returning it at any time.
Gurtler explained further that the City’s mail department performs daily delivery and pickup to all City departments and that she could have returned the manual using that service. Thus, no need existed for Gurtler to personally deliver the manual or for any other coworker to undertake a “special trip” to do so. Under these circumstances, Gurtler does not fall within the scope of the dual purpose exception.
C. Additional Considerations
¶ 15 Relying on Connors v. Parsons, 169 Ariz. 247, 252, 818 P.2d 232 (App.1991), Gurtler also argues that because the ALJ found her delivery of the VDC manual “to be necessary,” it provided a business motive that “colors the entire trip.” Addressing the purpose of Gurtler’s trip, the ALJ found:
After a careful review of all the evidence, the undersigned finds the applicant was in the course and scope of her employment when she delivered the Policies and Procedures manual to Vista Del Camino, however, once she had delivered the manual and returned to Miller Road and Roosevelt Street her job was finished for the day. She then had to decide whether to take Roosevelt Street to Scottsdale Road and then Scottsdale Road to Rural Road, her normal way home or to stay on Miller Road until it eventually transitioned into Scottsdale Road. We do not know why she chose Miller Road instead of Scottsdale Road but clearly, that was her personal choice as to what route to take home. She could have been on Miller Road for any number of reasons unconnected to her employment.
Applicant’s claim is excluded by the [going and coming] rule and she does not fall within any of [its] exceptions[.]
We do not read the ALJ’s award to mean that he determined Gurtler’s trip to VDC was necessary; instead, the ALJ simply emphasized that Gurtler was in the course of her employment up to the point when she dropped off the manual at VDC. Although the ALJ’s ruling also stated that Gurtler remained in the course of her employment until she reached the intersection of Miller Road and Roosevelt Street, the precise route Gurtler selected that evening to drive home is irrelevant to applying the going and coming rule — her work for the day ended when she finished her errand of delivering the manual. Cf. Strauss v. Indus. Comm’n, 73 Ariz. 285, 288, 240 P.2d 550 (1952) (“As a general proposition, the liability of an employer ceases when the employee leaves the premises where he is employed.”). At that point, Gurtler’s service to the City had ended, and she makes no assertion that if she had sought mileage reimbursement from the City for her travel to VDC, it would have included more than the distance from her office to VDC. See id. (noting that “[a]nother exception [to the going and coming rule] is whether transportation is furnished at the expense of the employer”).
¶ 16 Additionally, we do not read Connors as broadening the dual purpose doctrine. In that case, the plaintiff was a passenger in a car driven by her co-employee. 169 Ariz. at 248, 818 P.2d 232. During the lunch hour, they went on a work-related errand. Id. While returning to work, they decided to stop for lunch, but before they reached their destination they were involved in a car accident. Id. The plaintiff applied for and received workers’ compensation benefits, and then filed a lawsuit against her co-employee. Id. at 248-49, 818 P.2d 232. The trial court granted summary judgment to the co-employee, finding the plaintiffs acceptance of workers’ compensation benefits operated as a waiver to bringing a tort claim. Id. at 249, 818 P.2d 232.
¶ 17 Applying A.R.S. § 23-1024(A), which provides that an employee who accepts compensation under the Act waives the right to sue the employer or “any co-employee acting within the scope of employment,” this court held that an issue of fact existed whether the co-employee was acting within the scope of employment at the time of the accident. Connors, 169 Ariz. at 249, 251, 818 P.2d 232. We therefore remanded for further proceedings, noting that “principles of employment law” could be determinative on remand, including the following:
The dual purpose exception applies where the employee performs a concurrent business service for the employer while doing a personal commute____In order to consti-
tute a concurrent service, the trip must have been necessary for the employer— i.e., sometime, someone would have to run this errand on the employer’s behalf even if the parties’ personal trip were canceled____The business trip need not have
been taken by these same parties at the same time that they actually took it but someone would eventually have to make the trip for the company----Once a dual purpose is found, the law does not separate the business and personal motives; the business motive colors the entire trip.
169 Ariz. at 252, 818 P.2d 232 (citations omitted) (emphasis added).
¶ 18 Viewed in context, Connors addressed the dual purpose doctrine in summary fashion for the purpose of alerting the trial court to an issue that could arise on remand. For the most part, the Connors court appropriately summarized the doctrine, citing, among other authorities, Campbell. Id. In our view, however, the court’s statement that “the business motive colors the entire trip” speaks too broadly about the legal implication of a dual purpose finding. The court remanded the case with the following directive: “If a dual purpose exists, the trial court must ... determine whether the parties abandoned or so deviated from their destination that they were no longer acting within the scope of employment at the time of the accident.” Id. Applying the “colors the entire trip” phrase literally, there would be no reason for Connors’ directive that the trial court consider issues of abandonment or deviation because a business purpose would cover the entire trip as a matter of law. Given the court’s remand instructions, the only logical conclusion to be drawn from Connors is that a dual purpose finding does not necessarily mean all aspects of the trip were business-related. Significantly, Gurtler has not cited, nor has our research revealed, any authority in any jurisdiction stating that a dual purpose finding “colors the entire trip.”
¶ 19 Furthermore, Connors analyzed whether a personal detour taken during a business trip was in the course of employment. The present case involves a business errand followed by a personal trip. Even considering the two trips as one, Gurtler’s business deviation was taken during a personal trip, which presents a different legal analysis than a personal deviation from a business trip. See generally Larson’s ch. 17 (Deviations); compare Larson’s § 17.04[2] at 17-25 (“Distance Covered Mostly Personal”) with Larson’s § 17.04[3] at 17-26 (“Distance Covered Mostly Business”). Given all of these considerations, Connors does not support Gurtler’s position on appeal.
¶ 20 Nor do we find persuasive the other authorities upon which Gurtler relies: Delk v. Industrial Commission, 74 Ariz. 378, 249 P.2d 943 (1952), Strauss, 73 Ariz. at 285, 240 P.2d 550, Gurovich v. Industrial Commission, 113 Ariz. 469, 556 P.2d 1131 (1976), and Greenlaw Jewelers v. Industrial Commission, 127 Ariz. 362, 621 P.2d 49 (App.1980). Neither Delk nor Strauss involved questions about the application of the dual purpose doctrine; instead, they only considered whether the respective employees fell within the going and coming rule. See Delk, 74 Ariz. at 381, 249 P.2d 943 (holding that employee’s death from car accident while traveling on an old road parallel to a new highway arose in the course of his employment as a livestock inspector because the nature of his duties “called for the decedent to travel on side roads and trails”); Strauss, 73 Ariz. at 290, 240 P.2d 550 (finding employee was within course of employment when fatal accident occurred following a personal errand where employer provided transportation and required employee to “work both on and off the premises at any and all hours”). Unlike the present ease, Gurovich and Greenlaw each involved employees who took personal deviations from lengthy business trips that resulted in death or injury. Gurovich, 113 Ariz. at 472, 556 P.2d 1131 (finding that a claimant’s injury suffered while trying to free his car from the mud during a personal detour from his regular route home was covered by the Act because he had “resumed his trip back to Phoenix as contemplated by his employment”); Greenlaw, 127 Ariz. at 363, 365, 621 P.2d 49 (affirming an award arising from employee’s death on return flight to Flagstaff from Phoenix even though business portion of the trip occurred in Albuquerque). Therefore, these cases do not support the proposition that performing a business errand while driving home from work within the same locale “colors the entire trip.”
¶ 21 Finally, Gurtler argues that her injuries should be compensable because they occurred during a business detour from her personal commute home. Professors Larson have recognized that “if the main trip is a personal trip, the business character of a business detour persists throughout the detour.” Larson’s § 17.03[6], at 17-23. In this case, Gurtler was not injured during a “detour,” as the authorities discuss that term. She was neither injured on the way to VDC nor while delivering the manual or on the property where VDC’s office was located. She was on her way home, albeit by a slightly different route than she might normally take, but still heading in the direction of her home. Thus, she had completed her business errand and resumed her personal commute. See Larson’s § 17.02[4], at 17-5 (“Of course, in a one-way journey, if the accident had happened after the business call had been made and while the claimant was on the final leg of the journey home, the injury would be clearly noncompensable.”).
¶ 22 In sum, because no exception to the going and coming rule applies, Gurtler was not in the course of her employment when she was injured. Consistent -with many other courts that have wrestled with these thorny issues, we have reached this conclusion based on the unique circumstances presented. See Strauss, 73 Ariz. at 288, 240 P.2d 550 (“The ‘going and coming’ rule and the rule that the employee must be rendering service at the time of injury are not of inevitable application. A review of these borderline cases discloses that each case must be decided on its particular fact situation.”).
CONCLUSION
¶ 23 We conclude that the going and coming rule applies to Gurtler’s claim for workers’ compensation benefits, which necessarily means she was not in the course of her employment when she was injured. Accordingly, we affirm the ALJ’s award for a noncompensable claim.
. Gurtler worked at 4021 North 75th Street in Scottsdale and lived in Tempe, near Knox and Rural Roads. VDC was located at 7700 East Roosevelt Street, Scottsdale. The accident occurred at the intersection of Curry and Miller Roads. Although "most of the time” Gurtler used Scottsdale Road to drive to and from work, on occasion she also traveled other routes, such as McClintock Drive and the Loop 101.
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OPINION
DOWNIE, Judge:
¶ 1 This appeal presents the question whether a subsequent (i.e., non-original) homeowner may maintain a negligence cause of action against a homebuilder for economic losses arising from latent construction defects unaccompanied by physical injury to persons or other property. The homeowners in this case contend that a public policy-based tort duty arises from a municipal building code, as well as from statutes and regulations governing residential contractors. We disagree and therefore affirm the judgment of the superior court.
FACTS AND PROCEDURAL HISTORY
¶ 2 Defendan/Appellee Pulte Home Corporation developed and built homes in a Phoenix hillside community. In 2000, Pulte sold the home at issue in these proceedings to the original homeowners, who, in 2003, sold the property to Plaintiffs/Appellants John and Susan Sullivan. In 2009, the Sullivans discovered problems with the home’s hillside retaining wall. An engineering firm they retained concluded that Pulte had constructed the retaining wall and prepared the home site without proper structural and safety components, including footings, rebar, and adequate drainage and grading. Pulte declined the Sullivans’ request to make repairs.
¶ 3 The Sullivans sued Pulte, alleging eleven separate counts, including several negligence-based claims. The Sullivans sought to recover out-of-pocket costs associated with identifying and remediating the alleged defects, as well as damages for diminution in the property’s value. Pulte moved to dismiss all counts of the complaint pursuant to Arizona Rule of Civil Procedure 12(b)(6), arguing that the implied warranty claim was barred by the statute of repose and that the tort claims were impermissible under the economic loss doctrine (“ELD”). The superior court granted Pulte’s motion, and the Sullivans appealed.
¶ 4 This Court affirmed the dismissal of all counts of the Sullivans’ complaint except the negligence claims. Sullivan v. Pulte Home Corp., 231 Ariz. 53, 60, ¶¶ 30-31, 290 P.3d 446, 453 (App.2012), vacated in part, 232 Ariz. 344, 306 P.3d 1 (2013). We held that because the Sullivans were not in privity with Pulte and had no contract with the homebuilder, the ELD did not bar their negligence claims. Although the Arizona Supreme Court vacated the portion of our opinion discussing the ELD, it nevertheless agreed that the ELD did not bar the Sullivans’ negligence claims. Sullivan v. Pulte Home Corp., 232 Ariz. 344, 345-47, ¶¶ 7, 11, 15, 306 P.3d 1, 2-4 (2013) (“Sullivan I”). Sullivan I held that the ELD “protects the expectations of contracting parties, but, in the absence of a contract, it does not pose a barrier to tort claims that are otherwise permitted by substantive law.” Id. at 346, ¶ 11, 306 P.3d at 3. Instead, courts must “consider the applicable substantive law to determine if non-contracting parties may recover economic losses in tort.” Id. at 347, ¶ 14, 306 P.3d at 4. The supreme court cautioned that its opinion should not be read as implying that the Sullivans would ultimately prevail on their negligence claims, stating:
Our holding that the economic loss doctrine does not bar the Sullivans’ tort claims does not, of course, imply that those claims will ultimately succeed. Cf. Flagstaff Affordable Hous., 223 Ariz. at 327-28, ¶ 39, 223 P.3d at 671-72 (directing courts to consider applicable substantive law to determine if non-contracting parties may recover economic losses in tort); Draft Restatement § 6(2), reporter’s note to cmt. c (noting division of authority but concluding that subsequent home purchasers should not recover in tort from homebuilder for negligent construction). As the court of appeals noted, Pulte made other arguments challenging the legal sufficiency of the tort claims that were not addressed by the trial court, which may consider those arguments in the first instance on remand.
Sullivan I, 232 Ariz. at 347, ¶ 14, 306 P.3d at 4.
¶ 5 On remand to the superior court, Pulte moved to dismiss the negligence claims pursuant to Rule 12(b)(6), arguing “a homebuilder such as Pulte does not owe a duty of care to a subsequent purchaser (such as plaintiffs) to prevent them from economic harm.” The superior court granted Pulte’s motion, and the Sullivans again timely appealed.
DISCUSSION
¶ 6 “Whether the defendant owes the plaintiff a duty of care is a threshold issue; absent some duty, an action for negligence cannot be maintained.” Gipson v. Kasey, 214 Ariz. 141, 143, ¶ 11, 150 P.3d 228, 230 (2007). “Duties of care may arise from special relationships based on contract, family relations, or conduct undertaken by the defendant.” Id. at 145, ¶ 18, 150 P.3d at 232. Additionally, “[p]ublic policy may support the recognition of a duty of care.” Id. at 145, ¶ 23, 150 P.3d at 232. “In many instances, the legislature reflects public policy by codifying certain duties and obligations.” Monroe v. Basis Sch., Inc., 234 Ariz. 155, 160, ¶ 17, 318 P.3d 871, 876 (App.2014). We consider the duty question de novo. See N. Peak Constr., LLC v. Architecture Plus, Ltd., 227 Ariz. 165, 167, ¶ 13, 254 P.3d 404, 406 (App.2011) (dismissal for failure to state a claim reviewed de novo); Home Builders Ass’n of Cent. Ariz. v. City of Maricopa, 215 Ariz. 146, 149, ¶ 6, 158 P.3d 869, 872 (App. 2007) (questions of law and statutory interpretation reviewed de novo).
¶ 7 At oral argument before this Court, the Sullivans disavowed any assertion that a duty exists based on common law principles of negligence. They instead premise their duty argument on a municipal building code and on Arizona statutes and regulations governing residential contractors. The Sullivans contend they “fall within the class of persons protected by Arizona’s public policy framework which mandates specific design and construction standards for safe residential construction.” Specifically, they argue:
The duties imposed by law upon Pulte are found in: the Building Code adopted by the City of Phoenix (specifying minimum standards in design and construction to protect, inter alia, life or limb, health, property); the Arizona Administrative Code, AAC R4-9-108 (Registrar of Contractors ... regulations establishing Workmanship Standards); and, A.R.S. § 32-1154 (mandating compliance with building codes and ROC regulations).
¶ 8 Turning first to the City of Phoenix Uniform Building Code (“Building Code”), the Sullivans rely on its stated purpose of “provid[ing] minimum standards to safeguard life or limb, health, property and public welfare by regulating and controlling the design, construction, quality of materials, use and occupancy, location and maintenance of all buildings and structures....” Building Code § 101.2. However, that same section of the Building Code specifically disclaims any intent to protect or benefit a particular group or class, stating, “[T]he purpose of this code is not to create or otherwise establish or designate any particular class or group of persons who will or should be especially protected or benefited by the terms of this code.” Id.
¶ 9 A statute or regulation typically gives rise to a tort duty premised on public policy only if it “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.” Estate of Hernandez v. Ariz. Bd. of Regents, 177 Ariz. 244, 253, 866 P.2d 1330, 1339 (1994). It would be anomalous, as well as inconsistent with this well-established legal tenet, to premise a tort duty on a regulatory scheme that expressly eschews any intent to protect or benefit a class or group of persons. Cf. Tellez v. Saban, 188 Ariz. 165, 169, 933 P.2d 1233, 1237 (App.1996) (rejecting negligence per se claim based on statute prohibiting rental car company from leasing to unlicensed drivers because “statutes intended for the protection of the public at large rather than an individual or class of persons do not create the standard of conduct required of a reasonable person”); Jackson v. City of Seattle, 158 Wash.App. 647, 244 P.3d 425, 430, ¶ 16 (2010) (“[Plaintiff] does not persuasively explain how we could view the [Seattle] stormwater code as a foundation for a negligence action in spite of the express disclaimer of a purpose to designate a protected class and the express terms making the code enforceable only by the city.”). Thus, even assuming for the sake of argument that a municipal building code is of sufficient legal stature to support imposition of public policy-based tort duties, the code at issue here reveals no intention to protect or benefit subsequent homeowners who experience economic loss.
¶ 10 Although Arizona’s appellate courts have held that statutes enacted for public safety may support public policy-based tort duties, they have done so largely in the context of injury and death cases. See, e.g., Gipson, 214 Ariz. at 146, ¶ 26, 150 P.3d at 233 (defendant providing prescription drugs to woman who subsequently gave them to third party owed duty based on criminal statute “designed to avoid injury or death to people who have not been prescribed prescription drugs”); Estate of Hernandez, 177 Ariz. at 251-53, 866 P.2d at 1337-39 (statute making it unlawful to provide alcohol to minors supported duty by defendants serving alcohol to minor driver who later injured plaintiff); Alhambra Sch. Dist. v. Maricopa Cnty. Superi- or Court, 165 Ariz. 38, 42-43, 796 P.2d 470, 47A-75 (1990) (school district assumed duty of care to persons using crosswalk it established and could be hable for personal injury caused by deviation from statutory requirements); Ontiveros v. Borak, 136 Ariz. 500, 509-11, 667 P.2d 200, 209-11 (1983) (dram shop statutes as basis for tavern owner’s duty to pedestrian injured by drunk driver served in violation of statute); Estate of Maudsley v. Meta Servs., Inc., 227 Ariz. 430, 436, V 21, 258 P.3d 248, 254 (App.2011) (duty of care based on statutes imposing obligations on entities that screen, evaluate, and treat the mentally ill); Daggett v. Cnty. of Maricopa, 160 Ariz. 80, 84-85, 770 P.2d 384, 388-89 (App.1989) (regulations requiring inspection of swimming facilities imposed duty on county for benefit of patron injured by unsafe conditions). Distinguishing between duties owed in actions alleging death or personal injury and duties arising in cases involving purely economic loss is consistent with a noted judicial reluctance to recognize duties “to exercise reasonable care for the purely economic well-being of others.” Lips v. Scottsdale Healthcare Corp., 224 Ariz. 266, 268, ¶ 11, 229 P.3d 1008, 1010 (2010); cf. Gilbert Tuscany Lender, LLC v. Wells Fargo Bank, 232 Ariz. 598, 601-02, ¶¶ 15-17, 307 P.3d 1025, 1028-29 (App.2013) (declining to extend tort duties based on Bank Secrecy Act in case alleging economic loss).
¶ 11 Our conclusion that the Building Code does not support imposition of a public policy-based duty for purely economic loss finds support in reported decisions from other jurisdictions. See, e.g., Parker Bldg. Servs. Co. v. Lightsey, 925 So.2d 927, 931 (Ala.2005) (rejecting negligence per se claim premised on building code violations because code “does not delineate a specific class of persons it seeks to protect distinguishable from the public”); Davencourt at Pilgrims Landing Homeowners Ass’n v. Davencourt at Pilgrims Landing, LC, 221 P.3d 234, 247-48, ¶¶ 41-44 (Utah 2009) (refusing to find building codes create a duty for purposes of economic loss because “assuming a duty is owed under the statute [requiring compliance with building codes], that duty is to the public”); Jackson, 244 P.3d at 429 (“Building codes and other similar municipal codes do not typically serve as a basis for tort liability because they are enacted merely for purposes of public safety or for the general welfare.”); but see Moglia v. McNeil Co., Inc., 270 Neb. 241, 700 N.W.2d 608, 618-19 (2005) (holding, without analysis, that “[w]ith respect to appellants’ allegation that the defects violated Omaha building codes, we agree with appellants that building codes create a legal duty, thus giving rise to a potential negligence claim”).
¶ 12 Nor do we find Arizona’s statutory and administrative schemes governing licensed contractors a sufficient basis for holding that homebuilders owe public policy-based tort duties to subsequent homeowners for economic loss. Like the Building Code, the governance of licensed contractors has a broad, general purpose: “to protect the public health, safety and welfare by licensing, bonding and regulating contractors engaged in construction.” 2014 Ariz. Sess. Laws, ch. 247, § 11 (2d Reg. Sess.); see also 2004 Ariz. Sess. Laws, ch. 16, § 3 (2d Reg. Sess.); 1994 Ariz. Sess. Laws, eh. 7, § 3 (2d Reg. Sess.). Our supreme court has commented on the purpose of regulating contractors as follows:
It appears to us upon reviewing the legislative history of the evolution of the contractor’s code, that the legislature intended (1) to control contractors by issuance, suspension or revocation of licenses, and (2) after passage of the 1952 statute, to offer additional protection to persons damaged by failure of the contractor to perform his contract in the manner required by the statute, or to pay for materials or labor, by requiring bonds to insure payment of such damages.
Emp’t Sec. Comm’n of Ariz. v. Fish, 92 Ariz. 140, 144, 375 P.2d 20, 23 (1962) (emphasis added); see also Beazer Homes Ariz., Inc. v. Goldwater, 196 Ariz. 98, 101, ¶ 14, 993 P.2d 1062, 1065 (App.1999) (The “general purpose of licensing contractors” is “to regulate the conduct of contracting and protect the public from unscrupulous acts.”).
¶ 13 The policy underpinnings identified in Fish do not exist here. The Sullivans have no contract with Pulte, and they concede that no duty arises from a relationship between the parties. Although licensed contractors are subject to discipline for, inter alia, “[d]eparture from or disregard of ... any building code of the state or any political subdivision of the state in any material respect,” A.R.S. § 32-1154(A)(2), this regulatory provision does not support imposing public policy-based tort duties in favor of subsequent property owners asserting economic loss. Professional codes frequently establish standards for licensees that do not give rise to private causes of action. See, e.g., Ariz. R. Sup.Ct. 42, Preamble ¶ 20 (violation of Rules of Professional Conduct does not give rise to cause of action against licensed attorney).
¶ 14 Should the Arizona Legislature deem it appropriate to expand civil remedies based on construction-related statutes and codes, it obviously may do so. See, e.g., Fla. Stat. Ann. § 553.84 (permitting certain civil actions premised on building code violations). Such a broad expansion of the law is a policy-laden decision best suited for the legislative branch of government. See Jackson, 244 P.3d at 430 (“When a court decides that a violation of a statute shall be considered in determining liability for negligence, the motivation for doing so is to give effect to the will of the legislature.”). Especially given the Sullivans’ disavowal of any common law-based duty, we respectfully disagree with our dissenting colleague’s conclusion that Arizona courts should recognize a duty premised on codes and ordinances that offer no indication such a result was intended. See W. Page Keeton et al., Prosser and Keeton on Torts § 36, at 222 (5th ed. 1984) (discussing reliance on criminal statutes and ordinances as basis for negligence claims, noting “courts in such cases have been careful not to exceed the purpose which they attribute to the legislature. This judicial self-restraint is rooted in part in the theory of the separation of powers.”).
¶ 15 Finally, our conclusion is consistent with, though not dependent on, the Restatement (Third) of Torts: Liability for Economic Harm (“Restatement”), which our supreme court cited in Sullivan I. 232 Ariz. at 347, ¶ 14, 306 P.3d at 4. Section 1(a) of the Restatement states that “[a]n actor has no general duty to avoid the unintentional infliction of economic loss on another,” explaining that such duties are “notably narrower” than duties to prevent physical harm and “that duties to avoid causing economic loss require justification on more particular grounds than duties to avoid causing physical harm.” See Restatement § 1 cmt. a-b (Tentative Draft No. 1, 2012). The Restatement’s distinction between causes of action for economic loss and those alleging personal injury is consistent with Arizona law. See, e.g., Lips, 224 Ariz. at 268, ¶ 11, 229 P.3d at 1010. The Restatement also expressly rejects the imposition of a duty of care on homebuilders for economic losses that subsequent homeowners experience due to latent construction defects. See Restatement § 6 cmt. c (Tentative Draft No. 2, 2014) (“Liability [to subsequent purchasers] fails as a doctrinal matter because the defendant did not act for the purpose of providing a basis for reliance by the plaintiff.”).
CONCLUSION
¶ 16 For the foregoing reasons, the superi- or court properly dismissed the Sullivans’ negligence claims. We deny both parties’ requests for attorneys’ fees incurred on appeal. However, as the prevailing party on appeal, Pulte is entitled to recover its taxable costs upon compliance with ARCAP 21.
. "The economic loss doctrine prohibits certain tort actions seeking pecuniary damage[s] not arising from injury to the plaintiff's person or from physical harm to property.” Sullivan v. Pulte Home Corp., 232 Ariz. 344, 345, ¶ 8, 306 P.3d 1, 2 (2013).
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OPINION
NORRIS, Judge:
¶ 1 The dispositive question in this appeal is whether Defendant/Appellee, the Arizona State Retirement System, was required to follow the rulemaking procedure set forth in Arizona’s Administrative Procedure Act before enforcing a policy under which it charged Plaintiff/Appellant, Arizona State University, for an actuarial unfunded liability reportedly arising when 17 University employees retired. We hold that it was, and because the System failed to follow the rule- making procedure, the policy is invalid. Accordingly, we reverse and remand to the superior court for entry of an order directing the System to refund the improper charge, with interest thereon if and as authorized by law.
FACTS AND PROCEDURAL BACKGROUND
¶ 2 The System administers a trust fund which provides retirement and disability benefits in the form of periodic, or lump sum, pension payments to eligible employees of the state and participating political subdivision employers. Ariz.Rev.Stat. (“A.R.S.”) §§ 38-711(13), -712, -727, -729, -757, -758, - 760, -762 to -764 (2015). The employees, known as “members,” may also elect to receive one of several health insurance supplemental benefits. A.R.S. §§ 38-711(23), -783 (2015). Member and employer contributions fund the trust, along with interest on fund assets and investment returns. A.R.S. §§ 38-718, -735 to -737 (2015). To monitor the trust’s financial health, the System compares the assets it has accumulated to pay for members’ earned benefits with the liabilities it owes for those benefits. See A.R.S. § 38-737(A). When liabilities owed for past service exceed assets accumulated to pay those liabilities, an unfunded actuarial accrued liability exists.
¶ 3 Each year, the System’s actuary determines the contribution rates necessary to fund the System’s present and future obligations to its members plus payments on any amortized unfunded actuarial accrued liability. A.R.S. §§ 38-736, -737. In determining the contribution rates, the actuary relies on assumptions about members’ expected benefit elections, payroll growth, retirement rates, mortality rates, interest rates, and investment returns. The System conducts empirical studies every five years to improve its assumptions. See A.R.S. § 38-714(G) (2015).
¶ 4 The System may incur an actuarial unfunded liability when an employer offers incentives to encourage its employee-members to retire. For example, when an employer increases a member’s salary beyond System expectations in exchange for a promise to retire, that member’s monthly pension, calculated using the increased salary, see A.R.S. § 38—711(5)(ii)(b), -757 to -759 (2015), may likely exceed the amount the System expected to pay out to that member, thus resulting in an unfunded liability. A termination incentive program may also result in an unfunded liability by causing members to retire and collect benefits sooner and for longer than the System expected.
¶ 5 To address the financial impact of termination incentive programs, see Amended Senate Fact Sheet, H.B.2052, 46 Leg., 2d Reg. Sess. (March 11, 2004), in 2004 the Legislature enacted A.R.S. § 38-749 (2015). 2004 Ariz. Sess. Laws, ch. 106, § 1 (2d Reg. Sess.). Under this statute, “[i]f a termination incentive program that is offered by an employer results in an actuarial unfunded liability” to the System, the employer must pay the System “the amount of the unfunded liability.” A.R.S. § 38-749(A). The statute directs the System to “determine the amount of the unfunded liability in consultation with its actuary.” Id.
¶ 6 Although A.R.S. § 38-749 refers to an “actuarial unfunded liability,” the statute does not explain how to determine when a termination incentive program results in an actuarial unfunded liability or how to calculate “the amount of the unfunded liability.” To answer these questions, the System’s executive staff discussed the statute with the System’s actuary. They considered two methods of calculating the unfunded liability, one which would discount the charge to employers by the amount of additional benefits a member would have received if he or she had continued working instead of retiring and one which would not provide employers with this discount. As a result of these discussions, the System’s executive staff adopted the first method and directed the System’s actuary to draft the System’s “Policy on Employer Early Termination Incentive Programs” to memorialize how the System would implement A.R.S. § 38-749.
¶ 7 The Policy requires employers to notify the System of all members who participate in a termination incentive program and to disclose their demographic and salary information, as well as their benefits elections. Using this information, the System’s actuary calculates the present value, under System actuarial assumptions, of the member’s future benefits as if he or she had not retired (“active liability”) and the present value, under System actuarial assumptions, of the member’s future benefits taking into account his or her actual retirement date and actual benefit elections (“retired liability”).
¶ 8 Under the Policy, when retired liability exceeds active liability, an unfunded liability results from the member’s participation in the termination incentive program, and the employer is liable for the difference. When, however, a member’s active liability exceeds his or her retired liability, the employer will receive credit. If credits exceed liabilities, the employer does not receive reimbursement; there is merely no charge. The System has applied the Policy consistently to all System employers.
¶ 9 In 2011, the University offered one year’s salary as an incentive payment to eligible employees if they agreed to retire that year. Seventeen System members accepted the University’s offer. Applying the Policy, the System determined the University’s termination incentive program resulted in an unfunded liability of $1,149,103, which it then charged to the University. The University paid the charge, but appealed it, arguing the System had, first, adopted a rule without following the rulemaking procedure provided by Arizona’s Administrative Procedure Act (“APA”), codified at A.R.S. §§ 41-1001 to - 1092 (2013 & Supp.2014); and, second, charged the University for retirements that did not result in an actuarial unfunded liability.
¶ 10 At a hearing before the Office of Administrative Hearings, the University’s actuarial expert and the System’s actuary agreed that “actuarial standards of practice are not detailed enough to give us specific direction about how to interpret a term like unfunded liability.” The University’s expert offered an alternative method of calculating actuarial unfunded liability, consistent, in her opinion, with generally accepted actuarial standards, the System’s actuarial assumptions, and A.R.S. § 38-749. Based on that method, she testified the University’s termi nation incentive program did not result in any unfunded liability because it did not cause more members to retire than the System had projected based on its assumptions.
¶ 11 The University’s expert also testified the System should not charge employers for unfunded liability resulting from members’ benefits elections because whether a member elects the benefit option predicted by the System’s assumptions or a more expensive option has nothing to do with that member’s participation in a termination incentive program. She pointed out the System charged the University for one member’s health benefit election, even though, under System assumptions, the member had a 100% chance of retiring that year; and, thus, his retirement was not the result of a termination incentive program.
¶ 12 The System’s actuary and the System’s Assistant Director of External Affairs also acknowledged that A.R.S. § 38-749 does not explain how to determine whether a termination incentive program results in an actuarial unfunded liability or how to calculate that unfunded liability. The System’s actuary testified that the other method of calculating unfunded liability he had discussed with executive staff before they adopted the Policy, see supra ¶ 6, is consistent with A.R.S. § 38-749, the System’s actuarial assumptions, and generally accepted actuarial standards. He explained the System had, however, “interpreted” the term “unfunded liability” in the manner reflected in the Policy because it was “less onerous for employers.”
¶ 13 The administrative law judge ruled in favor of the System, finding the University had failed to show the System’s “methodology for calculating unfunded liability resulting from a[ ] ... termination incentive program ... [was] unreasonable, or an abuse of discretion, or contrary to law.” The administrative law judge also found that because A.R.S. § 38-749 did not require the System to adopt a rule before implementing the Policy, it was not required to do so. The System’s board accepted the administrative law judge’s findings of fact and conclusions of law with immaterial alterations, and the University filed an action for judicial review in the superior court. See A.R.S. § 12-905 (2003). The superior court upheld the board’s determination, and this appeal followed.
DISCUSSION
I. The Policy is a Rule
¶ 14 On appeal, the University argues the Policy is a rule within the meaning of the APA and, therefore, because the System adopted it without following the rulemaking procedure provided in the APA, it is void. Reviewing this issue de novo, but granting deference to the System’s interpretation of statutes and its own regulations, see Carondelet Health Servs., Inc. v. Ariz. Health Care Cost Containment Sys. Admin., 182 Ariz. 221, 226, 895 P.2d 133, 138 (App.1994), we agree with the University.
¶ 15 The APA defines “rule” as: an agency statement of general applicability that implements, interprets or prescribes law or policy, or describes the procedure or practice requirements of an agency. Rule includes prescribing fees or the amendment or repeal of a prior rule but does not include intraagency memoranda that are not delegation agreements.
A.R.S. § 41-1001(19) (Supp.2014).
¶ 16 Thus, barring any exemptions, an agency statement is a rule, subject to the APA’s rulemaking procedure, if it, first, is generally applicable, and, second, implements, interprets or prescribes law or policy, or describes the procedure or practice requirements of an agency. At the administrative hearing, the System acknowledged it had applied the Policy consistently to all System employers since its adoption, and, thus, the Policy satisfies the general applicability requirement. See Carondelet, 182 Ariz. at 227, 895 P.2d at 139 (agency admission that “its methodology is generally applied to all hospitals” satisfies general applicability element).
¶ 17 The Policy also satisfies the second requirement. As discussed, the System adopted the Policy to implement A.R.S. § 38-749. The ordinary meaning of the word “implement” is “[t]o put into practical effect; carry out.” American Heritage Dictionary 880 (4th ed.2006); see Stout v. Taylor, 233 Ariz. 275, 278, ¶ 12, 311 P.3d 1088, 1091 (App.2013) (court may refer to established and widely used dictionaries to determine ordinary meaning of word). By charging employers under the Policy for an unfunded liability which results from termination incentive programs, the System has put A.R.S. § 38-749 into practical effect. See A.R.S. § 41-1001(19); Carondelet, 182 Ariz. at 227, 895 P.2d at 139 (agency methodology was a rule because, among other reasons, it implemented a session law).
¶ 18 Further, the Policy interprets A.R.S. § 38-749. The plain language of the statute leaves open questions such as: how to determine if a termination incentive program “results in an actuarial unfunded liability”; how to calculate the amount of an unfunded liability; and whether to charge employers if members elect more expensive benefit options than the System assumed, even though these elections may not, strictly speaking, be the result of a termination incentive program. Cf. Sw. Ambulance, Inc. v. Ariz. Dep’t of Health Sens., 183 Ariz. 258, 261, 902 P.2d 1362, 1365 (App.1995), superseded by statute, 1998 Ariz. Sess. Laws, ch. 57, § 39 (2d Reg.Sess.) (ambulance services rate schedules were rules because they specified “how a fraction of an hour is to be charged, how mileage is to be charged, the assessment of charges for the transport of multiple patients, what constitutes a minimum charge, [and] when the rate for advanced life support may be charged”).
¶ 19 Like the hospital reimbursement methodology at issue in Carondelet, the Policy involves a “complex calculation with subjective components whose inclusion, or even definition, have a significant effect” on the amount the System charges employers. See 182 Ariz. at 227, 895 P.2d at 139. And, like the session law at issue in Carondelet, the governing statute here, A.R.S. § 38-749, “does not set forth the calculations to be made and leaves much” to the System’s discretion. See id. at 227-28, 895 P.2d at 139-40. Carondelet involved a session law which directed the Arizona Health Care Cost Containment System (“AHCCCS”) to adjust its hospital reimbursement multipliers based on new six-month charges and volume reports. Id. at 224, 895 P.2d at 136. We held the methodology AHCCCS adopted to implement the session law was a rule because, among other reasons, the session law did “not set forth the calculations to be made” and did not direct “how the amount of reimbursement [was to] be determined.” Id. at 228, 895 P.2d at 140. Similarly, A.R.S. § 38-749 directs the System to make a calculation, but it does not specify how the calculation is to be made. In other words, to implement A.R.S. § 38-749, one must first interpret it.
¶ 20 Despite the foregoing, the System contends the Policy does not implement or interpret A.R.S. § 38-749, arguing the statute is self-executing and leaves no room for agency discretion. According to the System, unlike the challenged policies in Carondelet and Southwest Ambulance, the Policy here does not involve “subjective” judgments and merely applies “the same actuarial assumptions used to operate the entire defined-benefit plan and the same calculation used to calculate the plan’s liability.”
¶ 21 The evidence presented at the administrative hearing squarely contradicts this position. As discussed, the System’s actuary and Assistant Director of External Affairs both conceded A.R.S. § 38-749 does not explain how the amount of an unfunded liability should be calculated. Both the University’s actuarial expert and the System’s actuary offered alternative methods of calculating the amount of an unfunded liability that they testified were consistent with A.R.S. § 38-749, the System’s actuarial assumptions, and generally applicable actuarial standards of practice. In fact, the System’s actuary testified the System considered two methods of making the calculation, and it selected the calculation that appears in the Policy not because it was more consistent with A.R.S. § 38-749 or the System’s actuarial assumptions, but because it was “less onerous for employers.” Thus, to carry out its mandate under A.R.S. § 38-749, the System was required to exercise judgment and discretion in crafting the Policy, and it, in fact, did so. See Carondelet, 182 Ariz. at 228-29, 895 P.2d at 140-41 (session law not self-executing because it left matters to agency’s discretion and did not direct any one particular course of action).
¶ 22 Accordingly, the Policy was a rule within the meaning of the APA.
II. In the Absence of an Exemption, an Agency Must Comply with the APA
¶ 23 The System argues that even if the Policy is a rule, it was not required to comply with the APA because the Legislature did not expressly require rulemaking in A.R.S. § 38-749. Although we agree A.R.S. § 38-749 says nothing about rulemaking, the statute’s silence does not exempt the System from the APA’s rulemaking procedure.
¶ 24 The rulemaking procedure of the APA “applies] to all agencies and all proceedings not expressly exempted.” A.R.S. § 41-1002(A) (2013); see Carondelet, 182 Ariz. at 228, 895 P.2d at 140 (rejecting argument that from legislative silence one can infer “the legislature never envisioned the need for an explanatory rule”). Neither A.R.S. § 38-749 nor the APA, see A.R.S. § 41-1005 (Supp.2014), exempt the System from rulemaking; therefore, rulemaking is required before the Policy can be given effect. See A.R.S. § 41-1030(A) (2013).
¶ 25 The System contends Carondelet does not support the proposition that rulemaking is required when the Legislature is silent on the question. The System attempts to distinguish Carondelet by arguing that the policy at issue in that case implemented a session law which incorporated by reference a prior statute which expressly called for rule-making. 182 Ariz. at 228, 895 P.2d at 140. The Carondelet court, however, merely used this fact to “bolster[ ]” its conclusion after it had resolved the issue under A.R.S. § 41-1002(A). Id.
¶ 26 Invoking the principle of expressio unius est exclusio alterius — a canon of statutory construction that when statutes set forth a requirement in one provision but not in another, a court should assume the absence of the provision was intentional — the System further argues the Legislature intended to exempt it from rulemaking because it expressly required the System to engage in rulemaking in other statutes, A.R.S. §§ 38-735, 755, 764 (2015). See generally Ezell v. Quon, 224 Ariz. 532, 541, ¶ 41, 233 P.3d 645, 654 (App.2010) (discussing this canon of construction).
¶ 27 When the Legislature’s intent is clear, however, interpretative canons of construction are inapplicable. Section 41-1002 provides that in the absence of an express exemption, agencies must comply with the APA, and we cannot ignore this unambiguous language in favor of a secondary principle of statutory interpretation. See Forsythe v. Paschal, 34 Ariz. 380, 383, 271 P. 865, 866 (1928) (expressio unius should not be applied to contradict “general context” of statute and “public policy of the state”); Microchip Tech. Inc. v. State, 230 Ariz. 303, 306-07, ¶ 12, 283 P.3d 34, 37-38 (App.2012) (because text of statute was clear, resort to principle of ex-pressio unius was unnecessary (citing Sw. Iron & Steel Indus., Inc. v. State, 123 Ariz. 78, 79-80, 597 P.2d 981, 982-83 (1979) (“The doctrine of ‘expressio unius’ is not to be applied where its application contradicts the general meaning of the statute or state public policy.”))).
III. Compliance with the APA Would Not Require the System to Breach its Fiduciary Duties
¶ 28 The System also argues that allowing “employer input on unfunded liability calculations” through rulemaking procedure, see A.R.S. § 41-1023 (2013), would require it to breach its fiduciary duty to the trust and its beneficiaries under the Arizona Constitution. See Ariz. Const. art. XXIX, § 1(A) (“Public retirement systems shall be funded with contributions and investment earnings using actuarial methods and assumptions that are consistent with generally accepted actuarial standards.”). In support of this argument, the System cites two California cases, which, for purposes of this appeal, do little more than establish that a state retirement system’s fiduciary and contractual duties to its beneficiaries sometimes trump legislative and municipal priorities. City of Sacramento v. Pub. Emps. Ret. Sys., 229 Cal.App.3d 1470, 280 Cal.Rptr. 847, 860-61 (1991) (retirement system’s interpretation of federal labor statutes which tended to increase city’s contributions to system did not violate California constitutional provision that system minimize employer contributions because, in part, to do so would require system to favor employers over beneficiaries to whom it owes a fiduciary duty); Valdes v. Cory, 139 Cal.App.3d 773, 189 Cal.Rptr. 212, 221-24 (1983) (legislation suspending employer contributions to state retirement system violated beneficiaries’ vested contractual rights to retirement benefits). Here, however, we are not faced with a situation in which a legislative enactment conflicts with the System’s fiduciary duties to the trust and its beneficiaries; the question is simply whether the System must comply with the APA’s rulemaking procedure — a question which is neutral to the interests of the trust and its beneficiaries.
¶ 29 Moreover, merely following rulemaking procedure would not cause the System to breach its fiduciary duties. Cf. Carondelet, 182 Ariz. at 229, 895 P.2d at 141 (rejecting argument that forcing agency to comply with APA would “tie [its] hands” and not allow it to fulfill its statutory mandate). The APA requires an agency to provide meaningful opportunity for public comment on and discussion of proposed rules. A.R.S. § 41-1023(B), (C). The APA does not, however, require an agency to blindly heed any and every suggestion it receives. Rather, the APA merely requires an agency to “consider” public comments before making a rule, A.R.S. § 41-1024(C) (2013), and the agency remains free to “use its own experience, technical competence, specialized knowledge and judgment in the making of a rule.” Id. at (D).
IV. The System is an Agency Subject to the APA
¶ 30 The System next argues it is exempt from the APA because it is not a “regulatory state agene[y]” — in the sense of regulating the general public or any particular industry — and instead it is a state agency that serves a fiduciary function. As defined by the APA, however, “ ‘[a]geney’ means any board, commission, department, officer or other administrative unit of this state....” A.R.S. § 41-1001(1). The APA’s definition of “agency” makes no exception for agencies that perform fiduciary as opposed to more traditional regulatory functions. Indeed, consistent with the System’s status as an agency subject to the APA, the Legislature specifically granted the System authority to “[a]dopt, amend or repeal rules for the administration of the plan” and “this article” — a reference to the statutory article that includes A.R.S. § 38-749. A.R.S. § 38-714(E)(4) (2015).
¶ 31 The System further argues that forcing it to comply with the APA under the circumstances here would be “absurd” because the APA was not intended to protect the rights of “one division of state government,” the University, from the actions of another, the System. The foregoing definition of “agency,” however, makes no exception for agencies whose decisions affect the rights of divisions and political subdivisions of the state. See A.R.S. § 41-1001(1). Accordingly, we have held that rules promulgated without following the rulemaking procedure of the APA are unenforceable against political subdivisions of the state. See, e.g., Cochise Cnty. v. Ariz. Health Care Cost Containment Sys., 170 Ariz. 443, 445, 825 P.2d 968, 970 (App.1991). Furthermore, the System’s decision to adopt the Policy affects all System members and all System employers — which, as a factual matter, may include state political subdivisions and their subordinate “entities” in addition to divisions of the state. A.R.S. § 38-711(13).
V. The System’s Failure to Comply with the APA Renders the Policy Invalid
¶ 32 “A rule is invalid unless it is made and approved in substantial compliance with [the APA], unless otherwise provided by law.” A.R.S. § 41-1030(A); accord Sw. Ambulance, 183 Ariz. at 262, 902 P.2d at 1366; Cochise Cnty., 170 Ariz. at 445, 825 P.2d at 970. As discussed, the Policy is a rule, and the System adopted it without “substantial compliance” with the rulemaking procedure of the APA. Accordingly, the Policy is invalid, and the System was not entitled to charge the University for the 17 retirements. See, e.g., Carondelet, 182 Ariz. at 229-30, 895 P.2d at 141-42 (agency ordered to compensate hospitals that received reduced reimbursement under policy adopted outside of APA).
CONCLUSION
¶ 33 For the foregoing reasons, we reverse the superior court’s decision affirming the ruling of the System’s board and remand to the superior court to enter an order directing the System to refund $1,149,103 to the University, with interest thereon if and as authorized by law — an issue the superior court should address on remand. Contingent upon its compliance with Arizona Rule of Civil Appellate Procedure 21, we award the University its taxable costs on appeal pursuant to A.R.S. § 12-341 (2003).
. Although the Arizona Legislature amended certain statutes cited in this opinion after the events giving rise to the dispute between the parties, these revisions are immaterial to our resolution of this appeal. Thus, we refer to the current version of these and all other statutes cited in this opinion.
. Like the parties, their witnesses, and A.R.S. § 38-749 (2015), we use the term "actuarial unfunded liability” interchangeably with "unfunded liability."
. A.R.S. § 38-749, in full, provides:
A. If a termination incentive program that is offered by an employer results in an actuarial unfunded liability to [the System], the employer shall pay to [the System] the amount of the unfunded liability. [The System] shall determine the amount of the unfunded liability in consultation with its actuary.
B. An employer shall notify [the System] if the employer plans to implement a termination incentive program that may affect [System] funding.
C. If [the System] determines that an employer has implemented a termination incentive program that results in an actuarial unfunded liability to [the System], .[the System] shall assess the cost of the unfunded liability to that employer. If the employer does not remit full payment of all monies due within ninety days after being notified by [the System] of the amount due, the unpaid amount accrues interest until the amount is paid in full. The interest rate is the interest rate assumption that is approved by the board for actuarial equivalency for the period in question to the date payment is received.
D. For the purposes of this section, "termination incentive program”:
1. Means a total increase in compensation of thirty per cent or more that is given to a member in any one or more years before termination that are used to calculate the member's average monthly compensation if that increase in compensation is used to calculate the member's retirement benefit and that increase in compensation is not attributed to a promotion.
2. Means anything of value, including any monies, credited service or points that the employer provides to or on behalf of a member that is conditioned on the member’s termination except for payments to an employee for accrued vacation, sick leave or compensatory time unless the payment is enhanced beyond the employer’s customary payment.
. This incentive payment was not compensation for the purpose of calculating the members' retirement benefits. See generally A.R.S. § 38-71 1(5)(ii)(b), -757 to -759.
. The University also argues the System's method of determining whether a termination incentive program "results” in actuarial unfunded liability and calculating the amount of that liability is contrary to law and arbitrary and capricious. Given our resolution of the rulemaking issue, we do not need to address this argument.
. Relying on Canyon Ambulatory Surgery Ctr. v. SCF Ariz., the System argues the APA "governs only those agencies that perform governmental functions,” 225 Ariz. 414, 419, ¶ 19, 239 P.3d 733, 738 (App.2010), and, thus, the APA does not apply to the System insofar as it serves a fiduciary function. The statement from Canyon Ambulatory the System quotes, however, was a recitation of the ground on which the superior court resolved that case. Id. This court declined to affirm on the issue of whether the State Compensation Fund "is a state agency subject to the APA” and instead decided the case on the basis that the policy at issue there was not a rule. Id. at 419-20, ¶¶ 19, 21, 239 P.3d at 738-39.
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OPINION
NORRIS, Judge:
¶ 1 When the victim of a criminal offense is killed, Arizona’s Victims’ Bill of Rights (“VBR”) allows “any other person related to the [deceased victim] by consanguinity or affinity to the second degree” to be treated as the victim. The issue in this special action concerns the meaning of “affinity.”
FACTS AND PROCEDURAL BACKGROUND
¶ 2 A grand jury indicted Petitioner, Sammantha Allen, for first-degree murder, conspiracy to commit child abuse, and child abuse arising out of the death of “AD.” According to the State, “KD” witnessed Allen abusing AD. KD is the biological child of David and his first wife. After David and his first wife divorced, David married Shirley. Shirley gave birth to AD after she married David, but David was not AD’s biological father.
¶ 3 After the State informed Allen it intended to call KD as a trial witness, Allen’s attorney asked the State to arrange an interview of KD. The State refused to do so, asserting KD’s relationship to AD made KD a “victim” under the VBR, see generally Ariz. Rev.Stat. (“A.R.S.”) § 13-4401 to -4440 (2010 & Supp.2014), and therefore, KD was entitled to refuse to be interviewed. See generally A.R.S. § 13-4433(A) (Supp.2014) (“victim” may refuse to submit to defense interview request in criminal proceeding). Under the VBR, a “victim” is a person “against whom [a] criminal offense has been committed....” A.R.S. § 13—4401(19) (Supp.2014). But when, as here, the crime victim is killed, the VBR allows “any other person related to the [deceased victim] by consanguinity or affinity to the second degree” to be treated as the victim. Id. In full, the VBR defines victim as:
[A] person against whom the criminal offense has been committed, including a minor, or if the person is killed or incapacitated, the person’s spouse, parent, child, grandparent or sibling, any other person related to the person by consanguinity or affinity to the second degree or any other lawful representative of the person, except if the person or the person’s spouse, parent, child, grandparent, sibling, other person related to the person by consanguinity or affinity to the second degree or other lawful representative is in custody for an offense or is the accused.
Id.
¶ 4 Allen, through counsel, moved to compel KD’s deposition, and, as relevant here, argued KD was not a victim under the VBR because she was not a “person related to [AD] by consanguinity or affinity to the second degree.” The superior court disagreed, reasoning that because AD was related by affinity to David, and KD was related by affinity to Shirley, AD and KD were related by affinity to each other. Accordingly, the court denied Allen’s motion. Allen then filed this special action.
JURISDICTION
¶ 5 In the exercise of our discretion, we accept special action jurisdiction. Allen has no equally plain and speedy remedy by appeal, see Ariz. R.P. Spec. Act. 1(a), and the question presented here is one of law, subject to de novo review. See State ex rel. Montgomery v. Harris, 234 Ariz. 343, 344, ¶ 8, 322 P.3d 160, 161 (2014); Guthrie v. Jones, 202 Ariz. 273, 274, ¶ 4, 43 P.3d 601, 602 (App.2002).
DISCUSSION
¶ 6 AD was not biologically related to KD, and thus, they were not related by consanguinity, which is the relationship that exists by blood (for example, between a brother and sister or a mother and son). Accordingly, the only issue we must decide concerns the meaning of “affinity” as used in the VBR.
¶ 7 The VBR does not define affinity. See A.R.S. § 13-4401. Indeed, the Legislature has never defined affinity, even though it has used that term in numerous statutes. At common law, however, affinity had a well understood, specialized meaning. When, as here, the Legislature uses a word that has a well-known and definite meaning at common law, we will presume the Legislature used the word as it was understood at common law, and we will construe it accordingly absent some other special meaning apparent from the text. See A.R.S. § 1-213 (2002) (“Technical words and phrases and those which have acquired a peculiar and appropriate meaning in the law shall be construed according to such peculiar and appropriate meaning.”); McCulloch v. W. Land & Cattle Co., 27 Ariz. 154, 158, 231 P. 618, 619 (1924); State v. Barr, 183 Ariz. 434, 438, 904 P.2d 1258, 1262 (App.1995).
¶ 8 At common law, “affinity” was traditionally defined as the “connection existing in consequence of a marriage, between each of the married persons and the kindred of the other.” State v. Ramsey, 171 Ariz. 409, 411, 831 P.2d 408, 410 (App.1992); see also Tencza v. Aetna Cas. & Sur. Co., 21 Ariz. App. 552, 554, 521 P.2d 1010, 1012 (1974) (affinity is “the relationship by marriage between a husband and his wife’s blood relations or between a wife and her husband’s blood relations.” (internal quotation marks omitted)), vacated on other grounds, 111 Ariz. 226, 527 P.2d 97 (1974); Op. Ariz. Att’y Gen. 77-135 (interpreting Arizona’s anti-nepotism statute, A.R.S. § 38-481; “most common definition of affinity is that relationship which exists, as a result of marriage, between each spouse and the blood relatives of the other spouse”); Norris v. Presley, 292 Ala. 155, 290 So.2d 643, 645 (1974) (“Affinity properly means the tie which arises from marriage betwixt the husband and the blood relatives of the wife, and between the wife and the blood relatives of the husband.”); Garrett v. State, 203 Ga. 756, 48 S.E.2d 377, 386 (1948) (“A husband is related by affinity to the blood relatives of his wife....”); Kitchens v. Pool, 146 Ga. 229, 91 S.E. 81, 82 (1916) (“Marriage will relate the husband by affinity to the wife’s blood relations....”); State v. Hooper, 140 Kan. 481, 37 P.2d 52, 64 (1934) (“Affinity is the relation which one spouse, because of the marriage, has to the blood relatives of the other.”); 41 Am.Jur.2d Husband and Wife § 4 (2015) (“ ‘Affinity’ is defined as a legal relationship which arises as the result of marriage between each spouse and the consanguinal relatives of the other.”). Thus, under the common law, an affinity relationship exists between one spouse and the other spouse’s blood relatives.
¶ 9 To illustrate the application of the traditional common law definition of affinity using the facts here, because David and Shirley were married to each other, David was related by affinity to Shirley’s blood relations (her parents, any siblings, and her child, AD), and Shirley was related by affinity to David’s blood relations (his parents, any siblings, and his child, KD).
¶ 10 But, under the traditional common law definition of affinity, an affinity relationship does not exist between the blood relations of one spouse and the blood relations of the other spouse. Kirby v. State, 89 Ala. 63, 8 So. 110, 111 (1890) (“[T]here is no affinity between the blood relatives of the husband and the blood relatives of the wife.”); Central R.R. & Banking Co. of Ga. v. Roberts, 91 Ga. 513, 18 S.E. 315, 315-16 (1893) (“Marriage will relate the husband, by affinity, to the wife’s blood relations, but will not relate the husband’s brother to any of her rela tions.”); Hooper, 37 P.2d at 64 (“Blood relations of the husband and the blood relations of the wife are not related to each other by affinity.”); McLendon v. State, 187 Miss. 247, 191 So. 821, 822 (1939) (“[T]here is no affinity between the blood relations of the husband and the blood relations of the wife.”); Smith v. Associated Natural Gas Co., 7 S.W.3d 530, 535 (Mo.Ct.App.1999) (“[A]ffinity ... will not relate the husband’s brother to any of [the wife’s] relations.”); Reilly by Reilly v. Se. Pa. Transp. Auth., 330 Pa.Super. 420, 479 A.2d 973, 983-84 (1984) (“[A]t common law the blood relatives of one spouse are not related by affinity to the blood relatives of the other spouse.”); Cortez v. State, 144 Tex. Crim. 116, 161 S.W.2d 495, 497 (App.1942) (“The groom and bride each come within[ t]he circle of the other’s kin, [b]ut kin and kin are still no more [r]elated than they were before.”); 41 Am.Jur.2d Husband and Wife § 4 (2015) (“Each spouse is related by affinity to the blood relations of the other in the same degree as the other, but the blood relations of one spouse are not, by reason of the marriage, related by affinity to the blood relations of the other....”). Applying this rule here, David’s blood relations (his parents, any siblings, and his child, KD) and Shirley’s blood relations (her parents, any siblings, and her child, AD) were not themselves related by affinity. Accordingly, under the traditional common law definition of affinity, KD and AD were not related by affinity. Thus, under the VBR, KD is not a victim because she was not a “person related to [AD] by ... affinity.” See A.R.S. § 13-4401(19).
¶ 11 The superior court reasoned that because AD was related by affinity to David and KD was related by affinity to Shirley, AD and KD were related to each other by affinity. But marriage does not create an affinity relationship between the blood relations of one spouse and the blood relations of the other spouse.
¶ 12 Although at oral argument in this court the State agreed that under the common law definition of affinity KD would not be a victim, the State, joined by amicus, nevertheless argues that because the Legislature has directed that the VBR should be liberally construed, see A.R.S. § 13-4418 (2010), and has amended the definition of victim over the years to broaden it beyond a crime victim’s immediate family, we should define affinity broadly, as being synonymous with marriage.
¶ 13 Although we acknowledge we must construe the VBR liberally and the Legislature has broadened the definition of victim over the years, we do not agree with the State’s argument that when the Legislature amended the VBR to include affinity relationships it actually intended to refer to other associations that may exist because of a marriage. Indeed, to accept the State’s argument, we would have to ignore another provision in the VBR’s definition of victim.
¶ 14 Specifically, the Legislature did not simply define “victim” as including any other person related to the deceased victim by affinity, or for that matter, consanguinity. Instead, it specified that the “other person” had to be related to the deceased victim by “consanguinity or affinity to the second degree.” A.R.S. § 13-4401(19). A degree of affinity, like a degree of consanguinity, is a unit for measuring the proximity of one per son’s relationship to another. See Black’s Law Dictionary (10th ed.2014); see also Graham Cnty. v. Buhl, 76 Ariz. 275, 276-79, 263 P.2d 537, 538-39 (1953) (explaining methods of calculating degrees of consanguinity). Thus, state statutes refer to “affinity within the fourth degree” or “consanguinity ... to the second degree.” See supra ¶ 7 and footnote 2. By linking affinity to a specific unit of measure, the Legislature further demonstrated its intent to adopt the traditional common law definition of affinity.
CONCLUSION
¶ 15 For the foregoing reasons, we agree with Allen that under the VBR, KD was not related to the deceased victim, AD, by “affinity to the second degree.” Therefore, the superior court should not have denied Allen’s motion to depose KD. Accordingly, we grant relief and direct the superior court to order KD to submit to a defense interview.
. Although the Arizona Legislature has amended certain statutes cited in this opinion after the dates of Allen’s alleged offenses, the revisions are immaterial to the resolution of this special action. Thus, we cite to the current version of these statutes.
. See generally A.R.S. § 13-2319(F)(1) (Supp. 2014) (smuggling; classification; definitions; " 'Family member’ means the person's parent, grandparent, sibling or any other person who is related to the person by consanguinity or affinity to the second degree.”); A.R.S. § 21-211(3) (2013) (disqualification of jurors; "Persons related by consanguinity or affinity within the fourth degree to either of the parties to the action or proceedings.”); A.R.S. § 32-2104(B)(4) (Supp. 2014) (real estate advisory board; "Three public members who are not related within the third degree of consanguinity or affinity to any person holding a broker's or salesperson's license from this state.”); A.R.S. § 32-3604(B)(2) (Supp.2014) (state board of appraisal; “Three public members who are not related within the third degree of consanguinity or affinity to any real estate appraiser.”); A.R.S. § 36-3001(3) (2014) (shelters for domestic violence victims; definitions; " 'Family or household member' means a spouse, a former spouse, a parent, a child or other adult person related by consanguinity or affinity.... ”); A.R.S. § 38-481(A) (2011) (employment of relatives; violation; classification; definition; “It is unlawful ... for an executive, legislative, ministerial or judicial officer to appoint ... any person related to him by affinity or consanguinity within the third degree....”); A.R.S. § 48-802(D)(2) (Supp.2014) (election procedures; qualifications; "[A] person is not eligible to be a candidate for election ... if that person is related by affinity or consanguinity within the third degree to a person who serves on the board during the potential candidate’s term of office.”); A.R.S. § 48-805.03(A)(1) (Supp.2014) (employment of relatives; violation; classification; "It is unlawful for an elected or appointed officer or employee of a fire district to ... [a]ppoint or vote for appointment of any person who is related to that officer or employee by affinity or consanguinity within the third degree.... ”).
. "Kindred” is a variant of the word "kinship” and refers to blood relatives. State v. Ramsey, 171 Ariz. 409, 411, 831 P.2d 408, 410 (App. 1992).
. See Monroe v. Basis Sch., Inc., 234 Ariz. 155, 158 n. 3, ¶ 8, 318 P.3d 871, 874 n. 3 (App.2014) (Attorney General Opinions, while advisory, may be cited for persuasive value).
. Initially, the VBR defined "victim” to include a deceased or incapacitated person’s “spouse, parent, child or other lawful representative.” 1991 Ariz. Sess. Laws, ch. 229, § 7 (1st Reg.Sess.). In 2001, the Legislature amended the definition to include the deceased or incapacitated person’s "immediate family,” which it defined as "spouse, parent, child, sibling, grandparent or lawful guardian.” 2001 Ariz. Sess. Laws, ch. 334, § 22 (1st Reg.Sess.). In 2005, the Legislature amended the definition of victim to its current version. 2005 Ariz. Sess. Laws, ch. 325, § 6 (1st Reg. Sess.).
. In making this argument, the State relies on cases from other jurisdictions in which the courts construed affinity as being synonymous with marriage. See State v. C.H., 421 So.2d 62 (Fla.Dist.Ct.App.1982); People v. Armstrong, 212 Mich.App. 121, 536 N.W.2d 789 (1995); State v. Brown, 311 N.J.Super. 273, 709 A.2d 845 (N.J.Super. Ct. Law Div.1997). We find those cases distinguishable. In those cases, the courts applied what they characterized as "everyday definitions,” C.H., 421 So.2d at 64, or "common,” "ordinary meaning[s]” to the word "affinity.” Armstrong, 536 N.W.2d at 793; Brown, 709 A.2d at 847-48. That approach is inconsistent with the approach we are directed to apply by Arizona statute and case law. See supra ¶ 7.
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Justice BRUTINEL,
opinion of the Court.
¶ 1 Arizona Rule of Civil Procedure 17(a) requires a trial court to allow a reasonable opportunity to substitute parties before it dismisses an action for lack of prosecution by the real party in interest. We hold that in order to substitute a party, one must file a Rule 15(a) motion to amend, and the motion may be denied if the court finds undue delay or prejudice.
I.
¶ 2 Martha and Mario Madrigal brought a wrongful death action against the City of Mesa. Attorney Edward Fitzhugh represented the Madrigals, but later withdrew. The contingent fee agreement between Fitzhugh and the Madrigals provided that if Fitzhugh withdrew for any reason, he would be entitled to 25% of any recovery the Madrigals later obtained in the ease. The Madrigals hired another lawyer, Raymond Slomski, who settled the case for $3 million.
¶ 3 Fitzhugh demanded 25% of the settlement pursuant to the agreement. Slomski and the Madrigals rejected the demand, but Slomski retained the disputed amount in his client trust account pending a final resolution. Instead of suing the Madrigals, Fitzhugh assigned his rights under the fee agreement to Al Carranza. Carranza sued the Madrigals for the claimed contingency amount, asserting claims for breach of contract, breach of the covenant of good faith and fair dealing, unjust enrichment, and quantum meruit (“fee-collection action”). The Madrigals asserted, among other defenses, that the assignment to Carranza was invalid.
¶ 4 The Madrigals subsequently divorced. The divorce decree provided that, upon resolution of the fee-collection action, any remaining funds would be split equally among Martha, Mario, and their son, Bryant. Later, Mario and Carranza entered into a settlement agreement that called for $300,000 of the disputed funds to be released to Mario and Carranza (“settlement agreement”). The Joint Notice of Settlement erroneously stated that the divorce decree did not allocate the proceeds of the fee-collection action and that Mario was entitled to half of the proceeds as community property. The superior court approved the settlement and ordered Slomski to pay $300,000 to Mario and Carranza. To resolve the conflicting claims, Slomski filed an interpleader action.
¶ 5 Martha Madrigal moved for reconsideration and to set aside the order approving the settlement agreement. The superior court granted relief under Rule 60(c), Arizona Rules of Civil Procedure, and vacated the order releasing the funds. Martha then moved for summary judgment in the fee-collection action.
¶ 6 The following day, Carranza moved to substitute Fitzhugh as the real party in interest in both the fee-collection action and the interpleader action pursuant to Rule 17(a). He did not seek to amend the pleadings in either case under Rule 15(a). The superior court initially granted the motion in the interpleader action, but later vacated that order and denied the substitution request in both actions. The court reasoned that, in the interpleader case, Carranza was the real party in interest because he — and not Fitzhugh — was a party to the settlement agreement and the beneficiary of the order releasing the $300,000. As to the fee-collection action, the court reasoned that the Madrigals had objected to the validity of the assignment from Fitzhugh to Carranza for well over a year. It found that Fitzhugh made a “conscious decision” not to name himself as the real party in interest, there was no understandable mistake or difficulty determining the proper party, and the Madrigals had been prejudiced by Fitzhugh’s lengthy and deliberate delay in seeking substitution. The court granted summary judgment in favor of Martha Madrigal in the fee-collection action, reasoning that both the contingent fee agreement between Fitzhugh and the Madrigals and Fitzhugh’s assignment of his claim against the Madrigals were unethical and therefore unenforceable.
¶ 7 The court of appeals agreed that the fee agreement was unenforceable and affirmed summary judgment, but it reversed the denial of Carranza’s motion to substitute, presumably in the fee-collection action. Carranza v. Madrigal, 1 CA-CV 12-0359, 2014 WL 1170383, at *6 ¶ 32 (Ariz.App. Mar. 18, 2014) (mem. decision). The court reasoned that Carranza, as assignee of “all rights, title and interest” under the fee agreement, had standing to pursue only those claims brought under the agreement. Id. at *5-6 ¶¶ 28-29. Therefore, Fitzhugh was the real party in interest for equitable claims such as unjust enrichment or quantum meruit, and Rule 17(a) requires every action to be prosecuted in the name of the real party in interest. Id. at *6 ¶¶ 29-30. Relying on our opinion in Preston v. Kindred Hospitals West, L.L.C., the court noted that substitution of a real party in interest “does not require a plaintiff to show that an initial failure to name the real party in interest resulted from an understandable mistake or difficulty in identifying the proper party.” Id. at *6 ¶ 31 (quoting Preston v. Kindred Hospitals W., L.L.C., 226 Ariz. 391, 392 ¶ 1, 249 P.3d 771, 772 (2011)).
¶ 8 We granted review to clarify the meaning of Rules 17(a) and 15(a), an issue of statewide importance. We have jurisdiction pursuant to Article 6, Section 5(3) of the Arizona Constitution and A.R.S. § 12-120.24.
II.
¶ 9 Rule 17(a) provides as follows:
Every action shall be prosecuted in the name of the real party in interest.... No action shall be dismissed on the ground that it is not prosecuted in the name of the real party in interest until a reasonable time has been allowed after objection for ratification of commencement of the action by, or joinder or substitution of, the real party in interest....
Ariz. R. Civ. P. 17(a) (emphasis added). The rule is not self-executing, nor does it provide a mechanism for substitution of a party. Instead, it limits a court’s ability to dismiss an action on the ground that it is not being prosecuted by the real party in interest.
¶ 10 Citing Preston, the court of appeals correctly found that substitution does not require a plaintiff to show understandable mistake or difficulty in identifying the proper party. But that principle is not applicable here, and the court erred in holding that Fitzhugh had a right to substitution merely because he was a real party in interest. Preston recognized that an abuse of Rule 17(a) “can be addressed by the trial court’s exercise of its discretion under Rule 15(a) in ruling on motions to amend.” 226 Ariz. at 394 ¶ 13, 249 P.3d at 774.
¶ 11 Here, the trial court did not abuse its discretion when it denied the motions to substitute. First, Rule 17(a) did not preclude summary judgment because the trial court granted the motion based on the unenforeeability of the fee agreement and assignment — not Fitzhugh’s failure to prosecute the action as the real party in interest. Second, the parties never argued in the trial court that Fitzhugh’s joinder was required to prosecute the equitable claims, but even if they had, Carranza still failed to seek leave to amend pursuant to Rule 15(a).
¶ 12 Rule 15(a) governs the amendment of pleadings to substitute or add a party. See id. at 394 ¶ 13, 249 P.3d at 774. Carranza’s failure to move for leave to amend under Rule 15(a) was a sufficient basis for the trial court to deny his motions to substitute. Rule 15(a) requires the party seeking amendment to “attach a copy of the proposed amended pleading as an exhibit to the motion” and “indicate in what respect it differed from the pleading that it amends.” Carranza did not attach copies of the proposed amended pleadings, and the motions failed to notify the court and opposing counsel how the proposed substitution would amend the pleadings.
¶ 13 Even if Carranza had properly moved to amend (or if we deem his motions to substitute as motions for leave to amend under Rule 15(a)), the trial court did not err in denying the motions. We review the denial of a request to amend for an abuse of discretion. See Owen v. Superior Court, 133 Ariz. 75, 80, 649 P.2d 278, 283 (1982). A court may deny leave to amend if it finds “ ‘undue’ delay, bad faith, dilatory motive, repeated failure to cure deficiencies by previous amendments or undue prejudice to the opposing party.” Id. at 79, 649 P.2d at 282; see also Preston, 226 Ariz. at 394 ¶ 13, 249 P.3d at 774 (reasoning that trial court’s exercise of discretion under Rule 15(a) can serve to prevent abuse, “such as substitution of a plaintiff on the eve of trial after prolonged litigation”). “Prejudice is ‘the inconvenience and delay suffered when the amendment raises new issues or inserts new parties into the litigation.’ ” Owen, 133 Ariz. at 79, 649 P.2d at 282 (quoting Spitz v. Bache & Co., 122 Ariz. 530, 531, 596 P.2d 365, 366 (1979)). A finding of “undue delay” requires more than a party merely seeking to amend late in the proceedings. Id. Denial of leave to amend is “a proper exercise of the court’s discretion when the amendment comes late and raises new issues requiring preparation for factual discovery which would not otherwise have been necessitated nor expected, thus requiring delay in the decision of the case.” Id. at 81, 649 P.2d at 284.
¶ 14 Here, the trial court did not abuse its discretion by denying the request to substitute in the interpleader action or the fee-collection action. In the former, the trial court correctly ruled that Fitzhugh was not the real party in interest because Carranza, not Fitzhugh, was a party to the settlement agreement that was the subject of the inter-pleader action. With respect to the fee-collection action, the court found that the Madrigals had been “prejudiced by the lengthy and deliberate delay” in naming Fitzhugh as the plaintiff, the Madrigals had questioned and objected to the validity of the assignment “for well over a year,” and Fitzhugh’s absence as a party was a “conscious decision.” Fitzhugh admittedly knew that he was the real party in interest. Nevertheless, he inexplicably had Carranza bring the action and forced the Madrigals to incur expenses pursuing defenses unique to Carranza. Despite the Madrigals’ repeated objections, Carranza did not seek to substitute Fitzhugh into the case until the day after Martha moved for summary judgment — more than a year after Carranza filed the complaint. Denying the motion to substitute was a proper exercise of the court’s discretion based on the undue delay caused by Fitzhugh’s tactical decision and the prejudice substitution would have caused the Madrigals. See Grand v. Nacchio, 225 Ariz. 171, 177 ¶ 34, 236 P.3d 398, 404 (2010) (finding no abuse of discretion in denying motion to amend given “the long history” of the case and the party’s “considered decision to abandon” a claim); Bans v. Digital Equip. Corp., 252 F.3d 1320,1328-29 (Fed.Cir.2001) (affirming denial of motion for leave to amend complaint because plaintiffs “personal choices occasioned his standing problems and the need to amend”).
¶ 15 Because the trial court did not abuse its discretion in denying the motions to substitute, whether Fitzhugh is the real party in interest is irrelevant to this appeal. Accordingly, the court of appeals improperly addressed this issue, and we do not reach it.
III.
¶ 16 We affirm the trial court’s order denying the motions to substitute and vacate ¶¶ 26-32 of the court of appeals’ memorandum decision.
. The court consolidated the fee-collection action and interpleader action before ruling on the motions for substitution, but continued to refer to both actions separately in its rulings.
|
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Justice BERCH,
opinion of the Court.
¶ 1 Arizona Revised Statutes § 20-259.01 requires insurers to offer uninsured motorist (“UM”) and underinsured motorist (“UIM”) coverage to their insureds. Insurers may prove compliance with the statute by having their insureds sign a Department of Insurance (“DOI”) approved form selecting or rejecting such coverage. Ballesteros v. Am. Standard Ins. Co. of Wis., 226 Ariz. 345, 350 ¶ 20, 248 P.3d 193, 198 (2011). The issue in this case is whether compliance with § 20-259.01 bars a negligence claim alleging that the insurance agent failed to procure the UIM coverage requested by the insured. We hold that it does not.
I. BACKGROUND
¶ 2 For two years, Lesley Wilks had car insurance from State Farm Mutual Automobile Insurance Company, which she obtained through John Manobianco at the Manobianeo Insurance Agency (collectively “Manobianco”). Her policy included liability and both UM and UIM coverage. Wilks later replaced the State Farm policy with a policy from another insurance company. A year later, she decided to switch back to State Farm. When doing so, Wilks asked Manobianco to obtain “the exact same coverage that [she] had previously, full coverage.” Manobianco did not look up Wilks’s prior coverage and procured insurance that did not include UIM coverage. In the course of signing several insurance forms, Wilks signed the DOI-approved form, which had been filled out by Manobianco to reject UIM coverage.
¶ 3 Several years later, Wilks was rear-ended by an underinsured driver. State Farm denied the UIM claim she made under her policy. Wilks and her husband then sued Manobianco for malpractice for failing to procure the insurance coverage they had requested. Manobianco moved for summary judgment, arguing that it satisfied its duty of care as a matter of law by complying with A.R.S. § 20-259.01.
¶ 4 The trial court found “that [Manobianco’s] compliance with A.R.S. § 20-259.01 demonstrated that [it] fulfilled [its] duties to Plaintiffs regarding offering the UM7UIM coverage,” and therefore Manobianco “breached no duty owed to Plaintiffs.” The court of appeals reversed. Wilks v. Manobianco, 235 Ariz. 246, 330 P.3d 1003 (App. 2014). Relying on Darner Motor Sales, Inc. v. Universal Underwriters Insurance Co., 140 Ariz. 383, 397, 682 P.2d 388, 402 (1984), the court reaffirmed that insurance agents owe their clients a common law duty of reasonable care. Wilks, 235 Ariz. at 248 ¶¶ 7-10, 330 P.3d at 1005. The court then held that A.R.S. § 20-259.01(B) did not abolish that duty because the statute does not apply to insurance agents, and it is not broad enough to bar common law negligence claims against them. Id. at 249-50 ¶¶ 14-17, 330 P.3d at 1006-07.
¶ 5 We granted review because § 20-259.01’s effect on the common law duty of insurance agents is a potentially recurring issue of statewide importance. We have jurisdiction pursuant to Article 6, Section 5(3) of the Arizona Constitution and A.R.S. § 12-120.24.
II. DISCUSSION
¶ 6 Under Arizona’s common law, insurance agents owe a duty of reasonable care when obtaining insurance on behalf of their clients. Webb v. Gittlen, 217 Ariz. 363, 367 ¶ 18,174 P.3d 275, 279 (2008); Darner Motor Sales, 140 Ariz. at 397, 682 P.2d at 402. That duty is founded on an agent’s status as one with “special knowledge,” who “undertakes to act as an advisor” to a client. Darner Motor Sales, 140 Ariz. at 398, 682 P.2d at 402; see also Restatement (Third) of Agency § 8.08 (“If an agent claims to possess special skills or knowledge, the agent has a duty to the principal to act with the care, competence, and diligence normally exercised by agents with such skills or knowledge.”).
¶ 7 Manobianco argues that the legislature modified insurance agents’ common law duties to their clients by enacting § 20-259.01, which creates a “safe harbor” if the insured signs a DOI-approved form rejecting UM or UIM coverage:
Every insurer writing automobile liability or motor vehicle liability policies shall ... make available to the named insured thereunder and shall by written notice offer the insured and at the request of the insured shall include within the policy underinsured motorist coverage which extends to and covers all persons insured under the policy, in limits not less than the liability limits for bodily injury or death contained within the policy. The selection of limits or rejection of coverage by a named insured or applicant on a form ap proved by the [DOI] director shall be valid for all insureds under the policy.
Id. § 20-259.01(B)(UIM); see also id. § 20-259.01(A)(UM). We must decide whether this statute, which speaks in terms of the “insurer,” also covers insurance agents and whether it bars common law negligence claims for an agent’s failure to procure requested insurance coverage.
¶ 8 We interpret statutes and review summary judgment rulings de novo. Ballesteros, 226 Ariz. at 347 ¶ 7, 248 P.3d at 195. “When interpreting a statute, our primary goal is to give effect to the legislature’s intent.” J.D. v. Hegyi, 236 Ariz. 39, 40 ¶ 6, 335 P.3d 1118, 1119 (2014). We derive that intent by examining the statute’s language; if the language is ambiguous, we look to the statute’s history, context, consequences, and purpose. Glazer v. State, 237 Ariz. 160, 163 ¶ 12, 347 P.3d 1141, 1144 (2015). “Absent a clear manifestation of legislative intent to displace a common-law cause of action, ‘we interpret statutes with every intendment in favor of consistency with the common law.’ ” Orca Commc’ns Unlimited, LLC v. Noder, 236 Ariz. 180, 182 ¶ 10, 337 P.3d 545, 547 (2014) (quoting Pleak v. Entrada Prop. Owners’ Ass’n, 207 Ariz. 418, 422 ¶ 12, 87 P.3d 831, 835 (2004)).
¶ 9 The statute at issue provides insurance companies with a method for proving that they offered UM and UIM coverage to their insureds. Ballesteros, 226 Ariz. at 350 ¶ 20, 248 P.3d at 198. It does not purport to bar common law professional negligence claims such as the claim asserted here. See A.R.S. § 20-259.01. Indeed, the statute does not so much as mention insurance agents or any common law cause of action. Generally, when “the legislature seeks to preempt a cause of action[,]” we have required “the law’s text or at least the legislative record [to] say so explicitly.” Orca Commc’ns, 236 Ariz. at 182 ¶ 10, 337 P.3d at 547 (quoting Hayes v. Cont’l Ins. Co., 178 Ariz. 264, 273, 872 P.2d 668, 677 (1994)). Section 20-259.01 therefore does not, by its terms, bar the Wilkses’ common law negligence claim against their insurance agent.
¶ 10 Manobianco argues, however, that the statute implicitly bars such negligence claims because the statute’s mandate that “rejection of coverage ... shall be valid for all insureds” precludes any action involving a fact-based inquiry related to a plaintiffs UIM coverage. But the statute is not that broad. The “shall be valid” language in A.R.S. § 20-259.01(B) guarantees that “if an insurer provides and the insured signs a DOI-approved UM/UIM selection form, the insurer has satisfied the statutory requirement to ‘make available’ and ‘by written notice offer’ UM/UIM coverage.” Ballesteros, 226 Ariz. at 350 ¶ 21, 248 P.3d at 198. Thus completing the DOI-approved form eliminates fact questions concerning “whether UM/UIM coverage was sufficiently offered” by the insurer and “whether the terms of the offer were understood.” Id. at 350 ¶ 22, 248 P.3d at 198. It therefore only bars inquiries related to the insurer’s offer of UM and UIM coverage. Id. (“[T]he legislature [intended] to protect insurers from after-the-fact inquiries regarding the offer of coverage." (emphasis added)). Factual inquiries related to other types of alleged negligence or wrongdoing are neither expressly nor implicitly barred; they are simply not addressed. Because Wilks concedes that she was offered UIM coverage on a DOI-approved form, which she signed, her claim that Manobianco failed to procure the UIM coverage she requested does not frustrate the purpose of § 20-259.01(B).
¶ 11 We recognize that the distinction between the facts surrounding an insurer’s offer of UM and UIM coverage and those surrounding a client’s request for such coverage is slight, but that distinction is important given the language and purpose of § 20-259.01. The statute imposes a duty on insurers to make an offer of UM and UIM coverage, but it does not discuss or affect whether an agent must honor a client’s request for such coverage. See A.R.S. § 20-259.01. An agent’s common law duty to its clients to procure requested UIM coverage therefore remains distinct from the duties prescribed by § 20-259.01. Whether Manobianco failed to honor the Wilkses’ alleged request for UIM coverage, and whether that failure breached Manobianco’s common law duty of care, are questions for the trier of fact. See Gipson v. Kasey, 214 Ariz. 141, 143 ¶ 10,150 P.3d 228, 230 (2007).
¶ 12 Although the statute speaks only in terms of protecting “insurers” — that is, those who write automobile insurance policies— Manobianco maintains that the statute also applies to insurance agents because the term “insurer” necessarily includes insurance companies and their agents. But a plain reading of the statute, which expressly imposes a duty upon “[e]very insurer writing automobile liability or motor vehicle liability policies,” A.R.S. § 20-259.01(B), does not support Manobianco’s assertion, see Wilks, 235 Ariz. at 249-50 ¶¶ 14-16, 330 P.3d at 1006-07; Nat’l Sec., Inc. v. Johnson, 14 Ariz.App. 31, 33, 480 P.2d 368, 370 (1971) (under A.R.S. §§ 20-103 to -104, a party that does not make, or is not a party to, contracts of insurance is not an insurer).
¶ 13 We have previously declined requests to expand the plain terms of A.R.S. § 20-259.01. See, e.g., Newman v. Cornerstone Nat’l Ins. Co., 237 Ariz. 35, 37 ¶ 11, 344 P.3d 337, 339 (2015); Ballesteros, 226 Ariz. at 350 ¶ 22, 248 P.3d at 198. We likewise decline to hold that § 20-259.01 implicitly covers insurance agents when doing so would add a term to the statute that the legislature did not include. The legislature has explicitly included insurance agents within a statute’s scope when it has intended such coverage to exist, and it knows how to address insurance agents’ common law duties when it wishes to do so. Compare 1997 Ariz. Sess. Laws, ch. 125, § 1 (1st Reg. Sess.) (providing insurance agents with a specific form that, if signed by a client, would absolve them of any duty “to explain the nature and applicability of automobile liability coverage”), with 1998 Ariz. Sess. Laws, ch. 288, § 1 (2d Reg. Sess.) (rescinding the protection for insurance agents and readopting the current language protecting only “insurers”); cf. A.R.S. § 20-266 (expressly imposing a duty on both insurers and insurance agents). If the legislature wants to amend the statute to include agents, limit their duties, or circumscribe their liability regarding UM or UIM coverage, it must do so clearly and within constitutional bounds. See Orea Commc’ns, 236 Ariz. at 182 ¶ 10, 337 P.3d at 547.
¶ 14 Finally, Manobianco argues that the court of appeals’ opinion “conflicts with this Court’s cases, which have all held the [DOI] form is controlling.” Our cases interpreting § 20-259.01, however, did not involve negligence actions brought by an insured against an insurance agent. See, e.g., Newman, 237 Ariz. at 36 ¶ 3, 344 P.3d at 338; Am. Family Mut. Ins. Co. v. Sharp, 229 Ariz. 487, 488 ¶ 2, 277 P.3d 192, 193 (2012); Ballesteros, 226 Ariz. at 346 ¶ 3 & n. 3,248 P.3d at 194 & n. 3; Tallent v. Nat’l Gen. Ins. Co., 185 Ariz. 266, 266-67, 915 P.2d 665, 665-66 (1996); Estate of Ball v. Am. Motorists Ins. Co., 181 Ariz. 124,125, 888 P.2d 1311, 1312 (1995).
¶ 15 Because the statute does not bar the Wilkses’ negligence claim, Mrs. Wilks’s admitted failure to read the DOI-approved form she signed — despite its bold print ‘WARNING” and directive to “read carefully before signing” — may be submitted to the jury to consider during its assessment of comparative negligence. See Darner Motor Sales, 140 Ariz. at 398, 682 P.2d at 403 (“We believe that the ‘contributory negligence’ question here turns on the reasonableness of an insured’s failure to read the policy and his reliance on statements made by the agent. It is, therefore, a question for the trier of fact.” (citing Ariz. Const. art. 18, § 5)); see also A.R.S. § 12-2505(A) (providing that “[t]he defense of contributory negligence ... shall at all times be left to the jury”). A jury may also weigh the fact that Manobianco complied with the requirements of A.R.S. § 20-259.01 as evidence that he acted reasonably under the circumstances. Cf. Restatement (Second) of Torts § 288C cmt. a (permitting compliance with an applicable statute to show conduct “sufficient for the occasion; but if for any reason a reasonable [person] would take additional precautions, the provision does not preclude a finding that the actor should do so”); accord Peterson v. Salt River Project Agric. Improvement & Power Dist., 96 Ariz. 1, 7, 391 P.2d 567, 571 (1964); S. Pac. R.R. Co. v. Mitchell, 80 Ariz. 50, 61-62, 292 P.2d 827, 834-35 (1956).
¶ 16 The Wilkses’ negligence claim is based on a duty distinct from that imposed by A.R.S. § 20-259.01. Whether Manobianco breached its common law duty by failing to procure the UIM coverage Wilks allegedly requested and whether Wilks should be assigned comparative fault for failing to read the related paperwork are questions for the jury. The trial court therefore erred by granting summary judgment to Manobianco as a matter of law.
III. CONCLUSION
¶ 17 For the reasons set forth, we affirm the opinion of the court of appeals reversing the trial court’s entry of summary judgment, and remand the case to the trial court for further proceedings.
. In an appeal from the grant of summary judgment, we view the facts and draw reasonable inferences in the light most favorable to the non-prevailing party. BMO Harris Bank, N.A. v. Wildwood Creek Ranch, LLC, 236 Ariz. 363, 365 ¶ 7, 340 P.3d 1071, 1073 (2015).
. Manobianco makes several additional arguments based on the potential vicarious liability of State Farm. Because State Farm is no longer a party to this case, Wilks, 235 Ariz. at 247 ¶ 5 n. 2, 330 P.3d at 1004 n. 2, we decline to address those arguments.
|
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Justice BERCH,
opinion of the Court.
¶ 1 Michael Jonathon Carlson was convicted of two counts of kidnapping and two counts of first-degree murder. This automatic appeal follows the imposition of the death penalty. Ariz. R.Crim. P. 31.2(b). We have jurisdiction under Article 6, Section 5(3) of the Arizona Constitution and A.R.S. § 13-4031.
I. FACTUAL AND PROCEDURAL HISTORY
¶ 2 In the spring of 2009, Michael Carlson moved into a recreational vehicle on a rural property in Pima County. Larry owned the property and lived there with his family, including his son, daughter-in-law, and grandchildren. Also living together in a trailer on the property were KR and Becky.
¶ 3 Carlson felt close to Larry and thought that KR and Becky “annoyed” Larry and his family by using methamphetamines, shooting a gun on the property, and stealing. Believing KR or Becky had stolen a ruby cross from Larry’s trailer, Carlson decided to make KR and Becky “disappear.” While holding a gun on KR, he ordered Becky to tie KR up. Carlson then tied Becky up and ordered the victims into the trunk of his ear. After driving for a while, he noticed that Becky had become untied and worked her way from the trunk partially into the back seat. Carlson shot her and then KR to keep them from escaping. He took the bodies back to the property where he burned them in a pit until they were reduced to ash and small bone fragments.
¶ 4 Within a few days, Carlson told Larry that he had murdered KR and Becky. Nearly a month later, Larry called police and told them that Carlson was staying in a trailer on his property and had an outstanding arrest warrant from Texas. Police officers immediately came and arrested Carlson.
¶ 5 Ten days later, Carlson called a local television station and asked to speak to a reporter. When the reporter visited Carlson in the Pima County Jail, Carlson confessed to murdering KR and Becky, as well as eight other people. For trial, the parties stipulated that, despite the detail in Carlson’s confession, the authorities in the other jurisdictions in which Carlson admitted committing murders could not find evidence that those murders had actually occurred.
¶ 6 The jury found Carlson guilty of two counts of felony murder and two counts of kidnapping. The jury then found three aggravating circumstances: Carlson had been convicted of a prior serious offense, A.R.S. § 13—751(F)(2); he committed the murders while on release from custody, id. § 13-751(F)(7); and he committed multiple murders during the commission of the offense, id. § 13-751(F)(8). In the penalty phase, the jury determined that Carlson should be sentenced to death for each murder. The court sentenced Carlson to consecutive twenty-one-year sentences for the two kidnappings.
II. DISCUSSION
A. Corpus Delicti for Kidnapping
¶ 7 Carlson argues that the trial court erred by admitting his television interview as evidence of the two kidnapping counts because the State never established the corpus delicti for those crimes. He argues that without his incriminating statements, the State could not establish the kidnappings. “We review a ruling on the sufficiency of the evidence of corpus delicti for abuse of discretion.” State v. Morris, 215 Ariz. 324, 333 ¶ 33, 160 P.3d 203, 212 (2007). We will “affirm the trial court’s ruling if the result was legally correct for any reason.” State v. Perez, 141 Ariz. 459, 464, 687 P.2d 1214, 1219 (1984).
¶ 8 To introduce a defendant’s confession, the state must present corroborating evidence from which jurors could reasonably infer that the crime charged actually occurred. See State v. Hall, 204 Ariz. 442, 453 ¶ 43, 65 P.3d 90, 101 (2003). The standard for the corroborating evidence is not high. “Only a reasonable inference of the corpus delicti need exist before a confession may be considered,” and circumstantial evidence suffices to support the inference. Id. (quoting State v. Gillies, 135 Ariz. 500, 506, 662 P.2d 1007,1013 (1983)). Nor need the showing be made before the defendant’s statements are presented, “[a]s long as the State ultimately submits adequate proof of the corpus delicti before it rests.” Id. (quoting State v. Jones ex rel. Cnty. of Maricopa, 198 Ariz. 18, 23 ¶ 14, 6 P.3d 323, 328 (App.2000)). The rule is designed to prevent convictions based solely on uncorroborated statements. State v. Chappell, 225 Ariz. 229, 234 ¶ 9, 236 P.3d 1176, 1181 (2010).
¶ 9 A different corroboration rule, the “trustworthiness doctrine,” has become the standard in most federal courts and has been adopted by several state courts. E.g., United States v. Shunk, 881 F.2d 917, 919-21 (10th Cir.1989); see also State v. Parker, 315 N.C. 222, 337 S.E.2d 487, 492 (1985) (observing that “federal courts and an increasing number of states” follow the trustworthiness approach). That doctrine requires the government “to introduce substantial independent evidence which would tend to establish the trustworthiness of the statement.” Op-per v. United States, 348 U.S. 84, 93, 75 S.Ct. 158, 99 L.Ed. 101 (1954). As with the traditional approach, the burden is not heavy. “It is sufficient if the corroboration supports the essential facts admitted sufficiently to justify a jury inference of their truth.” Id.
¶ 10 Although this Court has never adopted the trustworthiness doctrine, our court of appeals addressed it in State v. Morgan, 204 Ariz. 166, 171-72 ¶¶ 17-21, 61 P.3d 460, 465-66 (App.2002). The trial court in this case relied on Morgan when it admitted Carlson’s incriminating statements, and in their briefs in this court, the parties have cited Morgan as though it adopted the trustworthiness rule.
¶ 11 But Morgan addressed trustworthiness in connection with its analysis of the closely related crimes exception to the corpus delicti rule. There, a defendant charged with several sexual offenses confessed to each charge. Id. at 169 ¶¶ 6-7, 61 P.3d at 463. Evidence established the corpus delicti for all counts except a charge that the defendant had engaged in oral sexual contact with a minor. Id. at 172-73 ¶ 23, 61 P.3d at 466-67. After the court evaluated both the corpus delicti and trustworthiness corroboration rules, it held that the state had established the corpus delicti for all charges. Id. It reasoned that, when a defendant confesses to several related crimes, independent evidence that establishes the commission of the closely related crimes may suffice to corroborate the confession as a whole, rendering it admissible. Id.
¶ 12 Morgan’s analysis comports with this Court’s current rule, which requires only sufficient corroborating evidence “to warrant a reasonable inference that the crime charged was actually committed.” State v. Hernandez, 83 Ariz. 279, 282, 320 P.2d 467, 469 (1958); see also Hall, 204 Ariz. at 453 ¶ 43, 65 P.3d at 101; Chappell, 225 Ariz. at 234 ¶ 9, 236 P.3d at 1181; Gillies, 135 Ariz. at 506, 662 P.2d at 1013. We agree with Morgan’s reasoning that, under our corpus delicti rule, independent evidence that establishes the commission of one crime may help corroborate the commission of other, closely related crimes. See 204 Ariz. at 172-73 ¶ 23, 61 P.3d at 466-67.
¶ 13 Here, blood and DNA evidence linked to Becky was found in the back seat and trunk of Carlson’s car. Becky’s purse was found in her trailer, and testimony indicated that she would have taken it with her had she left the property voluntarily. This evidence supports an inference that Carlson kidnapped Becky.
¶ 14 The defense did not separately object to the corpus delicti finding as to KR alone, and the evidence of KR’s kidnapping is less clear than that relating to Becky’s kidnapping. Nonetheless, the evidence was sufficient to establish the corpus delicti. KR’s DNA was found in the passenger compartment of Carlson’s ear. Although none was found in the trunk, Carlson had cleaned the trunk and disposed of the bloody floor mat from it. Moreover, KR and Becky lived together and disappeared at the same time. Their remains were disposed of at the same place and in the same manner. This evidence indicates that Becky and KR met with similar fates and that the kidnappings and murders were closely related in time and circumstance so that the corroboration of Becky’s kidnapping and KR’s murder tends to indicate that KR was also kidnapped. See id. Although, as the defense points out, this evidence could also indicate that KR and Becky were murdered before being placed in the ear, “the prosecution need not eliminate all inferences tending to show a noncriminal cause [for the existence of the evidence].” People v. Ochoa, 19 Cal.4th 353, 79 Cal. Rptr.2d 408, 966 P.2d 442, 474 (1998), as modified (Cal. 1999) (quoting People v. Jacobson, 63 Cal.2d 319, 46 Cal.Rptr. 515, 405 P.2d 555, 561 (1965)). The trial court therefore did not abuse its discretion in determining that the State presented sufficient evidence of the corpus delicti for kidnapping.
¶ 15 Finally, Carlson argues that his confession should have been excluded because it was inherently untrustworthy given that it included confessions to eight other uncorroborated murders. As discussed above, this Court has not adopted the trustworthiness doctrine, and Carlson does not expressly advocate that we should do so now. But under either the corpus delicti or trustworthiness corroboration rule, “as long as this very modest corroboration requirement is satisfied, the ultimate truth or falsity of the defendant’s confession is a determination left to the jury.” State v. Housler, 193 S.W.3d 476, 491 (Tenn.2006) (evaluating a defendant’s confession that included a significant amount of false information). Carlson’s confession was consistent with the evidence relating to the kidnapping and murders of KR and Becky. The defense was free to-and did-argue to the jury lack of trustworthiness stemming from Carlson’s confessions to other crimes.
¶ 16 Under our corpus delicti rule, the State met its burden for both kidnapping charges. The trial court therefore did not abuse its discretion in admitting Carlson’s incriminating statements to the television reporter.
B. Accomplice Liability
¶ 17 After the jury found Carlson guilty of two counts of kidnapping and two counts of felony murder, the court gave an Enmund/Tison instruction, which asked the jury to evaluate Carlson’s participation in the kidnappings. See Tison v. Arizona, 481 U.S. 137, 107 S.Ct. 1676, 95 L.Ed.2d 127 (1987); Enmund v. Florida, 458 U.S. 782, 102 S.Ct. 3368, 73 L.Ed.2d 1140 (1982). To be eligible for the death penalty, a defendant must have actually killed, intended that a killing take place, or been a major participant in the underlying felony and recklessly indifferent to another person’s life — a question that typically arises when the defendant was one of two or more participants in the crime. See State v. Payne, 233 Ariz. 484, 517 ¶¶ 145, 147 & n. 6, 314 P.3d 1239, 1272 & n. 6 (2013). The jurors unanimously found Carlson eligible for the death penalty: eight found that he actually killed the victims and four concluded that he either intended that a killing take place or was a major participant in the crimes.
¶ 18 Carlson asserts that the four jurors’ determination that he was a major participant in the crimes means that they found that he was merely an accomplice to crimes committed by another. From that premise, he argues that (1) these four jurors based their verdicts on inappropriate assumptions, speculation, and conjecture; (2) if the evidence supported verdicts based on accomplice liability, then the court committed fundamental error by failing to give appropriate accomplice jury instructions; and (3) the felony-murder verdicts were for non-existent crimes because Arizona law does not support a felony-murder conviction when the defendant was only an accomplice to the predicate felony. Because Carlson’s premise is flawed, however, we do not reach his derivative arguments.
¶ 19 The jurors’ Enmund/Tison findings do not necessarily indicate that they believed someone else committed the murders. To convict Carlson of felony murder, the jurors had to conclude only that the victims’ deaths were “cause[d]” in furtherance of the kidnappings. See A.R.S. § 13-1105(A)(2). They did not need to conclude that Carlson “actually killed” KR and Becky. Thus, the four jurors could have believed that Becky and KR died by accident during the commission of the kidnappings. In other words, the jurors could have concluded that Carlson did not “actually kill” KR and Becky, but that he nonetheless was responsible for causing their deaths.
¶ 20 More likely, having found Carlson guilty of felony murder and kidnapping — and having been presented no evidence that he acted with an accomplice and no accomplice instruction having been given — the jurors were simply confused when presented with the “degree of participation” instructions and verdict forms. Cf. Payne, 233 Ariz. at 517 ¶ 147 & n. 6, 314 P.3d at 1272 & n. 6 (noting that Enmund/Tison findings are appropriate when the defendant’s participation level is in question, such as when an accomplice is involved). Whatever else the jury’s Enmund/Tison findings mean, they confirm the jury’s belief that Carlson was sufficiently culpable to qualify for the death penalty.
¶ 21 Absent any evidence that Carlson acted with an accomplice, the trial court did not commit fundamental error by failing to give an accomplice instruction. See State v. Ross, 107 Ariz. 240, 242-43, 485 P.2d 810, 812-13 (1971). Because the jury’s Enmund/Tison verdicts do not undermine the convictions, Carlson’s premise fails and it is unnecessary for the Court to address his related arguments.
C. Dr. Haney’s Expert Testimony
¶ 22 During trial, Carlson sought to have Dr. Craig Haney testify about the brutality in the Texas prison system when Carlson was incarcerated there and also regarding “personality and behavior characteristics” and “risk factors” that might explain why Carlson might have falsely confessed to the television reporter. Defense counsel also sought to have Dr. Haney testify that Carlson told him that he (Carlson) had falsely confessed. The court allowed Dr. Haney to testify regarding the Texas prison system, but precluded testimony that Carlson told Dr. Haney that he had falsely confessed and Dr. Haney’s explanation for why Carlson might have done so.
¶ 23 Carlson argues that precluding the latter categories of Dr. Haney’s testimony violated Carlson’s constitutional right to present a complete defense under the Due Process Clause and also violated the Compulsory Process and Confrontation Clauses. We review a trial court’s preclusion of expert testimony for an abuse of discretion. See State v. Salazar-Mercado, 234 Ariz. 590, 594 ¶ 13, 325 P.3d 996, 1000 (2014). Absent an objection, we review for fundamental error. See State v. Canez, 202 Ariz. 133, 147 ¶ 30, 42 P.3d 564, 578 (2002).
¶ 24 Preliminarily, we note that a trial court should not preclude an expert’s testimony without allowing the defense to make an offer of proof. Defense counsel here filed a trial memorandum describing Dr. Haney’s proposed testimony. When the court indicated that it would not allow testimony on the two categories, defense counsel asked to supplement its offer of proof, but the trial court denied the request. Although Carlson does not challenge this denial on appeal and the record suffices to allow us to determine whether reversible error occurred, a supplemented offer would have aided our evaluation of the trial court’s decision. We remind trial judges to allow counsel to make offers of proof, especially when the court precludes testimony that the defense asserts is essential to the defense in a capital case. See Ariz. R. Evid. 103.
¶ 25 The Arizona Rules of Evidence provide a framework for identifying admissible expert testimony:
A witness who is qualified as an expert by knowledge, skill, experience, training, or education may testify in the form of an opinion or otherwise if: (a) the expert’s scientific, technical, or other specialized knowledge will help the trier of fact to understand the evidence or to determine a fact in issue; (b) the testimony is based on sufficient facts or data; (c) the testimony is the product of reliable principles and methods; and (d) the expert has reliably applied the principles and methods to the facts of the case.
Ariz. R. Evid. 702. The trial judge must act as a gatekeeper by applying this rule to admit “only relevant and reliable expert testimony.” Salazar-Mercado, 234 Ariz. at 593 ¶ 9, 325 P.3d at 999.
¶ 26 Dr. Haney purportedly relied on Carlson’s statement that he confessed falsely and also on his explanation for why he did so as the foundation for the doctor’s opinion that Carlson was susceptible to falsely confessing. The trial court, however, excluded those statements as inadmissible hearsay. See Ariz. R. Evid. 801, 802. The rules of evidence provide that an expert “may base an opinion on facts or data in the case that the expert has been made aware of or personally observed.” Ariz. R. Evid. 703. Those facts or data “need not be admissible” so long as “experts in the particular field would reasonably rely on those kinds of facts or data.” Id. But “Rule 703 does not authorize admitting hearsay on the pretense that it is the basis for expert opinion when, in fact, the expert adds nothing to the out-of-court statements other than transmitting them to the jury.” 29 Charles Alan Wright & Arthur R. Miller, Federal Practice and Procedure § 6273 (Victor James Gold ed.2015); cf. State v. Lundstrom, 161 Ariz. 141, 148, 776 P.2d 1067, 1074 (1989) (expert testimony that merely parrots or summarizes another’s opinion is inadmissible). That is the case here respecting Dr. Haney’s attempt to offer Carlson’s statement that he confessed falsely. Dr. Haney would not have provided any additional insight or information regarding that disclosure, and Carlson could not have made the statement in testifying without submitting to cross-examination.
¶ 27 When an expert bases an opinion on facts or data that are not otherwise admissible, there is “a presumption against disclosure to the jury,” Fed.R.Evid. 703 advisory committee’s note to 2000 amends., and even when such facts or data are admissible, they may be introduced only “for the limited purpose” of showing the basis of the expert’s opinion, Ariz. R. Evid. 703 cmt. to original 1977 r.; State v. Tucker, 215 Ariz. 298, 314 ¶ 52, 160 P.3d 177, 193 (2007). For two reasons, we conclude that the trial court did not abuse its discretion.
¶ 28 First, Carlson never established whether reasonable experts in the field of false confessions would, as part of their analyses, rely on the defendant’s own statement that he falsely confessed and that certain factors caused him to do so. Other courts have held that an expert should not be able to submit inadmissible hearsay from a biased witness as a basis for an opinion. See Sikes v. Seaboard Coast Line R.R. Co., 429 So.2d 1216, 1223 (Fla.Dist.Ct.App.1983) (citing Dallas & Mavis Forwarding Co. v. Stegall, 659 F.2d 721 (6th Cir.1981)). “The trial process is better served when a biased ... declarant is required to testify directly and to be subject to cross-examination.” Dallas & Mavis Forwarding Co., 659 F.2d at 722. Here, Carlson’s statements were inadmissible, biased hearsay, and he failed to show that a reasonable expert would rely on them in forming an opinion.
¶ 29 Second, the trial court did not abuse its discretion in determining that allowing Dr. Haney to testify that Carlson said he falsely confessed would have put Carlson’s statements before the jury cloaked with the implication that Dr. Haney believed those statements and relied on them, while shielding Carlson from the rigors of cross-examination. See id. (allowing a defendant’s statement “to be heard through the testimony of an [expert] would cloak it with undeserved authority that could unduly sway a jury”); see also State v. Lindsey, 149 Ariz. 472, 474-75, 720 P.2d 73, 75-76 (1986). A defendant may not convey self-serving statements regarding the truth of his own confession through an expert’s testimony. Nor may he have an expert opine on whether the defendant was telling the truth when asserting that his confession was false. See State v. Hyde, 186 Ariz. 252, 276, 921 P.2d 655, 679 (1996) (“An expert may not give an opinion as to the accuracy, reliability, or truthfulness of a [party].”); see also United States v. Ganadonegro, 805 F.Supp.2d 1188, 1212 (D.N.M.2011) (concluding, after collecting cases, that “[t]he Court would not, as apparently any court would not, allow the expert to say a particular defendant gave a false confession.... [T]his line prevents the expert from invading the province of the jury....”).
¶ 30 Carlson next argues that the trial court abused its discretion in preventing Dr. Haney from testifying about risk factors that would tend to make Carlson more likely to confess falsely. The court barred this testimony because Dr. Haney had not tested or examined Carlson to determine whether he exhibited the risk factors and did not base his potential testimony on any studies of his own or by others examining why a person would falsely confess in a voluntary news interview. His experience was in the police interrogation context.
¶ 31 The State did not challenge Dr. Haney’s expertise in addressing why defendants may succumb to pressure to confess in police interrogations. But defense counsel admitted that Dr. Haney had no experience or publications dealing with voluntary confessions to the media. Nonetheless, given Dr. Haney’s general expertise regarding false confessions, his “lack of specialization” should have gone “to the weight of the evidence rather than its admissibility^] and ‘[vigorous cross-examination, presentation of contrary evidence, and careful instruction on the burden of proof are the traditional and appropriate means of attacking shaky but admissible evidence.’ ” United States v. Wen Chyu Liu, 716 F.3d 159, 168 (5th Cir.2013) (quoting Daubert v. Merrell Dow Pharm., Inc., 509 U.S. 579, 596, 113 S.Ct. 2786, 125 L.Ed.2d 469 (1993)); accord State v. Villalobos, 225 Ariz. 74, 81 ¶ 27, 235 P.3d 227, 234 (2010) (“The medical examiner’s specialization in pathology did not disqualify him from giving expert testimony on pain. Instead, the physician’s certification went only to the weight of his testimony.” (citations omitted)). Nonetheless, the trial court did not abuse its discretion in excluding the testimony because Dr. Haney’s testimony went to Carlson’s general propensity to lie rather than to the mental or physical circumstances affecting the voluntariness of this confession. See Perez, 141 Ariz. at 464, 687 P.2d at 1219 (“We are obliged to affirm the trial court’s ruling if the result was legally correct for any reason.”).
¶ 32 Although this Court has dealt with expert testimony relating to the voluntariness of confessions, see State v. Blakley, 204 Ariz. 429, 437-38 ¶¶ 33-38, 65 P.3d 77, 85-86 (2003) (evaluating whether the trial court “prevented [the expert] from rendering a final opinion as to whether the confession was voluntary”); Hyde, 186 Ariz. at 275-76, 921 P.2d at 678-79 (evaluating expert testimony regarding the “defendant’s mental condition when he made his statements to the Phoenix police”), we have yet to directly address the admissibility of expert testimony regarding a defendant’s propensity to lie. We are guided, however, by several federal court decisions that have addressed the issue. See Ariz. R. Evid. prefatory cmt. to 2012 amends. (“Where the language of an Arizona rule parallels that of a federal rule, federal court decisions interpreting the federal rule are persuasive but not binding with respect to interpreting the Arizona rule.”); see also United States v. Benally, 541 F.3d 990, 995 (10th Cir.2008); United States v. Adams, 271 F.3d 1236, 1244-45 (10th Cir.2001); United States v. Hall, 93 F.3d 1337, 1341-45 (7th Cir.1996); United States v. Shay, 57 F.3d 126, 130-33 (1st Cir.1995).
¶ 33 Federal circuit courts that have allowed expert testimony regarding a defendant’s propensity to lie have required that the testimony relate to some mental or personality disorder that would cause the defendant to lie. See Hall, 93 F.3d at 1344-45; Shay, 57 F.3d at 133-34. Carlson never suggested that his false confession was caused by any mental disorder, personality disorder, or a similar affliction, and because Dr. Haney did not diagnose or treat Carlson, Dr. Haney had no personal knowledge regarding whether Carlson had such disorders or conditions.
¶ 34 Carlson argues that the facts here are “more egregious” than those in Shay or Hall because personality disorders are “at least understood on some level.” But those cases did not turn solely on the distinction between mental disorders and other reasons to lie. The court in Shay distinguished between testimony based on the expert’s training and scientific knowledge about a specific disorder or condition and expert testimony that relies primarily on a defendant’s own perception and reporting to form a basis for the expert’s opinion about a defendant’s general propensity to lie. See Shay, 57 F.3d at 133 (observing that the expert had evaluated and diagnosed the defendant before testifying to that diagnosis and how it might affect the defendant’s propensity to lie); see also Hall, 93 F.3d at 1341, 1345 (noting that a psychiatrist who examined the defendant and the defendant’s medical records should have been allowed to testify regarding whether the defendant’s mental condition affected his propensity to lie).
¶ 35 Unlike blind expert profile testimony, which is generally admissible because “expert testimony about general behavior patterns ... may help the jury understand the evidence,” Salazar-Mercado, 234 Ariz. at 594 ¶ 15, 325 P.3d at 1000, Dr. Haney’s testimony would have gone “ ‘beyond the description of general principles of social or behavioral science’ to offer opinions about ‘the accuracy, reliability or credibility of a particular [party] in the ease being tried.’ ” Id. (quoting Lindsey, 149 Ariz. at 474-75, 720 P.2d at 75-76). By offering testimony regarding Carlson’s background and risk factors, Dr. Haney, who was not Carlson’s treating physician, would have expanded well beyond general principles to seemingly vouch for the information that Carlson had provided to him. See Hall, 93 F.3d at 1344 (expert testimony that relies “solely on ... acceptance of the victim’s account ... amounted to nothing more than an invitation to the jury to believe [the expert’s] assessment of the victim’s truthfulness”). Any such testimony would have intruded upon the jury’s role, and thus the trial court did not abuse its discretion when it excluded Dr. Haney’s testimony regarding Carlson’s general propensity to lie.
¶ 36 Carlson next argues that, if Dr. Haney’s testimony was inadmissible under the rules of evidence, “such mechanistic application of the rules of evidence would constitute a violation of Carlson’s constitutional right to present a defense.” But “[a] breach of the ... Rules of Evidence does not, in itself, offend the Constitution.” United States v. Hernandez-Guevara, 162 F.3d 863, 876 n. 3 (5th Cir.1998). Such an argument “confuses a fundamental right, the right to present a theory of defense, with one that is not fundamental, the right to present that theory in whatever manner and with whatever evidence [the defendant] chooses.” Adams, 271 F.3d at 1243.
¶ 37 While “[t]he ‘blanket exclusion’ of evidence regarding the circumstances of a confession precludes a fair trial,” id. at 1245 (quoting Crane v. Kentucky, 476 U.S. 683, 690, 106 S.Ct. 2142, 90 L.Ed.2d 636 (1986)), “evidence related to the credibility of a confession may be excluded” through proper application of the rules of evidence. Id. Carlson does not explain how the trial court applied the rules of evidence in a “mechanistic” way. We therefore conclude that the court’s exclusion of Dr. Haney’s testimony did not violate Carlson’s right to present a defense or to a fair trial.
D. Willits Instruction
¶ 38 Carlson argues that the trial court abused its discretion by refusing to give a Willits instruction allowing the jury to draw an adverse inference from the State’s failure to acquire and preserve Larry’s cell phone and failing to obtain cell phone records “for every cell phone on the property belonging to ... the residents.” See State v. Willits, 96 Ariz. 184, 393 P.2d 274 (1964). Carlson asserts that this failure also deprived him of his due process rights. Because Carlson objected at trial, “[w]e review [the] rulings regarding a Willits instruction for abuse of discretion.” State v. Glissendorf, 235 Ariz. 147, 150 ¶ 7, 329 P.3d 1049, 1052 (2014). Because Carlson did not object on due process grounds, however, we review only for fundamental error whether denying the Willits instruction deprived Carlson of due process. See State v. Henderson, 210 Ariz. 561, 567 ¶ 19, 115 P.3d 601, 607 (2005).
¶ 39 Willits “require[s] trial judges to instruct [jurors] that if they find that the state has lost, destroyed[,] or failed to preserve material evidence that might aid the defendant and they find the explanation for the loss inadequate, they may draw an inference that that evidence would have been unfavorable to the state.” State v. Young-blood, 173 Ariz. 502, 506, 844 P.2d 1152, 1156 (1993). A defendant is entitled to a Willits instruction if “the state failed to preserve material and reasonably accessible evidence that could have had a tendency to exonerate the accused.” Glissendorf, 235 Ariz. at 150 ¶ 8, 329 P.3d at 1052 (quoting State v. Smith, 158 Ariz. 222, 227, 762 P.2d 509, 514 (1988)). Evidence having a “tendency to exonerate” favors the defendant or is “potentially useful to a defense theory,” but need not have “the potential to completely absolve the defendant.” Id. at 150 ¶¶ 9-10, 329 P.3d at 1052. The defendant “must do more than simply speculate about how the evidence might have been helpful.” Id.
¶ 40 The record does not show whether Larry’s cell phone was ever found, making it unclear whether it was reasonably accessible. The phone records were reasonably available via subpoena, but Carlson does not specify exactly what data — text histories, call histories, or the contents of text messages — those records would have contained. Even if we assume, however, that the State could have secured the potentially relevant phone and phone record data, Carlson still has not established that this evidence was likely helpful to his defense.
¶ 41 Carlson speculates that Larry’s missing phone and phone records would have been beneficial to him, but does not demonstrate why this is so. See Smith, 158 Ariz. at 227, 762 P.2d at 514 (Willits instruction not appropriate when defendant merely speculates that a lost piece of paper would have contained information implicating someone else in the crime); see also Perez, 141 Ariz. at 464, 687 P.2d at 1219 (no Willits instruction required where a lost videotape may have either inculpated or exonerated the defendant). Carlson therefore has not established that the lost evidence tended to exculpate him.
¶ 42 Carlson further argues that the denial of his request for a Willits instruction violated his due process rights. To prove a violation of due process, Carlson must establish that the State acted in bad faith when it failed to acquire or preserve the evidence in question. Glissendorf, 235 Ariz. at 150-51 ¶ 11, 329 P.3d at 1052-53. Because Carlson did not offer any evidence that the State acted in bad faith when it failed to preserve the cell phone or phone records, the trial court did not fundamentally err or violate his due process rights by denying the requested Willits instruction.
E. Inapplicability of the (F)(2) Aggravator
¶ 43 Carlson argues that using the kidnappings that were the predicate felonies for his felony-murder convictions to also aggravate his sentence under A.R.S. § 13-751(F)(2) fails to narrow the class of offenders eligible for the death penalty, thereby violating the Eighth Amendment and the Arizona Constitution’s prohibition on cruel and unusual punishment. U.S. Const. amend. VIII; Ariz. Const. art. 2, § 15.
¶ 44 Section 13-751(F)(2) allows jurors to consider whether a defendant has committed prior serious offenses in determining whether to impose a death sentence:
[The jury may consider whether t]he defendant has been or was previously convicted of a serious offense, whether preparatory or completed. Convictions for serious offenses committed on the same occasion as the homicide, or not committed on the same occasion but consolidated for trial with the homicide, shall be treated as a serious offense under this paragraph.
Id. (emphasis added). The last sentence of this statute — which plainly contemplates that the “serious offense” may include offenses that were committed at the same time as the homicide — was added by the legislature in 2003 in response to court rulings that had held otherwise. See 2003 Ariz. Sess. Laws, ch. 255, § 1 (1st Reg. Sess.); see also State v. Nordstrom, 230 Ariz. 110, 118 ¶ 35, 280 P.3d 1244, 1252 (2012) (“[T]he legislature amended the (F)(2) aggravator in 2003 to explicitly include contemporaneous convictions ... [and] evidently was intended to displace our ruling in State v. Rutledge, 206 Ariz. 172, 175-78 ¶¶ 15-25 & n. 3, 76 P.3d 443, 446-49 & n. 3 (2003).”).
¶ 45 In State v. Forde, this Court rejected the argument Carlson now makes — that the (F)(2) aggravator, when based on crimes that occurred in connection with the murders in question, fails to narrow the class of defendants eligible for the death penalty. 233 Ariz. 543, 569 ¶¶ 105-08, 315 P.3d 1200, 1226 (2014). We held there that the (F)(2) aggravator as amended does not violate the Eighth Amendment because § 13-751(J) sufficiently defines “serious offense” so that it “appropriately channels and limits the sentencer’s discretion.” Id. at 569 ¶ 107, 315 P.3d at 1226. We rejected Forde’s reliance on Rutledge, a case that dealt with the pre-2003 version of the statute. Id. at 569 ¶ 108, 315 P.3d at 1226.
¶ 46 Carlson acknowledges the holding in Forde, but argues that while Forde mentioned Rutledge, it did not discuss several other cases that address this issue. But, like Rutledge, the other cases Carlson cites discuss only the pre-2003 version of A.R.S. § 13-751(F)(2). See State ¶. Pandeli, 204 Ariz. 569, 571 ¶¶ 5-7, 65 P.3d 950, 952 (2003) (interpreting 2001 version of statute); State v. Phillips, 202 Ariz. 427, 438-39 ¶¶ 56-57, 46 P.3d 1048, 1059-60 (2002); State v. (Robert G.) Jones, 197 Ariz. 290, 311 ¶ 64, 4 P.3d 345, 366 (2000); State v. Gretzler, 135 Ariz. 42, 57 n. 2, 659 P.2d 1, 16 n. 2 (1983); State v. Ortiz, 131 Ariz. 195, 210-11, 639 P.2d 1020, 1035-36 (1981). Thus, despite language in Ortiz, Gretzler, and Phillips suggesting that “serious offenses” should not include contemporaneous crimes, these cases did not interpret the 2003 amendment and none of these cases rests on a finding of unconstitutionality.
¶ 47 Carlson offers two more arguments for why the amended (F)(2) aggravator fails to narrow the class of offenders eligible for the death penalty. First, he argues that the list of “serious offenses” under § 13-751(1) is “significantly] align[ed]” with the enumerated predicate offenses for felony murder under § 13-1105(A)(2), making nearly every defendant convicted of felony murder eligible for the death penalty.
¶ 48 We disagree. Comparing the two statutes reveals that several predicate offenses for felony murder — including marijuana offenses, dangerous drug offenses, certain other narcotics offenses, drive-by shootings, escape, and unlawful flight from a pursuing law enforcement vehicle — are not “serious offenses” that would allow a jury to find the (F)(2) aggravator. Compare A.R.S. § 13-1105(A)(2) (enumerating offenses that may be predicates for felony murder), with A.R.S. § 13-751(J) (enumerating offenses that qualify as “serious” for purposes of § 13-751). Thus, not every conviction for felony murder renders the defendant death-eligible under the (F)(2) aggravator and so the statute still permits some discrimination among those eligible for the death penalty.
¶ 49 Second, Carlson argues that “[expanding the death penalty to include almost all felony murders” contravenes the legislature’s “implied belief’ that felony murder is the only class of first-degree murder “worthy of hope for release from incarceration.” Rather than imputing such an unexpressed belief to the legislature, however, we instead rely on the legislature’s explicit amendment in 2003 to include contemporaneous “serious offenses” under the (F)(2) aggravator. By that amendment, the legislature clearly expressed its intent to permit use of predicate crimes as (F)(2) aggravating circumstances. Thus the use of Carlson’s kidnapping convictions as both aggravating factors and predicate felonies for felony murder does not violate the federal or Arizona constitutions.
¶ 50 Carlson also argues that his Texas conviction for aggravated robbery does not qualify as an aggravating circumstance because aggravated robbery in Texas “may be committed in a manner that does not qualify as a ‘serious offense’ under A.R.S. § 13-751(1).” Because Carlson’s kidnapping eon victions suffice to prove the (F)(2) aggravator, we do not address this issue.
F. Prosecutorial Misconduct; Jury Instruction
¶ 51 Carlson argues that the trial court improperly instructed the jury to consider the circumstances of the crime as additional aggravating factors to be weighed against the mitigating circumstances when it gave the following jury instruction:
In reaching a reasoned, moral judgment about which sentence is justified and appropriate, you must decide how compelling or persuasive the totality of the mitigating factors is when compared against the totality of the aggravating factors and the facts and circumstances of the case. This assessment is not a mathematical one, but instead must be made in light of each juror’s individual qualitative evaluation of the facts of the case, the severity of the aggravating factors, and the quality of the mitigating factors found by each juror.
¶ 52 The defense did not object to this instruction, so we review for fundamental error. See State v. Gomez, 211 Ariz. 494, 499 ¶ 20, 123 P.3d 1131, 1136 (2005). Relatedly, Carlson argues that the prosecutor committed misconduct during closing arguments by inviting the jury to consider circumstances of the crime, such as burning the bodies, during the penalty phase. He claims that the trial court abused its discretion by overruling his objections to the prosecutor’s arguments. “When a defendant objects to an alleged act of prosecutorial misconduct” and raises the overruling of the objection as error on appeal, we first look to see whether error has occurred; if it has, “we review the issue for harmless error.” State v. Darn, 220 Ariz. 351, 373 ¶ 125, 207 P.3d 604, 626 (2009).
¶ 53 Carlson argues that the contested jury instruction and the prosecutor’s argument were based on an improper reading of A.R.S. § 13-751(G). See, e.g., Nordstrom, 230 Ariz. at 114 ¶ 9, 280 P.3d at 1248 (relying, in part, on A.R.S. § 13—751(G)). Section 13-751(G) provides that “[t]he trier of fact shall consider as mitigating circumstances any factors proffered by the defendant or the state that are relevant in determining whether to impose a sentence less than death, including any aspect of the defendant’s character, propensities or record and any of the circumstances of the offense.” Id. (emphasis added). Under Carlson’s interpretation, the statute provides that the trier of fact must consider the circumstances of the offense as mitigating circumstances, but may not consider those circumstances to show that the defendant does not deserve leniency.
¶ 54 We have previously rejected this argument. State v. Ovante, 231 Ariz. 180, 187 ¶¶ 31-32, 291 P.3d 974, 981 (2013). Although Carlson’s reading of A.R.S. § 13-751(G) comports with the statute’s text, it fails to account for each juror’s duty to evaluate all the relevant evidence when determining the defendant’s sentence. See State v. Prince, 226 Ariz. 516, 526-27 ¶¶ 16-18, 250 P.3d 1145, 1155-56 (2011); see also A.R.S. § 13-752(G) (allowing the state to present “any evidence that demonstrates that the defendant should not be shown leniency”). Accordingly, the penalty phase jury instructions were not erroneous.
¶ 55 Carlson also contends that, by commenting on the burning of the victims’ bodies, the State impermissibly suggested that jurors could consider that fact as fulfilling the non-alleged cruel, heinous, or depraved aggravating circumstance. See A.R.S. § 13-751(F)(6). Athough a prosecutor may argue that the defendant does not deserve leniency based on the facts of a case, State v. Armstrong, 218 Ariz. 451, 461 ¶ 38, 189 P.3d 378, 388 (2008), “it is improper [for the state] to argue a non-alleged aggravating circumstance,” State v. Nelson, 229 Ariz. 180, 189 ¶ 40, 273 P.3d 632, 641 (2012). The prosecutor may, however, argue any circumstances that rebut the mitigation evidence proffered by the defense. State v. Medina, 232 Ariz. 391, 409 ¶ 79, 306 P.3d 48, 66 (2013). In this case, the State did not argue that different or additional aggravating circumstances applied; indeed, the prosecutor took pains to ensure that the jurors understood that the manner of death did not establish an additional aggravating circumstance. Instead, the prosecutor’s comments rebutted the defense’s plea for leniency and its characterization of Carlson as a protector of the innocent.
¶ 56 The trial court did not abuse its discretion by overruling defense counsel’s objections to the prosecutor’s closing arguments.
G. Victim Impact Evidence
¶ 57 Carlson argues that the victim impact evidence violated his rights “to due process, a fair trial by jury, and to be free from cruel and unusual punishment.” We review constitutional issues de novo. State v. Moody, 208 Ariz. 424, 445 ¶ 62, 94 P.3d 1119, 1140 (2004). Because Carlson objected to the victim impact statements at trial, we review for an abuse of discretion. State v. Rose, 231 Ariz. 500, 511 ¶ 48, 297 P.3d 906, 917 (2013).
¶ 58 During the penalty phase, a victim “may present information about the murdered person and the impact of the murder on the victim and other family members and may submit a victim impact statement in any format to the trier of fact.” A.R.S. § 13-752(R). The victim may not, however, “offer any opinion regarding the appropriate sentence to be imposed.” Ariz. R.Crim. P. 19.1(d)(3); see also Prince, 226 Ariz. at 534 ¶ 65, 250 P.3d at 1163; State v. Bocharski (Bocharski I), 200 Ariz. 50, 62 ¶ 64, 22 P.3d 43, 55 (2001) (“Sentencing recommendations offered by a deceased’s survivors have no relevance in a capital case.”).
¶ 59 Becky’s daughter read a letter to the jury in which she stated: “[Carlson] is a dangerous man. Who will be safe around him? What place is there in our society for a man who would kill a woman like this?” She also stated, “I don’t believe that any of us will ever be safe if he’s allowed freedom in his lifetime.” She then asked: “What punishment should he face? This is up to you.”
¶ 60 The victim impact statement appears to advocate for the death penalty or at least for a sentence of life in prison without the possibility of parole. This Court has emphasized that “prosecutors and trial courts [should] prevent [victim impact evidence] presenters from alluding to or addressing in any way the potential sentence.” Rose, 231 Ariz. at 513 ¶ 58, 297 P.3d at 919 (emphasis added).
¶ 61 The trial court therefore erred in allowing such statements. The error was not ameliorated by having the victim tell the jurors that the sentence was up to them. The error here, however, was brief and in passing. The statement was immediately preceded by the court’s instruction that the jurors could not consider the victims’ sentencing recommendations, but could consider the victims’ loss only to rebut mitigation. See State v. Bocharski (Bocharski II), 218 Ariz. 476, 488 ¶ 53, 189 P.3d 403, 415 (2008). We have consistently stated our assumption that jurors follow such instructions. See Perkins v. Komamyckyj, 172 Ariz. 115, 119, 834 P.2d 1260, 1264 (1992). Any error in this case was therefore harmless. This is not to say that all such errors are harmless so long as the trial court provides an appropriate instruction. Rather when, as here, the references were brief and indirect, a proper limiting instruction may suffice to ensure the jury will not use the statement improperly. And we again urge prosecutors and judges to carefully review potential victim impact evidence for compliance with the rules.
H. Motion for a Change of Judge
¶ 62 Although he was represented by counsel, Carlson submitted a handwritten motion for a change of judge at the beginning of the sentencing hearing. He argues on appeal that the trial court “erred in refusing to refer the motion for change of judge to the presiding judge” and that this failure violated his right to a fair and impartial judge. “The determination of a Rule 10.1 motion lies within the discretion of the trial judge, and we will not interfere absent an affirmative showing of abuse.” State v. Schackart, 190 Ariz. 238, 257, 947 P.2d 315, 334 (1997).
¶ 63 A defendant who is represented by counsel is not entitled to hybrid representation. State v. Cornell, 179 Ariz. 314, 325, 878 P.2d 1352, 1363 (1994). That is, a represented defendant may not file motions in addition to those the attorney files. See id. Thus, the court was not required to hear or rule on the motion and did not err by declining to do so.
I. Mitigation Verdict Form
¶ 64 Carlson argues that the trial court erred by declining to provide the jury with a mitigation verdict form, which Carlson requested at trial, indicating which mitigating factors the jurors considered and which they found applicable. He argues that this failure restricted his ability to challenge his death sentence, violating his rights to due process, a full and fair appeal, effective assistance of counsel, and freedom from cruel and unusual punishment. We review issues involving constitutionality de novo. Moody, 208 Ariz. at 445 ¶ 62, 94 P.3d at 1140.
¶ 65 Carlson concedes that this Court has rejected these arguments on several occasions. See, e.g., Forde, 233 Ariz. at 573-74 ¶ 134, 315 P.3d at 1230-31 (stating that “because jurors ‘do not have to agree unanimously that a mitigating circumstance has been proven to exist’ and ‘[e]ach juror may consider any mitigating circumstance found by that juror in determining the appropriate penalty,’ A.R.S. § 13-751(C), provision of a special verdict form would have been inappropriate”). We again reject them here.
J. Abuse of Discretion Review
¶ 66 The jury found three aggravating factors beyond a reasonable doubt: Carlson committed prior serious offenses under A.R.S. § 13-751(F)(2), he was on release from a state department of corrections under § 13—751(F)(7), and he committed multiple homicides under § 13-751(F)(8). The jury also considered mitigation evidence, which included that Carlson had a difficult childhood and suffered several mental-health crises, lacked support systems, did not premeditate his crime, felt remorse, had a protective nature, and did not pose a risk of future dangerousness in prison.
¶ 67 This Court reviews death sentences “to determine whether the trier of fact abused its discretion in finding aggravating circumstances and imposing a sentence of death.” A.R.S. § 13-756(A); State v. Delahanty, 226 Ariz. 502, 508 ¶ 36, 250 P.3d 1131, 1137 (2011). We review de novo Carlson’s claim that A.R.S. § 13-756(A) violates the Constitution. State v. Martinez, 218 Ariz. 421, 434 ¶ 59, 189 P.3d 348, 361 (2008).
¶ 68 Section 13-756(A) provides that, for murders that occurred after August 1, 2002, as these did, this Court must “review all death sentences to determine whether the trier of fact abused its discretion in finding aggravating circumstances and imposing a sentence of death.” Under this standard, we will affirm a decision if it is supported by reasonable evidence in the record. Morris, 215 Ariz. at 341 ¶ 77, 160 P.3d at 220. Carlson argues that this standard fails to fulfill the requirement that this Court conduct a “meaningful review” of each death sentence, in violation of the Eighth and Fourteenth Amendments, and Clemons v. Mississippi 494 U.S. 738, 748-9, 110 S.Ct. 1441, 108 L.Ed.2d 725 (1990).
¶ 69 This Court has previously rejected similar constitutional challenges to the statutory review standard. See Martinez, 218 Ariz. at 434 ¶¶ 59-62, 189 P.3d at 361 (noting that the Supreme Court has “never required de novo review of death sentences”); see also State v. Boyston, 231 Ariz. 539, 553 ¶ 71, 298 P.3d 887, 901 (2013); Rose, 231 Ariz. at 515 ¶ 71, 297 P.3d at 921. Carlson acknowledges that this issue has been repeatedly raised and rejected, but raises four related arguments: (1) the statute’s abuse of discretion standard is not suitable for review of a jury verdict because such verdicts are usually reviewed for sufficiency of the evidence and abuse of discretion is usually used for review of trial court rulings, (2) trial court rulings that are reviewed for abuse of discretion should be reviewed de novo if they involve mixed questions of fact and law, (3) the purpose of reviewing the jury verdict is to determine if the verdict violates the Eighth Amendment — a constitutional question that should be reviewed de novo, and (4) as a factual matter, abuse of discretion review has not proved meaningful because, since § 13-756(A) was enacted by the legislature, this Court has reviewed twenty-nine capital cases and has not reversed the death sentence in any of them.
¶ 70 But the “abuse of discretion” label is not relevant to whether A.R.S. § 13-756(A) violates the Constitution. Carlson must show that the standard as applied violates the Constitution or Supreme Court case law by providing review that is not constitutionally “meaningful.” Carlson points to nothing to indicate that abuse of discretion review fails to meet that standard. He does not cite any cases that require independent review or de novo review as the sole means to provide meaningful appellate review. See Clemons, 494 U.S. at 749, 110 S.Ct. 1441 (requiring only “meaningful appellate review”); see also Parker v. Dugger, 498 U.S. 308, 321, 111 S.Ct. 731, 112 L.Ed.2d 812 (1991) (same, and requiring a “review of the individual record in th[e] case”).
¶ 71 The Eighth Amendment “requires that a sentencer’s discretion be channeled and limited to avoid the risk of wholly arbitrary and capricious action.” State v. Hinchey, 165 Ariz. 432, 436, 799 P.2d 352, 356 (1990) (citing Maynard v. Cartwright, 486 U.S. 356, 361, 108 S.Ct. 1853, 100 L.Ed.2d 372 (1988)). Carlson does not show that the Arizona statute results in “arbitrary and capricious action.” Rather, abuse of discretion review still requires the Court to review the entire record and ensure that the aggravating circumstances were correctly found and applied and the imposition of the death penalty was not improper in light of the mitigating circumstances.
¶ 72 Carlson next argues that the jury abused its discretion in imposing the death penalty because the aggravating factors in this case deserved little weight while the mitigation presented at trial was overwhelming.
¶ 73 The State alleged and proved, beyond a reasonable doubt, three aggravating factors. Carlson argues that the (F)(2) aggravator, conviction of a prior serious offense, deserves little weight because the serious offense Carlson committed was the same offense for which he was on parole when he committed the murders, and therefore the same conviction is being used to satisfy both the (F)(2) and the (F)(7) aggravators. See A.R.S. § 13-751(F). Because “the aggravators serve different public policy rationales,” however, the jury was entitled to consider each factor. See Medina, 232 Ariz. at 410 ¶ 86, 306 P.3d at 67. Moreover, the (F)(2) aggravator was also supported by Carlson’s kidnapping convictions, see swpra ¶¶ 48-49, which did not support the (F)(7) aggravator.
¶ 74 Carlson also argues that the (F)(2) aggravator deserves less weight because the serious crime of kidnapping was committed contemporaneously with the murders. As discussed above, however, “the legislature amended the (F)(2) aggravator in 2003 to explicitly include contemporaneous convictions.” Nordstrom, 230 Ariz. at 118 ¶ 35, 280 P.3d at 1252. The jurors were therefore entitled to consider the contemporaneous kidnapping convictions in finding the (F)(2) aggravator.
¶ 75 Next, Carlson argues that the weight of the (F)(7) aggravator, committing a crime while on release from prison, was “lessened by the fact that the undisputed evidence showed that the Texas prison system is the most brutal and savage in the entire country.” But nothing in § 13-751 (F)(7) requires the jury to discount the seriousness of this factor based on the circumstances of the defendant’s prior incarceration.
¶ 76 Finally, Carlson argues that the (F)(8) aggravator, which we have held is entitled to great weight, State v. Hampton, 213 Ariz. 167, 184 ¶ 81, 140 P.3d 950, 967 (2006), deserves less weight here because some jurors might have believed that Carlson was not the only participant in the crimes. The defense presented this argument to the jury, which considered and apparently rejected it when determining whether death sentences were warranted.
¶ 77 Although Carlson presented considerable mitigation evidence, “we will not reverse the jury’s decision so long as any reasonable jury could have concluded that the mitigation established by the defendant was not sufficiently substantial to call for leniency.” Morris, 215 Ariz. at 341 ¶ 81, 160 P.3d at 220. Given the serious aggravation proven in this case, we cannot say that the jury abused its discretion in finding that the mitigation was not sufficiently substantial to call for leniency. See id. at 341 ¶ 82, 160 P.3d at 220. The jury therefore did not abuse its discretion when it unanimously concluded that death sentences were warranted.
K. Consecutive Sentences for Kidnapping
¶ 78 Carlson received a death sentence for each murder conviction, and twenty-one years’ imprisonment for each kidnapping conviction, with each sentence to run consecutively. Because Carlson did not object at trial to the imposition of consecutive sentences, we review his claim that such sentences are illegal for fundamental error. See Henderson, 210 Ariz. at 567 ¶ 19, 115 P.3d at 607.
¶ 79 Carlson argues that the consecutive sentences imposed for the felony-murder charges and the underlying kidnapping charges violate A.R.S. § 13-116, which states that “[a]n 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.” He argues that because the kidnapping is the predicate felony for the felony-murder charge and therefore part of the crime, the kidnapping and murder are really part of the “same offense” and cannot be punished by consecutive sentences.
¶ 80 To determine whether facts constitute a “single act” that would require concurrent sentences under § 13-116, Arizona courts apply the three-part test set forth in State v. Gordon, 161 Ariz. 308, 312-13, 778 P.2d 1204, 1208-09 (1989). First, the court considers “the facts of each crime separately, subtracting from the factual transaction the evidence necessary to convict on the ultimate charge.... If the remaining evidence satisfies the elements of the other crime, then consecutive sentences may be permissible under A.R.S. § 13-116.” Id. at 315, 778 P.2d at 1211. The court then considers “whether, given the entire ‘transaction,’ it was factually impossible to commit the ultimate crime without also committing the secondary crime. If so, then the likelihood will increase that the defendant committed a single act under A.R.S. § 13-116.” Id. Finally, the court considers “whether the defendant’s conduct in committing the lesser crime caused the victim to suffer an additional risk of harm beyond that inherent in the ultimate crime. If so, then ordinarily the court should find that the defendant committed multiple acts and should receive consecutive sentences.” Id.
¶ 81 Carlson argues that a felony-murder conviction that is based on only one predicate felony will always fail the Gordon test. The “ultimate crime” is the more serious crime: felony murder. That crime consists of the fact that someone died during the course of the predicate felony (here, kidnapping). Once these facts are “subtracted,” no facts are left to satisfy the elements of the other crime.
¶ 82 Carlson’s argument is built on a faulty premise. The “ultimate crime” for which he was convicted is first-degree murder, regardless of whether the jury convicted on a theory of premeditated or felony murder. See State v. Miniefield, 110 Ariz. 599, 603, 522 P.2d 25, 29 (1974) (“[T]he fact that the [predicate felony] supplied the premeditation necessary for first-degree murder does not make it part of the same offense.”); see also State v. Encinas, 182 Ariz. 493, 496, 647 P.2d 624, 627 (1982) (“In Arizona, first degree murder is only one crime regardless whether it occurs as a premeditated murder or a felony murder.”). Thus, Carlson’s convictions satisfy the Gordon test. After subtracting the murders from the factual transaction, the kidnappings remain. It is possible to commit kidnapping without murdering the victims, or murder without kidnapping the victims. Finally, the kidnappings created a risk of emotional and physical harm to Becky and KR in addition to the harms caused by their ultimate murders. See Gordon, 161 Ariz. at 315-16, 778 P.2d at 1211-12 (physically restraining the victim “increased her harm or risk of harm beyond that inherent in the ultimate crime”). The imposition of consecutive sentences therefore did not violate § 13-116.
¶ 83 This result comports with State v. Girdler, 138 Ariz. 482, 488-89, 675 P.2d 1301, 1307-08 (1983), which held that sentences for felony murder and the predicate felony for the murder may run consecutively. Carlson argues that we should overrule Girdler because our later opinion in Gordon prohibits consecutive sentences for “every felony murder ease where only one predicate felony exists.” As noted above, we reject this interpretation of Gordon. Moreover, since Gordon, we have continued to uphold consecutive sentences for a felony murder and its predicate offense. See State v. Runningeagle, 176 Ariz. 59, 67, 859 P.2d 169, 177 (1993). The trial court therefore did not err by imposing consecutive sentences for Carlson’s kidnapping convictions.
¶ 84 Carlson also argues that imposing consecutive sentences for kidnapping and felony murder violates the Double Jeopardy Clause. We disagree. “The Double Jeopardy Clause bars a second prosecution for the same offense after conviction or acquittal and bars multiple punishments for the same offense.” State v. Siddle, 202 Ariz. 512, 515 ¶ 8, 47 P.3d 1150, 1153 (App.2002). As set forth above, Carlson did not receive “multiple punishments for the same offense.” He was sentenced separately for felony murders and for two counts of kidnapping, which created harm to the victims in addition to the harm ultimately caused by death. “[W]hen statutes describe different offenses, consecutive sentences are permissible without implicating the prohibition against double jeopardy.” State v. (Shawnte) Jones, 235 Ariz. 501, 504 ¶ 13, 334 P.3d 191, 194 (2014) (quoting State v. Eagle, 196 Ariz. 188, 190 ¶ 6, 994 P.2d 395, 397 (2000)) (holding double jeopardy not violated by felony-murder charge and underlying child-abuse charge); see also Siddle, 202 Ariz. at 517 ¶¶ 13, 15, 47 P.3d at 1155 (recognizing that “[f]elony murder and the predicate felony are distinct crimes and may be punished separately in a single trial without running afoul of double jeopardy principles”). Thus, Carlson’s challenges to the consecutive sentences under both § 13-116 and the Double Jeopardy Clause fail.
III. CONCLUSION
¶ 85 For the foregoing reasons, we affirm Carlson’s convictions and sentences.
. “We view the facts in the light most favorable to upholding the verdicts.” State v. Chappell, 225 Ariz. 229, 233 V2 n. 1, 236 P.3d 1176, 1180 n. 1 (2010).
. Several unpublished court of appeals cases have cited Morgan for the proposition that Arizona has adopted the trustworthiness test. But Morgan did not purport to do so, and this Court has never done so. Absent argument from the parties that we should modify or dispense with our corpus delicti rule, we will continue to apply our current rule.
. In this case, the prosecutor suggested providing Enmund/Tison instructions and verdict forms. Defense counsel agreed that the court should submit the Enmund/Tison forms to the jury, and the trial judge complied. Although this was likely well-intentioned, we caution that giving Enmund/Tison forms in a case that involves only one perpetrator is unnecessary and potentially confusing to the jurors.
. Carlson does not cite any authority or make any arguments regarding the Compulsory Process or Confrontation Clauses. We therefore do not address them. See In re Aubuchon, 233 Ariz. 62, 64-65 ¶ 6, 309 P.3d 886, 888-89 (2013) ("[W]e consider waived those arguments not supported by adequate explanation, citations to the record, or authority.”).
. Section 13-751(1) is now § 13-751(J). See 2012 Ariz. Sess. Laws, ch. 207, § 2 (2d Reg. Sess.).
. As we have previously noted, asking jurors to "balance,” "weigh,” or "compare” mitigating factors against aggravating factors "might confuse or mislead jurors.” State ex rel. Thomas v. Granville (Baldwin), 211 Ariz. 468, 473 ¶ 21, 123 P.3d 662, 667 (2005). Instructions should instead focus on whether, in each "juror's individual assessment, the mitigation is of such quality or value that it warrants leniency.” Id. Terms such as "balance,” "outweigh,” and "compare” should not be used. See id. This does not mean that giving the current version of the jury instruction, as set forth above, constitutes error, but a more precise instruction should be fashioned. See id.
. Carlson also asserts that the evidence violated A.R.S. § 13-752(R), but he failed to cite any authority or make any arguments to that effect.
. In a case such as this, when the victim reads a letter or speaks from notes, the prosecutor has a duty to review the contents of the proposed presentation to help prevent introduction of statements regarding the defendant’s sentence. If in doubt, the issue should be referred to the judge before the jury is permitted to hear any statement advocating a potential sentence.
. Carlson lists twenty-one additional issues, which he acknowledges have previously been rejected by this Court, to preserve them for future review. We decline to revisit those issues.
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Justice TIMMER,
opinion of the Court.
¶ 1 Section 12-820.03, A.R.S., provides public entities a “state of the art” affirmative defense against claims for injuries arising out of a plan or design for construction of a roadway. To establish the defense, the public entity must show that the plan or design, when created, conformed to generally accepted engineering or design standards and that warnings of any unreasonably dangerous hazards were given that were adequate to permit the public to take suitable precautions. We today hold that the affirmative defense remains available even if material changes to travel have rendered the roadway substandard. Because the State failed to establish every element of the defense in this case, however, the trial court did not err by denying the State’s motions for judgment as a matter of law.
I. BACKGROUND
¶ 2 In 2007, Melissa Sumpter was driving in the mid-afternoon behind a semi-truck on an eastbound, two-lane stretch of Interstate 10 (“1-10”) southeast of Phoenix. As Sumpter started to pass the truck, it began to move into her lane, causing her to swerve to the left to avoid a collision. She lost control of her vehicle, which crossed through the eighty-four foot dirt median into the westbound lanes, and crashed head-on into Diana Glazer’s vehicle, killing Glazer’s husband and daughter and seriously injuring Glazer.
¶ 3 Glazer sued the State for failing to install a median barrier in the area of the accident. The State named as non-parties at fault the unidentified truck driver and Sumpter.
¶ 4 The State moved for summary judgment based on A.R.S. § 12-820.03. It argued that because a median barrier was not required when I—10 was designed and constructed in 1967 and the Glazers’ injuries arose from the absence of a barrier, § 12-820.03 relieved the State from liability. Although it presented evidence that the roadway was not unreasonably dangerous, the State did not address § 12-820.03’s warning requirement. Opposing the motion, Glazer argued that § 12-820.03 did not apply to her claim, and she presented opinion evidence that the absence of a median barrier rendered this stretch of I—10 unreasonably dangerous.
¶ 5 The trial court ruled that § 12-820.03 did not apply because Glazer did not allege that I-10 was unsafe when it was designed but, rather, asserted that the circumstances in 2007 rendered this portion of the roadway unreasonably unsafe. According to the court, § 12-820.03 “[does not] grant the State immunity to properly design a highway in 1967 and then ignore the developments of 40 years in the speed, size, and volume of traffic that might render the highway no longer reasonably safe.” The court therefore denied the motion.
¶ 6 At trial, Glazer’s expert witness opined that the State should have installed barriers by 2002 due to the number of cross-median accidents that likely occurred in the accident area before 2000. He surmised that such accidents occurred because the roadway was “ultra-hazardous” by 2006 due to the increases in traffic volume, truck traffic, and speed limit since 1967 and because ten cross-median accidents occurred from 2003 to 2007 in the eight-mile stretch of I-10 surrounding the accident site. The State countered with evidence that it complied with nationwide standards by monitoring I—10 in one-mile segments, that no cross-median accidents had occurred in the segments immediately surrounding the accident site during the preceding five years, and that the site was not in a high-accident location.
¶ 7 At the conclusion of Glazer’s case-in-chief, the court denied the State’s motion for judgment as a matter of law (“JMOL”), which again asserted § 12-820.03’s affirma tive defense. See Ariz. R. Civ. P. 50(a). The jury found in favor of Glazer, awarded $7.8 million in damages, and assigned 100 percent of fault to the State and none to Sumpter or the truck driver. The court denied the State’s post-trial motions, including a renewed motion for JMOL asserting the § 12-820.03 defense. See id. 50(b).
¶ 8 The court of appeals affirmed. Glazer v. State, 234 Ariz. 305, 314 ¶ 25, 321 P.3d 470, 479 (App.2014). It held that § 12-820.03 was inapplicable because Glazer’s claim did not arise out of a plan or design used in 1967, but instead arose from the State’s “fail[ure] to install a median barrier on I—10 given substantial, material changes within a decade (or less) before the 2007 crash.” Id. at 314 ¶ 25 n. 5, 321 P.3d at 479 n. 5.
¶ 9 We granted review because the meaning of § 12-820.03 is a matter of first impression for this Court and of statewide importance. We have jurisdiction pursuant to Article 6, Section 5(3) of the Arizona Constitution and A.R.S. § 12-120.24.
II. DISCUSSION
A.
¶ 10 This Court abolished the doctrine of sovereign immunity for tort liability in 1963, concluding that the government and its employees should generally be responsible for injuries they negligently cause. Stone v. Ariz. Highway Comm’n, 93 Ariz. 384, 392, 381 P.2d 107,112 (1963) (“[T]he rule is liability and immunity is the exception.”). But determining when the government should be immunized from liability proved problematic in ensuing cases, and we invited the legislature to address the issue. See Ryan v. State, 134 Ariz. 308, 310, 656 P.2d 597, 599 (1982), superseded by statute as stated in Clouse ex rel. Clouse v. State, 199 Ariz. 196, 203 ¶ 27, 16 P.3d 757, 764 (2001).
¶ 11 The legislature responded in 1984 by enacting the Actions Against Public Entities or Public Employees Act (the “Act”), which specifies circumstances in which governmental entities and public employees are immune from tort liability. 1984 Ariz. Sess. Laws, ch. 285 (2d Reg. Sess.) (codified at A.R.S. §§ 12-820 to -826). The Act leaves intact the common-law rule that the government is liable for its tortious conduct unless immunity applies. Pritchard v. State, 163 Ariz. 427, 431, 788 P.2d 1178, 1182 (1990); see also 1984 Ariz. Sess. Laws, ch. 285, § 1(A) (declaring as public policy that “public entities are liable for acts and omissions of employees in accordance with the statutes and common law of this state”).
¶ 12 We review the interpretation of a statute de novo. Hoffman v. Chandler, 231 Ariz. 362, 364 ¶ 8, 295 P.3d 939, 941 (2013). Our primary objective in interpreting § 12-820.03 is to effectuate the legislature’s intent. J.D. v. Hegyi, 236 Ariz. 39, 40 ¶ 6, 335 P.3d 1118, 1119 (2014). If the statute is subject to only one reasonable interpretation, we apply it without further analysis. See Backus v. State, 220 Ariz. 101, 104 ¶ 11, 203 P.3d 499, 502 (2009). If it is ambiguous, however, we consider other factors, including “the context of the statute, the language used, the subject matter, its historical background, its effects and consequences, and its spirit and purpose.” Wyatt v. Wehmueller, 167 Ariz. 281, 284, 806 P.2d 870, 873 (1991). Because § 12-820.03 bars recovery against public entities if the defense is proven, we construe it narrowly. Cf. Doe ex rel. Doe v. State, 200 Ariz. 174, 176 ¶ 4, 24 P.3d 1269, 1271 (2001).
B.
1.
¶ 13 The state owes a common-law duty to travelers to keep its roadways reasonably safe for travel. See Dunham v. Pima County, 161 Ariz. 304, 306, 778 P.2d 1200, 1202 (1989); Bach v. State, 152 Ariz. 145, 147, 730 P.2d 854, 856 (App.1986). But, despite that overarching obligation, the state may be relieved from liability for roadway-related injuries under the circumstances set forth in § 12-820.03, titled “Affirmative defense”:
Neither a public entity nor a public employee is liable for an injury arising out of a plan or design for construction or maintenance[ ] of or improvement to highways, roads, streets, bridges, or rights-of-way if the plan or design is prepared in conformance with generally accepted engineering or design standards in effect at the time of the preparation of the plan or design, provided, however, that reasonably adequate warning shall be given as to any unreasonably dangerous hazards which would allow the public to take suitable precautions.
Thus, to successfully invoke this defense, the state must prove that (1) the injury alleged arose out of a plan or design for the construction, maintenance, or improvement of a roadway or roadway feature, (2) the plan or design conformed to engineering or design standards generally accepted when the plan or design was prepared, and (3) if any unreasonably dangerous hazards exist, a reasonably adequate warning was given that would have allowed the public to take suitable precautions. See Hegel v. O’Malley Ins. Co., 122 Ariz. 52, 56, 593 P.2d 275, 279 (1979) (noting that the proponent of an affirmative defense has the burden to prove it).
2.
¶ 14 The key issue here is whether injuries from the Glazers’ collision were ones “arising out of a plan or design” for the construction of I—10. We give these terms their usual and commonly understood meanings unless the legislature intended a different meaning. See Bilke v. State, 206 Ariz. 462, 464-65 ¶ 11, 80 P.3d 269, 271-72 (2003).
¶ 15 A “plan” can be a “method of acting, doing, [or] proceeding” or “a design or scheme of arrangement,” Random House Webster’s Unabridged Dictionary 1479-80 (2d ed.2001), while a “design” is a “combination of details or features” or a plan for “form and structure,” id. at 539. Injuries “arise” out of a plan or design if they “result or proceed” from either. See id. at 113.
¶ 16 Glazer asserted that the injuries she and her family suffered resulted from the lack of a median barrier, which made the stretch of 1-10 near the accident site dangerous in light of the volume, speed, and type of traffic along I-10 in 2007. A median barrier is a roadway safety feature, Tex. Dep’t of Transp. v. Ramirez, 74 S.W.3d 864, 867 (Tex. 2002), and the State’s omission of this feature was part of its 1967 design for construction of I—10, see Wyckojf v. State, 90 Cal.App.4th 45, 108 Cal.Rptr.2d 198, 204 (2001) (“[W]hat caused the accident — the absence of a median barrier — was part of the design.”). No evidence suggests that the construction of the relevant stretch of I—10, including the median, changed since 1967. Just as no barrier existed to prevent cross-median accidents in 2007, no barrier prevented them in 1967. In other words, the highway had the same design in 2007 that it had when built. For these reasons, and based on the wording of § 12-820.03 and the crux of Glazer’s negligence claim, we conclude that the Glazers’ injuries were ones “arising out of’ the State’s original construction design for that portion of I-10.
¶ 17 The dissent contends that “[b]ecause the statute recognizes that injuries may arise from plans for maintenance or improvement as distinct from plans for construction, it is inappropriate to conclude that an injury is one ‘arising out of a plan of construction merely because the injury relates to existing highway conditions.” See infra. ¶ 40. But the record does not contain evidence that any plan or design for the maintenance of or improvement to the relevant area of I—10 supplanted the original construction design. Indeed, neither the trial court nor the court of appeals addressed “maintenance” or “improvement.” On this record, the lack of a median barrier was an inherent feature of the original construction design that persisted to the time of the accident, making our conclusion entirely appropriate.
¶ 18 The court of appeals reached a different conclusion, reasoning that “Glazer’s claim, filings and evidence at trial did not involve a claimed ‘injury arising out of a plan or design’ for the construction of I-10 in 1967, meaning A.R.S. § 12-820.03 did not apply.” Glazer, 234 Ariz. at 312 ¶ 19, 321 P.3d at 477. Instead, the court concluded that the Glazers’ injuries arose from the State’s failure to install a median barrier as required for safe travel due to material changes in the use of I—10 that occurred decades after its 1967 design. Id. at ¶¶ 17-19. Relatedly, our dissenting colleague asserts that the Glazers’ injuries did not arise out of the original construction design because the omission of a median barrier did not make I—10 unsafe under the conditions as contemplated in 1967. See infra ¶ 46. He would not apply the affirmative defense to injuries arising from construction plans when “the highway is being used in substantially different conditions than for which it was designed.” Infra ¶ 41. In essence, both the court of appeals and the dissent conclude that § 12-820.03 does not apply if a public entity fails to redesign a roadway when material changes make upgrades necessary to keep the roadway reasonably safe for travel, and a claimant suffers injuries as a result. We disagree.
¶ 19 Nothing in § 12-820.03 precludes its application if injuries occur after material changes to travel over a roadway make the most-recent plan or design substandard. Requiring the public entity to show that its plan or design conformed to accepted standards in effect “at the time of the preparation of the plan or design,” suggests that the defense applies to injuries occurring after standards and circumstances have changed. A.R.S. § 12-820.03. Also, requiring warnings for “unreasonably dangerous hazards” contemplates that roadways could become hazardous despite having been designed and built according to plans that originally conformed to safety standards. Id.
¶ 20 The court of appeals’ and the dissent’s interpretation vitiates much of § 12-820.03’s protection as a state-of-the-art defense. Additionally, they fail to demarcate when or what “material changes” or “substantially different conditions” to travel render § 12-820.03 inapplicable, making application of the defense uncertain. Arizona has thousands of miles of state, county, and municipal roadways, and material changes to travel conditions like speed limits and traffic congestion occur over time that may make roadway designs outdated. But public entities have limited resources to bring all roadways into compliance with current design standards and must prioritize needs. Cf. Ariz. Dep’t of Transp., Roadway Design Guidelines § 3.1 (2012) (“Design standards have evolved over a number of years. It is not economically feasible to bring previously constructed highways into conformity with current standards.”). If § 12-820.03 does not apply when material changes have occurred to travel over roadways, public entities will be forced to either expend larger shares of their budgets to continuously update roadways and roadway features or risk sweeping liability exposure. This is precisely the scenario that the legislature intended to protect against by enacting § 12-820.03.
¶ 21 When it passed the Act, the legislature acknowledged that “unfair and inequitable results” occur when strictly applying sovereign immunity, but recognized that, unlike private entrepreneurs, “the area within which government has the power to act for the public good is almost without limit and therefore government should not have the duty to do everything that might be done.” 1984 Ariz. Sess. Laws, ch. 285, § 1(A); cf. Report of the Governor’s Commission on Governmental Tort Liability 8 (1983) [hereinafter Commission Report ] (stating that the Act balances the inequity of government immunity with “the need for governmental immunity in limited situations because of the unique role of government and because of competing policy and fiscal considerations”). If § 12-820.03’s protection vanishes when changes in travel occur over a roadway or roadway feature, public entities would be tasked with doing “everything that might be done” for transportation safety by continuously bringing roadways up to current standards. Cf. Daniels v. Dep’t of Transp., 222 Ga.App. 237, 474 S.E.2d 26, 28 (1996) (holding that the Georgia Tort Claims Act exempts a public entity from liability for failing to upgrade a highway to meet current design standards because permitting liability “would effectively eliminate the [Act’s] protection”).
¶ 22 Glazer argues that her family’s injuries arose not from any plan or design but from the State’s failure to monitor I—10 for cross-median accidents in compliance with its operational standards. Had the State done so, Glazer contends, it would have identified the collision area as having an unacceptably high number of such accidents and responded by installing a median barrier before the collision in this case occurred.
¶ 23 But the State’s failure to monitor I-10’s cross-median accidents, in and of itself, did not injure the Glazers. They suffered injuries from the State’s failure to install a median barrier at the collision site. Although Glazer frames her claim as one arising from the State’s failure to adhere to operational standards, the core of her claim is that the State failed to redesign the roadway by adding a median barrier in the face of changed standards and circumstances. Cf. Greenwood v. State, 217 Ariz. 438, 444-45 ¶ 22, 175 P.3d 687, 693-94 (App.2008) (“[I]f qualified immunity were inapplicable simply because the form of Plaintiffs’ allegations did not mimic the statute, it would encourage plaintiffs to purposely plead their claims to avoid the application of the statute.”).
¶ 24 Both the trial court and the court of appeals expressed a concern, which the dissent echoes, that the interpretation of § 12-820.03 we adopt would permit public entities to ignore unsafe road conditions. See Glazer, 234 Ariz. at 314 ¶ 24, 321 P.3d at 479 (“[T]he State could ignore significant changes in traffic volume and speed, vehicle size, accident frequency and similar developments without regard to safety or liability.”); see also infra ¶ 37. But to successfully assert the § 12-820.03 defense, the State must provide “reasonably adequate warning” of “any unreasonably dangerous hazards” so as to allow travelers to take suitable precautions. A.R.S. § 12-820.03; cf. Commission Report at 14 (explaining that the affirmative defense “does not absolve the responsible governmental entity from a duty to exercise reasonable care in warning about hazards, such as a narrow bridge or a dangerous curve, even [though] at the time the highway was designed and built the ‘state of the art’ was such that the hazard could not have been eliminated”).
¶ 25 The dissent incorrectly asserts that “[our] view effectively replaces the State’s duty to keep its highways reasonably safe with a duty to warn the public that highways have become unreasonably dangerous.” See infra ¶ 45. But it is the statute, not our “view,” that qualifiedly displaces common law, and § 12-820.03’s affirmative defense applies only if the state can make the required showing. Moreover, the defense does not relieve the state from performing ordinary repair and upkeep on highways as needed to keep the traveling public safe. See A.R.S. § 12-820(4). Thus, in addition to providing warnings for unreasonably dangerous hazards, the state must protect the public, in a non-negligent manner, against hazards that fall outside the ambit of § 12-820.03 and against hazards that could be remedied through ordinary upkeep and repair.
¶ 26 Other factors encourage public entities to address material changes in roadway travel that affect safety. As the State and the governmental Amici point out, public entities are motivated by constituent welfare and federal funding requirements to keep the roadways safe for travel. See 23 U.S.C. § 148(c)(1) (requiring a state to implement a highway safety improvement program to receive federal funding for highways). According to the state traffic engineer, Arizona monitors all roadways and identifies high-accident locations to address safety issues, using a system required by the federal government as a safety-funding condition.
¶ 27 In sum, § 12-820.03 can apply when material changes to roadway travel render a plan or design for construction, maintenance, or improvement obsolete and the plaintiffs injuries arise from the public entity’s failure to upgrade the roadway in response to those changes. We emphasize that § 12-820.03 does not negate a public entity’s common-law duty to keep roadways reasonably safe for travel. It simply provides a defense to liability if the public entity proves the statutory elements.
C.
¶ 28 The State did not move for a new trial based on § 12-820.03, and it does not ask this Court to remand the case for a new trial. Cf. In re Estate of Hanscome, 227 Ariz. 158, 164 ¶ 20, 254 P.3d 397, 403 (App. 2011) (“The court may not ... grant a new trial to a non-moving party who did not timely request one.”). Instead, the State argues that it proved § 12-820.03’s affirmative defense and the trial court therefore erred by denying its motions for JMOL. The State was entitled to JMOL if, given the evidence concerning § 12-820.03’s requirements, and viewing the evidence in the light most favorable to Glazer as the non-moving party, reasonable people could not find in favor of Glazer. Cf. Orme School v. Reeves, 166 Ariz. 301, 309, 802 P.2d 1000, 1008 (1990).
¶ 29 In prior cases, we have reviewed the denial of motions for JMOL for an abuse of discretion. See, e.g., Gonzales v. City of Phoenix, 203 Ariz. 152, 153 ¶ 2, 52 P.3d 184, 185 (2002). The standards for granting or denying a motion for JMOL and a motion for summary judgment are the same. Orme School, 166 Ariz. at 309, 802 P.2d at 1008 (“Although the two motions occur at different times during the trial process, they share the underlying theory that there is no issue of fact and that the movant is entitled to judgment as a matter of law.”). An appellate court reviews de novo whether summary judgment is appropriate. See id. Because the same standard applies for deciding a motion for summary judgment or for JMOL, we now hold that an appellate court should also review de novo the grant or denial of a motion for JMOL.
¶ 30 As previously explained, the Glazers’ injuries arose from the State’s design for the construction of I—10. And Glazer concedes that the design was prepared in conformance with accepted engineering or design standards then in effect. Thus, the State established § 12-820.03’s first requirement.
¶ 31 But the State did not establish its compliance with § 12-820.03’s warning proviso. The State could satisfy that requirement by showing either that the open median was not an “unreasonably dangerous hazard,” thereby obviating the need for warnings, or, if an “unreasonably dangerous hazard” existed, that the State provided adequate warnings to allow travelers to take suitable precautions.
¶ 32 The State did not prove either alternative as a matter of law. Although evidence supported a finding that the lack of a median barrier did not create an unreasonably dangerous hazard, other evidence permitted the opposite conclusion. Specifically, Glazer elicited expert testimony that the lack of a barrier, coupled with changes to travel since 1-10 was originally constructed, made the median in the collision area “dangerous” and “ultra-hazardous,” as demonstrated by an unusually high number of cross-median accidents in the area. In light of this evidence, a reasonable person could have found that the open median in the accident area was an “unreasonably dangerous hazard,” cf. Bach, 152 Ariz. at 146, 730 P.2d at 857 (App.1986) (holding that an off-road box culvert was an unreasonably dangerous condition), and the State therefore needed to demonstrate that it had given adequate warnings to establish § 12-820.03’s defense, see Edwards v. Bd. of Supervisors, 224 Ariz. 221, 223 ¶¶ 15-17, 229 P.3d 233, 235 (App.2010) (finding that county established § 12-820.03’s “warning requirement” with uncontroverted evidence of a warning letter). But the record does not show that the State gave any warnings, and the State does not contend that it would have offered such evidence if the trial court had correctly interpreted § 12-820.03.
¶ 33 The State nevertheless argues that Glazer waived § 12-820.03’s warning requirement by failing to raise it before the jury returned its verdict. But as the proponent of the affirmative defense, the State — not Glazer — was required to prove its compliance with all aspects of § 12-820.03, including the warning requirement, see Hegel, 122 Ariz. at 56, 593 P.2d at 279, and it failed to do so.
¶ 34 The State also contends that it was not required to comply with the warning requirement because “no warning could have allowed the public to take suitable precautions.” The State admits, however, it failed to present any evidence to permit the jury to make that determination. Therefore, we need not decide whether § 12-820.03 remains an available defense if an effective warning is not possible.
¶ 35 Because a reasonable person could find that the unobstructed median was an unreasonably dangerous hazard and no evidence showed that the public had been adequately warned of the condition, the State did not establish, as a matter of law, the affirmative defense prescribed by § 12-820.03. Consequently, although the trial court misinterpreted § 12-820.03, it did not err by denying the State’s motions for JMOL.
III. CONCLUSION
¶ 36 We hold that the affirmative defense in A.R.S. § 12-820.03 is available when material changes to travel over roadways or roadway features have rendered the original plans or designs substandard and no other plans have succeeded them. The court of appeals held otherwise, and we therefore vacate paragraphs nine through twenty-five of its opinion. But, although the State proved some elements of the affirmative defense, it did not show, as a matter of law, either that the open median in the collision area was not an “unreasonably dangerous hazard” or, if it was, that the State warned the public of this hazard. Consequently, the trial court did not err by denying the State’s motions for JMOL. We therefore affirm the trial court judgment.
. We review the evidence in the light most favorable to upholding the jury’s verdict. See Hutcherson v. City of Phoenix, 192 Ariz. 51, 53 V 13, 961 P.2d 449, 451 (1998).
. "Maintenance” means "the establishment or continuation in existence of” roadways and roadway structures "and does not mean or refer to ordinary repair or upkeep.” A.R.S. § 12-820(4).
. The Act is an amended version of legislation proposed in the Commission Report. James L. Conlogue, Note, A Separation of Powers Analysis of the Absolute Immunity of Public Entities, 28 Ariz. L. Rev. 49, 50-51 (1986) (describing legislative history of the Act).
. The State also challenges the trial court’s denial of its pretrial motion for summary judgment. The denial of a motion for summary judgment generally is not an appealable order. See State v. Superior Court, 140 Ariz. 365, 366, 681 P.2d 1384, 1385 (1984). Regardless, the record does not reflect, and the State does not assert, that the trial court denied the motion for a different reason than it denied the later motions for JMOL, and the State does not assert any arguments unique to the summary judgment ruling.
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