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OPINION
HOWE, Judge:
¶ 1 City Center Executive Plaza, LLC; Information Solution, Inc.; and Jerry and Cindy Aldridge (collectively, “City Center”) seek special action relief from a trial court order that they must post a supersedeas bond of 25% of the full amount of the money judgments. City Center argues that Arizona Revised Statutes (“A.R.S.”) § 12-2108 and Arizona Rule of Civil Appellate Procedure (“ARCAP”) 7 limit the amount of the bond to the total amount of damages awarded, which it claims is $1.00.
¶ 2 Special action jurisdiction is appropriate here because City Center has “no equally plain, speedy and adequate remedy by appeal” and challenges the setting of a supersedeas bond. See Ariz. R.P. Spec. Act. 1(a); Salt River Sand & Rock Co. v. Dunevant, 222 Ariz. 102, 105-06 ¶ 7, 213 P.3d 251, 254-55 (App.2009) (citing Brace Church, Inc. v. Superior Court, 160 Ariz. 514, 515, 774 P.2d 818, 819 (App.1989)) (providing that challenge to the setting of a supersedeas bond is a circumstance where special action jurisdiction is appropriate). Therefore, we accept jurisdiction, grant relief and vacate the trial court’s order, and remand the matter for the court to set the supersedeas bond at $1.00, the total amount of damages awarded.
FACTS AND PROCEDURAL HISTORY
¶ 3 In 2010, Brian Thienes, John and Monica Ball, the Thompson Family Trust, Juan and Jacqueline Braeamonte, and the Refuge Community Association (collectively, the “Association”) sued City Center' — owners of a neighboring golf course — seeking injunctive relief and damages. The Association opposed redevelopment of the golf course, which included reducing the golf course’s size to accommodate an RV park. The matter was tried before a jury, and the jury awarded the Association $1.00 in damages and recommended granting injunctive relief. The trial court accepted the recommendation and permanently enjoined City Center from using the golf course for anything other than golf-related activities. The order did not resolve the parties’ requests for attorneys’ fees and costs. City Center appealed from the injunction.
¶ 4 In March 2014, the trial court awarded attorneys’ fees and costs to the Association and entered two judgments pursuant to Arizona Rule of Civil Procedure 54(b), totaling $2,390,296.87. City Center appealed those judgments (“money judgments”). City Cen ter then moved to stay the money judgments pending their appeal. It also requested that the court set a supersedeas bond at $1.00 pursuant to ARCAP 7. The rule provides that the bond amount necessary to stay execution of a judgment shall be the lowest of the following: total amount of damages awarded excluding punitive damages, 50% of appellant’s net worth, or $25 million. See ARCAP 7(a). Because the total amount of damages awarded was $1.00 and Rule 7 “strictly limits the amount of a supersedeas bond to ‘the total amount of damages awarded,’” City Center argued that the court should set the bond at $1.00.
¶ 5 The Association countered, however, that the bond amount should be set at the full amount of the money judgments ($2,390,-286.87), arguing that the term “damages” under Rule 7 was synonymous with “judgment.” The Association also argued that a bond in the full amount of the money judgments was appropriate because City Center had intentionally dissipated assets outside the ordinary course of business to avoid payment of the judgment. The trial court set the supersedeas bond at the full amount of attorneys’ fees and costs, totaling $2,390,296.87, without holding a hearing or resolving whether City Center had dissipated assets.
¶ 6 In May 2014, City Center petitioned for special action relief, contending that the trial court erroneously included attorneys’ fees and costs in calculating the supersedeas bond. Specifically, City Center argued that the court’s ruling conflicted with Rule 7, as well as A.R.S. § 12-2108, which contains language similar to the rule. We accepted jurisdiction, vacated the trial court’s order, and directed the court to conduct a hearing to determine an appropriate amount of the supersedeas bond consistent with § 12-2108 and Rule 7. Specifically, we stated that under the statute and the rule, the trial court “must consider, first, the ‘total amount of damages awarded,’ in accordance with § 12-2108(A)(1) and Rule 7 ..., and then determine whether an upward or downward deviation from that amount is appropriate.” We did not address whether “damages” was synonymous with “judgment.”
¶ 7 On remand, the trial court held a hearing and reviewed pleadings and evidence from both parties. Pursuant to § 12-2108(A), the court found that the total amount of damages awarded was $1.00, but the “judgment included attorneys’ fees.” It noted that “[i]t would be highly ineffective to have the verdict of the jury supported by imposing a supersedeas bond of $1.00 because that is the total amount of actual damages awarded. The supersedeas bond should reflect the real stakes and should be posted to protect the rights of the prevailing party.” The court then considered § 12-2108(B) and (C). It did not find clear and convincing evidence that City Center dissipated assets, but did find by clear and convincing evidence that posting a bond in the “full amount of the judgment” would likely cause City Center substantial economic harm. The court set the supersedeas bond at 25% of the full money judgments, which was $597,574.22. This second petition for special action followed.
DISCUSSION
1. A.R.S. § 12-2108 and ARCAP 7
¶ 8 City Center argues that the trial court erred by setting the supersedeas bond at 25% of the money judgments because A.R.S. § 12-2108 and ARCAP 7 limit the amount to $1.00, the total amount of the actual damages awarded. The interpretation of a statute is a question of law that we review de novo. Pawn 1st, L.L.C. v. City of Phoenix, 231 Ariz. 309, 311 ¶ 13, 294 P.3d 147, 149 (App. 2013). Because the trial court erred by including attorneys’ fees as damages, we grant relief and remand the matter for the court to set the supersedeas bond at $1.00, the total amount of damages awarded.
¶ 9 Under a former version of Rule 7, the initial focus in setting a supersedeas bond was on the amount of the “judgment remaining unsatisfied,” that is, the “amount which secures the total judgment together with an amount which reasonably covers costs, interest and any damages which might be attributed to the stay pending appeal.” Bruce Church, 160 Ariz. at 517, 774 P.2d at 821. The language of the rule, however, also gave a trial court discretion to set the bond in an amount less than the amount of the judgment and to order security or impose conditions other than or in addition to the bond. Salt River, 222 Ariz. at 106 ¶ 8, 213 P.3d at 255.
¶ 10 In 2011, the Legislature enacted A.R.S. § 12-2108, and in 2012, the Arizona Supreme Court amended Rule 7 to track the statute’s language. The language of § 12-2108 and amended Rule 7 changed the standards under which a supersedeas bond amount is set and now require consideration of the provisions set forth in § 12-2108(A) through (C) and Rule 7(a).
¶ 11 Section 12-2108(A) provides:
If a plaintiff in any civil action obtains a judgment under any legal theory, the amount of the bond that is necessary to stay execution during the course of all appeals or discretionary reviews of that judgment by any appellate court shall be set as the lesser of the following:
1. The total amount of damages awarded excluding punitive damages.
2. Fifty percent of the appellant’s net worth.
3. Twenty-five million dollars.
A.R.S. § 12-2108(A). Further, notwithstanding subsection A, “if an appellee proves by clear and convincing evidence that appellant is intentionally dissipating assets outside the ordinary course of business to avoid payment of a judgment, the court may require the appellant to post a bond in an amount up to the full amount of the judgment.” Id. § 12-2108(B). But “if an appellant proves by clear and convincing evidence that the appellant is likely to suffer substantial economic harm if required to post bond in an amount required under subsection A,” the court may lower the bond amount. Id. § 12-2108(C).
¶ 12 Thus, the new statute and amended rule set forth a three-step process for determining the amount of a supersedeas bond. The first step requires the trial court to set the bond as the lesser of the following: the total amount of damages awarded, excluding punitive damages; 50% of the appellant’s net worth; or $25 million (“the presumed amounts”). A.R.S. § 12-2108(A)(Z )-(3); AR-CAP 7(a)(4)(A)-(C). That is, the statute and rule require the court to compare the three values and select the smallest amount as the presumed amount of the bond. The second step permits an upward deviation from the presumed amount “up to the full amount of the judgment” if an appellee proves by clear and convincing evidence that the appellant is dissipating assets. A.R.S. § 12-2108(B); ARCAP 7(a)(5)(A). The third and final step permits a downward deviation from the presumed amount if an appellant proves by clear and convincing evidence that it will likely suffer substantial economic harm if required to post a bond in the presumed amount. A.R.S. § 12-2108(C); ARCAP 7(a)(2)(5)(B).
¶ 13 Here, the trial court erred in considering attorneys’ fees as damages in setting the amount of the supersedeas bond. In § 12-2108, the Legislature used the word “damages,” and we will construe that word according to its “peculiar and appropriate meaning in the law.” See A.R.S. § 1-213 (providing that words that have “acquired a peculiar and appropriate meaning in the law” are to be construed according to such peculiar and appropriate meaning); 2A Sutherland Statutory Construction § 47:30 (7th ed.) (providing that legal terms in a statute have their legal meaning, including terms which have been judicially interpreted and terms that possess a meaning in law). In Arizona, courts generally do not construe “damages” to include attorneys’ fees. U.S. Fidelity & Guar. Co. v. Frohmiller, 71 Ariz. 377, 380, 227 P.2d 1007, 1009 (1951) (holding that attorneys’ fees were not damages within meaning of A.R.S. § 12-503); see also Assyia v. State Farm Mut. Auto. Ins. Co., 229 Ariz. 216, 222 ¶ 21, 273 P.3d 668, 674 (App.2012) (providing that attorneys’ fees requested and awarded pursuant to statute are not damages caused by an uninsured driver); Proctor v. Parada, 145 Ariz. 203, 204, 700 P.2d 901, 902 (App.1985) (rejecting claim that attorneys’ fees were damages pursuant to A.R.S. § 12-2044). We see no reason to diverge from the general rule here. This is not a case where attorneys’ fees are a legal consequence of an original wrongful act or any of the other situations where attorneys’ fees can be considered damages. See Desert Mountain Prop. Ltd. P’ship v. Liberty Mut. Fire Ins. Co., 225 Ariz. 194, 209 ¶ 61, 236 P.3d 421, 436 (App.2010) (“[W]hen one party’s breach of contract places the other in a situation that makes it necessary to incur expenses to protect his interest, such costs and expenses, including attorneys’ fees, should be treated as the legal consequences of the original wrongful act and may be recovered as damages.”) (internal quotation marks and citations omitted); State Bar of Arizona, Arizona Attorneys’ Fees Manual, §§ 7.1 to .5 (5th ed. Supp.2014).
¶ 14 The Association argues that by using “judgment” in § 12-2108(A), “the legislature recognized monetary judgments, and the post-judgment execution during the appeal of that judgment, are the issues, not the ‘form’ of monetary relief reduced to judgment.” The gist of the Association’s argument is that the terms “damages” and “judgment” are synonymous as used in § 12-2108 and Rule 7. We disagree. In Arizona, the terms are not synonymous. A judgment “includes a decree and an order from which an appeal lies.” Ariz. R. Civ. P. 54(a); Mahar v. Acuna, 230 Ariz. 530, 533 ¶ 11, 287 P.3d 824, 827 (App.2012); see also Ariz. Farmers Prod. Credit Ass’n v. Stewart Title & Trust of Tucson, 24 Ariz.App. 5, 7, 535 P.2d 33, 35 (1975) (“In the absence of any other statutory authority, we must conclude that the term Judgment as used in the statutes takes its meaning from the definition set forth in the Rules of Civil Procedure.”). Damages, however, are compensation for actual injury. State v. Griswold, 8 Ariz.App. 361, 364, 446 P.2d 467, 470 (1968). Moreover, “actual damages and compensatory damages are generally treated as synonymous, being defined as damages given as an equivalent for the injury done, or damages awarded to a person as compensation, indemnity, or restitution for harm sustained by him.” Id. (internal quotation marks and citations omitted). Damages, therefore, may be a part of a judgment, along with attorneys’ fees and costs, but judgments are not damages themselves.
¶ 15 This conclusion is supported by the rule of statutory construction providing that different words used in the same statute are assigned different meanings. 2A Sutherland Statutory Construction § 46:7. Section 12-2108 and Rule 7 reference both damages and judgments and clearly provide for when a trial court may consider the “total amount of damages” and when it may consider the “full amount of the judgment.” Whereas the former is used in the first and third steps of the process to determine the presumed amount of the bond and to be a baseline for a downward deviation, respectively, the latter is used in the second step as a cap for an upward deviation from the presumed amount. Therefore, although the statute’s statement of purpose is useful to explain why the Legislature enacted it, when the statutory language is clear and unequivocal — as it is here — we give effect to that language and do not consider other methods or sources of interpretation. See Berry v. 352 E. Virginia, L.L.C., 228 Ariz. 9, 14 ¶ 27, 261 P.3d 784, 789 (App.2011). Consequently, because the trial court erred by including attorneys’ fees as damages, we grant relief and remand this case for the court to set the supersedeas bond at $1.00, the total amount of damages awarded.
2. Attorneys’ Fees
¶ 16 Both parties requested an award of attorneys’ fees and costs pursuant to A.R.S. § 12-341.01. In our discretion, we deny both requests.
CONCLUSION
¶ 17 For the foregoing reasons, we accept jurisdiction, grant relief and vacate the trial court’s order setting the supersedeas bond at $597,574.22, and remand the matter for the court to set the bond at $1.00, the total amount of damages awarded.
. A new version of Rule 7 became effective January 1, 2015 after City Center filed its special action petition. The amendment renumbered the contents in Rule 7, but made no substantive changes that affected the issue here. We accordingly will refer to the current version of the rule.
. The trial court entered one judgment for the Refuge Community Association, Inc. and Bob Ballard, Terry Gray, Jill Marshall, Steve Stoner and their spouses for $600,482.46 in attorneys’ fees and $15,844.83 in costs. It entered a second judgment for Brian Thienes, John and Monica Ball, Thompson Family Trust, and Juan and Jacqueline Braeamonte for $1,758,272.73 in attorneys’ fees and $15,686.85 in costs.
. Upon City Center’s motion, we consolidated the injunction appeal, 1 CA-CV 14-0077, with the money judgments appeal, 1 CA-CV 14-0264, and designated 1 CA-CV 14-0077 as the primary case number.
. The court also made two procedural errors in applying the statute. First, the court did not compare the total amount of damages awarded— which it calculated to include attorneys' fees — to 50% of City Center's net worth and $25 million to determine which was the “lesser” amount. See A.R.S. § 12-2108(A); ARCAP 7(a)(4) (“lowest”). Second, in applying subsection (C), the court did not find that City Center would likely suffer substantial economic harm if required to post a bond in the presumed amount; instead, it considered “the full amount of the judgment.” See A.R.S. § 12-2108(C); ARCAP 7(a)(5)(B). But because we are remanding the matter for the court to set the bond at $1.00, these errors are inconsequential.
. Pursuant to A.R.S. § 12-2108(B), the trial court found that the Association failed to prove by clear and convincing evidence that City Center intentionally dissipated assets, and we will not disturb that factual finding. See In re U.S. Currency in the Amount of $2,390, 229 Ariz. 514, 516 ¶ 5, 277 P.3d 219, 221 (App.2012) (providing that an appellate court will not disturb the trial court's factual findings unless they are clearly erroneous).
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OPINION
HOWE, Judge:
¶ 1 The State of Arizona seeks special action relief from the trial court’s refusal to restrict Defendant Chris Simcox from personally cross-examining the child victims and witness in his trial on several sex charges. We accept jurisdiction because the State has no adequate remedy by appeal and the issue is one of first impression and statewide importance. Ariz. R.P. Spec. Act. 1(a); Ariz. Dep’t of Econ. Sec. v. Superior Court (Angie P.), 232 Ariz. 576, 579 ¶ 4, 307 P.3d 1003, 1006 (App.2013).
¶ 2 We deny relief, however. A trial court may exercise its discretion to restrict a self-represented defendant from personally cross-examining a child witness without violating a defendant’s constitutional rights to confrontation and self-representation. It can do so, however, only after considering evidence and making individualized findings that such a restriction is necessary to protect the witness from trauma. Because the State did not present such evidence — and in fact eschewed the opportunity to present evidence when invited — the trial court had no basis to restrict Simcox from cross-examining the child witnesses.
FACTS AND PROCEDURAL HISTORY
¶ 3 The State has charged Simcox with three counts of sexual conduct with a minor, two counts of child molestation, and one count of furnishing harmful items to minors. The alleged victims are Simcox’s 8-year-old daughter Z.S. and Z.S.’s 8-year-old friend, J.D. The State plans to call Z.S. and J.D. to testify about the incidents that form the bases of the charges. The State also plans to call as a witness Z.S.’s 7-year-old friend E.M. to testify about an alleged incident she had with Simcox. The State will seek to admit E.M.’s testimony under Arizona Rule of Evidence 404(c) to show that Simcox has an aberrant sexual propensity to commit the charged offenses.
¶ 4 Simcox requested that he be allowed to represent himself in the criminal proceedings pursuant to the Sixth Amendment to the United States Constitution and Faretta v. California, 422 U.S. 806, 95 S.Ct. 2525, 45 L.Ed.2d 562 (1975). The trial court granted the request but nevertheless appointed advisory counsel to assist him.
¶ 5 In response to Simcox’s invocation, the State requested that the trial court accommodate the child witnesses by restricting Simcox from personally cross-examining them and requiring that his advisory counsel conduct the cross-examinations. The State supported its request with email correspondence from (1) Z.S.’s mother, explaining her outrage that Simcox would cross-examine Z.S., recounting Z.S.’s fear that Simcox would “hurt her feelings again,” and stating that personal cross-examination would severely hinder Z.S.’s psychological recovery; (2) J.D.’s mother, explaining how the incident with Simcox has negatively affected J.D./s behavior and stating that she feared that allowing Simcox to address J.D. would set J.D. “back in her healing and quite possibly exacerbate her symptoms and anxiety/panic attacks”; and (3) E.M./s mother, stating that E.M. is as much a victim as Z.S. and should not “be punished, more than once, by any adult who used the tenure of age and trust against her.” Simcox objected, arguing that restricting him from personally conducting the cross-examinations would interfere with his right of self-representation.
¶ 6 At the hearing on the State’s request, the trial court asked the State to present its evidence, but the State demurred, arguing that evidence was unnecessary. The trial court disagreed. It noted that the United States Supreme Court held in Maryland v. Craig, 497 U.S. 836, 855, 110 S.Ct. 3157, 111 L.Ed.2d 666 (1990), that an order restricting a defendant’s right to confront a child witness had to be “case-specific” and that the court must hear evidence to determine whether the restriction is necessary to protect the particular child. The State responded that Craig was inapplicable because the defendant in that case was not representing himself. The State relied on Fields v. Murray, 49 F.3d 1024 (4th Cir.1995), in which the circuit court held that a state trial court had not violated a defendant’s rights by restricting him from personally cross-examining his child victim even though it had not considered any evidence that the victim would be traumatized.
¶ 7 The trial court denied the State’s request “on the status of this record.” The court acknowledged the mothers’ letters, but ruled that “there is simply no showing that conf[ront]ing [Simcox] in and of itself will cause further trauma.” The State moved to stay the proceedings, which the trial court denied. The State then petitioned this Court for special action relief and requested a stay of the trial. This Court denied the stay but affirmed the briefing schedule to consider the petition. J.D.’s mother subsequently sought and obtained an emergency stay from the Arizona Supreme Court pending this Court’s review of the petition.
DISCUSSION
¶ 8 The State argues that the trial court erred in denying its request to restrict Simcox from personally cross-examining the children. The State contends that a defendant charged with sex offenses against children may be categorically barred from personally cross-examining the child witnesses. We review purely legal or constitutional issues de novo, State v. Booker, 212 Ariz. 502, 504 ¶ 10, 135 P.3d 57, 59 (App.2006), but defer to the trial court’s factual findings unless they are clearly erroneous, State v. Forde, 233 Ariz. 543, 556 ¶ 28, 315 P.3d 1200, 1213 (2014).
¶ 9 On the record before it, the trial court did not err in refusing to restrict Simcox from personally cross-examining the children. A criminal defendant has the constitutional right to confront the witnesses against him face-to-face, and this right is implemented primarily through cross-examination. Kentucky v. Stincer, 482 U.S. 730, 736, 107 S.Ct. 2658, 96 L.Ed.2d 631 (1987); State v. Vess, 157 Ariz. 236, 237-38, 756 P.2d 333, 334-35 (App.1988). When a defendant exercises his right to represent himself, he has the right to personally cross-examine the State’s witnesses. McKaskle v. Wiggins, 465 U.S. 168, 174, 104 S.Ct. 944, 79 L.Ed.2d 122 (1984) (“The pro se defendant must be allowed ... to question witnesses.”); see also Faretta, 422 U.S. at 818, 95 S.Ct. 2525 (providing that the Sixth Amendment “grants to the accused personally the right to make his defense”).
¶ 10 Of course, this does not mean that the right of a self-represented defendant to personally conduct cross-examination is absolute. Although the face-to-face component of cross-examination is not “easily dispensed with,” Craig, 497 U.S. at 850, 110 S.Ct. 3157, denying a face-to-face confrontation will not violate the Confrontation Clause when it is “necessary to further an important public policy” and the reliability of the testimony is otherwise assured, id. The United States Supreme Court recognized in Craig that a state’s interest in protecting the physical and psychological well-being of child abuse victims is sufficiently important to justify restrictions on cross-examination if the State makes an adequate showing of necessity. Id. at 853-55, 110 S.Ct. 3157. Such a finding of necessity “must of course be a case-specific one,” id. at 855, 110 S.Ct. 3157, 110 S.Ct. 3157, and the trial court must hear evidence to determine whether the restriction is necessary to protect the child’s welfare, see id. at 855-56, 110 S.Ct. 3157 (considering cross-examination by closed-circuit television). Necessity cannot be presumed without evidence. See Coy v. Iowa, 487 U.S. 1012, 1021, 108 S.Ct. 2798, 101 L.Ed.2d 857 (1988) (rejecting “legislatively imposed presumption of trauma” when considering statutory limitations on cross-examination of child abuse victims; “something more than the type of a generalized finding underlying such a statute is needed”).
¶ 11 In denying the State’s request, the trial court recognized and followed the requirements of the Confrontation Clause and the Supreme Court precedent interpreting it. The court understood that it could not restrict Simcox from personally cross-examining the child witnesses without hearing evidence and making case-specific findings that restricting his ability to personally cross-examine the witnesses was necessary to protect each child from trauma. With that understanding, the court asked the State to present its evidence, but the State declined to do so. Without evidence, the court was constrained to deny the State’s request. Although the State did present the correspondence from the children’s mothers, the court interpreted the correspondence to explain the general trauma the children were suffering from Simcox’s alleged actions and the trial. But general trauma is not sufficient to restrict cross-examination; the trauma must be caused specifically by the personal cross-examination. See Craig, 497 U.S. at 856, 110 S.Ct. 3157 (“The trial court must also find that the child witness would be traumatized, not by the courtroom generally, but by the presence of the defendant.”). Upon our review, we cannot say that the trial court clearly erred in its interpretation of the correspondence. See Forde, 233 Ariz. at 556 ¶ 28, 315 P.3d at 1213 (factual findings reviewed for clear error).
¶ 12 This procedure — restricting cross-examination of child witnesses only upon a ease-specific showing that such a restriction is necessary — is nothing new. Arizona allows a child to testify in a criminal proceeding via closed-circuit television or by prior recording, A.R.S. § 13-4253, but only after the trial court makes “an individualized showing of necessity,” State v. Vincent, 159 Ariz. 418, 429, 768 P.2d 150, 161 (1989) (relying on Coy, 487 U.S. at 1021, 108 S.Ct. 2798, and Vess, 157 Ariz. at 238, 756 P.2d at 335). A generalized conclusion that any child would be traumatized by testifying in the presence of the defendant-parent is not sufficient to invoke the statute. Vincent, 159 Ariz. at 428, 768 P.2d at 160.
¶ 13 Vincent is instructive about the need for case-specific findings. There, two young children were witnesses in their father’s trial for murdering their mother. Id. at 420, 768 P.2d at 152. Pursuant to § 13-4253, the State moved to record the children’s testimony and to present it at trial. Id. at 426, 768 P.2d at 158. Without considering any evidence that the children would suffer trauma if required to testify at trial, the trial court permitted the recording, ruling that “children ... of such tender age ... could be traumatized due to the severe nature, [and] severity of the crime charged,” and that it was in them best interests “not to look upon the face of their father” during their testimony. Id. The children’s testimony was then recorded, with the prosecutor, defense counsel, the children’s foster mother, and the trial judge present; the defendant was in another room observing the testimony and had telephonic access to his counsel. Id. at 425, 768 P.2d at 157.
¶ 14 The Arizona Supreme Court ruled this procedure violated the defendant’s confrontation rights because the trial court had made no individualized finding that recording the children’s testimony was necessary:
Coy and Vess both tell us at a minimum that such generalized conclusions do not suffice to justify a substitute for face-to-face confrontational testimony. Because there were no particularized findings concerning the comparative ability of the Vincent children to withstand the trauma of face-to-face testimony, as contrasted with the trauma of a videotaped procedure with their father shielded from their view, we hold that A.R.S. § 13-4253 was applied in such a way as to violate the defendant’s constitutional right to confrontation.
Id. at 428-29, 768 P.2d at 160-61. The principle is clear: restrictions on a defendant’s confrontation rights cannot be justified without individualized findings.
¶ 15 Apparently to avoid this analysis, the State repeatedly notes that it is not seeking any accommodation under § 13-4253. But the issue is not whether the statute is invoked; it is whether the Confrontation Clause permits a trial court to restrict a self-represented defendant from personally cross-examining the witnesses against him. The United States Supreme Court in Craig, our supreme court in Vincent, and our own court in Vess hold that a defendant’s right to cross-examine child witnesses may not be restricted unless the trial court makes case-specific findings that the restriction is necessary to protect them from the trauma caused by the cross-examination. Craig, 497 U.S. at 855, 110 S.Ct. 3157; Vincent, 159 Ariz. at 428-29, 768 P.2d at 160-61; Vess, 157 Ariz. at 238, 756 P.2d at 335. Because the State did not present evidence from which the trial court could have made individualized, case-specific findings that the children here required protection from being personally cross-examined by Simcox, the trial court did not err by denying the State’s request for a restriction.
¶ 16 The State’s contention that no such case-specific findings are necessary misapprehends the nature of a criminal defendant’s rights. First, the State argues that restricting Simcox from personally cross-examining the children does not affect his Sixth Amendment right to represent himself because that right does not include a right to personally conduct cross-examination. The State claims this is so because the trial court has the authority under Arizona Rule of Evidence 611 to require advisory counsel to conduct witness examination without infringing on a defendant’s right of self-representation. The State cites State v. Wassenaar, in which we held that the trial court did not violate a defendant’s right to self-representation by requiring that advisory counsel conduct the direct examination of the defendant. 215 Ariz. 565, 573 ¶ 29, 161 P.3d 608, 616 (App. 2007).
¶ 17 But Wassenaar does not affect the self-represented defendant’s right to conduct the examination of other witnesses. Advisory counsel’s participation in that case was necessary because of the question-and-answer format of direct examination; the defendant could hardly be expected to question himself on the stand. Id. at ¶ 29, 161 P.3d at 616. But no such necessity existed with witnesses other than the defendant; the defendant personally examined the other witnesses. Id. Here, except when Simcox testifies himself, his right to self-representation presumptively allows him to personally examine — and cross-examine — the witnesses. McKaskle, 465 U.S. at 174, 104 S.Ct. 944 (“The pro se defendant must be allowed ... to question witnesses.”).
¶ 18 Second, the State argues that the restriction does not affect Simcox’s right to confront witnesses because while he would be barred from conducting the cross-examination personally, he would remain in the court room and have a face-to-face confrontation with the children, which is all the Confrontation Clause guarantees him. This argument, however, fails to account for the effect that the right to self-representation has on the right to confront witnesses.
¶ 19 The State is correct that when a defendant is represented by counsel, his confrontation rights are satisfied if he is in the courtroom and can face the witness while his counsel conducts cross-examination. See Pennsylvania v. Ritchie, 480 U.S. 39, 51, 107 S.Ct. 989, 94 L.Ed.2d 40 (1987) (“The Confrontation Clause provides two types of protections for a criminal defendant: the right physically to face those who testify against him, and the right to conduct cross-examination.”). But because a self-represented defendant has the right to personally cross-examine the witnesses, McKaskle, 465 U.S. at 174, 104 S.Ct. 944, restricting a defendant from doing so is a restriction on his right to confrontation — and a significant one at that. State v. Folk, 151 Idaho 327, 256 P.3d 735, 745 (2011) (“Cross-examination is often a fluid process, and the person forming the questions must be able to concentrate on the answers and what further questions are necessary to elicit the desired information.”). Moreover, imposing an unusual arrangement such as requiring advisory counsel to cross-examine critical witnesses in place of the defendant could affect the jurors’ perception of the defendant. Cf. Estelle v. Williams, 425 U.S. 501, 504-05, 96 S.Ct. 1691, 48 L.Ed.2d 126 (1976) (fearing the jurors’ judgment may be affected by viewing defendant in jail clothing). Because a self-represented defendant’s right to personally cross-examine witnesses is so important in the trial process, any restriction on that right can occur only upon a showing that the restriction is necessary to achieve an important public policy— here, to protect child witnesses from the trauma of being personally cross-examined by the defendant.
¶ 20 Third, the State argues that the restriction is appropriate because no case-specific or individualized findings are necessary in cases involving child abuse or sex offenses against children. Although not so stated, the State essentially argues that a court should presume trauma when child witnesses are involved. This argument directly counters the holdings of Coy, Vincent, and Vess that trauma will not be presumed and that restrictions on cross-examination must be based on individualized findings of necessity. Coy, 487 U.S. at 1021, 108 S.Ct. 2798; Vincent, 159 Ariz. at 428-29, 768 P.2d at 160-61; Vess, 157 Ariz. at 238, 756 P.2d at 335.
¶ 21 The authority that the State cites to support its position, Fields v. Murray, has dubious value. In Fields, the Fourth Circuit Court of Appeals considered a state defendant’s claim on habeas corpus review that the state court had denied him his right to personally cross-examine the child victims who had alleged that he had sexually abused them. 49 F.3d at 1028. The state court had precluded him from doing so without hearing evidence and based its ruling on the nature of the crimes and the defendant’s relationship with the victims. Id. at 1036.
¶ 22 The circuit court ruled that the state court’s decision did not violate the right to confrontation. Id. The circuit court recognized that the state court should have made a “more elaborate finding” as Craig requires, but noted that “[i]t is far less difficult to conclude that a child sexual abuse victim will be emotionally harmed by being personally cross-examined by her alleged abuser than by being required merely to testify in his presence.” Id. This conclusion, however, rests merely on a general presumption of trauma, which is directly contrary to Coy, Vincent, and Vess. Thus, it is not good law in Arizona and we are not bound to follow it. See State v. Montano, 206 Ariz. 296, 297 n. 1, 77 P.3d 1246, 1247 n. 1 (2003) (holding that the Arizona Supreme Court is not bound by federal circuit court’s interpretation of the federal constitution).
¶ 23 The State also justifies its argument on the Victim’s Bill of Rights, highlighting a victim’s right to be free from intimidation, harassment, and abuse. Self-representation and confrontation of witnesses, however, are bedrock constitutional rights of our criminal justice system and are not lightly restricted. If victims’ rights conflict with a defendant’s constitutional rights, the defendant’s rights must prevail. State v. Riggs, 189 Ariz. 327, 330-31, 942 P.2d 1159, 1162-63 (1997) (“[I]f, in a given case, the victim’s state constitutional rights conflict with a defendant’s federal constitutional rights to due process and effective cross-examination, the victim’s rights must yield. The Supremacy Clause requires that the Due Process Clause of the U.S. Constitution prevail over state constitutional provisions.”).
¶ 24 This does not mean that victims cannot be protected. If the State believes that a defendant’s personal cross-examination of a witness is intimidating or harassing the witness, it may always ask the court to control the examination. See Ariz. R. Evid. 611(a)(3) (providing that the court should “exercise reasonable control” over the mode of examining witnesses to “protect witnesses from harassment or undue embarrassment”). If the State believes that a defendant’s personal cross-examination of a witness would cause particular trauma to the witness, it can — consistent with the United States Constitution — present evidence that the trauma will occur and ask the trial court to make case-specific findings that will justify restricting the defendant from personally cross-examining the witness.
¶ 25 The trial court invited the State to present evidence of trauma, but the State declined the opportunity. Without evidence showing that the child witnesses would suffer particular trauma from being personally cross-examined by Simcox, the trial court had no constitutional basis to restrict Simcox from doing so. Thus, on this record, the trial court properly denied the State’s request.
CONCLUSION
¶ 26 For these reasons, we accept jurisdiction but deny relief.
. If the State subsequently discovers evidence that it believes would justify restricting Simcox's right to personally cross-examine the child witnesses, however, nothing in this opinion would preclude the State from making a new request to the trial court.
|
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Justice TIMMER,
opinion of the Court.
¶ 1 We are asked to decide whether Arizona Rule of Procedure for Juvenile Court 103(F) divests the juvenile court of jurisdiction to enter an adoption order during the pendency of a biological parent’s appeal from an order terminating his or her parental rights. We hold that it does not.
BACKGROUND
¶ 2 Roberto F. (“Father”) is the biological father of L.F. and I.A. In November 2011, the juvenile court terminated his parental rights, and he appealed (the “termination case”). While the appeal was pending, and without providing notice to Father or alerting the court to his pending appeal, the Department of Child Safety (“DCS”) petitioned the juvenile court to order the children’s adoption by Jimmy S. and Tracie H. (the “adoption case”). The court granted the petition in May 2012 and entered an order of adoption.
¶ 3 The court of appeals subsequently vacated the order entered in the termination case. Roberto F. v. Ariz. Dep’t of Econ. Sec. (“Roberto I”), 232 Ariz. 45, 47 ¶ 1, 301 P.3d 211, 213 (App.2013), as amended (June 20, 2013). Father then moved the juvenile court to set aside the adoption pursuant to Arizona Rule of Procedure for the Juvenile Court 85(A) in light of the reversal of the termination of his parental rights in Roberto I. The court denied the motion, and Father appealed.
¶ 4 Reasoning that Rule 103(F) divests the juvenile court of authority to enter an adoption order pending a biological parent’s appeal of a termination-of-rights order, the court of appeals vacated the adoption order as void. Roberto F. v. Dep’t of Child Safety (“Roberto II”), 235 Ariz. 388, 398 ¶ 36, 332 P.3d 614, 624 (App.2014). The specially concurring judge disagreed with the majority’s interpretation of Rule 103(F) but concluded that the juvenile court erred by refusing to set aside the adoption order pursuant to Rule 85(A). Id. at 398 ¶ 37, 399 ¶ 41, 332 P.3d at 624-25 (Norris, J., specially concurring).
¶ 5 In its petition for review, DCS does not challenge the court of appeals’ decision to vacate the adoption order, but argues that the court erroneously reasoned that Rule 103(F) divested the juvenile court of authority to enter the adoption order pending the appeal in the termination ease. Father and the adoptive parents agree that the court of appeals misinterpreted Rule 103(F). We granted review to clarify the juvenile court’s authority in adoption cases when a biological parent’s appeal of a termination-of-rights order is pending, a matter of statewide importance. We have jurisdiction pursuant to Article 6, Section 5 of the Arizona Constitution.
DISCUSSION
A.
¶ 6 We interpret court rules to effect the drafters’ intent. State v. Salazar-Mercado, 234 Ariz. 590, 592 ¶ 4, 325 P.3d 996, 998 (2014). If the rule is unambiguous, we apply it as written. Id. When the rule uses ambiguous language, we apply secondary principles of construction, such as examining the rule’s context, its relationship to related rules, its background, and the consequences of differing interpretations. Id.
B.
¶ 7 Rule 103(F) provides, in relevant part:
During the pendency of an appeal, the juvenile court may proceed within its legal authority on an issue remaining before it or newly presented to it to the extent (1) the appellate court has specifically authorized or directed the juvenile court to rule on the issue; (2) the juvenile court’s ruling on the issue would be in furtherance of the appeal; (3) applicable statutory law or judicial rule confers continuing jurisdiction on the juvenile court; (4) the juvenile court’s ruling on the issue would not legally or practically prevent the appellate court from granting the relief requested on appeal; or (5) the issue arises from a motion to dismiss the appeal filed by the appellant and presented to the juvenile court for ruling at a time before the clerk of the superior court forwards the record to the appellate court pursuant to Rule 105(D).
¶ 8 The court of appeals concluded that Rule 103(F) “does not limit its restrictive effect to only those issues filed in the appealed case.” Roberto II, 235 Ariz. at 392 ¶ 14, 332 P.3d at 618. The court determined that the rule’s broad references to “juvenile court” and “an issue” mean that Rule 103(F) “divests the entire juvenile division of the superior court from proceeding on issues presently before that division, or newly presented to it, while an appeal is pending,” unless one of the exceptions in the rule applies. Id. at 392-93 ¶¶ 15-16, 332 P.3d at 618-19. Reasoning that subsection (F)(4), the only potentially applicable exception, did not apply because an adoption order legally and practically prevented the Roberto I court from restoring Father’s parental rights, the majority held that Rule 103(F) precluded the juvenile court from entering the adoption order. Id. at 393 ¶ 18, 395 ¶ 23, 332 P.3d at 619, 621.
¶ 9 Although Rule 103(F) does not explicitly limit its application to issues raised in the case on appeal, we agree with Judge Norris that the rule’s structure and wording suggest this limitation. See id. at 398 ¶ 38, 332 P.3d at 624 (Norris, J., specially concurring). Rule 103 outlines procedures to follow in appeals from juvenile court rulings. By their terms, subsections (A) through (E) and (G) apply to the particular case on appeal. Additionally, language in subsection (F) indicates that the subsection’s restrictions on the juvenile court’s authority pending an appeal apply only to issues in the case on appeal. Because (F)(1) authorizes the juvenile court to decide an issue when directed to do so by the appellate court, that provision necessarily applies only to the case over which the appellate court has jurisdiction. Other parts of subsection (F) authorize the juvenile court to decide an issue “in furtherance of the appeal” ((F)(2)), as a matter of “continuing jurisdiction” in the case on appeal ((F)(3)), or “aris[ing] from a motion to dismiss the appeal” ((F)(5)). Nothing suggests that subsection (F) applies to or restricts the juvenile court’s authority to decide issues in separate, albeit related, cases. That all other parts of Rule 103 apply only to the particular case on appeal strongly suggests that Rule 103(F)(4) likewise applies only to that case.
¶ 10 Reference to related rules and statutes supports our interpretation of Rule 103(F). Rule 79(A)(3) requires a petition to adopt to state “[w]hether any termination of parental rights proceeding is pending, including any appeal,” implicitly recognizing that such petitions may be filed while a termination-of-rights order is pending appeal. Section 8-538(A), A.R.S., provides that a termination-of-rights order is “conclusive and binding on all persons from the date of entry.” And Rule 103(B) provides that a juvenile court order “shall not be suspended or the execution thereof stayed pending the appeal” absent an order by the appellate court after it considers the likelihood for reversal and the best interests of the child. See also A.R.S. § 8-235(B). Construing Rule 103(F)(4) as divesting the court of authority to proceed with an adoption would automatically suspend, to a great extent, the effect of a termination-of-rights order, thereby both delaying adoption proceedings and violating A.R.S. § 8-538(A) and Rule 103(B).
¶ 11 Review of Rule 103(F)’s background reveals that the drafters intended the rule to apply only to the case on appeal. In 1996, this Court promulgated Rule 103(F), then numbered Rule 24(F), to streamline juvenile appellate procedures. See Petition for Adoption of Amendment to Arizona Rules of Procedure of the Juvenile Court, R-95-0017 (July 7, 1995). In adopting the rule, the Court commented that “[n]ew Rule [103(F) ] would answer the need for a specific delineation of the juvenile court’s continuing authority in a juvenile matter while an order generated in that matter is the subject of an appeal.” Order Amending Arizona Rules of Procedure for the Juvenile Court 24-29, App. at 2-3 (Feb. 28,1996).
¶ 12 Finally, we are persuaded that Rule 103(F) applies only to the particular case on appeal after considering the consequences of a broader interpretation. Arizona has complied with the Adoption and Safe Families Act of 1997, 42 U.S.C. §§ 670-679, by enacting procedures to expedite permanent placement of children in foster care or suitable adoptive homes. See Rita J. v. Ariz. Dep’t of Econ. Sec., 196 Ariz. 512, 513-14 ¶ 5, 1 P.3d 155, 156-57 (2000); see also A.R.S. § 8-113(D) (requiring expedited hearings on adoption petitions). Interpreting Rule 103(F)(4) to divest the juvenile court of authority to enter an order of adoption would frustrate that goal. Because Rule 103(B) permits the appellate court to suspend the termination order to prevent an adoption, and Rule 85(A) authorizes the juvenile court to set aside an adoption if a termination-of-rights order is vacated, a biological parent’s rights can be accommodated in an appropriate case.
¶ 13 In sum, Rule 103(F) applies only to the case on appeal. Because no order issued in the adoption case was the subject of the appeal in Roberto I, the juvenile court had authority to enter the adoption order. We therefore vacate the court of appeals’ opinion in Roberto II.
¶ 14 The remaining issue is whether the juvenile court properly denied Father’s motion to set aside the adoption pursuant to Rule 85(A). This issue was not decided by the court of appeals; nor has it been raised in this Court. We therefore remand this ease to the court of appeals to decide the issue in the first instance.
CONCLUSION
¶ 15 For the foregoing reasons, we vacate the court of appeals’ opinion in Roberto II and remand the case to that court to address whether the juvenile court erred by denying Father’s motion to set aside the adoption order pursuant to Rule 85(A).
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Justice BRUTINEL,
opinion of the Court.
¶ 1 Arizona Revised Statutes § 20-259.01(B) requires motor vehicle insurers writing liability policies to “make available” and “by written notice offer” underinsured motorist (“UIM”) coverage to their insureds. We hold that § 20-259.01(B) does not require the notice to specify the cost of the UIM coverage.
I.
¶ 2 Katelin Newman was injured in a motor vehicle accident caused by another driver’s negligence. The at-fault driver’s insurance was insufficient to cover Newman’s damages. She sought UIM coverage from her insurer, Cornerstone National Insurance Company (“Cornerstone”), but Cornerstone denied her claim because Newman had waived UIM coverage. Cornerstone had previously offered Newman UIM coverage on a form approved by the Arizona Department of Insurance (“ADOI”) when she purchased her car insurance, but Newman declined the coverage.
¶ 3 Newman sued, seeking a declaration that the UIM waiver form was void and that she was entitled to coverage. She sought partial summary judgment on the ground that Cornerstone’s offer was deficient under A.R.S. § 20-259.01(B) because the written notice offering the UIM coverage did not include a premium quote, which a proper offer requires. Cornerstone cross-moved for summary judgment, arguing that: (1) the ADOI had approved the form on which Newman declined uninsured/underinsured (“UM/UIM”) coverage, and ADOI-approved forms satisfy § 20-259.01’s requirements; and (2) even if the ADOI had not approved the form, Arizona law does not require an offer of UM/UIM coverage to include a premium quote. The trial court denied Newman’s motion for summary judgment and granted Cornerstone’s cross-motion.
¶ 4 The court of appeals affirmed, holding that “no premium price is required for a written offer of UIM coverage to be valid,” and therefore “Cornerstone’s offer of UIM coverage to Newman satisfied the requirements of A.R.S. § 20-259.01.” Newman v. Cornerstone Nat’l Ins. Co., 234 Ariz. 377, 378 ¶ 1, 380 ¶ 10, 322 P.3d 194, 195, 197 (App. 2014). The court reasoned that the statute is “very specific regarding what the offer must contain” and declined to impose additional requirements. Id. at 379 ¶ 7, 322 P.3d at 196.
¶ 5 We granted review to resolve whether the statutorily required written offer must include a premium quote, a recurrent legal question 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.
¶ 6 We review the interpretation of statutes de novo. State v. Hansen, 215 Ariz. 287, 289 ¶ 6, 160 P.3d 166, 168 (2007). Section 20-259.01(B) provides:
Every insurer writing automobile liability or motor vehicle liability policies 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 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 approved by the director shall be valid for all insureds under the policy.
(Emphasis added.)
¶ 7 Newman argues that an “offer,” as understood under the common law, must include the price. But this interpretation conflicts with our prior interpretation of the statute.
¶ 8 We have held that § 20-259.01’s requirement that an insurer “make available” UM/UIM coverage means “that insurers be willing to provide such coverage.” Ballesteros v. Am. Standard Ins. Co. of Wis., 226 Ariz. 345, 348 ¶ 11, 248 P.3d 193, 196 (2011). In Ballesteros we also held that the provision “by written notice offer” requires only “that insurers bring the availability of such coverage to the insured’s attention.” Id. (citing 1981 Ariz. Sess. Laws, Ch. 224, § 1 (1st Reg.Sess.)). As used in § 20-259.01, the word “offer” is a verb and means “[t]o bring to or before; to present for acceptance or rejection; to hold out or proffer; to make a proposal to; to exhibit something that may be taken or received or not.” Tallent v. Nat’l Gen. Ins. Co., 185 Ariz. 266, 267-68, 915 P.2d 665, 666-67 (1996) (quoting Black’s Law Dictionary 1081 (6th ed.1990)). Thus, § 20-259.01(B) requires an insurer to “make available” UIM insurance and to communicate that availability in a written notice. The statute does not require the insurer to convey all material terms of the proposed insurance contract. Although we applied general contract principles in both Tallent and Ballesteros, we declined to add requirements not specifically included in the statute. Id.; Ballesteros, 226 Ariz. at 348-49 ¶¶ 13-14, 248 P.3d at 196-97.
¶ 9 Whether an offer of UM/UIM coverage has been made does not depend on the insured’s understanding of the terms being offered, but instead on whether a reasonable person would understand that his or her acceptance would bind the insurer to provide the offered coverage. Ballesteros, 226 Ariz. at 348-49 ¶¶ 13-14, 248 P.3d at 196-97. Based on that reasoning, we held that § 20-259.01 does not require an explanation of UIM coverage. Tallent, 185 Ariz. at 267, 915 P.2d at 666. Similarly, the offer need not be translated into Spanish; the statute requires only that the insurer provide written notice offering coverage that, if accepted, binds the insurer. Ballesteros, 226 Ariz. at 349 ¶ 14, 248 P.3d at 197.
¶ 10 Here, Cornerstone’s UM/UIM selection form brought the availability of coverage to Newman’s attention. It informed her that she had “a right to purchase both Uninsured Motorist coverage and Underinsured Motorist coverage” in an amount up to her policy’s liability limit. If Newman had elected to receive UM/UIM coverage on Cornerstone’s form and initialed the box captioned “Accept,” a reasonable person in her position would understand that Cornerstone was bound to provide the coverage regardless of whether a premium price was included. Cornerstone’s offer of UIM coverage satisfied A.R.S. § 20-259.01’s requirements.
¶ 11 Although the cost might be useful information in encouraging insureds to purchase coverage and helping them to decide whether to buy, § 20-259.01 does not require this information. We have previously refused to add requirements to this statute and again decline to do so. Ballesteros, 226 Ariz. at 349 ¶ 17, 248 P.3d at 197; Tallent, 185 Ariz. at 268, 915 P.2d at 667. Nothing precluded Newman from asking how much UIM coverage would cost before she chose to forgo it, and nothing suggests that insurers would refuse to provide the price information if requested.
III.
¶ 12 For the foregoing reasons, we affirm the trial court’s judgment and vacate the court of appeals’ opinion. Cornerstone also requests an award of its attorney fees on appeal pursuant to A.R.S. § 12-341.01. In the exercise of our discretion, we deny its request.
|
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] |
Vice Chief Justice PELANDER,
opinion of the Court.
¶ 1 Under A.R.S. § 12-820.02(A)(7), public entities and employees enjoy qualified immunity from liability for an injury to a motor-vehicle driver that is attributable to the driver’s violation of statutes prohibiting reckless driving and driving while under the influence of alcohol or drugs. Today we hold that § 12-820.02(A)(7)’s qualified immunity applies only when the driver was injured while driving or in actual physical control of a motor vehicle.
I.
¶ 2 The material facts are undisputed. Department of Public Safety (“DPS”) Officer Scott Walter observed a vehicle driven by Faith Mascolino drifting across traffic lanes and traveling well below the speed limit on Interstate 10. He called for backup and attempted to pull Mascolino over, but she failed to yield and continued driving erratically. She eventually stopped in the emergency lane, close to a guardrail on the rising approach to a freeway overpass. As Officer Walter spoke with Mascolino, she exhibited signs of intoxication and admitted that she had been drinking “a lot” that night.
¶ 3 DPS Officer Fred Rivera arrived on the scene and attempted to administer field-sobriety tests, which Mascolino could not complete. Officer Rivera arrested Mascolino for driving while under the influence and placed her in the rear seat of his DPS cruiser. Mascolino submitted to a portable breath test at Officer Rivera’s request, which registered her breath-alcohol concentration well above the legal limit.
¶ 4 Officer Rivera began calling Mascolino’s family members to find someone who could retrieve her vehicle. While he was on the phone (about twenty minutes after placing Mascolino in custody), a vehicle driven by Robert Gallivan approached the freeway overpass at high speed, moving diagonally from the middle lane toward the emergency lane. Officer Walter shouted a warning to Officer Rivera, and both of them managed to jump over the guardrail just in time to avoid being struck. Gallivan’s vehicle crashed into the cruiser in which Mascolino was seated, and she died on impact. The officers testified that they had approximately one second to react to Gallivan’s vehicle and no time to rescue Mascolino before the collision.
¶ 5 The conservator for Mascolino’s minor children, Robert Fleming, filed this wrongful death action against Gallivan and DPS. Before trial, DPS moved for a jury instruction on qualified immunity under § 12-820.02(A)(7). Fleming objected, contending that the statute was inapplicable because Mascolino was neither driving nor in control of her vehicle when the collision occurred. The trial court ruled that DPS would be allowed to present evidence supporting the requested jury instruction, but deferred deciding whether the instruction would be given.
¶ 6 At the close of evidence, the court decided to instruct the jury on § 12-820.02(A)(7)’s qualified immunity and related statutes. The jury returned a verdict in favor of Fleming, finding Gallivan seventy-five percent at fault, Mascolino twenty-five percent at fault, and assigning no fault to DPS.
¶ 7 The court of appeals affirmed, upholding the giving of the § 12-820.02(A)(7) instruction. Fleming v. Ariz. Dep’t of Pub. Safety, 236 Ariz. 210, 211 ¶ 1, 337 P.3d 1192, 1193 (App.2014). The court concluded that Mascolino was a “driver” under the statute and that the record contained sufficient evidence from which a reasonable juror could have found her death “attributable to” her driving while under the influence. Id. at 213 ¶ 12, 215 ¶ 17, 337 P.3d at 1195, 1197. We granted review because the interpretation of § 12-820.02(A)(7) is an issue of first impression and statewide importance. We have jurisdiction pursuant to Article 6, Section 5(3), of the Arizona Constitution and A.R.S. § 12-120.24.
II.
¶ 8 Since this Court abolished sovereign immunity in 1963, public entities such as DPS generally have been liable for injuries they negligently cause. See Glazer v. State, 237 Ariz. 160, 163 ¶ 10, 347 P.3d 1141, 1144 (2015). Consequently, under our common law, when DPS takes custody of someone in a manner that deprives the person of the opportunity for self-protection, it assumes a duty to protect that person against unreasonable risk of physical harm. See DeMontiney v. Desert Manor Convalescent Ctr. Inc., 144 Ariz. 6, 11, 695 P.2d 255, 260 (1985); Restatement (Second) of Torts § 314A(1)(a), (4) (1965). “The duty to protect the other against unreasonable risk of harm extends to risks arising out of ... the acts of third persons, whether they be innocent, negligent, intentional, or even criminal[,] ... [and] also to risks arising from pure accident, or from the negligence of the plaintiff [her]self....” Restatement (Second) of Torts § 314A cmt. d; see also DeMontiney, 144 Ariz. at 11, 695 P.2d at 260.
¶ 9 The legislature, however, enacted limited statutory exceptions to the general liability of governmental entities for tortious conduct. See Clouse ex rel. Clouse v. State, 199 Ariz. 196, 199 ¶ 13, 16 P.3d 757, 760 (2001) (describing the legislature’s enactment of the Actions Against Public Entities or Public Employees Act (the “Act”), codified at A.R.S. §§ 12-820 to 826, providing for absolute immunity, qualified immunity, and affirmative defenses for public entities and employees). One of those exceptions is found in § 12-820.02(A)(7):
Unless a public employee acting within the scope of the public employee’s employment intended to cause injury or was grossly negligent, neither a public entity nor a public employee is liable for ... [a]n injury to the driver of a motor vehicle that is attributable to the violation by the driver of § 28-693, 28-1381 or 28-1382.
The title 28 statutes referenced in § 12-820.02(A)(7) prohibit reckless driving, § 28-693; driving while under the influence, § 28-1381; and driving while under the extreme influence, § 28-1382.
¶ 10 Section 12-820.02(A)(7)’s language implies a two-part test for determining whether the statute’s qualified immunity applies: first, there must have been “[a]n injury to the driver of a motor vehicle”; second, that injury must be “attributable to” the driver’s violation of one of the specified title 28 statutes. If the two-part test is satisfied, the public entity cannot be held liable unless it acted with gross negligence or intentionally, instead of being held to the ordinary negligence standard of reasonable care. See A.R.S. § 12-820.02(A)(7); Glazer, 237 Ariz. at 163 ¶ 11, 347 P.3d at 1144 (“The Act leaves intact the common-law rule that the government is liable for its tortious conduct unless immunity applies.”).
¶ 11 Fleming contends that the trial court erred by instructing the jury on § 12-820.02(A)(7), arguing that neither part of the statute was met. See Sparks v. Republic Nat’l Life Ins. Co., 132 Ariz. 529, 539, 647 P.2d 1127, 1137 (1982) (finding it “reversible error to instruct the jury on a legal theory which is not supported by the evidence”). “When a jury instruction is challenged, we must view the evidence in [the] light most favorable to the party who requested the instruction.” Jones v. Munn, 140 Ariz. 216, 218, 681 P.2d 368, 370 (1984). But the prop er interpretation of a statute on which the court instructs the jury is a legal issue we review de novo. See Glazer, 237 Ariz. at 163 ¶ 12, 347 P.3d at 1144.
A.
¶ 12 We first address whether Mascolino was a “driver of a motor vehicle” under § 12-820.02(A)(7) when Gallivan crashed into the DPS cruiser in which she was seated in the rear. “If a statute is unambiguous, we apply its terms without resorting to other tools of statutory interpretation, unless doing so leads to impossible or absurd results.” Orea Commc’ns Unlimited, LLC v. Noder, 236 Ariz. 180, 182 ¶ 9, 337 P.3d 545, 547 (2014). “Words in statutes, however, cannot be read in isolation from the context in which they are used.” J.D. v. Hegyi, 236 Ariz. 39, 41 ¶ 6, 335 P.3d 1118, 1120 (2014). And when statutes relate to the same subject matter, we construe them together as though they constitute one law and attempt to reconcile them to give effect to all provisions involved. Bell v. Indus. Comm’n, 236 Ariz. 478, 480 ¶ 7, 341 P.3d 1149, 1151 (2015). If we conclude that the language is ambiguous, “we may consider the statute’s subject matter, legislative history, and purpose, as well as the effect of different interpretations, to derive its meaning.” Id.
¶ 13 Neither § 12-820.02 nor § 12-820 (“Definitions”) defines the word “driver.” The court of appeals therefore appropriately consulted a dictionary defining “driver” as “[o]ne that drives, as the operator of a motor vehicle.” Fleming, 236 Ariz. at 213 ¶ 12, 337 P.3d at 1195 (alteration in original) (quoting The American Heritage Dictionary 548 (5th ed.2011)); see State v. Pena, 235 Ariz. 277, 279 ¶ 6, 331 P.3d 412, 414 (2014) (“Absent statutory definitions, courts apply common meanings and may look to dictionaries.” (citations omitted)). Based on that definition, the court concluded that “the term ‘driver’ does not require that one be in the act of driving; rather, it describes a person who drives.” Fleming, 236 Ariz. at 213 ¶ 12, 337 P.3d at 1195. The court reasoned that “[i]f the legislature had intended to limit application of § 12-820.02(A)(7) to persons actively driving at the time of injury, it could have included language to that effect ... [and] it is not the function of the courts to rewrite statutes.” Id.
¶ 14 The word “driver” in § 12-820.02(A)(7), however, also reasonably lends itself to a different interpretation. The definition of driver as “one that drives” does not necessarily include one who merely drove in the past. To “drive” is commonly understood to mean “an act of driving.” Webster’s Ninth New Collegiate Dictionary 384 (1983). A “driver,” being “one that drives,” id., can therefore be fairly understood to mean someone who does “an act of driving.” Consistent with these definitions, once the act of driving ends, the person is no longer one who drives and thus not a driver. For purposes of the statute then, an injury to a person who is no longer driving is not “[a]n injury to the driver of a motor vehicle.” A.R.S. § 12-820.02(A)(7). This alternative, reasonable reading does not require any rewriting of the statute.
¶ 15 The court of appeals further reasoned that “while perhaps persuasive,” the definitions of “drive” and “driver” in title 28 “are not mandatory with respect to § 12-820.02(A)(7).” Fleming, 236 Ariz. at 213 ¶ 12 n. 2, 337 P.3d at 1195 n. 2. The court nonetheless remarked that its conclusion that “driver” in § 12-820.02(A)(7) does not require the person to be in the act of driving “closely tracks” the title 28 definition of a driver as “a person who drives or is in actual physical control of a vehicle.” Id. at 213 ¶ 12, 337 P.3d at 1195 (quoting A.R.S. § 28-101(18)).
¶ 16 As the court of appeals correctly observed, § 28-101 defines “drive” and “driver” for title 28 purposes. See A.R.S. § 28-101(17) — (18). But we disagree that the court of appeals’ construction of “driver” in § 12-820.02(A)(7) closely tracks the title 28 counterpart in anything but language. Reading “a person who drives” in the title 28 definition of “driver” to encompass someone who has driven in the past strains its meaning when what follows — “or is in actual physical control” — is clearly stated in and limited to the present tense. A.R.S. § 28-101(18) (emphasis added). In State v. Zaragoza, we explained that “[f]or many years the legisla ture limited Arizona’s driving while intoxicated statute to actual driving ... [but] [i]n 1950, the legislature extended the statute to [also] prohibit ‘actual physical control’ ... to include more than just driving.” 221 Ariz. 49, 51 ¶¶ 7-8, 209 P.3d 629, 631 (2009) (emphasis added). Consistent with Zaragoza, a “driver” under title 28 is a person who is driving or in actual physical control of a vehicle. It does not include one who is neither in the act of driving nor in actual physical control of a vehicle.
¶ 17 Moreover, although the title 28 definition of “driver” applies to title 28, it is reasonable to interpret “driver” in § 12-820.02(A)(7) to conform with that definition. Section 12-820.02(A)(7) not only refers to the title 28 statutes of §§ 28-693, -1381, and - 1382, but would also be meaningless without that reference. See A.R.S. § 12-820.02(A)(7) (“An injury to the driver of a motor vehicle that is attributable to the violation by the driver of [ ... ].”). This militates toward reading § 12-820.02(A)(7) together with the title 28 statutes as though they constituted one law and reconciling them to give effect to all provisions involved. See Bell, 236 Ariz. at 480 ¶ 7, 341 P.3d at 1151. So construed, “[a]n injury to the driver of a motor vehicle” in § 12-820.02(A)(7) means an injury to a person who is driving or in actual physical control of a vehicle when she is injured. See A.R.S. §§ 12-820.02(A)(7); 28-101(17)-(18); Zaragoza, 221 Ariz. at 51 ¶¶ 7-8, 209 P.3d at 631. We thus disagree with the court of appeals’ conclusion that § 12-820.02(A)(7) necessarily encompasses an injury to a person who drove at some point in the past. See Fleming, 236 Ariz. at 213 ¶ 12, 337 P.3d at 1195.
¶ 18 As the discussion above demonstrates, the term “driver” as used in § 12-820.02(A)(7) is reasonably susceptible to differing interpretations and therefore ambiguous. It is well established, however, that “[s]ince immunity is the exception and not the rule, ... judicial construction of immunity provisions in statutes applicable to government entities should be restrained and narrow.” Fid. Sec. Life Ins. Co. v. Ariz. Dep’t of Ins., 191 Ariz. 222, 225 ¶ 7, 954 P.2d 580, 583 (1998) (citing Schabel v. Deer Valley Unified Sch. Dist. No. 97, 186 Ariz. 161,164, 920 P.2d 41, 44 (1996)); see also Glazer, 237 Ariz. at 163 ¶ 12, 347 P.3d at 1144 (“Because § 12-820.03 bars recovery against public entities if the defense is proven, we construe it narrowly.”); Doe ex rel. Doe v. State, 200 Ariz. 174, 176 ¶ 4, 24 P.3d 1269, 1271 (2001) (“[Courts] construe immunity provisions narrowly.”). Narrowly construing immunity provisions, including § 12-820.02(A)(7), respects the legislature’s statement of purpose and intent in enacting them:
[I]t is hereby declared to be the public policy of this state that public entities are liable for acts and omissions of employees in accordance with the statutes and common law of this state. All of the provisions of this act should be construed with a view to carry out the above legislative purpose.
1984 Ariz. Sess. Laws, ch. 285, § 1(A) (2d Reg. Sess.).
¶ 19 Under the court of appeals’ interpretation of § 12-820.02(A)(7), qualified immunity applies if an injury to the “driver of a motor vehicle” occurs either while the driver is driving or at any time after the driver is no longer driving, as long as the driver’s injury is found to be attributable to his or her violation of the title 28 statutes. See Fleming, 236 Ariz. at 213 ¶ 12, 337 P.3d at 1195. Under our interpretation, the injury must occur while the driver is driving or in actual physical control of the motor vehicle. This latter interpretation represents a narrower application of the statute, without undermining the legislature’s grant of qualified immunity, see Greenwood v. State, 217 Ariz. 438, 443 ¶ 16, 175 P.3d 687, 692 (App.2008) (stating that courts may not “construe an immunity provision so narrowly as to abrogate the legislature’s grant of immunity”), and while remaining consistent with the court of appeals’ application of § 12-820.02(A)(7) in DeVries v. State, in which the driver suffered injury while driving, 221 Ariz. 201, 203 ¶ 2, 211 P.3d 1185, 1187 (App.2009).
¶ 20 Accordingly, we hold that “[a]n injury to the driver of a motor vehicle” in § 12-820.02(A)(7) means an injury to a person who is driving or in actual physical control of a motor vehicle when she is injured. The trial court erred by instructing the jury on § 12- 820.02(A)(7), because on this record no reasonable juror could find (nor does DPS suggest) that Mascolino was either driving or in actual physical control of a vehicle when Gallivan collided with the DPS cruiser in which she died.
B.
¶ 21 Because we hold that § 12-820.02(A)(7) was inapplicable as Mascolino was not a driver of a motor vehicle at the relevant time, we leave for another day the interpretation of “attributable to” in the same statute. It is better to address that issue in a case in which it is squarely presented — that is, where the injured person was a “driver.”
III.
¶ 22 We vacate ¶¶ 9-17 and 23 of the court of appeals’ opinion, reverse the judgment of the superior court, and remand this case to that court for further proceedings.
|
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OPINION
CATTANI, Judge:
¶ 1 Arizona Revised Statutes (“A.R.S.”) § 42-16002(B)(1) provides that a tax valuation or classification determined in a successful tax appeal “rolls over” to the next tax year unless “[t]here is new construction, a structural change or a change of use on the property.” In this appeal, we address the tax court’s ruling that a “change of use” under the statute does not include a new owner’s intent to redevelop the property for other uses. For reasons that follow, we affirm, concluding that a changed use under § 42-16002(B) must be a physical, objectively verifiable or demonstrable use or activity on the property itself, not just a change in ownership or of purpose, plan, or intent. We also affirm the tax court’s ruling that, under A.R.S. § 42-16210, a valuation appeal may be pursued even if taxes that come due while the appeal is pending are not timely paid.
FACTS AND PROCEDURAL BACKGROUND
¶ 2 General Motors Corp. (“GM”) operated a motor vehicle research and development desert proving ground on several parcels totaling approximately 3,200 acres in Mesa. In a prior tax appeal, GM challenged Maricopa County’s valuation of the proving ground property for, as relevant here, the 2007 tax year. See Gen. Motors Corp. v. Maricopa County, TX2005-050340 (Ariz.Tax Ct.). A jury found that the full cash value of the property as of January 1, 2006 (the valuation date for the 2007 tax year, see A.R.S. § 42-11001(18)) should be reduced to $89,000,961.
¶ 3 In December 2006, GM sold the property to DMB Mesa Proving Grounds LLC (“DMB”) for $265,000,000 pursuant to a sale-leaseback agreement under which GM, as DMB’s tenant through 2009, would continue to operate the property as an automotive proving ground for at least two years. During the lease term, DMB retained the right to pursue zoning adjustments and to take other steps in anticipation of redeveloping the property for other purposes.
¶ 4 As of January 1, 2007, the County set the property’s full cash value at $187,824,386 for the 2008 tax year. GM and DMB (collectively “Taxpayers”) appealed that valuation to the tax court and moved for summary judgment, arguing that, under § 42-16002(B), the full cash value for the 2007 tax year determined by the jury ($89,000,961) should apply to the 2008 tax year as well. The County opposed, arguing that the sale to DMB had created “a change of use on the property,” bringing the property within an exception to the rollover provision. See A.R.S. § 42-16002(B)(1). The tax court ruled in favor of Taxpayers, and the County timely appealed.
¶ 5 While the tax appeal was pending, the County discovered that Taxpayers had not paid the second half of the 2010 taxes owed on the proving ground property until July 15, 2011, after the May 1 delinquency date had passed. See A.R.S. § 42-18052(B). At the County’s request, this court stayed the appeal and revested jurisdiction in the tax court to address the County’s contention that Taxpayers’ failure to timely pay the 2010 property taxes required dismissal of the appeal. The tax court denied the County’s motion for summary judgment on that ground, and the County filed an amended notice of appeal from that judgment as well. 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 The County argues — as it did before the tax court — that Taxpayers’ appeal should have been dismissed because Taxpayers failed to timely pay property tax while the appeal was pending. Additionally, the County argues that the court should not have applied the rollover statute in determining the property’s 2008 valuation because there was a “change of use on the property.”
I. Standard of Review.
¶ 7 We review de novo the tax court’s ruling on a motion for summary judgment. Staples v. Concord Equities, L.L.C., 221 Ariz. 27, 29, ¶ 8, 209 P.3d 163, 165 (App.2009). Summary judgment is appropriate if “there is no genuine dispute as to any material fact and the moving party is entitled to judgment as a matter of law.” Ariz. R. Civ. P. 56(a); see also Orme Sch. v. Reeves, 166 Ariz. 301, 305, 802 P.2d 1000,1004 (1990).
¶ 8 We review statutory interpretation and jurisdictional rulings de novo as issues of law. Orme Sch., 166 Ariz. at 305, 802 P.2d at 1004; Sempre Ltd. P’ship v. Maricopa County, 225 Ariz. 106, 108, ¶ 5, 235 P.3d 259, 261 (App.2010). The primary goal in statutory interpretation is to effectuate the Legislature’s intent. Id. at ¶ 9, 235 P.3d 259. To do so, we look first to the plain language of the statute itself. Sempre, 225 Ariz. at 108, ¶ 5, 235 P.3d at 261. We consider the statute as a whole, including its context within a broader statutory scheme. Id.; see also State ex rel. Ariz. Dep’t of Revenue v. Capitol Castings, 207 Ariz. 445, 447, ¶ 9, 88 P.3d 159, 161 (Ariz.2004). We construe tax statutes liberally in favor of the taxpayer and against the government. See Capitol Castings, 207 Ariz. at 447, ¶ 10, 88 P.3d at 161.
¶ 9 The County argues that the rollover statute should be strictly construed against the taxpayer because it provides a benefit not available to all taxpayers. But although “tax deductions, subtractions, exemptions, and credits are to be strictly construed,” Ariz. Dep’t of Revenue v. Raby, 204 Ariz. 509, 511-12, ¶ 16, 65 P.3d 458, 460-61 (App.2003), the rollover statute does not provide relief from or diminution of tax liability. Rather, it functions as a valuation (or classification) statute. See A.R.S. § 42-16002(B) (determining property valuation or classification in light of result of prior year’s tax appeal). As such, it is subject to liberal construction. See Staples, 221 Ariz. at 29, ¶ 9, 209 P.3d at 165 (applying liberal construction to interpretation of rollover statute).
II. Delinquent Tax Statutes.
¶ 10 All parties agree that Taxpayers timely paid their 2008 property taxes (those challenged in this valuation appeal). The County argues, however, that under A.R.S. § 42-11004, Taxpayers’ failure to timely pay the 2010 taxes deprives the courts of authority to hear the 2008 valuation appeal.
¶ 11 Section 42-11004 provides:
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:
1. Levied and assessed in previous years against the person’s property have not been paid.
2. That are the subject of the action are not paid before becoming delinquent.
3. Coming due on the property during the pendency of the action are not paid before becoming delinquent.
(Emphasis added). This statute does not apply, however, because a valuation appeal is not an action to “test the validity or amount of tax” within the meaning of this provision. See RCJ Corp. v. Ariz. Dep’t. of Revenue, 168 Ariz. 328, 331, 812 P.2d 1146, 1149 (Tax Ct.1991); Scottsdale Princess P’ship v. Maricopa County, 185 Ariz. 368, 378, 916 P.2d 1084, 1094 (App.1995) (distinguishing between refund action and challenges to classification or valuation).
¶ 12 The statutory scheme bears out the distinction by providing that valuation appeals may only be brought under Chapter 16 of Title 42 (A.R.S. §§ 42-16001 to -16259), not under Chapter 11:
Any taxpayer who is dissatisfied with the valuation or classification of the taxpayer’s property may appeal to court only in the time and manner prescribed in chapter 16 of this title.
A.R.S. § 42-11005(D) (emphasis added).
¶ 13 Chapter 16 in turn provides a specific payment requirement applicable to valuation appeals. This requirement (under § 42-16210) applies only to the property taxes challenged in the appeal — not prior years or years that come due while the appeal remains pending:
A. All taxes levied and assessed against property for the year on which an appeal has been filed by the property owner shall be paid before they become delinquent.
B. If the taxes are not paid before becoming delinquent, the court shall dismiss the appeal except [if the taxes are paid within a grace period].
¶ 14 The County suggests that applying § 42-16210 and not § 42-11004 to valuation appeals will harm the public treasury by allowing property owners to delay paying future taxes during the pendency of an appeal. But by its terms, § 42-16210 does not have any effect on property owners’ ongoing obligation to timely pay property taxes. And this court has recently reaffirmed the distinction between the statutes, noting that “ § 42-16210(B) [is] the statute requiring timely payment for all actions brought under Chapter 16 — not § 42-11004.” Sonoran Peaks, LLC v. Maricopa County, 236 Ariz. 399, 402, ¶ 11, 340 P.3d 1107, 1110 (App.2015); see also RCJ Corp., 168 Ariz. at 333, 812 P.2d at 1151 (holding that only the payment requirement of the predecessor statute to § 42-16210, not those of the statutory predecessor to § 42-11004, applied to valuation appeals).
¶ 15 Taxpayers here brought a Chapter 16 valuation appeal. Under § 42-16210, timely payment of the challenged taxes — the 2008 tax year, but not of subsequent years — was a prerequisite to suit. Accordingly, the tax court did not err by declining to dismiss the appeal based on Taxpayers’ delinquent payment of 2010 taxes.
III. Rollover Statute.
¶ 16 The County argues that the tax court erred in its interpretation of the rollover statute, and thus erroneously determined that the 2007 valuation of the proving ground property determined in a prior tax appeal rolled over as the 2008 valuation as well.
¶ 17 As relevant here, the rollover statute provides:
B. If a review or administrative appeal pursuant to article 2, 3 or 4 of this chapter [16] or a judicial appeal pursuant to article 5 of this chapter results in a reduction of the valuation or a change in the classification of property, in the next year the valuation or classification of property shall be the valuation or classification that was determined by the review or appeal unless either:
1. There is new construction, a structural change or a change of use on the property.
A.R.S. § 42-16002(B). The parties agree that the first two provisions in subsection (1) do not apply, as there was neither new construction nor a structural change on the property. The only dispute is whether there was “a change of use on the property” between the 2007 and 2008 tax years.
¶ 18 During the 2007 tax year, GM owned and operated the property as an automotive proving ground. During the 2008 tax year, GM still operated the proving ground on the property, but as a tenant; the property was owned by DMB, which intended to develop the property at some point in the future. The question is whether this sale-leaseback— which left GM’s physical use of the property unchanged — established a change of use on the property.
¶ 19 “Use” is not defined in the rollover statute. Accordingly, we look to the language and context of the statute to construe the intended meaning of “change of use.” The tax court reasoned that the language of the statute “focuses on the objective use to which the property is put” and that a change of use — like new construction or a structural change — “should be equally verifiable by reference to the property, not to its owner.” We agree.
¶ 20 This interpretation reads the three triggering changes of § 42-16002(B)(1) in parallel. New construction on the property creates a physical change. A structural change on the property similarly contemplates a physical modification. In this context, “a change of use” should also be understood to refer to a physical use. See Estate of Braden v. State, 228 Ariz. 323, 326, ¶ 13, 266 P.3d 349, 352 (2011) (“[A] statutory term is interpreted in context of the accompanying words.”). This is also consistent with the statutory language referencing “a change of use on the property.” Construing “use” as a physical, objectively verifiable use or activity ensures that the relevant use remains tied to occurrences on the property itself, rather than to the owner’s subjective purpose or plan.
¶ 21 Interpreting “use” as an objectively verifiable, physical use or activity on the property promotes clarity. An owner may have many, even contradictory or rapidly changing, subjective intents for the property. For example, even while GM owned the property, at some point GM’s plans for the property changed — it offered the property for sale — although the property’s demonstrable use as a proving ground remained constant. Tying the change of use to physical, objectively verifiable activity on the property allows a concrete determination of “use” independent of an owner’s subjective and sometimes ill-defined “purpose.”
¶ 22 Moreover, contrary to the County’s argument, this interpretation does not ignore the owner’s use of the property by focusing solely on the tenant’s activities. Rather, it tracks the statute’s terms by focusing directly on the property itself. Regardless whether the owner or a tenant occupies the property, it is the activities conducted on the property that define the physical, objective use of the land. The owner ultimately controls the use of the property, as it did here, for example, by the terms of a lease agreement, and the owner remains legally responsible for the payment of property taxes. See Circle K Stores, Inc. v. Apache County, 199 Ariz. 402, 407, ¶ 13, 18 P.3d 713, 718 (App. 2001).
¶ 23 Although the ownership of the proving ground property changed — and although DMB’s purpose in holding the land may have been different than GM’s — the property continued to be used as an automotive proving ground through the 2008 tax year. Because there was no change of use on the property, the rollover provision applied, and the tax court did not err by granting Taxpayers’ motion for summary judgment and ordering that the 2008 full cash value be set at $89,000,961.
III. Attorney’s Fees.
¶ 24 Taxpayers seek an award of attorney’s fees under A.R.S. § 12 — 348(B)(1), which authorizes a discretionary award of fees to a taxpayer that prevails in its challenge to assessment or collection of taxes. In our discretion, we award Taxpayers their reasonable attorney’s fees, as limited by § 12-348(E), upon compliance with ARCAP 21. As the prevailing parties, Taxpayers are entitled to an award of costs upon compliance with ARCAP 21.
CONCLUSION
¶ 25 The judgment is affirmed.
. Absent material revisions after the relevant date, we cite a statute's current version.
. The County also filed a cross-motion for summary judgment, arguing that the full cash value should be adjusted upward to $265,000,000, the price DMB paid to buy the land in December 2006. In granting Taxpayers' motion, the tax court denied the County's motion for summary judgment, and that denial is not a subject of this appeal.
. Although the statute determines valuation or classification in certain circumstances, it does not provide a valuation method or classification criteria, and it therefore is neither a standard valuation or classification statute. Thus, the various definitions of “use” for those purposes are not dispositive. See, e.g., Krausz v. Maricopa County, 200 Ariz. 479, 28 P.3d 335 (App.2001) (distinguishing between owners’ and tenants’ use of property for classification purposes); Hayden Partners Ltd. P'ship v. Maricopa County, 166 Ariz. 121, 800 P.2d 987 (App.1990) (describing relevant intended use for certain classification purposes).
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OPINION
OROZCO, Judge:
¶ 1 This appeal concerns the development of a proposed “waste-to-energy” (WTE) facility, which would generate electricity by burning landfill waste, and the classification of electrical power that would be produced by the proposed facility. The Arizona Constitution grants the Arizona Corporation Commission (the Commission) broad power to “prescribe just and reasonable” classifications and rates for services rendered by public service corporations. Ariz. Const. art. 15, § 3. We review the scope of that authority and the deference due a Commission decision, later vacated by the superior court, granting approval for the proposed WTE facility. For the reasons that follow, we reverse the superior court’s decision and reinstate the Commission’s decision to the extent it grants an application by Mohave Electric Cooperative, Inc. (Mohave) for a waiver to the Renewable Energy Standard and Tariff (REST) rules.
FACTS AND PROCEDURAL BACKGROUND
¶ 2 Arizona public utility corporations providing electricity are subject to the REST rules promulgated in Arizona Administrative Code (A.A.C.) sections R14-2-1801, et seq. These rules require affected corporations “to satisfy an Annual Renewable Energy Requirement by obtaining Renewable Energy Credits [ (Credits) ] from Eligible Renewable Energy Resources.” A.A.C. R-14-2-1804.A. A Credit is obtained for each kilowatt-hour “derived from an Eligible Renewable Energy Resource.” A.A.C. R14-2-1803.A. Athough specific Eligible Renewable Energy Resources are listed in the rules, the Commission “may adopt pilot programs in which additional technologies are established as El igible Renewable Energy Resources.” A.A.C. R14-2-1802.D. The Commission also “may waive compliance with any provision of [the REST rules] for good cause.” A.A.C. R14-2-1816.A.
¶ 3 Mohave filed an application asking the Commission to either (1) recognize a proposed WTE facility as a “pilot program,” or (2) waive the REST rules for the proposed facility “to the limited extent necessary to recognize energy produced [by the] facility as an ‘Eligible Renewable Energy Resource.’” Mohave’s application stated that Reclamation Power Group, LLC (RPG), which intended to develop, own, and operate the proposed WTE facility in Maricopa County, could not provide “economically viable” power unless the Commission classified the municipal solid waste that would be used as fuel by the facility as a Credit-eligible “Renewable Energy Resource.” Appellee, Sierra Club-Grand Canyon Chapter (Sierra Club) successfully intervened to oppose Mohave’s application.
¶ 4 The Commission’s Utilities Division (Staff) produced a report on Mohave’s application and drafted a recommended decision. The report stated that Mohave had provided Staff with a “breakdown, by category” of a waste sample from a landfill that Mohave claimed was representative of the waste composition the WTE facility would burn as fuel if the facility became operational. The report discussed how the Mohave “breakdown” showed ninety-five percent of the waste consisted of “biogenic material.” The Staff report concluded that burning waste of this composition would mean “the biogenic material contributes about [ninety-one] percent of the energy to the process while non-biogenic materials contribute about [nine] percent[.]” The report suggested that the ninety-one percent figure was high in relation to the results of other studies. As a result, Staff recommended that the Commission not grant “pilot program” status and instead grant a good-cause waiver of the REST rules to allow seventy-five percent of the kilowatts produced by the facility to be Credit-eligible “as being produced by an Eligible Renewable Energy Resource.”
¶ 5 Both Mohave and Sierra Club filed exceptions to the Staff recommendation. Following an open meeting, the Commission held a three-day evidentiary hearing before an administrative law judge (ALJ). Seven witnesses testified, including representatives from Staff and acting President of RPG Ronald Blendu. Following the evidentiary hearing, the Commission adopted most of the Staff findings and recommended decision, with two important changes: the Commission (1) granted the WTE facility “pilot program” status under the REST rules, noting that “[although we disagree with Staff that a waiver of the REST Rules is necessary to approve [Mohave’s] application ... we recognize and acknowledge that Staffs analysis ... provides an independent and alternative basis upon which to approve this application[,]” and (2) granted Credits for ninety percent of the kilowatt hours that would be produced by the facility.
¶ 6 Sierra Club petitioned for a rehearing, which the Commission granted. Another evidentiary hearing was held, with extensive testimony from several witness, once again including representatives from Staff and Ronald Blendu. Following the rehearing, the Commission affirmed its initial decision “in its entirety.” The Commission denied Sierra Club’s petition for rehearing on that decision.
¶ 7 Sierra Club then sought review of the Commission’s decision in superior court pursuant to Arizona Revised Statutes (A.R.S.) section 40-254 (West 2015). Sierra Club and the Commission requested judgment on the record created before the Commission. Following briefing and oral argument, the superior court vacated the Commission’s decision, stating that “the authorities and argu ments provided by [Sierra Club] are well-taken, and this Court adopts those authorities and arguments in support of its decision.” The superior court further awarded Sierra Club its attorney fees and costs. After entry of judgment by the superior court, this timely appeal followed. We have jurisdiction pursuant to A.R.S. § 12-2101(B) (West 2015).
DISCUSSION
I. Appropriate Standards of Proof and Review
¶ 8 The Commission first contends that its constitutional ratemaking authority entitled its decision to a more deferential standard of review than it received from the superior court. Additionally, the Commission argues that the superior court erred by applying ambiguous standards of proof and review. The proper standards of proof and review for challenges to Commission decisions are legal questions we review de novo. See Tucson Elec. Power Co. v. Ariz. Corp. Comm’n., 132 Ariz. 240, 242-44, 645 P.2d 231 (1982).
¶ 9 The Commission occupies a unique place in Arizona’s government, with our state constitution expressly stating the Commission’s purpose and powers. See generally Ariz. Const. art. 15. Our supreme court has described the Commission as “another department of government, with powers and duties as well defined as any branch[.]” State v. Tucson Gas, Elec. Light & Power Co., 15 Ariz. 294, 306, 138 P. 781 (1914); see also Ariz. Corp. Comm’n v. State ex rel. Woods, 171 Ariz. 286, 290, 830 P.2d 807 (1992) (recognizing that “[t]he [Arizona Constitution’s] framers established the Commission as a separate, popularly-elected branch of state government”). This special status makes the judicial review process for the Commission’s decisions distinct from the process for reviewing other administrative decisions, although they share many similarities. See Tucson Elec. Power Co., 132 Ariz. at 243, 645 P.2d 231; compare A.R.S. § 12-905(A) (West 2015) with A.R.S. § 40-254(A) (West 2015).
¶ 10 A further distinction exists concerning the scope of judicial review for Commission decisions. As set forth in Tucson Electric Power Company, a court’s de novo review is “limited” when the reviewing court is examining a ratemaking decision. 132 Ariz. at 243-44, 645 P.2d 231. Here, Sierra Club asserts that the Commission’s ratemaking authority is limited to particular elements, none of which apply to decisions about “pilot programs” or waivers under the REST rules. But Arizona case law has not restricted “ratemaking” as such. See Woods, 171 Ariz. at 294, 830 P.2d 807 (concluding that “even assuming we restrict the Commission’s regulatory power to its ratemaking function, we must give deference to the Commission’s determination of what regulation is reasonably necessary for effective ratemaking”). Indeed, this court recently concluded that the Commission promulgated the REST rules pursuant to its ratemaking power. See Miller v. Ariz. Corp. Comm’n., 227 Ariz. 21, 29, ¶ 33, 251 P.3d 400 (App.2011). Sierra Club contends that the court’s holdings in Miller are inapposite because that case concerned a collateral attack on the Commission’s power to enact the regulations. It follows, however, that rules enacted under the Commission’s ratemaking power are also reviewable under the standards for reviewing ratemaking decisions. As a result, we conclude the Commission decision here was made under the Commission’s ratemaking power. We now turn to the appropriate standards of proof and review for ratemaking cases.
¶ 11 The applicable standard in reviewing a Commission decision is found in A.R.S. § 40-254(E), which provides that “[i]n all trials, actions and proceedings the burden of proof shall be upon the party adverse to the [C]ommission or seeking to vacate or set aside any determination or order of the [C]ommission to show by clear and satisfactory evidence that it is unreasonable or unlawful.” The Arizona Supreme Court has provided guidance on how the superior court should review a ratemaking decision under § 40-254. First, the superior court must conduct a “limited” de novo review via a new trial to give the parties an opportunity to present new evidence. See Tucson Elec. Power Co., 132 Ariz. at 243, 645 P.2d 231. In considering the evidence presented to the Commission, however, “[t]he [s]uperior [c]ourt may not reweigh the evidence and substitute its judgment for that of the Commission, but may disturb the Commission’s rate decision only if it is not reasonably supported by the evidence, is arbitrary, or is otherwise unlawful.” Id. (emphasis added; internal citation omitted). After the superior court reviews a Commission decision, “an appellate court reviews the [sjuperior [ejourt’s decision and not the Commission’s[.]” Id. at 244, 645 P.2d 231. If the superior court’s decision “disturbed” the Commission’s, the appellate court examines the superior court’s “contrary conclusions to see if they are supported by clear and satisfactory evidence.” Id. “Clear and satisfactory evidence” is the same as “clear and convincing evidence” and is a higher burden than preponderance of evidence. Id. at 243, 645 P.2d 231.
¶ 12 Even under a “limited” de novo review, the court is not bound by the Commission’s legal conclusions, and a reviewing court must “determine independently whether the Commission erred in its interpretation of the law.” Babe Invs. v. Ariz. Corp. Comm’n, 189 Ariz. 147, 150, 939 P.2d 425 (App.1997). The Commission’s factual determinations, however, are entitled to deference and the superior court “is not free to overturn [them] unless the plaintiff demonstrates by ‘clear and convincing evidence’ that the Commission’s determination is unreasonable.” Grand Canyon Trust v. Ariz. Corp. Comm’n, 210 Ariz. 30, 34, ¶ 11, 107 P.3d 356 (App.2005) (citing Tucson Elec. Power Co., 132 Ariz. at 243-44, 645 P.2d 231).
II. The Superior Court’s Judgment
¶ 13 In entering judgment in favor of Sierra Club, the superior court made the following determinations:
1. The Corporation Commission’s [REST] rules do not allow [m]unicipal [s]olid [w]aste ... as an eligible renewable energy resource and, therefore, waste-to-energy facilities using [municipal solid waste] are not eligible as a pilot program under the rules;
2. The proposed [WTE] facility does not qualify for a waiver from the requirements of the REST rules because good cause was not established for a waiver and a waiver would be inconsistent with the exclusion of [municipal solid waste] as an eligible renewable resource under the rules; and
3. There was no credible evidence to support the Commission’s determination that 90% of the electricity from the proposed [WTE] facility would come from biogenic sources.
We analyze these conclusions in turn.
A. The Superior Court’s Interpretation of the REST Rules
¶ 14 The superior court’s first two conclusions construe and interpret the REST rules. We therefore review them de novo to the extent necessary to resolve this appeal. See BNSF Ry. Co. v. Ariz. Corp. Comm’n, 228 Ariz. 481, 485, ¶ 12, 268 P.3d 1138 (App.2012) (observing Court of Appeals “can draw our own legal conclusions” in reviewing the superior court’s review of a Commission decision); Libra Grp., Inc. v. State, 167 Ariz. 176, 179, 805 P.2d 409 (App.1991) (noting “applicable statutes and regulations” are reviewed de novo). However, because we conclude good cause was established for a waiver of the REST rules, we need not determine as a matter of law whether the REST rules preclude pilot program status for WTE facilities that use municipal solid waste. See KZPZ Broad., Inc. v. Black Canyon City Concerned Citizens, 199 Ariz. 30, 38, ¶¶ 28-29, 13 P.3d 772 (App.2000) (noting that a dispositive holding on one issue may preclude appellate review of other presented issues).
¶ 15 As previously noted, the REST rules require affected utility corporations “to satisfy an Annual Renewable Energy Requirement by obtaining [Credits] from Eligible Renewable Energy Resources.” A.A.C. R14-2-1804.A. The rules generally define “Eligible Renewable Energy Resources” as “applications of ... technologies that displace Conventional Energy Resources that would otherwise be used to provide electricity to an Affected Utility’s Arizona customers[.]” A.A.C. R14-2-1802.A. A “Conventional Energy Resource” is defined as “an energy resource that is non-renewable in nature, such as natural gas, coal, oil, and uranium, or electricity that is produced with energy resources that are not Renewable Energy Resources.” A.A.C. R14-2-1801.C. By express provision in the REST rules, “[t]he Commission may waive compliance with any provision of [the REST rules] for good cause.” A.A.C. R14-2-1816.A.
¶ 16 Sierra Club asserts the superior court correctly found that good cause for a waiver was not established. More specifically, Sierra Club argues that Mohave never claimed it needed a waiver because it cannot comply with the REST rules and the good cause exception should be construed narrowly to prevent the exception from “swallowing] the rule.”
¶ 17 Whether good cause exists for a waiver is a case-by-case determination that “depends on the particular circumstances ... and considerations of practical convenience.” See City of Phoenix v. Peterson, 11 Ariz.App. 136, 141, 462 P.2d 829 (App.1969). Generally, a finding of good cause, or lack thereof, is reviewed for an abuse of discretion. See Bd. of Educ. of Tempe Union Pligh Sch. Dist. of Maricopa Cnty. v. Lammle, 122 Ariz. 522, 527, 596 P.2d 48 (App.1979) (determining whether a trial court’s review of a school board’s dismissal of an employee “for good cause” was “arbitrary, capricious or an abuse of discretion”); Maher v. Urman, 211 Ariz. 543, 548—49, ¶ 15, 124 P.3d 770 (App.2005). When, as here, the superior court has “disturbed” the Commission’s finding, we must determine whether the “contrary conclusions ... are supported by clear and satisfactory evidence.” Tucson Elec. Power Co., 132 Ariz. at 243, 645 P.2d 231. Thus, in this case, we must determine if “clear and satisfactory evidence” supports the superior court’s conclusion that the Commission abused its discretion in finding good cause existed to waive the REST rules. See id. at 244, 645 P.2d 231.
¶ 18 Although the Commission granted Mohave’s application for pilot program status, the Commission also acknowledged that an “independent and alternative basis” existed to grant Mohave a waiver of the REST rules. This conclusion was consistent with the Staff recommendation that the Commission grant Mohave a waiver. In its recommendation, Staff emphasized the experimental nature of WTE facilities and concluded that “the potential benefits [of a WTE facility] outweigh the potential consequences, especially when compared to the alternative of landfilling [municipal solid waste].” Staff maintained this position throughout the Commission’s proceedings.
¶ 19 On this record, we cannot conclude that Sierra Club showed by clear and satisfactory evidence that good cause for a waiver was not established. Much of the evidence presented to the Commission may be characterized as a debate over the degree to which municipal solid waste used as fuel for WTE facilities may be considered “renewable.” Given the Commission’s constitutional authority over these matters, the Commission is ultimately charged with evaluating such issues and, as such, is the best-equipped branch of government to do so. Although meaningful judicial review requires that courts make their own legal determinations, courts properly must exercise a more deferential review towards discretionary matters “constitutionally entrusted to the Commission.” See U.S. W. Commc’n, Inc. v. Ariz. Corp. Comm’n, 185 Ariz. 277, 280, 915 P.2d 1232 (App.1996).
¶ 20 Irrespective of whether the use of municipal solid waste as fuel makes a WTE facility eligible for pilot program status, the REST rules do not explicitly exclude energy produced from municipal solid waste, or at least those portions that may be considered “renewable,” from being considered Credit- eligible if the Commission waives the REST rules for good cause. To the extent this involves construing the REST rules, we conclude only that the Commission retained the discretion to issue a good cause waiver of the rules. The Staff report and testimony stating that a WTE facility could provide substantial benefit to Arizona’s utility infrastructure provided sufficient good cause to issue such a waiver. The superior court’s conclusion that the Commission could not waive the REST rules because it “would be inconsistent with the exclusion of [municipal solid waste] as an eligible renewable resource under the rules” is neither supported by the plain language of the REST rules nor by clear and satisfactory evidence in this record.
B. The Superior Court’s “No Credible Evidence” Conclusion
¶ 21 We next turn to the superior court’s conclusion that no credible evidence supported the Commission’s determination allowing ninety percent of the municipal solid waste that will be used as fuel by the WTE facility to be considered a “renewable energy source.” Because this conclusion “disturbed” the Commission’s decision, we must determine whether the superior court’s conclusion is supported by “clear and satisfactory evidence.” See Tucson Elec. Power Co., 132 Ariz. at 243, 645 P.2d 231.
¶ 22 Similar to an appellate court’s general deference to trial courts on credibility determinations and the weighing of evidence, the Commission is also entitled to deference when “the [C]ommission’s ultimate conclusion or findings of facts [are] supported by substantial evidence, is not arbitrary or is not otherwise unlawful.” Simms v. Round Valley Light & Power Co., 80 Ariz. 145, 154, 294 P.2d 378 (1956). Put differently, the superior court “is not free to overturn” the Commission’s factual determinations unless the party challenging those findings “demonstrates by ‘clear and convincing evidence’ that the Commission’s determination is unreasonable.” Grand Canyon Trust, 210 Ariz. at 34, ¶ 11, 107 P.3d 356 (citing Tucson Elec. Power Co., 132 Ariz. at 243-44, 645 P.2d 231). Substantial evidence is evidence which would permit a reasonable person to reach the Commission’s result. See In re Estate of Pouser, 193 Ariz. 574, 579, ¶ 13, 975 P.2d 704 (1999).
¶ 23 The two evidentiary hearings before the Commission involved significant amounts of live testimony as well as written exhibits. Seven witnesses testified at the first hearing and nine at the second. In its initial recommendation, Staff stated that data received from Mohave, which was considered in formulating the Staff recommendation, showed the municipal solid waste that would be used by the proposed WTE facility would be composed of an estimated ninety-five percent biogenic (renewable) material. Staff deduced that burning municipal solid waste of such composition would mean ninety-one percent of the energy produced by the facility would be produced by renewable sources. However, Staff also noted that the ninety-five percent figure submitted by Mohave was high in relation to data about waste composition collected from other WTE facilities throughout the United States. Staff thus recommended seventy-five percent of any energy produced by the WTE facility be deemed Credit-eligible.
¶ 24 After Mohave filed exceptions to the Staff recommendation, one Commissioner proposed an amendment that generated the ninety percent figure, with an additional provision that could reduce the percentage based on what Staff might discover from Mohave’s mandatory semi-annual reports. At the first evidentiary hearing, a Staff representative testified that Staff had recommended the seventy-five percent figure because “we feel, since [the WTE facility] is an experiment or pilot ... you might want to choose the more conservative estimate of the [seventy-five] percent. But that’s, obviously ... a call for the Commission.” At the second evidentiary hearing, a different Staff representative testified that the ninety percent figure was “within the range ... calculated based on the samples provided by Mohave” and that “it would be a reasonable starting figure,” as would Staff’s recommendation of seventy-five percent.
¶ 25 At the second evidentiary hearing, Ronald Blendu testified about the data Mohave submitted to Staff. Blendu stated that the data was generated from 15,300 pounds of trash collected from a municipal area in western Maricopa County. The trash was sorted “into various categories” to give RPG an idea of “what the fuel supply would [be to] go into the [WTE facility].” Blendu testified in detail about the process used to determine the recycling rates, which would presumably indicate RPG’s ability to remove non-renewable material out of the waste before it is consumed in the facility.
¶ 26 Given this evidence in the Commission record, the superior court improperly reweighed the evidence in concluding no credible evidence existed to support the ninety percent figure adopted by the Commission. See Tucson Elec. Power Co., 132 Ariz. at 243, 645 P.2d 231. Sierra Club contends that the Commission’s decision was based on speculative evidence that “defied credibility.” But in doing so, Sierra Club merely claims the data produced by Mohave and relied upon by Staff is an apparent outlier among similar data collections around the United States. Although Sierra Club asserts that this other data required the Commission to discard Mohave’s data, it is the Commission’s constitutional responsibility, when engaged in its ratemaking power, to view conflicting evidence and make determinations accordingly.
¶ 27 The nature of Mohave’s data was not lost on the Commission. By establishing procedures to report on the actual composition of municipal solid waste used as fuel once the WTE facility became operational, the Commission implicitly acknowledged that future Credit eligibility may require adjustment depending on the data collected. Because the facility is not operational, no data on its fuel consumption currently exists, and the Commission was faced with deciding Mohave’s application using projections and historical data from other facilities across the country. As a result, Mohave’s data, the testimony of Blendu, the Staff recommendation, and other testimony and evidence amounted to substantial evidence supporting the Commission’s decision. The superior court’s conclusion that “no credible evidence” supported the Commission’s decision was therefore not supported by clear and satisfactory evidence. See Tucson Elec. Power Co., 132 Ariz. at 243, 645 P.2d 231. Thus, without new evidence showing Mohave was deceptive in producing its data or it was impossible, not just improbable, that the proposed WTE facility would produce ninety percent of its power from a renewable energy source, the superior court was bound by the Commission’s factual findings.
CONCLUSION
¶ 28 We conclude the Commission was acting within the REST rules’ purview by granting a waiver to Mohave for the WTE facility. We also conclude substantial evidence supported the Commission’s determination that ninety percent of energy produced by the WTE facility would be eligible for Credits, contingent upon the reporting requirements and adjustments required by the Commission’s decision. Accordingly, we reverse the judgment of the superior court and reinstate the Commission’s decision as necessary to be consistent with this decision. Because we reverse the superior court’s judgment, we set aside the award of attorney fees to Sierra Club.
. The REST rules do not define "biogenic,” but they define somewhat related words such as "biomass,” which is "any raw or processed plant-derived organic matter available on a renewable basis[.]" A.A.C. R14-2-1802.A.2.; cf. The American Heritage Dictionary of the English Language 183 (5th ed.2011) (defining "biogenic” as "[p]roduced by living organisms or biological processes.”).
. We cite the current version of applicable statutes when no revisions material to this decision have since occurred.
. We find unavailing Sierra Club's argument that it is “abundantly clear” that challenging a Commission ratemaking decision must be done as a direct appeal to the Court of Appeals pursuant to A.R.S. § 40-254.01. Although this court has interpreted A.R.S. § 40-254.01 as limiting direct appeals to this court to ratemaking decisions by the Commission, that opinion does not conclude that all challenges to Commission ratemaking decisions must be brought pursuant to § 40-254.01. See Arizona-American Water Co. v. Ariz. Corp. Comm’n, 209 Ariz. 189, 191, ¶ 10, 98 P.3d 624 (App.2004).
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OPINION
JONES, Judge:
¶ 1 Yuma Funding, Inc. (Yuma Funding) appeals from the trial court’s order denying its motion to set aside orders appointing, and subsequently releasing, a receiver requested by AEA Federal Credit Union (AEA). We hold that an order declining to set aside an order appointing or releasing a receiver is not a final appealable order under Arizona Revised Statutes (A.R.S.) section 12-2101(A)(5)(b). Accordingly, we dismiss this appeal for lack of jurisdiction.
FACTS AND PROCEDURAL HISTORY
¶ 2 Yuma Funding is an Arizona corporation which, during the events giving rise to the underlying action, was owned and operated by Ken Stevenson, his wife, and his daughter, Tammy Sherman. By 2009, Yuma Funding had obtained nearly three hundred loans from AEA to assist customers in purchasing vehicles from T & K Enterprises, an automobile retailer owned and operated by Stevenson. Each loan obtained from AEA was secured by a lien on the title of the respective vehicle and/or the personal guaranty of Stevenson or Sherman.
¶ 3 In January 2010, AEA filed a verified complaint against Yuma Funding, Stevenson, and Sherman alleging they breached the loan agreements by failing to pay the amounts due from September 2009 through January 2010. AEA further alleged it had recently learned Stevenson’s wife was attempting to remove or destroy Yuma Funding’s business records, and, although the underlying agreements required Yuma Funding to provide information regarding its operations and financial affairs upon request, AEA had been denied access to those business records on two separate occasions. AEA requested monetary damages, as well as appointment of a receiver “to take possession of, secure, maintain and operate Yuma Funding to ensure repayment of the loans” at issue.
¶ 4 That same day, the trial court entered an ex parte order appointing the requested receiver for Yuma Funding, finding “the opportunity to preserve and protect [AEA]’s interest in the collateral or other property currently in the control of Yuma Funding ... and the opportunity to satisfy the outstanding obligations of [Yuma Funding] owed to [AEA] w[ould] be lost or substantially impaired” if a receiver was not appointed on an expedited basis. The order authorized the receiver to undertake “any and all acts necessary to the proper and lawful conduct of the receivership,” including vesting complete and exclusive control over Yuma Funding’s records, financial accounts, assets and operations in the receiver. The order further authorized the receiver to apply income received by Yuma Funding to the obligations owed to AEA after the payment of operating expenses and receiver’s fees. The appointment became effective on January 25, 2010, when the receiver posted a $100,000 bond and filed his oath of receiver.
¶ 5 Yuma Funding was served on January 29, 2010, with a copy of the complaint, summons, application for appointment of receiver ex parte, and order appointing receiver. While both Stevenson and Sherman personally appeared and participated in the trial court proceedings, albeit in a limited fashion, Yuma Funding did not obtain counsel to enter an appearance, file an answer, or otherwise proffer a defense. Nor did any of the defendants request a hearing or object to the appointment of the receiver. As a result, AEA filed an application for entry of default against Yuma Funding on February 22, 2010, and after no response was received, default entered on March 8,2010.
¶ 6 Meanwhile, consistent with the trial court’s order, the receiver submitted a report detailing his initial assessment of Yuma Funding’s financial situation, an inventory of assets, and a list of issues with Yuma Funding’s operations, including poor record-keeping, missing car titles, and potentially improper accounting practices. The receiver continued to manage the operations of Yuma Funding and filed and served on all parties—including counsel for Stevenson and Sherman—monthly status reports detailing cash receipts and disbursements. No objection or request for hearing was made in regard to any of these filings.
¶ 7 In June 2010, AEA requested the receivership be terminated and all property in the receiver’s possession be turned over to AEA to satisfy the debt allegedly owed by Yuma Funding. AEA represented that the receiver “ha[d] recovered, insofar as possible, all vehicles subject to a lien in favor of AEA,” and the only remaining task was to collect accounts receivable. Therefore, the purpose of the receivership — to protect and preserve collateral — had been fulfilled and the receivership was no longer necessary. The receiver joined in the request, and the trial court entered an order on July 16, 2010, releasing the receiver, discharging him from any liability for acts taken in the course of the receivership, purporting to exonerate the bond, approving the receiver’s final compensation, setting a thirty-day deadline for a final accounting, and ordering the receiver to “abandon all books and records” to AEA. The receiver filed and served an interim status report in August 2010 and a final status report in September 2010.
¶ 8 More than two years later, in December 2012, AEA filed a motion to dismiss and for release of the receivership bond. In response, Yuma Funding made its first appearance in the litigation, requesting a thirty-day extension to file an objection to the motion to dismiss on the basis it was “not urgent as the case has been pending for a considerable time without adjudication.” Following receipt of Yuma Funding’s written objection and after oral argument, the trial court denied AEA’s motion for voluntary dismissal, but released the receivership bond.
¶ 9 In November 2013, almost four years after the receiver was appointed, Yuma Funding filed a motion to set aside the order appointing the receiver and “restore the status quo ante as it existed on January 22, 2010.” It alleged several grounds for relief, including, among other things, jurisdictional defects and due process violations.
¶ 10 After hearing arguments, the trial court denied the motion to set aside in a signed order on January 30, 2014. Yuma Funding filed its notice of appeal from that order on February 5, 2014.
DISCUSSION
¶ 11 We first consider AEA’s contention that we lack jurisdiction over this putative appeal. “[A]n appeal is a matter of privilege granted by the Constitution or by statute, and the right to appeal does not exist unless expressly and affirmatively granted.” Ginn v. Superior Court, 1 Ariz.App. 455, 457, 404 P.2d 721, 723 (1965) (citations omitted). In the absence of such authority, we “do not have jurisdiction to consider the merits of the question raised on appeal.” Musa v. Adrian, 130 Ariz. 311, 312, 636 P.2d 89, 90 (1981) (citing Cnty. of Pima v. State Dep’t of Rev., 114 Ariz. 275, 277, 560 P.2d 793, 795 (1977)). Yuma Funding appeals the trial court’s order (1) denying Yuma Funding’s motion to set aside the January 22, 2010 order appointing the receiver, and (2) denying Yuma Funding’s motion to set aside the July 16, 2010 order releasing the receiver.
I. Appellate Jurisdiction
A. The Order Denying the Motion to Set Aside the January 22, 2010 Order Appointing the Receiver is Not Appeal-able.
¶ 12 “The right [to appeal] is both defined and limited by A.R.S. § 12-2101.” Kemble v. Porter, 88 Ariz. 417, 418-19, 357 P.2d 155, 156 (1960). Under A.R.S. § 12-2101(A)(5)(b), an appeal may be taken “[f]rom an order ... [granting or dissolving an injunction, or refusing to grant or dissolve an injunction or appointing a receiver.” Before the 1974 amendment of this statute, there was a comma between “refusing to grant or dissolve an injunction” and “or appointing a receiver.” Compare A.R.S. § 12-2101(F)(2) (1974), with A.R.S. § 12-2101(F)(2) (1956). Yuma Funding relies on the removal of the comma in arguing “the ‘refusing to grant or dissolve’ language applies to ‘appointing a receiver.’ ” Therefore, it contends, “based on the plain reading of the deleted comma,” the order denying the motion to set aside the appointment of the receiver is appealable.
¶ 13 To discern the meaning of a statute, we first consider the plain language and sentence structure. Advanced Prop. Tax Liens, Inc. v. Sherman, 227 Ariz. 528, 531, ¶ 14, 260 P.3d 1093, 1096 (App.2011) (citing New Sun Bus. Park, L.L.C. v. Yuma Cnty., 221 Ariz. 43, 46, ¶ 12, 209 P.3d 179, 182 (App.2009)). If “ ‘a statute’s language is clear and unambiguous, we must give effect to that language and need not employ other rules of statutory construction.’ ” State v. Wood, 198 Ariz. 275, 277, ¶ 7, 8 P.3d 1189, 1191 (App.2000) (quoting State v. Riggs, 189 Ariz. 327, 333, 942 P.2d 1159, 1165 (1997)). In considering the plain language, we assume words are meant to be given “their natural and obvious meanings unless otherwise stated.” State v. Garcia, 219 Ariz. 104, 106, ¶ 6, 193 P.3d 798, 800 (App.2008) (citing A.R.S. § 1-213). Moreover, “‘[statutes must be given a sensible construction that accomplishes the legislative intent and which avoids absurd results.’” State v. Affordable Bail Bonds, 198 Ariz. 34, 37, ¶ 13, 6 P.3d 339, 342 (App.2000) (quoting AHCCCS v. Bentley, 187 Ariz. 229, 233, 928 P.2d 653, 657 (App.1996)).
¶ 14 The word “or” is a conjunction that is “ ‘used to link alternatives.’ ” Garcia, 219 Ariz. at 106, ¶ 10, 193 P.3d at 800 (quoting The New Oxford American Dictionary 1196 (2d ed.2005)). Dividing A.R.S. § 12-2101(A)(5)(b) into only two alternatives, separated by the single comma, as Yuma Funding suggests, would require us to hold that this subsection grants an appeal from (1) an order “granting or dissolving an injunction,” and (2) an order “refusing to grant or dissolve an injunction or appointing a receiver.” Notwithstanding the grammatical infirmities in Yuma Funding’s proposed reading of the second clause, such interpretation would lead to an illogical result, where only the refusal to grant or dissolve the appointment of a receiver — and not an order of appointment— would be appealable. This result is directly contrary to the pre-1974 plain language of A.R.S. § 12-2101, which unequivocally permitted the appeal of an “order ... appointing a receiver.” We cannot agree that the mere deletion of the grammatically optional serial comma, in the absence of any other changes, indicates a legislative intent to change the scope of our appellate jurisdiction with respect to receivership orders as it existed in 1974. See Jones v. Santa Cruz Cnty., 72 Ariz. 374, 377, 236 P.2d 361, 363 (1951) (“[M]inor changes in word placing and pune tuation must be regarded as changes in form and not in substance of the law, unless a legislative intent to change the substance clearly appears.”) (citing Peterson v. Cent. Ariz. Light & Power Co., 56 Ariz. 231, 236-37, 107 P.2d 205, 208 (1940)).
¶ 15 Yuma Funding also contends that the terms “preliminary injunction,” “temporary restraining order,” and “receivership” should be treated interchangeably within A.R.S. § 12-2101(A)(5)(b). Although similar in some respects, the concepts are addressed separately and distinctly by our statutes, and require different processes and prerequisites. Compare, e.g., A.R.S. § 12-1801 (describing grounds for injunction), with A.R.S. § 10-1432(A) (describing appropriate circumstances for appointment of receiver in dissolution of a corporation), and A.R.S. § 32-2197.15 (noting appointment of receiver is appropriate if it appears a person is concealing assets or self). The use of different terms in A.R.S. § 12-2101(A)(5)(b) evidences an intent to treat the circumstances differently for purposes of appellate jurisdiction. Egan v. Fridlund-Home, 221 Ariz. 229, 239, ¶ 37, 211 P.3d 1213, 1223 (App.2009) (“[W]e presume that when the legislature uses different wording within a statutory scheme, it intends to give a different meaning and consequence to that language.”) (citing Comm, for Pres, of Established Neighborhoods v. Riffel, 213 Ariz. 247, 249-50, ¶ 8, 141 P.3d 422, 424-25 (App.2006)).
¶ 16 We therefore hold the plain language of A.R.S. § 12-2101(A)(5)(b) does not grant jurisdiction of Yuma Funding’s appeal from an order refusing to set aside an order appointing a receiver. Rather, A.R.S. § 12-2101(A)(5)(b) grants the right to appeal in three circumstances: (1) from an order “granting or dissolving an injunction,” (2) from an order “refusing to grant or dissolve an injunction,” and (3) from an order “appointing a receiver.”
¶ 17 Yuma Funding next argues the January 2014 order denying the motion to set aside the appointment of the receiver remains appealable under A.R.S. § 12-2101(A)(4) as “a final order affecting a substantial right made in a special proceeding or on a summary application in an action after judgment.” However, the order denying Yuma Funding’s motion to set aside is not and cannot be “after judgment” where no judgment has yet entered. See Ariz. R. Civ. P. 54(a); Emeric v. Alvarado, 64 Cal. 529, 2 P. 418, 482 (1884) (holding appeal of order appointing a receiver was not “a special order made after final judgment” because no final order had entered). Additionally, the order was not made in a “special proceeding.” See Black’s Law Dictionary (10th ed.2014) (defining a special proceeding as “[a] proceeding that can be commenced independently of a pending action”). To the contrary, by definition, a motion to set aside occurs within the very same proceeding as the original acts complained of, and therefore, Yuma Funding’s request to set aside the appointment of the receiver cannot be considered separate and apart from the proceeding appointing the receiver. Accordingly, neither clause of A.R.S. § 12-2101(A)(4) applies. See MCA Fin. Group v. Enter. Bank & Trust, 236 Ariz. 490, 495, ¶ 11, 341 P.3d 1161, 1166 (App.2014) (interpreting A.R.S. § 12-2101(A)(4) to include two separate types of final orders: “one ‘affecting a substantial right made in a special proceeding,’” and the other “made ‘on a summary application in an action after judgment’”).
¶ 18 Finally, Yuma Funding argues our holding will create an absurdity, whereby the order appointing a receiver can only be appealed within thirty days of its entry, and that “it’s never too late” to raise deficiencies in jurisdiction or due process. As to the former point, we disagree that this result is either absurd or unintended. The appointment of a receiver sets in motion a series of events that cannot easily be unwound and may have significant effects on relationships and transactions involving non-parties. See generally S.E.C. v. Wealth Mgmt. L.L.C., 628 F.3d 323, 331-32 (7th Cir.2010) (recognizing administrative difficulty of reversing consummated business transactions and potential for unfair effect on innocent third parties). In light of these difficulties, we find no fault in the legislature’s decision to limit the time period in which to appeal an order appointing a receiver.
¶ 19 As to the latter contention, we note that absent jurisdiction over the merits of Yuma Funding’s arguments, we have no authority to consider whether the trial court lacked jurisdiction to appoint the receiver or abused Yuma Funding’s due process rights in doing so. The notion that such arguments can never be waived applies “only when the appellant timely appeals from the underlying appealable order or judgment, but has failed to raise [the argument] below.” Dowling v. Stapley, 221 Ariz. 251, 264 n. 13, ¶ 38, 211 P.3d 1235, 1248 n. 13 (App.2009) (citing Health for Life Brands, Inc. v. Powley, 203 Ariz. 536, 538, ¶ 12, 57 P.3d 726, 728 (App. 2002), and Butler Prods. Co. v. Roush, 145 Ariz. 32, 32, 699 P.2d 906, 906 (App.1984)). Yuma Funding’s failure to properly and timely appeal the order appointing the receiver deprives this Court of jurisdiction to review the alleged errors in its entry. See id. (citing Kenyon v. Kenyon, 5 Ariz.App. 267, 270, 425 P.2d 578, 581 (1967)).
B. The Order Denying the Motion to Set Aside the July 16, 2010 Order Discharging the Receiver Is Not Appealable.
¶ 20 Yuma Funding also purports to appeal the denial of its motion to set aside the July 16, 2010 order discharging the receiver. Even assuming this issue was properly developed and preserved in the trial court, we lack jurisdiction over any such order. Section 12-2101(A)(5)(b) deals only with the appointment of a receiver, and does not provide appellate jurisdiction to review other types of receivership orders. Additionally, a motion seeking to set aside the discharge of the receiver, such as that presented by Yuma Funding here, is not a proceeding “separate” from the pending action; nor is it a “final order” of the court establishing the rights or liabilities of the parties. Accordingly, A.R.S. § 12-2101(A)(4) is not applicable. Yuma Funding has not identified any other statute through which jurisdiction might lie from an order addressing a request to set aside an order releasing a receiver, and we discern none.
II. Special Action Jurisdiction
¶ 21 In the alternative, Yuma Funding requests we exercise special action jurisdiction over this matter. When we lack appellate jurisdiction, “it is within our discretion to consider the matter as a special action.” State v. Perez, 172 Ariz. 290, 292, 836 P.2d 1000, 1002 (App.1992) (citing Brown v. State, 117 Ariz. 476, 477, 573 P.2d 876, 877 (1978)); see also A.R.S. § 12-120.21(A)(4) (granting court of appeals authority to hear special actions “without regard to its appellate jurisdiction”). Special action jurisdiction is proper “in cases that raise issues of statewide importance, issues of first impression, pure legal questions, or issues that are likely to arise again,” Frimmel v. Sanders, 236 Ariz. 232, 238, ¶ 22, 338 P.3d 972, 978 (App. 2014) (citing Luis A. v. Bayham-Lesselyong ex rel. Cnty. of Maricopa, 197 Ariz. 451, 452-53, ¶ 2, 4 P.3d 994, 995-96 (App.2000)), or “when the party has no plain, adequate or speedy remedy by appeal, and justice cannot be obtained by other means.” Luis A., 197 Ariz. at 453, ¶ 2, 4 P.3d at 996 (citing Notaros v. Superior Court, 113 Ariz. 498, 499, 557 P.2d 1055, 1056 (1976)). Generally, we will not exercise special action jurisdiction where an appeal from an otherwise appealable order is not taken within the time period prescribed by the Arizona Rules of Civil Appellate Procedure. Jordan v. Rea, 221 Ariz. 581, 586, ¶ 8, 212 P.3d 919, 924 (App.2009); Stapert v. Ariz. Bd. of Psychologist Exam’rs, 210 Ariz. 177, 182, ¶ 24, 108 P.3d 956, 961 (App.2005).
¶ 22 The time to appeal the January 2010 order appointing the receiver has long passed, and we lack subject matter jurisdiction to consider its entry. Id.; see also Sato v. First Nat’l Bank of Ariz., 12 Ariz.App. 263, 266, 469 P.2d 829, 832 (1970) (holding failure to appeal order appointing a receiver precludes a party from later raising issue on appeal from final judgment). And, as to the July 2010 interlocutory order releasing the receiver, and the January 2014 order denying the motion to set it aside, an adequate remedy by appeal exists, either from an order approving the final accounting, Ritter v. Ariz. Cattle Co., 34 Ariz. 278, 285-86, 271 P. 25, 27-28 (1928) (holding interlocutory orders regarding a receiver’s actions made in the course of receivership “may be reviewed only on appeal from the final judgment approving or disapproving the final account of the receiver”), or from entry of final judgment on AEA’s complaint. Dowling, 221 Ariz. at 263 n. 12, ¶ 36, 211 P.3d at 1247 n. 12 (“[A]ppeal from the final judgment would include appeals from otherwise non-appealable interlocutory orders.”) (citing A.R.S. § 12-2102(A)). For these reasons, we decline to treat Yuma Funding’s appeal as a special action.
CONCLUSION
¶ 23 For the foregoing reasons, we dismiss Yuma Funding’s appeal from the order denying its motion to set aside the orders appointing, and then releasing, the receiver in this matter.
¶ 24 Both parties request their attorneys’ fees and costs on appeal pursuant to A.R.S. § 12-341.01 and ARCAP 21. Yuma Funding is not the prevailing party, and we therefore decline its request. In our discretion we decline AEA’s request for fees. However, as the prevailing party, AEA is entitled to its costs on appeal upon compliance with ARCAIS.
. Absent material revisions from the relevant date, we cite a statute’s current version.
. Neither Stevenson nor Sherman is a party to this appeal.
. Yuma Funding complains the July 16, 2010 order was tantamount to liquidation of the company. Although titled "Order Requiring Turnover of Receivership Collateral," the body of the order does not specifically address disposition of Yuma Funding's assets.
. The appearance by Yuma Funding occurred in an unusual manner. The trial court apparently initially allowed a "new shareholder,” who filed several motions to intervene in various capacities, to proceed pro per in the defense of this action as "derivative of the corporation,” on matters that had apparently occurred prior to him obtaining an interest in the corporation. See A.R.S. § 10-741 (addressing standing of shareholder to bring derivative action); A.R.S. § 10-742 (requiring demand on corporation prior to bringing derivative action); see also Ariz. R. Civ. P. 23.1 (requiring verified complaint in derivative action by shareholder); cf. Callarían v. Sun Lakes Homeowners’ Ass’n No. 1, 134 Ariz. 332, 336, 656 P.2d 621, 625 (App.1982) (requiring shareholder show exhaustion of remedies within "corporate political process” before filing derivative action). However, the court ultimately required Yuma Funding to obtain counsel to represent its interests. See, e.g., Boydston v. Strole Dev. Co., 193 Ariz. 47, 50, ¶ 12, 969 P.2d 653, 656 (1998) (stating "a corporation cannot appear without a lawyer”).
. Yuma Funding argues a motion to "set aside” a receivership is functionally equivalent to a motion to “dissolve” a receivership. In light of our holding, we need not address whether there is a distinction between the two terms.
. See, e.g., Bryan A. Gamer, The Redbooh A Manual on Legal Style § 1.3(a), at 3-4 (2d ed.2003) (noting "trend in popular writing” to omit the comma separating the last and next-to-last words or phrases grouped in a series).
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OPINION
KELLY, Presiding Judge:
¶ 1 Falcone Brothers & Associates, Inc. (Falcone) appeals from the trial court’s judgment awarding damages to Cemex Construction Materials South, LLC (Cemex) for materials and labor Cemex provided to a public works construction project for which Falcone was the general contractor. Falcone argues the court erred in concluding that notices sent by Cemex to Falcone regarding amounts Cemex was owed satisfied the requirements of Arizona’s “Little Miller Act.” See A.R.S. § 34-223(A) (requiring material-man to provide estimate of costs within twenty days of supplying labor or materials and notice of any unpaid balance within ninety days of completion). Falcone contends Cemex’s notices, which were sent by first class mail with a certificate of mailing, did not comply with § 34-223(A), and Cemex therefore was precluded from bringing its action. For the following reasons, we vacate the judgment and remand for a new trial.
Factual and Procedural Background
¶ 2 The record supports the following facts and procedural history. Falcone was the general contractor for a City of Tucson public works improvement project. The project was bonded and guaranteed by The Guarantee Company of North America (GCNA). Falcone subcontracted with J & S Commercial Concrete Contractors, Inc. (J & S) for concrete work on the project and J & S, in turn, subcontracted with Cemex to provide construction materials.
¶ 3 In 2011, Cemex filed a complaint against J & S, Falcone, and GCNA, alleging it had not been paid for the materials it had supplied to the project. J & S did not answer the complaint, and Cemex obtained a default judgment against it. Cemex then moved for summary judgment against Falcone and GCNA, claiming it was entitled to recover against the statutory payment bond. In its motion, Cemex asserted that it had filed four preliminary twenty day notices to Falcone pursuant to § 34-223(A) before filing suit, and that each notice had been mailed separately via first class mail, postage prepaid, with a certificate of mailing.
¶ 4 In its response to Cemex’s motion, Falcone asserted that “[a]t no time before, during or after The Project did [it] receive a Preliminary Twenty-Day Notice from [Cemex] for materials” Cemex had supplied to J & S, as is required by § 34-223(A). This claim was supported by a declaration from Falcone’s owner, who asserted Falcone had not received any twenty day notices. Falcone also contended that genuine issues of material fact existed regarding whether Cemex had delivered any concrete to the project and the amount of concrete delivered. Subsequently, the trial court granted Cemex’s request to withdraw its motion for summary judgment, allowing the parties additional time for disclosure and discovery.
¶ 5 In December 2012, Cemex renewed in part its motion for summary judgment on the issue of damages, urging that Falcone’s discovery responses indicated Cemex had “supplied at least 837 cubic yards of concrete to the project.” Falcone agreed the project had required 837 cubic yards of concrete but maintained that a genuine issue of material fact existed regarding “how much concrete Cemex actually provided to J & S” for the project.
¶ 6 Falcone then filed a motion for summary judgment, claiming it had not received the statutorily required twenty day notices and Cemex therefore was precluded from bringing its action. It further contended the notices were insufficient to satisfy the statutory requirements because they were sent by first class, rather than by registered or certified mail. Cemex maintained that the four preliminary twenty day notices it had sent by first class mail with certificates of mailing satisfied the statute’s requirements.
¶ 7 In March 2013, the trial court denied Cemex’s motion for partial summary judgment on the issue of damages. After a hearing, the court also denied Falcone’s motion for summary judgment, concluding that Cemex’s certificates of mailing and affidavits were “sufficient to meet the purposes of’ § 34-223(A). After a bench trial on the sole issue of damages, the court entered judgment in favor of Cemex, awarding it $81,913.04 in damages along with prejudgment interest, costs, and attorney fees. Falcone timely appealed. We have jurisdiction pursuant to A.R.S. § 12-2101(A).
Discussion
¶ 8 Falcone argues the trial court erred by concluding that the twenty day notices Cemex sent to Falcone by first class mail satisfied § 34-223(A) as a matter of law. Falcone asserts the statute specifies that both twenty and ninety day notices must be sent only by registered or certified mail, as provided for in the last sentence of that section. See § 34-223(A) (“Such notice shall be served by registered or certified mail, postage prepaid....”). Cemex, by contrast, claims that because this sentence contains the singular form (“[s]uch notice”), it applies only to ninety day notices; this, according to Cemex, leaves an “unfilled statutory gap,” which we should fill by applying the mailing provision found in A.R.S. § 33-992.01(F) (the mechanic’s lien law). Because § 33-992.01 allows for service by first class mail with a certificate of mailing, Cemex maintains its notices were sufficient. We review issues of statutory interpretation and application de novo. Schwarz v. City of Glendale, 190 Ariz. 508, 510, 950 P.2d 167,169 (App.1997).
¶ 9 “The primary rule of statutory construction is to find and give effect to legislative intent.” Mail Boxes, Etc., U.S.A. v. Indus. Comm’n, 181 Ariz. 119, 121, 888 P.2d 777, 779 (1995). To determine that intent, we look first to the plain language of the statute. Canon Sch. Dist. No. 50 v. W.E.S. Constr. Co., 177 Ariz. 526, 529, 869 P.2d 500, 503 (1994). “When a statute is clear, we do not ‘resort to other methods of statutory interpretation to determine the legislature’s intent because its intent is readily discernible from the face of the statute.’ ” In re Estate of Wyatt, 235 Ariz. 138, ¶ 5, 329 P.3d 1040, 1041 (2014), quoting State v. Christian, 205 Ariz. 64, ¶ 6, 66 P.3d 1241, 1243 (2003). But when a statute’s language is ambiguous, we resort to principles of statutory interpretation to discern the legislature’s intent. Bentley v. Building Our Future, 217 Ariz. 265, ¶ 13, 172 P.3d 860, 865 (App.2007). Although statutes such as the LMA are to be construed liberally in favor of the material-man, such construction “must give way to express limitations imposed by the legislature.” Maricopa Turf, Inc. v. Sunmaster, Inc., 173 Ariz. 357, 361, 842 P.2d 1370, 1374 (App.1992); Coast to Coast Mfg. v. Carnes Constr., Inc., 145 Ariz. 112, 113, 700 P.2d 499, 500 (App.1985).
¶ 10 Both Cemex and Falcone conceded at argument that the notice provision of the statute is ambiguous. Because the term “such notice” is susceptible to both parties’ interpretations, we agree. We therefore look to the language of the statute as well as principles of statutory interpretation to discern the legislature’s intent. See Bentley, 217 Ariz. 265, ¶ 13, 172 P.3d at 865.
¶ 11 Arizona’s “Little Miller Act” (LMA), A.R.S. §§ 34-221 through 34-227, requires a general contractor on a public project to post a bond to ensure that all who supply labor or materials to the project are paid. § 34-222. Both a payment bond and a performance bond, executed by a surety company, must be posted before public work begins. Id. The LMA provides a materialman with a right to recover from the payment bond when it has not been paid for material or labor it has provided. § 34-223. To maintain an action on the bond, a claimant must comply with the notice requirements of § 34-223(A), which provides in pertinent part:
[A]ny such claimant having a direct contractual relationship with a subcontractor of the contractor furnishing such payment bond but no contractual relationship express or implied with such contractor shall have a right of action upon such payment bond upon giving the contractor only a written preliminary twenty day notice, as provided for in § 33-992.01, subsection C, paragraphs 1, 2, 3 and 4 and subsections E and H, and upon giving written notice to such contractor within ninety days from the date on which such claimant performed the last of the labor or furnished or supplied the last of the material for which such claim is made, stating with substantial accuracy the amount claimed and the name of the party to whom the material was furnished or supplied for whom the labor was done or performed. Such notice shall be served by registered or certified mail, postage prepaid, in an envelope addressed to the contractor at any place the contractor maintains an office or conducts business, or at the contractor’s residence.
The statute requires a materialman claimant to send both a preliminary twenty day notice and a final ninety day notice, and neither notice may substitute for the other. Westburne Supply, Inc. v. Diversified Design & Constr., Inc., 170 Ariz. 598, 600, 826 P.2d 1224, 1226 (App.1992).
¶ 12 The purpose of these notice requirements is “ ‘to fix a time limit after which the prime contractor could make payment to the subcontractor with certainty that he would not thereafter be faced by claims of those who had supplied labor and materials to the subcontractor,’” United States ex rel. Blue Circle W., Inc. v. Tucson Mech. Contracting Inc., 921 F.2d 911, 914 (9th Cir.1990), quoting Bowden v. United States ex rel. Malloy, 239 F.2d 572, 577-78 (9th Cir.1956), and to “protect those who furnish labor or materials in the construction setting,” W. Asbestos Co. v. TGK Constr. Co., 121 Ariz. 388, 391, 590 P.2d 927, 930 (1979). Section 34-223(A) also “relieve[s] a prime contractor of liability to sub-subcontractors or materialmen (who have no contractual relation to the prime contractor) after ninety days so that the prime contractor may safely pay his subcontractor without the fear of being subject to ‘double payments’ to sub-subcontractors.” Coast to Coast Mfg., 145 Ariz. at 113, 700 P.2d at 500.
¶ 13 Section 34-223(A) requires twenty day notices to conform to certain provisions contained in § 33-992.01, which establishes requirements for persons seeking to pursue a claim against a mechanic’s or materialman’s lien. Specifically, § 34-223(A) states that twenty day notices shall be prepared “as provided for” by § 33-992.01(0(1), (2), (3), and (4), as well as § 33-992.01(E) and (H). Those subsections, respectively, specify the information that must be included in a twenty day notice, § 33-992.01(0), permit materialmen to file twenty day notices for subsequent work or materials even if a preliminary twenty day notice for earlier work or deliveries was not mailed, § 33-992.01(E), and state the effect on payment when a materialman provides labor or services exceeding the description in a twenty day notice, § 33-992.01(H). Pertinent to this opinion, subsection (F) of that statute, which is not included in § 34-223(A), also states:
The notice or notices required by [§ 33-992.01] may be given by mailing the notice by first class mail sent with a certificate of mailing, registered or certified mail, postage prepaid in all cases, addressed to the person to whom notice is to be given at the person’s residence or business address. Service is complete at the time of the deposit of notice in the mail.
Applicability of § 33-992.01(F) to the LMA
¶ 14 Falcone maintains that § 34-223(A) requires LMA notices to be sent by registered or certified mail and does not authorize service of twenty day notices by first class mail with certificates of mailing. It contends the legislature “expressly excluded” § 33-992.01(F) — the mechanic’s lien provision permitting its twenty day notices to be sent by first class mail with a certificate of mailing — from § 34-223(A) of the LMA. Cemex, by contrast, urges that § 33-992.01(F) is “implicitly incorporated” into § 34-223(A), and that notices sent by first class mail with a certificate of mailing therefore are proper.
¶ 15 To determine whether the mailing provision in § 33-992.01(F) applies to twenty day notices sent pursuant to § 34-223(A) of the LMA, we apply the doctrine of expressio unius est exclusio alterius, an established rule of statutory construction meaning “‘the expression of one or more items of a class indicates an intent to exclude all items of the same class which are not expressed.’” See Boynton v. Anderson, 205 Ariz. 45, ¶ 8, 66 P.3d 88, 90-91 (App.2003), quoting State v. Fell, 203 Ariz. 186, ¶ 11, 52 P.3d 218, 221 (App.2002). When we apply this doctrine to the plain language of § 34-223(A), it is clear the legislature did not intend the mailing provision of § 33-992.01(F) to apply to the notices required by § 34-223(A). Section 34-223(A) specifically refers to subsections (C)(1), (2), (3), and (4), and subsections (E) and (H). As noted above, subsections (C), (E), and (H) refer to the content and treatment of twenty day notices. By excluding subsection (F) from the list of provisions applicable to twenty day notices under the LMA, the legislature indicated it did not intend subsection (F)’s mailing provisions to apply. Cf. PAM Transp. v. Freightliner Corp., 182 Ariz. 132, 133, 893 P.2d 1295, 1296 (1995) (“[I]f a statute specifies under what conditions it is effective, we can ordinarily infer that it excludes all others.”).
¶ 16 Nothing in the legislative history of these statutes contradicts this conclusion. See Carrow Co. v. Lusby, 167 Ariz. 18, 20, 804 P.2d 747, 749 (1990) (“Legislative intent often can be discovered by examining the development of a particular statute.”). When the LMA was enacted in 1969, it only required a claimant to provide a ninety day notice to the contractor. 1969 Ariz. Sess. Laws, ch. 52, § 11. Section 34-223(A) was amended in 1984 to include the requirement that a claimant also provide a written preliminary estimate within twenty days of furnishing services or materials. 1984 Ariz. Sess. Laws, ch. 242, § 1. In doing so, § 34-223(A) incorporated by reference certain subsections of the mechanic’s lien law: specifically, § 33-992.01(C)(1), (2), (3), and (4), as well as subsections (D), (E), and (I). Id.
¶ 17 The LMA was amended again in 1992 to account for § 33-992.01 having been renumbered that same year. 1992 Ariz. Sess. Laws, ch. 353, § 8. In pertinent part, § 33-992.01(1) was renumbered as subsection (H) and subsection (G) was renumbered as sub section (F) following the deletion of § 33-992.01(D). 1992 Ariz. Sess. Laws, ch. 353, § 1. Accordingly, § 34-223(A) removed the reference to § 33-992.01(D) and renumbered its reference to § 33-992.01(1) as subsection (H). 1992 Ariz. Sess. Laws, ch. 353, § 8. The act was amended again in 1992 to remove gender-specific references, but the pertinent language was not altered. 1992 Ariz. Sess. Laws, eh. 227, § 4.
¶ 18 Although the legislature could have incorporated the mailing requirements of subsection (F) into § 34-223(A) while making any of these amendments, it did not, creating a strong inference it did not intend to allow LMA notices to be mailed via first class mail. See Boynton, 205 Ariz. 45, ¶¶ 10-11, 66 P.3d at 91 (concluding legislature did not intend to incorporate statutory provision into a related statute when it “could have ... but decided not to” amend statutory language to include such provision). We presume that “ “what the Legislature means, it will say.’ ” Canon Sch. Dist. No. 50, 177 Ariz. at 529, 869 P.2d at 503, quoting Padilla v. Indus. Comm’n, 113 Ariz. 104, 106, 546 P.2d 1135, 1137 (1976).
Implicit Incorporation
¶ 19 In an amicus brief filed with this court, the Arizona Rock Products Association (ARPA) notes that § 34-223(A) expressly refers to § 33-992.01(0), which in turn refers to § 33-992.01(B) (“The preliminary twenty day notice referred to in subsection B of this section shall be given not later than twenty days after the claimant has first furnished labor”); subsection (B), in turn, refers to the requirement that a claimant file a “written preliminary twenty day notice as prescribed by this section.” ARPA contends that “[t]he express reference to providing notice ‘as prescribed by this section’ refers to the entire section 33-992.01, and not just subsection B.” And because § 33-992.01 relies on subsection (F) to prescribe acceptable methods of notice, including notice by first class mail with a certificate of service, ARPA maintains that subsection (F)’s mailing provision implicitly applies to § 34-223(A).
¶ 20 But this is a strained reading of the statute that contradicts its plain language. First, ARPA’s argument would appear to incorporate every provision of § 33-992.01 into the LMA. Such a reading would render meaningless the legislature’s express intent to include certain provisions and exclude others, leaving § 33-223(A)’s specific references to § 33-992.01 irrelevant. See Weitekamp v. Fireman’s Fund Ins. Co., 147 Ariz. 274, 275, 709 P.2d 908, 909 (App.1985) (when interpreting statutes, no part of statute may be “rendered void, superfluous, contradictory or insignificant”).
¶ 21 This interpretation also would incorporate into the LMA certain provisions of the mechanic’s lien law that expressly conflict with the LMA’s own requirements. For example, the mechanic’s lien law requires a claimant to serve twenty day notices on the project owner, the original contractor, the construction lender, if any, and to the person the claimant contracted with to provide labor or materials. § 33-992.01(G). The LMA, by contrast, requires its twenty and ninety day notices be served on “the contractor only.” § 34-223(A). Similarly, a claimant under the mechanic’s lien law must bring an action to enforce the lien within six months after the lien is recorded. A.R.S. § 33-998(A). The LMA allows an action to be brought within one year from the date a materialman last provided labor or materials. § 34-223(B).
¶ 22 Additionally, to preserve a claim under the mechanic’s lien law, a lien claimant must state under oath, inter alia, that it gave § 33-992.01’s preliminary twenty day notice, and must attach “the proof of mailing required by § 33-992.02.” A.R.S. § 33-993(A); see also A.R.S. § 33-981(D) (“A person required to give preliminary twenty day notice pursuant to § 33-992.01 is entitled to enforce the lien rights ... only if he has given such notice and has made proof of service pursuant to § 33-992.02.”); Allstate Util. Constr., LLC v. Towne Bank of Ariz., 228 Ariz. 145, ¶ 13, 263 P.3d 694, 696-97 (App.2011). The LMA has no such requirement, and reading into § 34-223(A) the additional provisions of the mechanic’s lien law would effectively al ter how an LMA claimant may perfect and pursue its claim.
¶ 23 The results would be equally untenable if ARPA’s argument could somehow be construed as urging only that subsection (F)’s mailing provision be implicitly incorporated into § 34-223(A). That subsection of the mechanic’s lien law states that service of any notice required under that section “is complete at the time of the deposit of notice in the mail.” § 33-992.01(F). This provision, known as the “mailbox rule,” has been determined not to apply to § 34-223(A). In Maricopa Turf, we examined whether the mailbox rule contained in § 33-992.01(F) could be read into § 34-223(A). 173 Ariz. at 362-63, 842 P.2d at 1375-76. After noting that the LMA only “incorporates the form of notice set out in the” lien statute, we concluded the legislature had “excluded those provisions not mentioned” by § 34-223(A), including § 33-992.01(F)’s mailing requirements. Id. at 362, 842 P.2d at 1375.
¶ 24 In doing so, we pointed out that the “timely filing of a written claim with the contractor before the expiration of ninety days is a condition precedent to recovery under a Little Miller Act bond.” Id. at 363, 842 P.2d at 1376, citing Coast to Coast Mfg., 145 Ariz. at 113, 700 P.2d at 500; Greaig v. Park W. Constr. Co., 130 Ariz. 576, 579, 637 P.2d 1079, 1082 (App.1981); see also W. Asbestos, 121 Ariz. at 390, 590 P.2d at 929. To incorporate the mailbox rule into the LMA would effectively alter the stringent time requirements within which a claimant must file its notices. Maricopa Turf, 173 Ariz. at 362-63, 842 P.2d at 1375-76. Although, as Cemex has pointed out, this analysis was discussed in dicta, we nonetheless find this logic persuasive. To incorporate subsection (F) into § 34-223(A) would effectively allow both twenty and ninety day notices to be mailed on the day the LMA requires the notices to be received, in violation of both the express terms of the LMA and its stated policy to protect contractors from late-filed claims. See United States ex rel. Blue Circle W., Inc., 921 F.2d at 914; Coast to Coast Mfg., 145 Ariz. at 113, 700 P.2d at 500.
¶ 25 For these reasons, ARPA’s argument must fail. We cannot expand the language of the LMA so drastically as to incorporate all provisions of the mechanic’s lien law without producing contradictory and confusing results. And we cannot, absent express statutory language, selectively choose which provisions may have been implicitly incorporated into § 34-223(A)’s language. We therefore conclude that § 34-223(A) of the LMA does not incorporate the mailing provision found in § 33-992.0KF),
Section 34-223(A)’s Mailing Requirements
¶ 26 We next must resolve how the notices required by § 34-223(A) are to be mailed. To determine whether the last sentence of § 34-223(A) applies to both the twenty and ninety day notices, we look first to the statute’s language. See Citadel Care Ctr. v. Ariz. Dep’t of Revenue, 200 Ariz. 286, ¶ 11, 25 P.3d 1158, 1161 (App.2001). Unless a word is otherwise defined, we will construe statutory language pursuant to its ordinary and common meaning. Id.; A.R.S. § 1-213; accord Beatie v. Beatie, 235 Ariz. 427, ¶ 19, 333 P.3d 754, 758 (App.2014). In doing so, we seek to avoid “impossible or absurd consequences.” Boynton, 205 Ariz. 45, 49 n. 2, 66 P.3d at 92 n. 2. If the statute’s language does not disclose the legislative intent, “we scrutinize the statute as a whole and give it a fair and sensible meaning.” Citadel Care Ctr., 200 Ariz. 286, ¶ 11, 25 P.3d at 1161.
¶ 27 The language of the statute contradicts Cemex’s argument. First, the meaning of the word “such” encompasses a plural construction. “Such” is defined as “[o]f this or that kind,” or “[t]hat or those; having just been mentioned.” Black’s Law Dictionary 1661 (10th ed.2014). This indicates that the term “such notice” is applicable to both the twenty and ninety day notices. Because the rest of the sentence is written in the singular, the term “such notice” likewise is applicable to each individual notice sent by an LMA claimant.
¶ 28 Second, even if the last sentence of § 34-223(A) was written solely in the singular form, it would not compel Cemex’s proposed interpretation that it applies only to the ninety day notices. It is an established rule of statutory construction that “[w]ords in the singular number include the plural, and words in the plural number include the singular,” A.R.S. § 1-214(B), “unless the legislature expresses ‘manifest intent’ to the contrary,” N. Valley Emergency Specialists, L.L.C. v. Santana, 208 Ariz. 301, ¶ 18, 93 P.3d 501, 505 (2004), quoting Homebuilders Ass’n of Cent. Ariz. v. City of Scottsdale, 186 Ariz. 642, 649, 925 P.2d 1359, 1366 (App. 1996). The legislature did not indicate a “manifest intent” that the last sentence of § 34-223(A) apply only to the ninety day notices; rather, as the sentence is the only provision in the LMA that addresses notice mailing requirements, we conclude the legislature intended it to apply to both the twenty and ninety day notices. See Homebuilders Ass’n of Cent. Ariz., 186 Ariz. at 649, 925 P.2d at 1366 (we presume legislature “meant what it said” when it enacted rules of statutory construction and was aware of those rules when enacting statutes). Had the legislature intended this sentence to apply to only the ninety day notice, we presume it would have said so. See, e.g., 1992 Ariz. Sess. Laws, ch. 353, § 2 (amending § 33-992.02 to replace the term “[s]uch affidavit” with the term “[t]he affidavit” when referring to one specific form).
¶ 29 Moreover, our “scrutin[y of] the statute as a whole [to] give it a fair and sensible meaning” compels the same conclusion. See Citadel Care Ctr., 200 Ariz. 286, ¶ 11, 25 P.3d at 1161. Applying the last sentence to only the ninety day notice would, as Cemex has pointed out, result in a gap in the statute, depriving a claimant of guidance regarding how to mail a twenty day notice. This is an absurd result, which we will neither presume nor give effect. See State v. Medrano-Barraza, 190 Ariz. 472, 474, 949 P.2d 561, 563 (App.1997) (“We presume the framers of the statute did not intend an absurd result and our construction must avoid such a consequence.”); Ariz. Health Care Cost Containment Sys. v. Bentley, 187 Ariz. 229, 233, 928 P.2d 653, 657 (App.1996) (courts must give statutes sensible constructions and avoid absurd results). The more logical construction is to conclude that the legislature intended the last sentence to apply to both the twenty and ninety day notices, requiring that each be sent by registered or certified mail.
¶ 30 Cemex and ARPA have pointed out that “requiring] certified or registered mail for twenty day notices would increase the cost of construction for both public and private jobs with no real benefit” and will “deprive contractors of payment who relied upon first class mail pursuant to industry understanding.” ARPA maintains that the “industry has relied upon first class mail in conjunction with sending all preliminary twenty day notices for more than thirty years, since 1984, [and] the Court’s ruling could undermine all of the notices that have been sent in reliance upon this industry practice that are currently pending.” It further urges that reading the LMA to require the twenty day notices to be sent via registered or certified mail would “increase the costs of construction for both public and private jobs with no real benefit” and “makes [no] legislative sense.”
¶ 31 We acknowledge that this opinion may have a negative impact on an apparently longstanding industry practice. But “it is well-settled that ‘we cannot legislate,’ ” and that “ ‘[o]ur province is to construe the law as written.’” Westburne Supply, 170 Ariz. at 601, 826 P.2d at 1227, quoting Reichenberger v. Salt River Project, 61 Ariz. 465, 471, 150 P.2d 758, 760 (1944) (alteration in Westbume ). Although the legislature could have taken the approach urged by Cemex and ARPA, specifying first class mail as a per missible method of delivering LMA notices, it did not. See id. If the legislature so intends, it can amend the statute accordingly. See Galloway v. Vanderpool, 205 Ariz. 252, ¶ 17, 69 P.3d 23, 27 (2003) (“[I]f the court interprets the statute other than as the legislature intended, the legislature retains the power to correct us.”).
Actual Notice
¶ 32 Arizona and federal courts have, to an extent, mitigated the stringency of the notice requirements by determining the requirements are satisfied when the contractor receives actual notice of a materialman’s claim. In Western Asbestos, 121 Ariz. at 390, 590 P.2d at 929, our Supreme Court addressed whether § 34~223(A)’s notice requirements were satisfied when a materialman sent a letter to the general contractor via a method other than the required registered or certified mail. In holding that the material-man’s deviation in the method of mailing was not fatal to its claim, the court quoted with approval the United States Supreme Court’s rationale in Fleisher Engineering & Construction Co. v. United States, 311 U.S. 15, 19, 61 S.Ct. 81, 85 L.Ed. 12 (1940), that the purpose of the statutory registered mail provision
was to assure receipt of the notice, not to make the described method mandatory so as to deny right of suit when the required written notice within the specified time had actually been given and received. In the face of such receipt, the reason for a particular' mode of service fails. It is not reasonable to suppose that Congress intended to insist upon an idle form. Rather, we think that Congress intended to provide a method which would afford sufficient proof of service when receipt of the required written notice was not shown.
121 Ariz. at 390, 590 P.2d at 929. The Western Asbestos court concluded its decision was “supported by the great weight of case law to the effect that this statute is remedial in nature and must be interpreted so as to effectuate its intent to protect those who furnish labor or materials in the construction setting.” Id. at 391, 590 P.2d at 930; see also Norman S. Wright & Co. v. Slaysman, 124 Ariz. 321, 324, 604 P.2d 252, 254 (1979); Maricopa Turf, 173 Ariz. at 362, 842 P.2d at 1375; Greaig, 130 Ariz. at 578-79, 637 P.2d at 1081-82.
¶ 33 Federal cases similarly have deemed the notice requirements satisfied when the contractor received actual notice. See United States ex rel. Moody v. Am. Ins. Co., 835 F.2d 745, 747-48 (10th Cir.1987) (noting most circuit courts found notice not sent by prescribed means sufficient when contractor had actual notice of claim against him); see also United States ex rel. Water Works Supply Corp. v. George Hyman Constr. Co., 131 F.3d 28, 32 (1st Cir.1997); United States ex rel. Hillsdale Rock Co. v. Cortelyou & Cole, Inc., 581 F.2d 239, 243 (9th Cir.1978). Thus, if a notice sent pursuant to the LMA is actually received by a contractor, the fact that it was sent by a method other than registered or certified mail will not preclude a materialman’s action on the bond.
Remedy
¶ 34 In light of this conclusion, our final task is to determine the appropriate remedy in this case. Falcone, urging the “trial court committed reversible error in ruling that Cemex’s 20-day notices were valid,” asks us to enter “summary judgment against Cemex as a matter of law.” It claims the record contains a declaration from Falcone’s owner stating Falcone did not receive the notices and, consequently, there is no genuine issue of fact regarding actual notice that would preclude entry of summary judgment. Cemex contends that “the appropriate remedy is a remand for trial on the factual issue of actual receipt of the preliminary twenty-day notices.”
¶ 35 Summary judgment is appropriate only if “there is no genuine dispute as to any material fact and the moving party is entitled to judgment as a matter of law.” Ariz. R. Civ. P. 56(a). On appeal, “we determine de novo whether any genuine issues of material fact exist and whether the trial court properly applied the law.” Best Choice Fund, LLC v. Low & Childers, P.C., 228 Ariz. 502, ¶ 10, 269 P.3d 678, 682 (App.2011); see also Ray Scottsdale Lumber Co. v. First Fed. Sav. & Loan Ass’n of Phoenix, 3 Ariz. App. 366, 368, 414 P.2d 754, 756 (1966) (appellate court examines record to determine existence of dispute of material fact).
¶ 36 Our review of the record reveals a genuine dispute of material fact. In its motion for summary judgment, Falcone asserted it had not received any of Cemex’s twenty day notices. It supported this contention with a declaration prepared by Falcone’s owner, Gaetano “Tom” Falcone, who stated without further explanation that Falcone did not receive any of the notices Cemex had mailed. Cemex replied that it had sent four twenty day notices to Falcone on four separate occasions, each with an affidavit of service and certificate of mailing. It supported this contention with a declaration from the person who had mailed the notices as well as copies of the certificates of mailing, which had been stamped, dated, and initialed by a postal employee. Falcone does not dispute that the notices were mailed.
¶ 37 At the hearing on the summary judgment motions, Cemex stated it had no evidence Falcone had received the notice aside from “pro[of] that the notice went into the mail.” It argued, however, that it would be unlikely for a general contractor “on the job” to be completely unaware of the source of its materials for that project. The court responded that it did not “have facts as to this” and that it was “not going to make any rulings based on” the factual issue of actual notice. The court then concluded that the twenty day notices did not need to be mailed via registered or certified mail and that Cemex’s affidavits and notices were “sufficient to meet the purposes of the statute.”
¶ 38 In so ruling, the trial court purposefully did not make findings as to whether Falcone actually had received Cemex’s twenty day notices. Although Falcone urges that Mr. Falcone’s declaration conclusively resolves this issue, we disagree. His declaration is an insufficient basis upon which a court may make a determination, as a motion for summary judgment may not be granted or denied when supported solely by a self-serving and conclusory affidavit. See Florez v. Sargeant, 185 Ariz. 521, 526-27, 917 P.2d 250, 255-56 (1996) (self-serving affidavits or affidavits setting forth ultimate facts or legal conclusions lack “relevant foundation” and “can neither support nor defeat a motion for summary judgment”).
¶ 39 Mr. Falcone’s declaration states “Falcone has never received any communication” from Cemex and “[a]t no time did Falcone receive a Preliminary Twenty-Day Notice” from Cemex. But it provided no evidence that Mr. Falcone was the person designated to receive such notices or specify any steps Falcone took to verify it had not, in fact, received them; nor did it suggest any possible reason — such as an incorrect address or missing postage — that might explain why each of four separate notices might not have reached Falcone. Mr. Falcone’s declaration does not conclusively demonstrate that Falcone did not receive the notices, nor establish the absence of a genuine issue of material fact. Accordingly, we vacate the judgment and remand this case to the trial court for a new trial.
Attorney Fees
¶ 40 Cemex has requested its reasonable attorney fees pursuant to the terms of the bond, which provides that “[t]he prevailing party or any party which recovers judgment on this bond shall be entitled to such reasonable attorney’s fees as may be fixed by the court or a judge thereof.” Because neither party has prevailed on appeal, we make no award at this time. If Cemex ultimately is the prevailing party, the trial court may consider an award to Cemex for attorney fees incurred during this appeal. See Tierra Ranchos Homeowners Ass’n v. Kitchukov, 216 Ariz. 195, ¶ 37, 165 P.3d 173, 182 (App. 2007) (deferring party’s request for attorney fees on appeal “to the trial court’s discretion pending resolution of the matter on the merits”).
Disposition
¶ 41 For the foregoing reasons, we vacate the judgment and remand for a new trial.
. Falcone admits it received the statutorily required ninety day notices, which Cemex sent via certified mail. See § 34-223(A).
. GCNA joined with Falcone for purposes of this suit, but "tendered its defense to Falcone." Accordingly, only Falcone filed briefs in this appeal.
. We generally do not review on appeal the denial of a motion for summary judgment, even after entry of a final judgment. Strojnik v. Gen. Ins. Co. of Am., 201 Ariz. 430, ¶ 11, 36 P.3d 1200, 1203 (App.2001). But we may review such orders when, as here, the motion is denied on an issue of law. See id., citing Hauskins v. McGillicuddy, 175 Ariz. 42, 49, 852 P.2d 1226, 1233 (App.1992); see also A.R.S. § 12-2102(A). Although Falcone asserted at oral argument that this appeal did not involve the denial of summary judgment because Cemex had prevailed on its motion for summary judgment as to notice, this is clearly incorrect; Cemex moved for summaiy judgment on the sole issue of damages, which the trial court denied. Falcone filed its motion for summary judgment on the issue of notice, which the court also denied.
. The LMA is modeled after the federal Miller Act, 40 U.S.C. §§ 3131 through 3134.
. Section 33-992.01(F) also was amended to require, inter alia, that a certificate of mailing accompany notices sent by first class mail. 1992 Ariz. Sess. Laws, ch. 353, § 1.
. When Maricopa Turf was decided, the mailbox rule appeared in § 33-992.01(G). Because subsection (G) now has been renumbered subsection (F), 1992 Ariz. Sess. Laws, ch. 353, § 1, we refer to it accordingly.
. Cemex suggests the court in Maricopa Turf did not apply the mailbox rule to § 34-223(A) because it would "have substantively changed the provisions of the Little Miller Act by extending the time to serve a valid notice,” a consideration which it claims is not "at play here.” But we will not conclude that a select part of the subsection applies to the LMA but another does not, particularly without any indication that the legislature intended such a result.
. To the extent Maricopa Turf may have suggested that subsection (F) applies to the LMA’s twenty day notices, 173 Ariz. at 363, 842 P.2d at 1376, we disagree for the reasons set forth in this opinion.
. Because Arizona’s Little Miller Act was modeled after its federal counterpart, cases interpreting the federal statute are persuasive in interpreting Arizona’s act. Greaig, 130 Ariz. at 579-80 & n. 2, 637 P.2d at 1082-83 & n. 2.
. Although Western Asbestos was decided before § 34-223(A) was amended to require twenty day notices, our conclusion that the last sentence applies to both twenty and ninety day notices persuades us that its reasoning applies.
. Cemex also has requested its attorney fees pursuant to A.R.S. § 12-341.01, which permits a court to award a successful party attorney fees in "any contested action arising out of a contract.” But an action against an LMA bond is a statutory remedy, and as such does not "aris[e] out of a contract” pursuant to § 12-341.01. Maricopa Turf, 173 Ariz. at 363, 842 P.2d at 1376; see also § 34-222(B).
. Falcone, for the first time in its reply brief, likewise has requested its attorney fees pursuant to § 12-341.01 and the terms of the payment bond. But Rule 21(a)(1), Ariz. R. Civ.App. P., requires a party claiming attorney fees to do so in an opening or answering brief on appeal. We therefore do not consider this request.
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Chief Justice BALES,
Opinion of the Court.
¶ 1 Arizona Rule of Evidence 702 requires a trial court to act as a gatekeeper to ensure that only reliable expert witness testimony is admitted for the jury’s consideration. This ease concerns the trial court’s role under Rule 702(d) when a party contends that an expert has not properly applied generally reliable principles or methods. We hold that courts, as gatekeepers, should consider whether a methodology has been correctly applied. But we conclude that errors in application should result in the exclusion of evidence only if they render the expert’s conclusions unreliable; otherwise, the jury should be allowed to consider whether the expert properly applied the methodology in determining the weight or credibility of the expert testimony.
I.
¶ 2 Real parties in interest are eleven defendants charged with aggravated driving under the influence. The Scottsdale Crime Laboratory (“SCL”) tested each defendant’s blood for blood alcohol concentration (“BAC”). As described by the court of appeals:
To test the blood, the SCL used a Clarus 500 gas chromatograph serial number 650N9042003 manufactured by PerkinElmer (the 2003 Instrument), an autosampler, a personal computer and a printer. Stated simply, after calibration, several dozen vials are placed in the carousel of the 2003 Instrument. The vials contain blood samples (each individual has two samples tested at a time, with the second sample called a replicate) along with control samples. The vials are sampled, one by one, and analyzed by the 2003 Instrument, a process that takes several hours. The data are then processed (creating graphs showing the chemical properties of the compounds tested for called chromatograms) and results are calculated and printed. The output is checked for consistency with expected results, control samples and quality controls, and replicates are checked to make sure that results are within plus or minus five percent of each other according to SCL protocol. A second analyst then performs a technical review, which is followed by an administrative review.
State v. Bernstein, 234 Ariz. 89, 92 ¶ 2, 317 P.3d 630, 633 (App.2014).
¶ 3 Defendants moved to exclude evidence of their BAC results under Rule 702, arguing that the instrument had unresolved flaws that undermined its reliability. They pointed primarily to “data drops,” a term they use to describe the instrument’s occasional failure to produce any results for a sample, mislabeling of vials, and emails among SCL staff expressing concerns about the instrument.
¶ 4 After a seventeen-day evidentiary hearing held pursuant to Daubert v. Merrell Dow Pharmaceuticals, Inc., 509 U.S. 579, 113 S.Ct. 2786, 125 L.Ed.2d 469 (1993), the court found that “[n]o testimony has shown that any of the consolidated defendants’ tests were inaccurate. The State, in fact, presented evidence to the contrary.” Only one defendant’s test had been performed improperly, and that sample was later rerun. The court also observed that “because [the instrument] is non-conforming doesn’t necessarily mean the results are inaccurate.”
¶ 5 The trial court then discussed the data drops, the mislabeling, and the staff emails. The court found it significant that the instrument was still being used even though the lab’s accreditation standards required nonconforming instruments to be removed from service to evaluate a malfunction. In the emails, SCL staff expressed concern that the cause of the malfunctions had not been determined or the problem resolved, raising potential legal issues. The court concluded that “[i]nherent in the concept of reliability is confidence,” and that, in light of the emails, “confidence in the reliability of [the instrument] is clearly undermined.”
¶ 6 Although the court found that the State met its burden under Rule 702(a) through (e) for establishing the admissibility of the BAC results, the court ruled that the State failed to show that the testing methodology had been reliably applied as required by subsection (d). The court thus excluded evidence of the results as to all defendants.
¶ 7 The State petitioned for special action relief in the court of appeals, which granted relief. Bernstein, 234 Ariz. at 100 ¶ 29, 317 P.3d at 641. The court of appeals focused on the data drops but concluded that “[t]here was no showing ... that such failures to provide test results meant that usable BAC test results [that were] produced by the 2003 Instrument were not reliable.” Id. at 98 ¶ 22, 317 P.3d at 639. The court thus held that the State met its burden as to Rule 702(d) and vacated the trial court’s order excluding the evidence. Id. at 100 ¶ 27, 317 P.3d at 641.
¶ 8 We granted review because the application of Rule 702(d) is 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.
¶ 9 We review the interpretation of court rules de novo, State v. Solazar-Mercado, 234 Ariz. 590, 592 ¶ 4, 325 P.3d 996, 998 (2014), but we review a trial court’s exclusion of evidence for an abuse of discretion, State v. Davolt, 207 Ariz. 191, 209 ¶ 66, 84 P.3d 456, 474 (2004). An error of law constitutes an abuse of discretion. Twin City Fire Ins. Co. v. Burke, 204 Ariz. 251, 254 ¶ 10, 63 P.3d 282, 285 (2003). Because Rule 702 mirrors its federal counterpart, we may look to the federal rule and its interpretation for guidance. Salazar-Mercado, 234 Ariz. at 592 ¶ 7, 325 P.3d at 998. As the proponent of the expert testimony, the State bears the burden of establishing its admissibility by a preponderance of the evidence. Id. at 593-94 ¶ 13, 325 P.3d at 999-1000.
III.
¶ 10 Rule 702, which governs expert witnesses testimony, provides that:
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 rehable principles and methods; and
(d) the expert has reliably applied the principles and methods to the facts of the case.
¶ 11 The rule “recognizes that trial courts should serve as gatekeepers in assuring that proposed expert testimony is reliable and thus helpful to the jury’s determination of facts at issue.” Ariz. R. Evid. 702 cmt. (2012). But the comment also observes that “[t]he trial court’s gatekeeping function is not intended to replace the adversary system.” Id. Rather, “[c]ross-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.” Id.; cf. Daubert, 509 U.S. at 596, 113 S.Ct. 2786.
¶ 12 Daubert left unclear whether the particular application of a generally reliable methodology should be assessed by the trial court as part of its gatekeeper role or instead by the jury in determining the weight to give expert testimony. Courts and commentators have continued to suggest different approaches to the issue. See, e.g., United States v. McCluskey, 954 F.Supp.2d 1224, 1243-55 (D.N.M.2013) (discussing cases); 29 Charles Alan Wright & Victor James Gold, Federal Practice & Procedure § 6266 (1st ed.2014) (distinguishing between “broad” and “narrow” views regarding the scope of the gatekeeping inquiry).
¶ 13 Rule 702(d), however, recognizes that a trial court must consider whether an expert reliably applied the pertinent methodology when expert testimony concerns the facts of a particular case. Cf. Solazar-Mercado, 234 Ariz. at 593 ¶¶ 10-11, 325 P.3d at 999 (holding that “cold” expert testimony not based on the facts of a ease may be admissible if it satisfies Rule 702(a)-(c)). Thus, the rule by its terms forecloses the approach of leaving challenges to an expert’s application of a methodology exclusively to the jury. Such challenges are instead a proper subject of the trial court’s gatekeeping inquiry. But cf. United States v. Bonds, 12 F.3d 540, 563 (6th Cir.1993) (holding, under earlier version of Federal Rule 702, that “in general, criticisms touching on whether the lab made mistakes in arriving at its results are for the jury”).
¶ 14 But not all errors in the application of reliable principles or methods will warrant exclusion. Rule 702 contemplates that expert testimony can be “shaky” yet admissible. Ariz. R. Evid. 702 cmt. (2012). “The overall purpose of Rule 702 ... is simply to ensure that a fact-finder is presented with reliable and relevant evidence, not flawless evidence.” State v. Langill, 157 N.H. 77, 945 A.2d 1, 10 (2008). Rule 702(d) “must be interpreted and applied with some flexibility to encompass the multitude of scenarios that may be presented and to maintain the division in function between the fact-finder and gatekeeper.” Id.
¶ 15 Errors in the application of a generally reliable methodology, therefore, should not serve to exclude evidence unless they are so serious as to render the results themselves unreliable. See id. (“[I]t would be unreasonable to interpret [Rule 702(d) ] as requiring that a single flaw or even multiple flaws in an expert’s application of a particular methodology in all instances renders inadmissible the expert’s entire testimony.”). With respect to test results, for example, the omission of a step necessary to obtain valid results or a procedural misstep that plausibly could skew the outcome might justify excluding the results and any opinion based on them.
¶ 16 Several courts have attempted to describe the point at which errors in application warrant the exclusion of expert testimony. The Third Circuit held that a trial judge “should only exclude evidence if the flaw is large enough that the expert lacks ‘good grounds’ for his or her conclusions.” In re Paoli R.R. Yard PCB Litig. (Paoli), 35 F.3d 717, 746 (3d Cir.1994). In the Eighth Circuit, “[a]n alleged error in the application of a reliable methodology should provide the basis for exclusion of the opinion only if that error negates the basis for the reliability of the principle itself.” United States v. Martinez, 3 F.3d 1191, 1198 (8th Cir.1993); see also United States v. Gipson, 383 F.3d 689, 697 (8th Cir.2004) (“[O]utright exclusion of the evidence in question is warranted only if the methodology was so altered by a deficient application as to skew the methodology itself.”). Although worded somewhat differently, the Eighth Circuit’s test is essentially the same as the Third Circuit’s. See McCluskey, 954 F.Supp.2d at 1249.
¶ 17 We agree with this approach and that stated by the New Hampshire Supreme Court: alleged flaws in the application of a reliable methodology should not result in exclusion of evidence unless they “so infect[] the procedure as to make the results unreliable.” Langill, 945 A.2d at 10 (quoting Martinez, 3 F.3d at 1198); cf. Fed.R.Evid. 702 Advisory Comm. Notes (2000) (noting that changing or misapplying a reliable methodology so that analysis is unreliable will render expert testimony inadmissible (citing Paoli, 35 F.3d at 745)).
¶ 18 Whether errors in application render evidence unreliable will not always be clear. In close cases, the trial court should allow the jury to exercise its fact-finding function, for it is the jury’s exclusive province to assess the weight and credibility of evidence. State v. Clemons, 110 Ariz. 555, 556-57, 521 P.2d 987, 988-89 (1974). “[A]s long as an expert’s scientific testimony rests upon good grounds, ... it should be tested by the adversary process — competing expert testimony and active cross-examination — rather than excluded from jurors’ scrutiny for fear that they will not grasp its complexities or satisfactorily weigh its inadequacies.” Langill, 945 A.2d at 11 (quoting United States v. Vargas, 471 F.3d 255, 265 (1st Cir.2006)).
III.
¶ 19 The parties do not dispute that gas chromatography is a reliable methodology for determining BAC and that expert testimony on that topic is relevant and helpful, so the State has met its burden as to Rule 702(a) through (c). Relying on Rule 702(d), defendants argue that their BAC results must be excluded because the instrument’s faults establish that the methodology was not reliably applied. The trial court properly considered defendants’ challenges as part of its gatekeeping inquiry. But the court applied the wrong legal standard under Rule 702(d) and thereby abused its discretion in excluding the evidence. See Twin City Fire Ins. Co., 204 Ariz. at 254 ¶ 10, 63 P.3d at 285.
¶ 20 The trial court observed that “[inherent in the concept of reliability is confidence,” and that the emails among SCL staff expressing concern about the instrument undermined confidence in its reliability. The emails did not express doubt about the reliability of the results for particular samples, but instead related concerns that the data drops remained unresolved and might become subject to legal challenge. The trial court misapplied Rule 702(d) by concluding that the staffs general concerns established that the instrument’s methodology had not been reliably applied with respect to the particular BAC results at issue.
¶ 21 The trial court also explained its ruling by noting the data drops, the mislabeling, and the laboratory’s failure to remove the instrument from service. But the fact that the instrument here sometimes failed to produce a reading does not itself imply that the results it did generate were inaccurate. (A different conclusion would result if an instrument did not accurately measure a known standard or failed to produce consistent results for replicate samples within a required range.) And the State presented evidence that incidents of mislabeling could readily be corrected based on the printing sequence, and no evidence suggests that the defendants’ samples were misidentified. The record does not show that the identified errors rendered the results of the defendants’ tests unreliable; instead, as the trial court acknowledged, the State presented evidence supporting the accuracy of those results. As to the defendants’ results, the State met its burden under Rule 702(d) of showing that gas chromatography had been reliably applied to analyze BAC.
¶ 22 This is not to say that the malfunctions or the lab’s failure to resolve them are irrelevant. The jury may consider the instrument’s malfunctioning and the laboratory staffs related concerns when assessing the weight or credibility of the test results. This conclusion recognizes that “[e]ross-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.” Ariz. R. Evid. 702 cmt. (2012).
IV.
¶ 23 We vacate the trial court’s order excluding evidence of the BAC results, vacate ¶¶ 19-28 of the court of appeals’ opinion, and remand the case to the trial court for further proceedings.
|
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OPINION
GOULD, Judge:
¶ 1 Appellant Guardian Ad Litem, on behalf of the minor child E.R., appeals from the juvenile court’s order denying the Department of Child Safety’s (“DCS”) petition to terminate Jorge B.’s (“Father”) parental rights. For the following reasons, we vacate the order and remand for further proceedings consistent with this opinion.
¶ 2 In October 2012, DCS received a report that Mother was abusing E.R. and her three other minor children (collectively the “children”). At the time of the report, Mother and children were living with Father. The children were removed from Father’s home and dependency petitions were filed as to both parents. The juvenile court later determined the children were dependent as to Father on the grounds Father failed to protect them from Mother’s abuse.
¶ 3 While the dependency proceeding was pending, Mother was charged with criminal child abuse pursuant to Arizona Revised Statutes (“A.R.S.”) section 13-3623(B)(1). Mother pled guilty to two counts of child abuse, including one count as to E.R., and was sentenced to seven years in prison.
¶ 4 After the criminal charges were filed against Mother, DCS filed a petition seeking to terminate Mother and Father’s parental rights. DCS moved to terminate Father’s rights on the grounds (1) he knew or reasonably should have known that Mother was abusing E.R. pursuant to A.R.S. § 8-533(B)(2), and (2) E.R. had been in an out-of-home placement for more than nine months pursuant to A.R.S. § 8-533(B)(8)(a).
¶ 5 A severance trial was held on multiple dates between January 2014 and June 2014. At the conclusion of the trial, the juvenile court concluded that Mother “certainly abused the children and that abuse was unwarranted and extremely inappropriate.” The juvenile court made several findings in support of this conclusion. The court found that Mother “had struck [E.R.] with a hose, spoons, belt or shoes leaving bruises on his legs, ankles and feet.” The court noted that E.R. “had bruises and scars when he was brought into eare[,]” “[s]ome were black and blue, some brownish or yellowish[,]” and that he “had some healing scars, some new scars.” E.R.’s older siblings “expressed fear of their [M]other,” reporting that “Mother would hit [E.R.] and them with whatever was available,” and that “most of [M]other’s aggression was directed towards [E.R.].” Additionally, Mother “would put spices” in E.R.’s food making it inedible. As a result, when E.R. was removed from Father’s home and placed in foster care, he “had a distended stomach” and was only in “the third percentile for weight.”
¶ 6 The juvenile court also concluded that “Father was aware or should have been aware of [Mother’s] abuse.” The juvenile court determined that Father had noticed bruising on E.R. while Mother was living in Father’s house. While most incidences of abuse occurred when Father was gone, on occasion Father was present and “would try to intervene.” After learning that Mother was feeding spicy food to E.R., Father attempted to provide edible food to E.R.; however, when Mother was present “she would not let [F]ather give [E.R.] any food.”
¶ 7 Despite these factual findings, the juvenile court denied the severance petitions as to both Mother and Father based on A.R.S. § 8-533(B)(2). Additionally, the court found there was insufficient evidence to support Father’s termination under A.R.S. § 8-533(B)(8)(a). Appellant timely appealed.
DISCUSSION
¶ 8 Appellant first argues the juvenile court erred in denying severance based on A.R.S. § 8—533(B)(2). Specifically, Appellant contends the juvenile court erred in finding that neglect or abuse pursuant to A.R.S. § 8-533(B)(2) requires (1) proof of serious physical or emotional injury and (2) the diagnosis of a medical doctor or psychologist.
¶ 9 We review de novo the juvenile court’s construction of A.R.S. § 8—533(B)(2). James H. v. Ariz. Dept. Econ. Sec., 210 Ariz. 1, 2, ¶ 5, 106 P.3d 327, 328 (App.2005). This court will affirm the juvenile court’s termination order “absent an abuse of discretion or unless the court’s findings of fact were clearly erroneous.” Mary Lou C. v. Ariz. Dep’t of Econ. Sec., 207 Ariz. 43, 47 ¶ 8, 83 P.3d 43, 47 (App.2004) (quoting Maricopa County Juv. Action No. JV-132905, 186 Ariz. 607, 609, 925 P.2d 748, 750 (App.1996)).
¶ 10 When interpreting a statute our goal is to give effect to the legislative intent. Bobby G. v. Ariz. Dep’t. Econ. Sec., 219 Ariz. 506, 509, ¶ 9, 200 P.3d 1003, 1006 (App.2008). If a statute’s language is clear and unambiguous, we apply it without resorting to other methods of statutory interpretation, unless doing so would lead to impossible or absurd results. State ex rel. Montgomery v. Harris, 234 Ariz. 343, 345, ¶ 13, 322 P.3d 160, 162 (2014); Bilke v. State, 206 Ariz. 462, 464, ¶ 11, 80 P.3d 269, 271 (2003); State v. Flores, 160 Ariz. 235, 239, 772 P.2d 589, 593 (App.1989). If a statute’s language is ambiguous, we attempt to determine the legislative intent by interpreting the statute as a whole, considering its place in the relevant statutory scheme, as well as the statute’s “subject matter, historical background, effects and consequences, and spirit and purpose.” Harris, 234 Ariz. at 345, ¶ 13, 322 P.3d at 162 (internal citations omitted); see CSA 13-101 Loop, LLC, v. Loop 101, LLC, 233 Ariz. 355, 360-61, ¶ 14, 312 P.3d 1121, 1126-27 (App.2013).
¶ 11 A parent’s rights may be terminated pursuant to A.R.S. § 8-533(B)(2) if “the parent has neglected or willfully abused a child. This abuse includes serious physical or emotional injury or situations in which the parent knew or reasonably should have known that a person was abusing or neglecting a child.” A.R.S. § 8-533(B)(2).
¶ 12 The juvenile court appears to have determined that the word “includes” in A.R.S. § 8—533(B)(2) is intended to limit severance to serious physical or emotional injury. As the juvenile court noted, the diagnosis of a medical doctor or psychologist is required to establish serious physical or emotional injury. A.R.S. §§ 8-201(32), (33). However, the term “includes” may be used as a term of enlargement, indicating, in this situation, that other conduct, in addition to serious physical or emotional injury, may constitute abuse or neglect under A.R.S. § 8-533(B)(2). See Bridgestone Retail Tire Operations v. Indus. Comm’n of Ariz., 227 Ariz. 453, 455, ¶ 8, 258 P.3d 271, 273 (App. 2011) (discussing use of the word “includes” as a term of limitation or enlargement); State v. Witwer, 175 Ariz. 305, 308, 856 P.2d 1183, 1186 (App.1993) (holding that the word “includes” is a term of enlargement).
¶ 13 We conclude the juvenile court erred in its construction of A.R.S. § 8-533(B)(2) because the relevant definitions of abuse and neglect are not limited to serious physical and emotional abuse. The term “abuse” is defined in A.R.S. § 8-201(2) as “the infliction or allowing of physical injury, impairment of bodily function or disfigurement.” Similarly, the term “neglect” is defined, in relevant part, under A.R.S. § 8-201(24)(a) as “[t]he inability or unwillingness of a parent ... to provide [a] child with supervision, food, clothing, shelter or medical care if that inability or unwillingness causes unreasonable risk of harm to the child’s health or welfare.”
¶ 14 Moreover, the juvenile court’s construction of A.R.S. § 8-533(B)(2) is contrary to the primary purpose of the severance statutes: protecting the health and safety of children. A.R.S. § 8-533(B); Ariz. R.P. Juv. Ct. 36; Dep’t of Child Safety v. Beene, 235 Ariz. 300, 304, ¶ 9, 332 P.3d 47, 51 (App.2014). Under the juvenile court’s construction, a parent could neglect and physically abuse his child, but as long as his behavior did not cause serious physical or emotional injury, no grounds would exist to terminate his parental rights. Indeed, the parent’s conduct could, as here, result in a criminal conviction for child abuse but not serve as grounds for severance. Clearly, this was not the intent of the legislature.
¶ 15 We conclude that severance based on neglect or abuse under A.R.S. § 8-533(B)(2) does not require (1) a showing of serious physical or emotional injury or (2) the diagnosis of a medical doctor or psychologist. Accordingly, because the juvenile court applied the incorrect legal standard, we vacate the court’s order denying severance based on A.R.S. § 8-533(B)(2).
¶ 16 Appellant also contends that the juvenile court erred when it denied the petition to terminate Father’s parental rights pursuant to A.R.S. § 8-533(B)(8)(a). In order to terminate a parent’s rights pursuant to A.R.S. § 8-533(B)(8)(a), DCS must prove (1) the child has been in an out-of-home placement for a cumulative total period of nine months; (2) diligent efforts have been made to provide the parent with appropriate reunification services; and (3) the parent has sub stantially neglected or willfully refused to remedy the circumstances that caused the child to be in an out-of-home placement. A.R.S. § 8-533(B)(8)(a).
¶ 17 Here, the only factor in dispute is whether Father “substantially neglected or willfully refused to remedy” the circumstances causing E.R. to be removed from his home. This factor focuses on Father’s “effort to cure the circumstances rather than [Father’s] success in actually doing so,” and refers to the “circumstances” existing at the time of the severance rather than the initial dependency petition. Marina P. v. Ariz. Dep’t of Econ. Sec., 214 Ariz. 326, 329, 330 ¶¶ 20, 22, 152 P.3d 1209, 1212 (App.2007).
¶ 18 Father’s alleged abuse and neglect under A.R.S. § 8—533(B)(2) is the circumstance Father was required to address under A.R.S. § 8-533(B)(8)(a). However, because the juvenile court used an erroneous legal standard in determining what constitutes abuse and neglect, we are unable to conclude whether it properly identified the circumstance Father was required to remedy. We therefore vacate the juvenile court’s order denying the petition to sever based on A.R.S. § 8—533(B)(8)(a).
¶ 19 Finally, Appellant argues that the juvenile court erred by ordering DCS to redact certain reports before admitting them as exhibits at the severance trial. Appellant claims that it was prejudiced by this ruling because the redactions excluded important evidence regarding (1) Father’s ability to parent E.R. and (2) Father’s failure to remedy the circumstances that led E.R. to be in out-of-home placement. We review evidentiary rulings for an abuse of discretion. State v. Smith, 215 Ariz. 221, 232, ¶ 48, 159 P.3d 531, 542 (2007).
¶ 20 Based on the record before us, we find no error. Original copies of the redacted reports were not admitted at trial by the juvenile court, and Appellant does not specify what information was redacted. We note that all of the authors of the reports testified at trial and discussed the contents of their reports. As a result, we are unable to determine whether the redacted information was relevant, or whether Appellant suffered any prejudice. Ariz. R. Evid. 403, 401.
CONCLUSION
¶ 21 For the reasons discussed above, we vacate the order denying the petition to terminate Father’s parental rights as to E.R., and remand this matter to the juvenile court for further proceedings consistent with this opinion.
. A.R.S. § 13-3623(B)(1) provides, in relevant part: [u]nder circumstances other than those likely to produce death or serious physical injury to a child ... any person who causes a child ... to suffer physical injury or abuse or, having the care or custody of a child ... who causes or permits the person or health of the child ... to be injured or who causes or permits a child ... to be placed in a situation where the person or health of the child ... is endangered is guilty [of child abuse.] ... If done intentionally or knowingly, the offense is a class 4 felony.
. Mother's rights were terminated as to E.R. pursuant to A.R.S. § 8—533(B)(3) (chronic substance abuse); A.R.S. § 8-533(B)(4) (conviction of a felony showing Mother’s "unfitness” as a parent and lengthy prison sentence depriving E.R. of a "normal home”); A.R.S. § 8-533(B)(8)(a) (nine months out-of-home placement); and A.R.S. § 8-533(B)(10) (Mother previously had parental rights severed with another child in past two years). Mother has not appealed the juvenile court's order terminating her parental rights.
. Appellant also asserts that the trial court erred, as a matter of law, in redacting the reports because the information was admissible pursuant to Arizona Rule of Procedure for the Juvenile Court 45. Based on our decision in this case, in our discretion, we do not find it necessary to reach this issue.
|
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OPINION
BROWN, Judge.
¶ 1 Melinda Henricks challenges a decision of the Appeals Board (“Board”) of the Arizona Department of Economic Security (“Department”) finding her liable for overpayment of cash assistance benefits. Henricks asserts she was not prepared for her hearing because the Department had advised her that the alleged overpayment was based on improper issuance of food stamps, not cash assistance benefits. We conclude that Hen- ricks was not afforded due process because the Department failed to properly notify her of the issue to be addressed at the overpayment hearing. We therefore reverse and remand for further proceedings.
BACKGROUND
¶ 2 Henrieks received cash assistance benefits for herself and two of her children from October 2007 through May 2009 in the amount of $5093. In October 2009, the Department discovered that one of Henricks’s children was a “benefits capped child” and therefore ineligible for the benefits he received. The Department determined that Henrieks had therefore received an overpayment of $1540.
¶ 3 On November 27, 2009, the Department mailed Henrieks a notice captioned “NOTICE OF REPAYMENT OF A CASH ASSISTANCE OVERPAYMENT.” The notice stated: “It has been determined that you received more Cash Assistance (CA) benefits than you were entitled to receive____This is because THE AGENCY INCORRECTLY ISSUED FOOD STAMPS TO ONE OR MORE INELIGIBLE HOUSEHOLD MEMBERS.”
¶ 4 Henrieks timely requested a “fair healing” and the Department issued a notice of hearing dated December 14, 2009. Under the section titled “Issue and Section of Law and Regulations Involved,” the notice read: “Overpayment of Cash Assistance Benefits-Arizona Revised Statutes, Title 46, Chapter 2, especially section 46-213, Arizona Administrative Code, Title 6, Chapter 12, especially Article 11[.]”
¶ 5 Henrieks attended the hearing in person in January 2010. At the outset, the Administrative Law Judge (“ALJ”) informed Henrieks that the hearing was for the overpayment of cash assistance benefits. Hen-rieks replied that she believed the purpose of the hearing was to address “incorrectly issued food stamps.” The Department’s representative, Glen Morris, explained that the statement regarding food stamps in the November notice was a “misprint” and that the overpayment was actually for cash assistance benefits she received for a “benefits capped child.” In response to the ALJ’s question to Henrieks of whether she had any witnesses, Henrieks responded that she was “unaware of the actual problem” or “things that have happened” and therefore she did not “know the facts for [her] to have brought witnesses.” The ALJ proceeded with the hearing without further comment regarding Hen-ricks’s concerns about the notice.
¶ 6 The Department submitted twenty-eight exhibits, consisting of more than 200 pages. The ALJ took a recess (the record does not disclose how long it was) to give Henrieks the opportunity to review the exhibits. Morris then gave a highly technical explanation about why the Department was seeking overpayment from Henrieks. He stated that the Department should not have paid cash assistance benefits for one of Hen-ricks’s children because the child was “benefits capped.” Morris explained further that Henrieks “had no way of ... knowing” about the problem, but “unfortunately, the Department ... doesn’t penalize [itself] when it makes an error.”
¶ 7 Following the hearing, the ALJ issued a decision finding that “[d]espite the fact that the claimant’s overpayment was a result of the Department’s error in this case, the claimant is liable for the $1,540.00 overpayment made to her,” citing Arizona Revised Statutes (“A.R.S.”) section 46-213(B) (2005). The ALJ’s decision did not address the Department’s mistake in informing Henrieks that the alleged overpayment was related to issuance of food stamps.
¶ 8 Henrieks petitioned for review of the ALJ’s decision, which the Appeals Board affirmed. On her request for further review, the Board again affirmed the decision of the ALJ. Henrieks timely filed an application for appeal to this court, which we granted. We have jurisdiction pursuant to A.R.S. § 41-1993(B) (2011).
DISCUSSION
¶ 9 We are obligated to accept the Board’s factual findings unless they are arbitrary, capricious, or constitute an abuse of discretion. Rice v. Ariz. Dep’t of Econ. Sec., 183 Ariz. 199, 201, 901 P.2d 1242, 1244 (App.1995). We will affirm the Board’s decision if it is supported by substantial evidence in the record. Id. We are not bound, however, by the Board’s legal conclusions and we review de novo whether the Board propei’ly interpreted the law. Id.
¶ 10 The law is clear that the Department’s efforts to recoup funds it allegedly overpaid to Henrieks in the form of cash assistance benefits must be carried out within the constraints of the Due Process Clause. See U.S. Const, amend. XIV, § 1 (“nor shall any State deprive any person of life, liberty, or property, without due process of law”); Atkins v. Parker, 472 U.S. 115, 128, 105 S.Ct. 2520, 86 L.Ed.2d 81 (1985) (recognizing that welfare entitlements are a form of property protected by the Due Process Clause). In this context, due process requires that a benefit recipient be given “adequate notice detailing the reasons for termination, and an effective opportunity to defend by confronting any adverse witnesses and by presenting his own arguments and evidenee[.]” Goldberg v. Kelly, 397 U.S. 254, 267-68, 90 S.Ct. 1011, 25 L.Ed.2d 287 (1970); see also Carlson v. Ariz. State Pers. Bd., 214 Ariz. 426, 430-31, ¶¶ 14-15, 153 P.3d 1055, 1059-60 (App.2007) (“An essential principle of due process is that a deprivation of life, liberty, or property be preceded by notice and an opportunity for hearing appropriate to the nature of the case.”) (citation and internal quotation omitted).
¶ 11 Proper notice protects benefit recipients from arbitrariness and erroneous deprivation of benefits by giving them enough information to assess whether the Department’s calculations are correct. Allen v. State Dep’t of Health & Soc. Servs., Div. of Pub. Assistance, 203 P.3d 1155, 1167-68 (Alaska 2009); see also Goldberg, 397 U.S. at 267-68, 90 S.Ct. 1011. In Allen, food stamp recipients received excess benefits due to errors made by a state agency, and the agency pursued an overpayment claim. 203 P.3d at 1158-59. Following a ruling in favor of the agency, the recipients challenged the sufficiency of the notice. Id. at 1159. The Alaska Supreme Court reversed, finding that the notice failed to comply with applicable regulations, which are “a prerequisite to bringing a recoupment action.” Id. at 1169. The court reasoned that a notice lacking in sufficient detail requires a benefits recipient to blindly rely “on the calculations of an agency that has admittedly already made a calculation error to that recipient’s detriment.” Id. The court thus concluded it would be unfair, and a violation of due process, to hold the recipient liable for the Department’s own errors without providing her with sufficient information to allow her to understand how the Department arrived at its decision. Id.
¶ 12 Similarly, Arizona’s statutes and regulations relating to administrative procedures require that parties be afforded reasonable notice to provide an opportunity to prepare for a hearing. See AR.S. § 41-1061(C) (2004) (“Opportunity shall be afforded all parties to respond and present evidence and argument on all issues involved.”). Section 41-1061(B) provides that a hearing notice shall include:
(1) A statement of the time, place and nature of the hearing.
(2) A statement of the legal authority and jurisdiction under which the hearing is to be held.
(3) A reference to the particular sections of the statutes and rules involved.
(4) A short and plain statement of the matters asserted. If the agency or other party is unable to state the matters in detail at the time the notice is served, the initial notice may be limited to the issues involved. Thereafter upon application a more definite and detailed statement shall be furnished.
¶ 13 Additionally, the Department has promulgated rules establishing notice requirements relating to cash assistance benefits. See A.A.C. R6-12-101(2), -907. The Arizona Administrative Code requires that “[w]hen the Department plans to take adverse action against [a benefit recipient], the Department shall provide the [recipient] with adequate and timely notiee[.]” R6-12-907(A). “Adequate notice” is defined as “a notice which explains the action the Department intends to take, the reason for the action, the specific authority for the action, the recipient’s appeal rights, and right to benefits pending appeal[.]” A.A.C. R6-12-101(2). The Department is also required to include “1. The date the adverse action is effective; 2. The names of the eligible and ineligible persons in the unit, if changed by the intended action; and 3. Any effect the intended action may have on the unit members’ AHCCCS medical eligibility.” A.A.C. R6-12-907 (C). We look to these statutory and administrative provisions for guidance in determining whether Henricks was provided reasonable notice and an opportunity to be heard. See Allen, 203 P.3d at 1166-70 (evaluating whether regulatory notice requirements were met in determining whether benefits recipient was afforded due process).
¶ 14 The November notice the Department sent to Henricks stated that the reason Hen-ricks owed an overpayment was that “THE AGENCY INCORRECTLY ISSUED FOOD STAMPS TO ONE OR MORE INELIGIBLE HOUSEHOLD MEMBERS.” (Emphasis added.) This notice was defective because it did not state the correct reason for the overpayment of cash assistance and it failed to include any information about which member of Henricks’s household was ineligible. Nor did the notice contain any reference to the “particular sections of the statutes and rules involved.” See A.R.S. § 41-1061(B)(3). These deficiencies left Henricks unprepared for her hearing and unable to effectively challenge or verify the Department’s calculation of her overpayment.
¶ 15 The Department suggests that Hen-ricks received adequate notice because the December 14, 2009, notice of hearing referenced overpayment of “cash assistance benefits” and cited the general rules and statutes regarding cash assistance. However, the notice of hearing did not cure the defect in the first notice, as the first notice likewise stated that the overpayment was for cash assistance but that the reason for the overpayment was an incorrect issuance of food stamps. And, similar to the first notice, there was no mention as to which member of Henricks’s household was ineligible. The second notice, like the first, also failed to provide any information about a “benefits capped child” or the statutes or rules relied upon by the Department in making the determination that one of Henricks’s children was ineligible. Thus, nothing about the general reference to cash assistance in the second notice would have reasonably alerted Henricks that the more specific previous statement regarding food stamps had been corrected or changed. See Smart v. Alaska Dep’t of Health and Soc. Servs., 237 P.3d 1010, 1015-16 (Alaska 2010) (viewing all communications from the agency “in their totality” to determine whether Medicaid recipient received sufficient notice of an overpayment recoupment action).
¶ 16 It was only at the beginning of the hearing that the Department representative declared the statement regarding food stamps in the first notice to be a “misprint.” By that time, it was too late for Henricks to have a meaningful opportunity to prepare for the hearing. Moreover, the hearing notice did not identify the “ONE OR MORE INELIGIBLE HOUSEHOLD MEMBER OR MEMBERS,” another piece of information that would have assisted Henrieks in preparing for the hearing.
¶ 17 The Department also suggests that any defect in the notice was cured because Henrieks was given time at the hearing to review the exhibits presented against her. It is unclear from the record how much time Henrieks was given to review the more than 200 pages of exhibits, but in any event, a mere recess was an insufficient remedy as Henrieks was not afforded a reasonable opportunity to gather evidence, locate potential witnesses, study the relevant legal authorities, and otherwise properly prepare her case.
¶ 18 The record before us does not support the Board’s conclusions that “[t]he essential elements of due process were observed[,] [t]he parties received advance notification of the issues to be considered at the scheduled hearing,” and “no error exists[ ] which could have misdirected the Claimant to prepare for a hearing regarding a FS [ (food stamps) ] overpayment.” Thus, the Board erred in finding Henrieks received proper notification. The Board also erred when it determined that “[t]here was no accident or surprise in the proceedings which could not have been prevented by ordinary diligence.” It was not Henrieks’s responsibility to correct the notification error made by the Department. See Vargas v. Trainor, 508 F.2d 485, 489-90 (7th Cir.1974) (holding that benefit reduction and termination notices that failed to provide reasons for the agency’s action violated due process despite fact that recipients could call to find out the reasons).
¶ 19 In sum, we hold that the Board’s decision to find Henrieks liable for overpayment of cash assistance benefits deprived her of a property right without due process of law. See Carlson, 214 Ariz. at 433, ¶ 23, 153 P.3d at 1062 (finding denial of due process based on “variance between [the employee’s] dismissal notice ... and the facts upon which the Board upheld dismissal”). On remand, if the Department desires to continue pursuit of its claim against Henrieks, it must provide her with sufficient notice, which at a minimum means compliance with applicable statutes and regulations.
¶ 20 Henrieks next contends that the ALJ incorrectly admitted handwritten documents submitted by the Department into evidence at her hearing. Given our resolution of the notice issue, we need not address this argument. Also, Henrieks did not preserve her right to challenge the ruling on appeal because she failed to object to the admission of the handwritten documents during the hearing. See Campbell v. Warren, 151 Ariz. 207, 208, 726 P.2d 623, 624 (App.1986). However, in our discretion, we address this issue because it is likely to arise on remand. See State v. Abdi 226 Ariz. 361, 366, ¶ 18, 248 P.3d 209, 214 (App.2011).
¶ 21 The Arizona Rules of Evidence permit the admission of any relevant “writings,” including handwritten documents. Ariz. R. Evid. 1001. Moreover, ALJs in administrative proceedings have considerably more leeway in deciding what evidence to admit because they are permitted to consider all relevant evidence. A.R.S. § 41-1062(A) (2004); State Div. of Fin. v. Indus. Comm’n of Ariz., 159 Ariz. 553, 556, 769 P.2d 461, 464 (App.1989). Therefore, assuming the handwritten documents are relevant to the proceeding, they may be properly admitted and considered.
CONCLUSION
¶ 22 Based on the foregoing, we conclude that the Department failed to provide Hen-ricks with adequate notice of the action against her. Accordingly, we reverse the Board’s decision and remand this case for further proceedings consistent with this opinion.
CONCURRING: PATRICIA K. NORRIS and PHILIP HALL, Judges.
. A child who is born during a period of time when his or her parent or caretaker is receiving cash assistance or supportive services is ineligible to receive cash assistance for a specified period of time. See Ariz. Admin. Code ("A.A.C.”) R6-12-308(A).
. Arizona Administrative Code R6-12-1002 provides that “[a] person who wishes to appeal an adverse action shall file a written request for a fair hearing ... within 20 days of the adverse action notice date.”
. Section 46-213(B) provides in relevant part: "If a recipient is overpaid for whatever reason, the recipient is liable for the amount of the overpayment.”
. Henrieks presents several new exhibits on appeal and asks that this court "compare [her] evidence to [the Department’s]." In our discretion, we decline to consider the new material submitted by Henrieks. See A.R.S. § 41-1993(B) ("All such appeals shall be limited to the record before the department unless the court orders otherwise.”). Such evidence must generally be submitted at the initial hearing.
. The Department's determination that a benefits recipient has received an overpayment of cash assistance constitutes an "adverse action” that entitles the recipient to a hearing. A.A.C. R6-12-101 (4),-1001(A)(5).
. Although not relevant to Henricks's appeal, the notice also lacked the required information regarding AHCCCS eligibility.
. The Department introduced a prehearing summary at the hearing as Exhibit 27. That document’ may have arguably provided more complete notice to Henrieks, especially with regard to which member of her household was ineligible for benefits. However, nothing in the record before us shows that Henrieks was given a copy of the prehearing summary as required by A.A.C. R6-12-1003(C). Moreover, the Board did not reference the prehearing summary, nor has the Department relied upon it on appeal. Regardless, service of the prehearing summary would not have corrected the error in the November notice informing Henrieks the overpayment claim was based on food stamps.
. Pursuant to A.R.S. § 46-213(B), if overpayment liability is established, the Department "shall determine the method of securing repayment which is most appropriate to the particular situation .... if the recipient has not obtained assistance or services by intentional misrepresentation or if the overpayment was due to an error on the part of the department of economic security, the department may waive a repayment by the recipient.”
. Henrieks also argues that the Department should have provided her with copies of its evidence prior to the hearing. As the Department has recognized in its notices, Henrieks has the right to inspect and copy all documents relevant to her case. See A.A.C. R6-12-1006(C)(4)(c) (stating the appellant has the right "[t]o copy, at a reasonable time prior to the hearing or during the hearing, any documents in the appellant’s case file which are relevant to the issues being heard, and all documents the Department may use at the hearing”). This right, however, does not relieve the Department of its responsibility under A.A.C. R6-12-1003 to mail Henrieks a copy of its prehearing summary, which must include ”[t]he decision notice and any other documents relating to the appeal.” (Emphasis added.) As noted, supra n. 6, nothing in the record indicates that the Department mailed Henrieks a copy of the summary or "any other documents relating to [her] appeal” other than the notices previously discussed.
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OPINION
GOULD, Judge.
¶ 1 Alfredo Gonzalez appeals his conviction for transportation of dangerous drugs for sale. For the reasons that follow, we affirm. In reaching our decision, we hold that expert testimony as to the modus operandi of a drag trafficking organization may, depending upon the facts and circumstances of a case, be admitted as evidence. There is no per se rule of inadmissibility for such testimony, and trial courts have the discretion to consider the relevancy and danger for unfair prejudice of such evidence on a case-by-ease basis.
Factual Background
¶ 2 On July 27, 2010, Department of Public Safety (“DPS”) Sergeant Kasun (“Kasun”) conducted a traffic stop of a vehicle heading north on Interstate 17 between Sunset Point and Cordes Junction. Jose Arenas-Pinzon (“Pinzón”) was the driver of the vehicle, and Gonzalez was sitting in the front passenger seat. Kasun asked Pinzón to exit the car, and then asked Pinzón where he was going. Pinzón told Kasun he and Gonzalez were heading to Oklahoma to work for a month. Pinzón was unable to identify the registered owner of the vehicle. When Kasun asked Pinzón how long he had known Gonzalez, Pinzón stated he had known him for two weeks.
¶ 3 Kasun returned to the vehicle, and observed a cracked windshield on the passenger side consistent with “prying the windshield out of place.” Kasun noted “extremely fresh” glue around the windshield, indications that the windshield wipers had recently been removed, and “freshly tooled” screws holding the cowling around the windshield in place. Kasun also observed that the interior of the vehicle was “extremely dirty” except for the dashboard, which was “freshly Armor-Ailed, very clean up on top,” and “looked inconsistent with the rest” of the vehicle.
¶ 4 Eventually, Kasun asked Gonzalez where he and Pinzón were going. At odds with Pinzon’s statement, Gonzalez stated that they were going to Kansas to drop off the car with an unknown person, and then would immediately return to Phoenix by bus. When Kasun asked Gonzalez how long he had known Pinzón, Gonzalez replied he had known Pinzón for six months. Kasun also noticed Gonzalez initially appeared to be “extremely nervous” and “very distant,” and avoided eye contact whenever Kasun asked him if there were illegal drugs in the car.
¶ 5 Both Pinzón and Gonzalez signed consent forms permitting Kasun to search the vehicle. During this time, a canine officer had arrived; the drug detection dog performed a search of the vehicle and alerted to the front fender well. Kasun knew “that Ford products have a natural structural void underneath the windshield cowling.” Based on his knowledge, the drug dog’s alert to the car, and his identification of fresh spray paint and glue on the dash, Kasun removed the windshield to access the “void,” and found three plastic containers containing a total of 2.5 pounds of methamphetamine. On the floorboard behind the passenger seat, Kasun found a screwdriver that looked as if it had been “filed down to be used more as a pry bar,” with fresh glue on it “consistent with the glue that was on the windshield,” and a set of latex gloves.
¶ 6 Kasun arrested the two men. Following the arrest, Kasun and Detective Audsley (“Audsley”) questioned Gonzalez. During questioning, Gonzalez denied knowing any illegal drugs were in the car. Gonzalez stated he was suspicious that there was something in the vehicle, and so he had asked Pinzón “five or six times” whether there was anything illegal in the car. Each time Gonzalez asked this question, Pinzón denied that there were any drugs in the vehicle. Despite Pinzon’s repeated denials, Gonzalez thought that Pinzón might be aware that there were drugs in the vehicle, and thought that Pinzón may have lied to him.
¶ 7 Both Pinzón and Gonzalez were charged with possession of dxmg paraphernalia and transportation of dangerous drugs for sale. Separate trials were held for each defendant. The jury acquitted Gonzalez of possession of drug paraphernalia, but convicted him of transportation of dangerous drags for sale, and the eoui’t sentenced him to a mitigated tex’m of five years in pxison. Gonzalez timely appealed.
Discussion
I. Modus OperandilDrug Courier Profile Evidence
¶ 8 To prove its case at trial, the State had to show that Gonzalez knew there was methamphetamine in the vehicle, and that it was being tx-ansported for sale. Ariz. Rev. Stat. (“AR.S.”) §§ 13-3407(A)(7) (“A person shall not knowingly: ... Transport for sale ... a dangerous drag.”), 13-105(10)(b) (2010). Gonzalez’s defense was that he had no knowledge of the methamphetamine in the vehicle. As circumstantial evidence of Gonzalez’s knowledge, the State introduced the testimony of Sergeant Manera (“Manera”). He testified that drug-trafficking organizations, like legitimate businesses, have a profit motive, and do not “typically” entrust $112,000 worth of their drugs to an “unknowing transporter” because “[t]hey need to know that that person can be trusted and that it’s going to make it from point A to point B, and that somebody’s not going to drive off with it, or they’re not going to not deliver it.”
¶ 9 Before trial, counsel for Gonzalez agreed that Manera’s testimony was not the type of “drug courier profile evidence” that was inadmissible at trial. She also stated she would not object to its admission as long as the State offered sufficient foundation. The court denied the State’s pretrial motion to admit this testimony as premature, and ruled that its admissibility would “be determined by relevance and foundation and other matters that will have to be established at the time that the evidence is sought to be presented at trial.” When Manera testified at trial, the only objection made by Gonzalez’s counsel was that the State was leading the witness.
¶ 10 On appeal, Gonzalez argues the trial court erred by admitting Manera’s “drag courier profile evidence.” Because Gonzalez failed to object to this testimony at trial, and in fact conceded before trial that it was not “drug courtier profile evidence,” we review this claim of error for fundamental error. See State v. Henderson, 210 Ariz. 561, 567, ¶ 19, 115 P.3d 601, 607 (2005). On fundamental error review, appellant has the burden to show error, that the error was fundamental, and that he was prejudiced thereby. Id. at 567-68, ¶¶ 20, 22, 115 P.3d at 607-08.
A. Drug Courier Profile Evidence
¶ 11 On appeal, Gonzalez incorrectly characterizes Manera’s testimony as “drug courier profile” evidence. Drag courier profile evidence is “an ‘informal compilation of characteristics’ ... typically displayed by persons trafficking in illegal drugs.” State v. Lee, 191 Ariz. 542, 544, ¶ 10, 959 P.2d 799, 801 (1998) (citing Reid v. Georgia, 448 U.S. 438, 440-41, 100 S.Ct. 2752, 65 L.Ed.2d 890 (1980)); see also United States v. Cordoba, 104 F.3d 225, 229-30 (9th Cir.1997). For example, in Lee the drug courier profile evidence focused on the fact that defendant was carrying a hard-sided plastic suitcase; taking a flight to Chicago, which was known as a “very high demand area for shipment of illegal drugs from Arizona”; and had checked in late for his flight, a common practice of people transporting drugs from the Phoenix airport. Lee, 191 Ariz. at 545, ¶ 13, 959 P.2d at 802. As the court noted in Lee, drug courier profile evidence may be properly admitted at a suppression hearing to determine whether reasonable suspicion exists for a stop. Id. at ¶ 11.
¶ 12 Drug courier profile evidence, however, is inadmissible at trial as substantive evidence of a defendant’s guilt. Id. at 545-46, ¶¶ 14-18, 959 P.2d at 802-03. In Lee, the court held that such evidence is unduly prejudicial because it impermissibly suggests to the jury that “because someone shares characteristics — many of them innocent and commonplace — with a certain type of offender, that individual must also” be guilty. Id. at 545, ¶¶ 12, 14, 959 P.2d at 802; see State v. Cifuentes, 171 Ariz. 257, 257, 830 P.2d 469, 469 (App.1991) (stating that the “use of profile evidence to indicate guilt ... creates too high a risk that a defendant will be convicted not for what he did but for what others are doing”); State v. Walker, 181 Ariz. 475, 481, 891 P.2d 942, 948 (App.1995) (citing cases from several jurisdictions that have “condemned” the use of drug courier profile evidence as substantive proof of guilt).
B. Modus Operandi Evidence
¶ 13 Expert testimony that drag traffickers do not entrust large quantities of drags to unknowing transporters is not drug courier profile evidence, but rather, is modus operandi evidence. See Cordoba, 104 F.3d at 230. Unlike drug courier profile evidence, modus operandi evidence is not admitted to prove that a defendant is guilty because he fits “the characteristics of a certain drug courier profile,” but is properly admitted to assist the jury in understanding the modus operandi of a drug trafficking organization. Id. Our Supreme Court recognized in Lee that such expert testimony may be admissible to explain a drug trafficking organization’s modus operandi. Lee, 191 Ariz. at 545, ¶ 11, 959 P.2d at 802; see also State v. Salazar, 27 Ariz.App. 620, 624-25, 557 P.2d 552, 556-57 (1976) (holding that expert testimony describing the common counter-surveillance techniques of narcotics dealers was admissible).
¶ 14 Several other courts have recognized the distinction between drug courier profile evidence, which is inadmissible as substantive evidence of guilt, and modus operandi evidence, which is admissible. See United States v. Sepulveda-Barraza, 645 F.3d 1066, 1072 (9th Cir.2011) (holding that “expert testimony on drug trafficking organizations and the behavior of unknowing couriers is admissible when relevant, probative of a defendant’s knowledge, and not unfairly prejudicial”); United States v. Murillo, 255 F.3d 1169, 1176-78 (9th Cir.2001) (stating that expert testimony of modus operandi of couriers in drag trafficking organizations is, unlike drug courier profile testimony, admissible expert testimony), overruled on other grounds as recognized in United States v. Mendez, 476 F.3d 1077, 1080 (9th Cir.2007); United States v. Campos, 217 F.3d 707, 712 (9th Cir.2000) (same); United States v. Vasquez, 213 F.3d 425, 427 (8th Cir.2000) (same).
C. Manera’s Testimony
¶ 15 Manera’s testimony was admissible as modus operandi evidence; the testimony was identical to the modus operandi testimony admitted in Cordoba, 104 F.3d at 229-30. The testimony was not offered, as Gonzalez argues, to show that Gonzalez “was guilty because he fit the characteristics of a certain drug courier profile.” See Cordoba, 104 F.3d at 230. Rather, it was offered to show how drug trafficking organizations generally operate with respect to drug couriers; such organizations typically hire people they know and trust and do not commonly use unknowing drug couriers. This testimony provided circumstantial evidence of Gonzalez’s knowledge of the drags in the car, a fact that went to the heart of Gonzalez’s defense theory at trial. See id. at 229-30.
¶ 16 Manera’s testimony was proper because it was limited to the general practices of drug organizations. He did not testify as to Gonzalez’s awareness or knowledge of the drugs in the vehicle. Fuenning v. Superior Court, 139 Ariz. 590, 605, 680 P.2d 121, 136 (1983) (holding that a witness may not testify as to whether a defendant is innocent or guilty); Murillo, 255 F.3d at 1178 (stating that expert opinion testimony of officer regarding modus operandi was admissible where officer did not offer “any ‘explicit opinion’ of defendant’s state of mind or knowledge of his transportation of drugs”). Man-era also properly qualified his testimony. He did not testify that drag organizations never use unknowing couriers; rather, he testified that it is “unlikely” they would hire such couriers, and that they “typically” do not hire unknowing couriers.
¶ 17 In Murillo, a highway patrol officer observed the defendant driving a vehicle on Interstate 5 in California. 255 F.3d at 1172. The officer noticed that Murillo, the defendant, was driving too close to a tractor-trailer rig. Id. Eventually, the officer stopped defendant and cited him for a traffic violation. Id. During the traffic stop the defendant acted nervous and provided inconsistent, evasive details about his travel plans. Id. at 1172-73. Murillo gave the officer consent to search the vehicle, and during the search the officer discovered two screws on the rear quarter panel that appeared to have been recently removed. Id. at 1173. A drag detection canine was called to the scene and alerted to the presence of drugs in the right rear quarter panel. Id. Inside the door panel the officer discovered 2.5 pounds of methamphetamine and 3.8 pounds of cocaine valued at over $1,000,000. Id. During an inventory search of the vehicle, officers found a wrench that fit one of the screws on the quarter panel; the officers also found a Phillips head drill bit in Murillo’s pants that fit the remaining three screws on the door panel. Id. Murillo was charged with one count of possessing methamphetamine with intent to distribute, and one count of possessing cocaine with intent to distribute. Id. at 1174.
¶ 18 At trial, the sole issue was whether Murillo knew there were illegal drugs in the ear. As circumstantial evidence of Murillo’s knowledge, the state offered the testimony of DEA Special Agent Delaney (“Delaney”). Id. at 1176. Delaney testified as to the modus operandi of drug trafficking organizations: specifically, that “drug traffickers do not entrust large quantities of drugs to people who are unaware that they are transporting them.” Id. Murillo was found guilty, and on appeal, he asserted the trial court erred by admitting Delaney’s “drug courier profile” testimony. Id.
¶ 19 In affirming Murillo’s conviction, the court stated that Delaney’s testimony was not inadmissible drug courier profile testimony, but rather was admissible modus operandi evidence. Id. at 1177-78. The court held the testimony was relevant, going “right to the heart of Murillo’s defense that he was simply an unknowing courier.” Id. at 1177. The court also noted that Delaney did not testify as to the defendant’s state of mind, but limited his opinion to whether: (1) in his experience, “drug traffickers entrusted thousands of dollars of drags to couriers who did not know they were transporting them,” and (2) “why, in his experience, traffickers did not do so.” Id. at 1178.
Conclusion
¶ 20 For the foregoing reasons, in addition to those set forth in our separately filed memorandum decision, we affirm Gonzalez’s conviction and sentence.
CONCURRING: MAURICE PORTLEY, Presiding Judge and ANN A SCOTT TIMMER, Judge.
. Appellant raised additional issues, which we have addressed in a separately filed memorandum decision pursuant to Arizona Rule of Civil Appellate Procedure 28(g).
. We view the evidence in the light most favorable to supporting the conviction. State v. Moody, 208 Ariz. 424, 435, ¶ 2 n. 1, 94 P.3d 1119, 1130 n. 1 (2004).
. At trial, Manera testified that 2.5 pounds of methamphetamine has a street value of $112,500.
. Murillo also stands for the proposition that modus operandi evidence is admissible in “non-complex" cases; specifically, those cases where one or two couriers are in a vehicle containing illegal drugs. See Sepulveda-Barraza, 645 F.3d at 1070-72. We hold that modus operandi evidence is not limited to complex drug cases, and may be admitted in non-complex, drug courier cases such as the present case.
|
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OPINION
NORRIS, Judge.
¶ 1 The fundamental issue in this special action is whether Proposition 204, a voter-enacted initiative expanding the number of A’izonans “eligible” to receive Medicaid benefits, requires the Legislature to appropriate supplemental funding to serve this expanded population. Although we agree with Petitioners Proposition 204 directs the Legislature to provide supplemental funding from “any other available sources,” whether the Legislature has complied with this directive presents a political question not appropriate for judicial resolution. This is because determining whether the Legislature has, as it has stated, or has not, as Petitioners argue, provided supplemental funding from “any other available sources” would require the Judiciary to set priorities and make funding decisions entrusted to the other branches of government. Thus, although we disagree with much of the analysis applied by the superior court in rejecting Petitioners’ claims, we nevertheless affirm its denial of their request for relief.
FACTS AND PROCEDURAL BACKGROUND
¶ 2 The voters passed Proposition 204 in the 2000 General Election. This initiative measure amended the statutes dealing with Arizona’s Medicaid agency, the Arizona Health Care Cost Containment System (“AHCCCS”), to substantially expand the number of people “eligible” to receive health care subsidized by state, county, and federal funds. This expansion was essentially accomplished by raising the income cutoff for “any person” applying for AHCCCS benefits from 34% to 100% of the federal poverty guidelines. According to the record before us, currently, “[m]ore than one in four individuals receiving AHCCCS benefits is covered because of Proposition 204.” Proposition 204 specified funding for this expansion would “come from the Arizona tobacco litigation settlement fund,” (the “TLS fund”) which was to consist of “all monies that [Arizona] receives pursuant to the tobacco litigation master settlement agreement en tered into on November 23,1998 and interest earned on these monies.” See Ariz. R. Stat. (“A.R.S.”) § 36-2901.02(A) (2000). In addition, Proposition 204 stated “[t]o ensure that sufficient monies are available to provide benefits to all persons who are eligible,” the TLS fund “shall be supplemented, as necessary, by any other available sources including legislative appropriations and federal monies” (the “supplemental funding provision”). See A.R.S. § 36-2901.01(B) (2000). Proposition 204 further barred the State from capping enrollment of eligible individuals (“cap prohibition”): “Neither the executive department nor the legislature may establish a cap on the number of eligible persons who may enroll in the system.” See A.R.S. § 36-2901.01(A). This provision may have been a response to the fate of a similar initiative passed in 1996 — Proposition 203 — which, Petitioners assert, was frustrated by “[s]tate officials ... [who] insisted on capping the number of eligible individuals in the program.”
¶ 3 The TLS fund has historically failed to meet the funding requirements for the Proposition 204 expanded population. Thus, in accordance with the supplemental funding provision, the Legislature has appropriated supplemental funding from the general fund to provide AHCCCS sendees for Proposition 204 “eligible” individuals. Then, in early 2011, faced with a deepening budget crisis, Governor Jan Brewer and the Legislature initiated a series of measures to reduce the “explosive growth” of AHCCCS spending. See Statement by Governor Jan Brewer, Office of the Governor (Jan. 21, 2011), http://www. azahcccs.gov/reporting/Downloads/Budget Proposals/FY2012/l-21-llStatementby GovernorJanBrewerMedicaidWaiver.pdf (last visited Nov. 30, 2011).
¶ 4 First, in January 2011, the Legislature passed and Governor Brewer signed Senate Bill 1001. That legislation instructed AHCCCS to “apply to the secretary of the United States department of health and human services for a waiver from the maintenance of eligibility requirements.” S.B. 1001, 50th Leg., 1st Spec. Sess. § 1(A) (Ariz. 2011); 2011 Ariz. Sess. Laws, eh. 1, § 1 (1st Spec. Sess.). Upon approval of the waiver request, AHCCCS was further instructed to “adopt rules ... for determining eligibility necessary to implement a program within the monies available from the [TLS fund] ... and any other legislative appropriation and federal monies made available for the support of the program.” Id. § 1(B). If these monies were “insufficient to fund all existing programs,” AHCCCS was authorized to “suspend any programs or eligibility for any persons or categories of persons” who would otherwise be eligible for AHCCCS benefits. Id.
¶ 5 As authorized by Senate Bill 1001, Governor Brewer applied to federal Medicaid authorities for a “maintenance of efforts” waiver, although, as it turned out, the State was not required to seek a waiver. As Secretary Kathleen Sebelius of the United States Department of Health and Human Sendees (“HHS”) informed Governor Brewer, the State could simply “choose to terminate its current demonstration on September 30, 2011 and either not pursue a new demonstration or pursue a different demonstration.” Letter from Kathleen Sebelius, See’y. of HHS, to Governor Brewer at 3 (Feb. 15, 2011), http://www.azahcccs.gov/ shared/Downloads/News/SebeliusLetter_ JanieeBrewer.pdf (last visited Dec. 1, 2011). Accordingly, on March 31, 2011, Governor Brewer sent a letter to HHS proposing a new demonstration “retaining] coverage for Arizonans currently on Medicaid” but “freezing] enrollment for childless adults beginning July 1, 2011.” Letter from Governor Brewer to Kathleen Sebelius, Sec’y. of HHS at 2 (March 31, 2011), http://www.azaheccs. gov/reporting/Downloads/1115waiver/W aiver Packet_3_31_ll.pdf (last visited Dec. 1, 2011).
¶ 6 Then, on April 6, 2011, the Legislature passed and Governor Brewer signed Senate Bill 1612, a general appropriations bill that reduced AHCCCS funding by nearly $1.6 billion. Senate Bill 1612 specified “[t]he amounts [appropriated for Proposition 204 services] inelude[] all available sources of funding consistent with” the supplemental funding provision. S.B. 1612, 50th Leg., 1st Reg. Sess. § 9 (Ariz. 2011); 2011 Ariz. Sess. Laws, eh. 24, § 9 (1st Reg. Sess.). That same day, Governor Brewer also signed Senate Bill 1619, which, “Notwithstanding any other law,” authorized AHCCCS to “adopt rules necessary to implement a program within available appropriations” and establish “rules ... for determining eligibility necessary to implement a program within the available appropriation.” S.B. 1619, 50th Leg., 1st Reg. Sess. § 34(A), (A)(2) (Ariz. 2011); 2011 Ariz. Sess. Laws, ch. 31, § 34(A), (A)(2) (1st Reg. Sess.).
¶ 7 On July 1, 2011, HHS granted permission to “phase out” the existing demonstration. Consistent with Senate Bill 1619 and despite the cap prohibition, on July 8, 2011, AHCCCS implemented a new rule freezing new childless adult enrollment, to “comply with the legislative requirement that [AHCCCS] adopt rules regarding eligibility necessary to implement a program within available appropriations.” Ariz. Admin. Code R9-22-1443, Preamble, ¶ 6 (eff. July 8, 2011). As of the date of this opinion, the current rule states AHCCCS shall not “approve eligibility with an effective date on or after July 8, 2011 for the [childless adult] population.” R9-22-1443(A) (the “enrollment freeze”). This enrollment freeze has affected thousands of Arizonans who otherwise would have been eligible to receive health care benefits through AHCCCS under Proposition 204.
¶ 8 In June, before the effective date of the new rule, Petitioners sued the State and AHCCCS in the superior court. Requesting declaratory and injunctive relief, they asserted the Legislature’s failure to provide supplemental funding from “any other available sources” and the resulting enrollment freeze violated Proposition 204 and the Voter Protection Act, a set of amendments to the Arizona Constitution approved by voters in 1998 that prohibit the Legislature from repealing voter-enacted initiative or referendum measures and severely restrict the Legislature’s power to amend such measures. Ariz. Const, art. 4, pt. 1, § 1(6)(B)-(C).
¶ 9 The parties stipulated to the factual background discussed above and presented legal arguments during a hearing in which they asked the superior court to “treat ... [their arguments] as a trial on the merits, and have the Court issue a final judgment on all of the plaintiffs’ claims following the hearing.” After this hearing, the superior court ruled “[t]he Legislature does not have an enforceable duty to fund Proposition 204, and the scope (and limits) of [AHCCCS Director] Betlaeh’s duty is to continue to ensure that his agency is providing healthcare to the extent possible under Proposition 204 within the limits of the funding provided to him.” The superior court further ruled the Voter Protection Act was not implicated by the State’s actions because “[although the Voter Protection Act prohibits the Legislature from doing numerous things, it does not require the Legislature to do anything — specifically, it does not require the Legislature to fund programs.” The superior court accordingly denied Petitioners all relief and entered judgment for the State and Betlach.
¶ 10 Petitioners then filed a Petition for Special Action with this court, seeking our expedited review of the superior court’s judgment due to “the urgency of this matter, and the devastating injury to the Petitioners and thousands of other individuals.” Betlach and the Arizona Attorney General’s office responded to the Petition, and the President of the Senate and the Speaker of the House of Representatives filed a brief, pursuant to A.R.S. § 12-1841(D), in opposition to the Petition (unless separately referenced, these parties collectively referred to as “Respondents”). Two groups of organizations filed amicus curiae briefs supporting the arguments of Petitioners. Because the Petition raises purely legal questions of statewide importance, we accepted special action jurisdiction. See State ex rel. Romley v. Martin, 203 Ariz. 46, 47, ¶4, 49 P.3d 1142, 1143 (App.2002).
DISCUSSION
¶ 11 Petitioners essentially argue— and Respondents deny — Proposition 204, construed as a whole, requires the Legislature to provide funding from “any other available sources” so every Proposition 204 “eligible” person may receive AHCCCS benefits. Petitioners further argue the enrollment freeze resulting from the Legislature’s failure to provide such funding violates the cap prohibition as well as the Voter Protection Act. Because these arguments raise issues of law and statutory construction our review is de novo. See State ex rel. Romley v. Hauser, 209 Ariz. 539, 540, ¶ 4, 105 P.3d 1158, 1159 (2005).
¶ 12 After reviewing the conflicting arguments of the Petitioners and Respondents, we hold: first, the supplemental funding provision is not an appropriation; second, contrary to the superior court’s conclusion, the supplemental funding provision requires the Legislature to supplement the TLS fund with “any other available sources” of funding; and third, whether the Legislature has done so is a nonjusticiable political question. Accordingly, we affirm the superior court’s decision denying Petitioners all relief.
I. The Supplemental Funding Provision is Not an Appropriation
¶ 13 Petitioners conceded in the superior court and acknowledge in this special action the supplemental funding provision is not, in itself, an appropriation. Consequently, Petitioners have not argued the Legislature diverted any funds allocated by the voters for AHCCCS benefits in violation of the Voter Protection Act. See supra note 5. Although we are not bound by the parties’ interpretation of the law, see Mora v. Phoenix Indem. Ins. Co., 196 Ariz. 315, 318 n. 3, ¶ 14, 996 P.2d 116, 119 n. 3 (App.1999), we nevertheless agree with Petitioners the supplemental funding provision is not an appropriation.
the use of the appropriations process for legislative purposes. See State v. Angle, 54 Ariz. 13, 21, 91 P.2d 705, 708 (1939). Here, as discussed at supra ¶¶ 4-6, the provisions authorizing the enrollment freeze were contained in Senate Bills 1001 and 1619; neither of these bills were appropriation bills. In addition, "there can be little doubt that unless the legislature provides the necessary funds, a program cannot function, and for the legislature to fail to provide the funds is not a use of the appropriations function for legislative purposes.” Cochise Cnty. v. Dandoy, 116 Ariz. 53, 56, 567 P.2d 1182, 1185 (1977).
¶ 14 An appropriation requires (1) legislative intent to (2) set aside a certain sum for a specified object and (3) an authorization for executive officers to spend that money. See Rios v. Symington, 172 Ariz. 3, 8, 833 P.2d 20, 25 (1992). Here, although the language of the supplemental funding provision demonstrates the proponents of Proposition 204 wanted the Legislature to allocate monies to provide AHCCCS benefits to all eligible individuals, the required language specifying a “certain sum” is noticeably absent. “[W]hen a legislative appropriation is directed to be paid out of the general fund, but not to comprise the whole of such fund, the appropriation must be specific as to a maximum amount and cannot be left indefinite and uncertain in this regard.” Crane v. Frohmiller, 45 Ariz. 490, 497, 45 P.2d 955, 958 (1935). Although the supplemental funding provision certainly contemplates future legislative appropriations, “[a] promise by the government to pay money is not an appropriation. A duty on the part of the legislature to make an appropriation is not such. A promise to make an appropriation is not an appropriation.” Id. at 498, 45 P.2d at 959.
¶ 15 Further, as explained by our supreme court,
No rule is better settled than that to constitute a valid appropriation payable out of the general fund the Act must fix a maximum limit as to the amount that can be drawn under it. If this was not the law there would be no limit to the amount of money that could be drawn thereunder and the public treasury would be wholly unpro-. tected against claims of an undetermined amount.
Cockrill v. Jordan, 72 Ariz. 318, 319, 235 P.2d 1009, 1010 (1951) (internal citations omitted). We therefore hold the supplemental funding provision is not an appropriation.
II. The Supplemental Funding Provision Directs the Legislature to Supplement the TLS Fund with Any Other Available Sources of Funding
¶ 16 Because the supplemental funding provision is not an appropriation, we must determine what it requires. Petitioners argue “[t]he fact that the obligation is not in the form of a self executing appropriation does not render it unenforceable.” Thus, they argue Proposition 204, construed as a whole, directs the State “to provide health care benefits to all [eligible] individuals.” We agree, and therefore disagree with the superior court that Proposition 204 “merely contemplates that the Legislature will pass legislation to fund the program.”
¶ 17 In construing statutes adopted by initiative, “[o]ur primary objective ... is to give effect to the intent of the electorate.” State v. Gomez, 212 Ariz. 55, 57, ¶ 11, 127 P.3d 873, 875 (2006). If the language of an initiative is clear and unambiguous and therefore “subject to only one reasonable meaning, we do so by applying the language without using other means of statutory construction.” Id.
¶ 18 The language of the supplemental funding provision contains mandatory directives: “[t]o ensure that sufficient monies are available to provide benefits to all persons who are eligible ... funding ... shall be supplemented, as necessary, by any other available sources including legislative appropriations and federal monies.” A.R.S. § 36- 2901.01(B) (emphasis added); see supra note 1. Other language in Proposition 204 underscores the mandatory nature of the supplemental funding provision, such as the definition of eligibility, which “includes any person who has [the required] income level.” A.R.S. § 36-2901.01(A) (emphasis added). Notwithstanding these mandatory directives, Respondents attribute great significance to the phrase “any other available sources,” and, more specifically, argue the use of the word “available” in this context “left the Legislature the discretion to determine what portion of the general fund would be ‘available’ to supplement the [TLS.fund].”
¶ 19 Because Proposition 204 does not define the word “available,” we use its ordinary meaning unless “the context clearly indicates that a special meaning was intended.” Trustmark Ins. Co. v. Bank One, Arizona, 202 Ariz. 535, 541, ¶27, 48 P.3d 485, 491 (App.2002). “Available” can mean either present and ready for use, or capable of being gotten, obtainable. American Heritage Dictionary 123 (4th ed. 2001); see In re Pinal Cnty. Mental Health No. MH-201000029, 225 Ariz. 500, 504 n. 4, ¶ 15, 240 P.3d 1262, 1266 n. 4 (App.2010) (“In the absence of a statutory definition, a dictionary may be consulted to determine the ordinary meaning of words used in a statute.”). The first time the word is used — “to ensure that sufficient monies are available” — the context suggests it is in the “ready for use” sense. The second time the word is used — “by any other available sources” — the context suggests it is in the “obtainable” sense. Because determining whether something is “obtainable” necessarily requires the exercise of judgment, the word “available” does suggest a discretionary function within the supplemental funding provision.
¶ 20 Nevertheless, we believe the view urged by Respondents — that this single, possibly discretionary word transforms the supplemental funding provision into nothing more than a permissive guideline — disregards the compulsory nature of the provision and Proposition 204 as a whole, as evidenced by its plain language. When interpreting statutes, “[e]ach word, phrase, clause and sentence must be given meaning so that no part will be void, inert, redundant or trivial.” Maricopa Cnty. v. Arizona Tax Court, 162 Ariz. 64, 68, 781 P.2d 41, 45 (App.1989). Additionally, “we will consider the meaning naturally attaching to the statutory language and will adopt that meaning which best harmonizes with the context.” Id. The construction suggested by Respondents conflicts with other provisions of Proposition 204, most obviously the provision that “[n]either the executive department nor the legislature may establish a cap on the number of eligible persons who may enroll in the system.” See AR.S. § 36-2901.01(A). A construction of Proposition 204 prohibiting the Legislature from establishing a cap on enrollment, but then giving the Legislature discretion to provide — or choose not to provide — the funding necessary to avoid such a cap would be internally contradictory.
¶ 21 By interpreting the word “available” in the overall context of Proposition 204, as evidenced by its plain language, we read the supplemental funding provision to mean what it says: if supplemental funding is needed, the Legislature shall provide it from “any other available sources.” Whether the Legislature has done so, however, presents a nonjusticiable political question, as we discuss below.
III. Whether the Legislature Has Appropriated Supplemental Funding From ■ “Any Other Available Sources” is a Nonjusticiable Political Question
¶ 22 As discussed, in Senate Bill 1612, the Legislature stated it had appropriated “all available sources of funding” and in Senate Bill 1619, it authorized AHCCCS to adopt, by rule, the enrollment freeze. See supra ¶¶ 6-7. Petitioners argue, however, the Legislature has not actually appropriated all available sources of funding and the resulting enrollment freeze violates both Proposition 204 and the Voter Protection Act. Consistent with this argument, Provider Amici suggest the Legislature had options for “other available sources” of funding, such as a “bed tax” proposed by the Arizona Hospital and Healthcare Association and “a temporary, progressive income tax on high wage-earners.” Petitioners and Provider Amici therefore want us to decide whether the Legislature has, in fact, tapped “any other available sources” of supplemental funding. This controversy over the Legislature’s funding decisions and the resulting enrollment freeze is not one we should decide; it involves a nonjusticiable political question.
¶ 23 A “controversy is nonjustieiable — i.e., involves a political question — where there is ‘a textually demonstrable constitutional commitment of the issue to a coordinate political department; or a lack of judicially discoverable and manageable standards for resolving it.’” Nixon v. United States, 506 U.S. 224, 228, 113 S.Ct. 732, 735, 122 L.Ed.2d 1 (1993) (internal citation omitted); see also Forty-Seventh Legislature v. Napolitano, 213 Ariz. 482, 485, ¶ 7, 143 P.3d 1023, 1026 (2006) (same standard used in Arizona courts). The Arizona Constitution “expressly provides that the departments of our state government ‘shall be separate and distinct, and no one of such departments shall exercise the powers properly belonging to either of the others.’ ” Kromko v. Arizona Bd. of Regents, 216 Ariz. 190, 193, ¶ 12, 165 P.3d 168, 171 (2007) (quoting Ariz. Const, art. 3). Thus, because we recognize the importance of the separation of powers and “that some decisions are entrusted under the ... constitution to branches of government other than the judiciary____Arizona courts refrain from addressing political questions.” Id. at 192, ¶ 12, 165 P.3d at 170 (internal citations omitted).
¶ 24 Here, the people, acting in their legislative capacity, directed the Legislature to supplement the TLS fund with “any other available sources”; the Legislature, in turn, acting in its legislative capacity, has declared it has done so. The Arizona Constitution specifies “[n]o money shall be paid out of the state treasury, except in the manner provided by law.” Ariz. Const, art. 9, § 5. This provision “has been construed to mean that no money can be paid out of the state treasury unless the legislature has made a valid appropriation for such purpose and funds are available for the payment of the specific claim.” Cockrill, 72 Ariz. at 319, 235 P.2d at 1010. Thus, whether and how much money can be paid out of the state treasury is clearly committed by our Constitution to those acting in a legislative capacity. Here, because the people did not, with the exception of the TLS fund, make a self-executing appropriation, the determination of “any other available sources” is, under our Constitution, left to the Legislature, not the Judiciary. This conclusion, however, that “the Constitution assigns th[is] power ... to other branches of government simply begins the inquiry” into whether the Legislature’s determination of what “other available sources” exist is justiciable. Kromko, 216 Ariz. at 193, ¶ 13, 165 P.3d at 171.
¶ 25 The “second critical prong of the political question test: whether there exist judicially discoverable and manageable standards,” id. at ¶ 14, overlaps with and informs the first prong. “[T]he lack of judicially manageable standards may strengthen the conclusion that there is a textually demonstrable commitment to a coordinate branch.” Id. (quoting Nixon, 506 U.S. at 228-29, 113 S.Ct. at 735). There are no “judicially discoverable and manageable standards” we may draw on to ascertain whether the Legislature has supplemented the TLS fund with “any other available sources”; in these circumstances, we are ill-equipped to inquire into and second-guess the complexities of decision-making and priority-setting that go into managing the State’s budget and the appropriations made pursuant to budgetary decisions. See, e.g., Brewer v. Burns, 222 Ariz. 234, 239, ¶ 21, 213 P.3d 671, 676 (2009) (internal citation omitted) (questions involving “whether the Legislature should include particular items in a budget or enact particular legislation ... clearly are political questions”).
¶ 26 Petitioners argue “there is an objective standard in this ease for the Court to determine compliance: the state must provide AHCCCS benefits to everybody with incomes at or below federal poverty level and the executive and legislative branches are prohibited from establishing any caps on the number of eligible persons.” This argument avoids the precise nonjusticiable question before us. The standard Petitioners suggest measures whether the Legislature has provided funding for all individuals eligible for benefits under Proposition 204. But, this standard provides us with no satisfactory eritena to measure whether the Legislature has appropriated “any other available sources” of supplemental funding as it says it has. In deciding what other available sources exist, the Legislature has had to make (and will have to make) subjective policy choices: should it allocate monies that would otherwise be used to fund our schools, prisons, parks, and highways as other available sources? Or, should it raise taxes to obtain other available sources? These are not issues a court should review; it is not our constitutional role to assess the soundness of the State’s financial prioritizations.
¶27 Our supreme court was presented with a similar situation in Kromko, 216 Ariz. 190, 165 P.3d 168. There, the issue was whether tuition at Arizona’s state universities was “as nearly free as possible,” as required by Article II, Section 6 of our state constitution. Id. at 191, ¶ 1, 165 P.3d at 169. The court held this issue presented a nonjusticia-ble political question because setting university tuition was constitutionally entrusted to the other branches of government and not the Judiciary. Id. at 193, ¶ 13, 165 P.3d at 171. The court also explained there was “no North Star to guide a court in making such a determination; at best, we would be substituting our subjective judgment of what is reasonable under all the circumstances for that of the Board [of Regents] and Legislature, the very branches of government to which our Constitution entrusts this decision.” Id. at 194, ¶ 21, 165 P.3d at 172.
¶28 The same is true here. Whether the Legislature has correctly determined, as Senate Bill 1612 states, “[t]he amounts [appropriated for Proposition 204 services] include[] all available sources of funding consistent with” the supplemental funding provision and has properly authorized AHCCCS to implement the enrollment freeze, presents a nonjusticiable political question. Further, because this controversy presents a nonjusticiable political question we do not address Petitioners’ argument the Legislature’s funding decision and the enrollment freeze constitutes an implied repeal of Proposition 204 in violation of the Voter Protection Act.
¶ 29 Our holding that this controversy involves a nonjusticiable political question does not constitute a determination the Legislature’s AHCCCS appropriation and the resulting enrollment freeze complied with what the electorate directed by enacting Proposition 204; that determination would be “‘a decision on the merits that reflects the exercise of judicial review, rather than an abstention from judicial review.’” Kromko, 216 Ariz. at 195, ¶ 22, 165 P.3d at 173 (quoting Forty-Seventh Legislature, 213 Ariz. at 485, ¶ 7, 143 P.3d at 1026). While we recognize reasonable people may question whether, as the Legislature has said in S.B. 1612, its appropriation for Proposition 204 services actually “includes all available sources of funding,” in light of the human suffering that has occurred and will unquestionably continue to occur as a consequence, under our system of governance, and in these circumstances, resolution of this issue is entrusted to the Legislature’s judgment. Further, our decision does not mean the Legislature is free from Proposition 204. We hold only that we cannot review whether it has, in fact, appropriated “any other available sources” of supplemental funding and therefore cannot resolve this particular controversy.
CONCLUSION
¶ 30 For the foregoing reasons, we affirm the result reached — but not all of the analysis used — by the superior court. Thus, we affirm the superior court’s judgment denying Petitioners’ request for relief.
CONCURRING: MICHAEL J. BROWN, Presiding Judge and PHILIP HALL, Judge.
. Proposition 204 was codified in Arizona Revised Statutes sections 36-2901.01 and 36-2901.02. The relevant language of Proposition 204 is codified as follows:
A. For the purposes of § 36-2901, "eligible person” includes any person who has an income level that, at a minimum, is between zero and one hundred per cent of the federal poverty guidelines____ Neither the executive department nor the legislature may establish a cap on the number of eligible persons who may enroll in the system.
B. To ensure that sufficient monies are available to provide benefits to all persons who are eligible pursuant to this section, funding shall come from the Arizona tobacco litigation settlement fund established by § 36-2901.02 and shall be supplemented, as necessary, by any other available sources including legislative appropriations and federal monies.
Ariz.Rev.Stat. § 36-2901.01 (2000).
. Under the 2011 federal poverty guidelines,- a single adult living in Arizona with an annual income of $10,890 would be at 100% of the federal poverty guidelines, and a similarly situated person with an income of roughly $3,590 would be at 33%. Notice, Annual Update of the Health and Human Services Poverty Guidelines, 76 Fed. Reg. 3637, 3637-38 (Jan. 20, 2011).
. Because federal laws, known as “maintenance of effort requirements,” generally prevent states from lowering their eligibility levels for Medicaid assistance, the Governor and Legislature believed the State had to seek a "waiver” from these requirements from the United States Department of Health and Human Services.
4. "Demonstrations” are state projects "likely to assist in promoting the objectives of the Medicaid statute____These projects are intended to demonstrate and evaluate a policy or approach [that] has not been demonstrated on a widespread basis. Some states expand eligibility to individuals not otherwise eligible under the Medicaid program, provide services that are not typically covered, or use innovative service delivery systems.” See Research & Demonstration Projects — Section 1115, Centers for Medicare & Medicaid Services, https://www.cms.gov/MedicaidStWaivProgDemo PGI/03_Research&DemonstrationProjectsSectionl 115.asp (last visited Nov. 30, 2011).
. The Legislature may not amend voter-enacted measures unless "the amending legislation furthers the purposes of such measure and [the amendment is approved by] at least three-fourths of the members of each house of the legislature.” Id. § 1(6)(C). The Voter Protection Act also prohibits the Legislature from appropriating or diverting funds allocated by an initiative measure unless it furthers the purpose of the measure. Id. § 1(6)(D). As explained by our supreme court,
The Voter Protection Act altered the balance of power between the electorate and the legislature, which share lawmaking power under Arizona’s system of government. Before the measure’s passage, legislators could "by a majority vote ... amend or repeal any ballot measure ... approved by the voters, [unless] that ballot measure was approved by a majority of the people ... registered to vote in this state, rather than by a majority of people who voted on the ballot measure.” Backers of the measure were concerned that the legislature was abusing its power to amend and repeal voter-endorsed measures.
Arizona Early Childhood Dev. & Health Bd. v. Brewer, 221 Ariz. 467, 469, ¶ 7, 212 P.3d 805, 807 (2009) (internal citations omitted).
. One amicus curiae brief was filed on behalf of Cave Creek Unified School District, Casa Grande Elementary School District, Crane Elementary School District, Palominas Elementary School District, Yuma Union High School District, Arizona Education Association, Arizona School Boards Association, Scott Holcomb, Frank Hunter, and Nancy Putman; a second amicus curiae brief was filed on behalf of Arizona Council of Human Service Providers, Inc., and Maricopa County Consumers Advocate and Providers, Inc. ("Provider Amici”).
. Petitioners also argue the Legislature’s funding decisions violate Arizona case law prohibiting
. If the proponents of Proposition 204 had included a self-executing, continuing appropriation in the supplemental funding provision, we would be required to give it legal effect. Although Respondents broadly argue "[n]othing ... authorizes the voters to restrict the plenary legislative authority that the Constitution has vested in the Legislature by requiring the Legislature to appropriate funds in accordance with directives in voter-enacted statutes,” they recognize the Voter Protection Act, see supra note 5 and accompanying text, "altered the balance of power between the electorate and the legislature,” Arizona Early Childhood, 221 Ariz. at 469, ¶ 7, 212 P.3d at 807, and accordingly concede voter-enacted appropriations may "impact the choices that the Legislature can make in exercising its legislative discretion.” We agree the voters can certainly limit legislative discretion by making a continuing appropriation, and, indeed, specifically did so here, as Respondents acknowledge, by appropriating the TLS fund. See A.R.S. § 36-2901.02(E) ("Monies in the [TLS] fund: ... Are continuously appropriated.”); see also People’s Advocate, Inc. v. Superior Court, 181 Cal.App.3d 316, 329 n. 13, 226 Cal.Rptr. 640, 647 n. 13 (1986) ("as a practical fiscal matter, a statute [enacted through initiative] containing a continuing appropriation may limit the Legislature's financial choices in other appropriations measures.”).
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OPINION
THOMPSON, Presiding Judge.
¶ 1 Montelucia Villas, L.L.C. (Montelucia) appeals the trial court’s grant of summary judgment in favor of plaintiffs Ralph and Carolee Thomas (the Thomases). For the reasons that follow, we reverse and remand for entry of judgment in favor of Montelucia on its cross-motion for summary judgment.
FACTUAL AND PROCEDURAL HISTORY
¶ 2 In January 2006, the Thomases entered into an agreement with Montelucia Villas, L.L.C., to buy a new luxury villa residence in the Villas at the Intercontinental Montelucia Resort & Spa resort community in Paradise Valley. The purchase price of the villa was $3,295,000, not including upgrades. The purchase agreement required the Thomases to pay a total of $659,000 in earnest money deposits at three different stages of the villa’s construction. The balance of the purchase price was due on or before closing. The purchase agreement further provided, in relevant part:
12. Defaults and Remedies.
Subject to the terms and provisions of Section 6 for defective title, if Seller otherwise fails to comply substantially with the terms and conditions of this Agreement prior to the Closing and if Buyer shall have complied with all its obligations hereunder, Buyer shall be entitled to deliver to Escrow Agent and Seller a written notice detailing the default of Seller. Seller shall have twenty (20) days from the receipt of such notice within which to remedy the default, except that if the required performance cannot reasonably be completed by Seller within said twenty (20) days, then Seller shall have a reasonable time, not to exceed sixty (60) days, within which to remedy the default. If Seller has not remedied the default within the time provided in the preceding sentence, Buyer, as its sole remedy, may cancel this Agreement and receive a refund of its Deposit(s). Buyer hereby expressly waives any other rights and remedies it may have at law or in equity.
¶ 3 On April 25, 2008, Montelucia sent the Thomases a letter setting the closing date on the villa for May 16, 2008. The Thomases notified Montelucia in a letter dated May 6, 2008 that they would not go through with the sale, claiming, inter alia, that no certificate of occupancy had been issued by Paradise Valley for the Thomases’ villa. The letter requested Montelucia to instruct the title company to return their earnest money deposit. Montelucia refused to return the earnest money. The Thomases filed a complaint in superior court in February 2009, alleging breach of contract, breach of the covenant of good faith and fair dealing, and also alleging that Montelucia violated its statutory obligations under Arizona law. In its answer and counterclaim, Montelucia alleged that the Thomases breached the purchase agreement by failing to close, and asked the trial court to compel the Thomases to perform by closing on the home.
¶ 4 The Thomases filed a motion for summary judgment and Montelucia filed a cross-motion for summary judgment. After healing oral argument, the trial court entered an order granting the Thomases’ motion for summary judgment and denying Montelucia’s cross-motion for summary judgment. The court found that Montelucia breached the purchase agreement 1) by failing to complete the resort’s infrastructure and access and amenities; 2) by “failing to complete and have available at closing certain Ownership Privileges, as described in Plaintiffs’ Complaint and Motion for Summary Judgment”; and 3) by representing that the Thomases would be able to occupy the villa at the close of escrow but failing to obtain the necessary certification from the town of Paradise Valley by the date set for close of escrow. The trial court found that the Thomases were entitled to a refund of the $659,000.00 they paid in earnest money, plus statutory interest, and awarded the Thomases their attorneys’ fees and costs. Montelucia timely appealed.
DISCUSSION
¶ 5 Summary judgment is appropriate when there is no genuine issue as to any material fact and the moving party is entitled to judgment as a matter of law. Ariz. R. Civ. P. 56(c)(1). We review the grant of summary judgment de novo to determine whether any genuine issue of material fact exists, and we view the evidence and all reasonable inferences in favor of the nonmoving party. Chalpin v. Snyder, 220 Ariz. 413, 418, ¶ 17, 207 P.3d 666, 671 (App.2008) (citation omitted). Summary judgment should be granted “if the facts produced in support of [a] claim ... have so little probative value, given the quantum of evidence required, that reasonable people could not agree with the conclusion advanced by the proponent of the claim.... ” Orme Sch. v. Reeves, 166 Ariz. 301, 309, 802 P.2d 1000, 1008 (1990).
¶ 6 “An anticipatory repudiation is a breach of contract giving rise to a claim for damages and also excusing the necessity for the non-breaching party to tender performance.” United California Bank v. Prudential Ins. Co., 140 Ariz. 238, 283, 681 P.2d 390, 435 (App.1983) (citing Kammert Bros. Enters., Inc. v. Tanque Verde Plaza Co., 102 Ariz. 301, 428 P.2d 678 (1967); 2 Restatement (Second) of Contracts § 277 (1981); 4 Corbin on Contracts § 977 (1951)). The repudiating party “is not entitled to demand performance from the innocent party ...” United Cal. Bank, 140 Ariz. at 283, 681 P.2d at 435.
¶ 7 In this case, the Thomases’ May 6, 2008 letter clearly stated that they were “terminating the [ajgreement” and demanded the return of their earnest money. “[B]e-fore an anticipatory repudiation will be found, there must be a ‘positive and unequivocal manifestation on the part of the repudiating party that he will not render the required performance when it is due.’ ” Rancho Pescado, Inc. v. Nw. Mut. Life Ins. Co., 140 Ariz. 174, 186, 680 P.2d 1235, 1247 (App.1984) (quoting McMahon v. Fiberglass Fabricators, Inc., 17 Ariz.App. 190, 192, 496 P.2d 616, 618 (1972)). The May 6 letter unequivocally stated that the Thomases were cancel-ling the purchase agreement as of May 6, 2008. Thus, the letter constituted an anticipatory repudiation of the purchase agreement. At the time of the May 6 letter, Montelucia had not breached the purchase agreement; it still had until the May 16, 2008 closing date to perform its obligations under the contract. The time for Montelueia’s performance had not yet arisen. See United Cal. Bank, 140 Ariz. at 277, 681 P.2d at 429 (“Generally, a contract cannot be breached until the date the duty of performance arrives.”).
¶ 8 The parties dispute whether Montelucia was willing and able to perform under the contract. The law does not require the non-breaching party to prove it was able to perform, however, unless it is seeking damages. Id. at 283-84, 681 P.2d 390 at 435-36 (“[T]o recover damages for anticipatory breach, the injured party need only show that he had the ability to perform his own obligations under the agreement. Woliansky v. Miller, 135 Ariz. 444, 661 P.2d 1145 (App.1983).”). This appeal concerns only Montelucia’s defense to the Thomases’ claim for damages, not a claim by Montelucia for any affirmative relief.
¶ 9 In United Cal. Bank, Prudential Insurance Company (Prudential) was a commercial lender and the intended “take-out” lender for the construction of the Hyatt Regency Hotel in downtown Phoenix. 140 Ariz. at 246, 681 P.2d at 398. Prudential had agreements with the developer of the hotel, HRP Hotel Company (HRP), and with United California Bank (UCB), another lender, when it refused to fund the permanent loan for the hotel. Id. UCB and HRP sued Prudential on its obligation to fund the loan, and a jury found Prudential liable and awarded the developer HRP over ten million dollar’s in damages, plus attorneys’ fees. Id. The jury awarded UCB nominal damages of one dollar’, plus its attorneys’ fees. Id.
¶ 10 In discussing the law of anticipatory repudiation, we opined that the non-breaching parties (UCB and HRP) needed to show “‘that [they] would have been ready and willing to have performed the contract, if the repudiation had not occurred.’ ” Id. at 289, 681 P.2d at 441 (quoting Petersen v. Wellsville City, 14 F.2d 38, 39 (8th Cir.1926)). We wrote that HRP and UCB need not “go to the substantial expense of concluding preparations or to tender performance. All HRP and UCB needed to do was demonstrate to the jury that they had the ability to fulfill their commitment letter obligations in February 1977. This they proved to the jury’s satisfaction.” Id. at 289, 681 P.2d at 441. It is key that in United California Bank, HRP and UCB were the plaintiffs seeking damages. Id. at 246, 681 P.2d at 398. To be awarded damages as plaintiffs, HRP and UCB had to show that they were ready and willing to have performed the contract. Id. at 288-89, 681 P.2d at 440-41. Otherwise they would not have been injured by Prudential’s repudiation of the contract. See Gray v. Smith, 76 F. 525, 536 (C.C.N.D.Cal.1896) (a plaintiff who is not prepared to perform under the contract cannot show that he suffered loss by the other party’s repudiation); Gerli v. Poidebard Silk Mfg. Co., 57 N.J.L. 432, 31 A. 401, 403 (N.J.Err. & App.1894) (plaintiff seller who could not have delivered the commodity on the date due under the contract suffered no loss from buyer’s repudiation). In this case, Montelueia was the defendant and was not required to show that it was able to perform. Once the Thomases repudiated the contract, Montelucia was no longer obligated to do anything more in furtherance of the contract. See Cook Composites, Inc. v. Westlake Styrene Corp., 15 S.W.3d 124, 139 (Tex.App.2000) (“injured party is discharged from its remaining duties to perform under a contract where the other party repudiates its contractual duty before the time for performance”); see also A.R.S. § 47-2610 (2005) (upon anticipatory repudiation, non-breaching party may suspend his own performance). Had the Thomases wanted Montelucia to remedy its alleged deficiencies, section twelve of the purchase agreement provided the proper course of action: notify Montelucia in writing of its failure to substantially comply with the purchase agreement and give Montelucia either twenty or sixty days to cure the deficiency.
¶ 11 The Thomases argue that their letter was authorized by section twelve of the agreement, which provides that the buyers could alert the sellers of deficiencies in the latter’s performance before closing. Section twelve does not, however, authorize the buyers to unilaterally terminate the contract. The May 6 letter unequivocally repudiated the contract, and informed Montelucia that the Thomases refused to perform it. The Thomases thus were in breach. See Rancho Pescado, 140 Ariz. at 186, 680 P.2d at 1247 (notwithstanding mention of the contractual cure provision, letter unequivocally terminating agreement was anticipatory repudiation).
Attorneys’ Fees
¶ 12 Both sides request an award of attorneys’ fees on appeal pursuant to the agreement and A.R.S. § 12-341.01. Montelucia also requests attorneys’ fees in connection ■with the action in the trial court. We defer the issue of attorneys’ fees incurred here and below to the trial court to determine after final judgment in this case.
CONCLUSION
¶ 13 For the foregoing reasons, we reverse the grant of summary judgment and the award of attorneys’ fees and costs in favor of the Thomases, and remand to the trial court for entry of judgment in favor of Montelucia on its cross-motion for summary judgment as to the Thomases’ claims.
CONCURRING: MAURICE PORTLEY, and JOHN C. GEMMILL, Judges.
. This appeal, however, does not implicate Mon-telucia’s counterclaim.
. A party seeking equitable relief such as specific performance must also show an ability to perform. See, e.g., Lee v. Nichols, 81 Ariz. 106, 111-12, 301 P.2d 1022, 1025 (1956). No issue as to Montelucia's counterclaim is before us.
. The Uniform Commercial Code also addresses the situation of a party with "reasonable grounds for insecurity” concerning the other party’s ability to perform, and provides for a written demand for “adequate assurance of due performance. ..." A.R.S. § 47-2609 (2005).
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OPINION
ECKERSTROM, Presiding Judge.
¶ 1 Appellant James Johnson was convicted of second-degree murder and sentenced to an aggravated, twenty-two-year prison term. In this appeal, he raises numerous assignments of error regarding his sentencing proceedings. For the following reasons, we vacate his sentence and the jury’s findings that the offense was committed in an especially cruel, heinous, or depraved manner, and remand the case to the trial court for further proceedings.
Factual and Procedural Background
¶2 Johnson was convicted after a bench trial of the second-degree murder of his former wife, and the court sentenced him to an aggravated, twenty-two-year prison term. In his first appeal, we found he had not waived his right to have a jury determine the aggravating factors to be used in determining his sentence and we remanded the case to the trial court. Upon remand, the jury found that Johnson had committed the murder in an especially cruel manner and in an especially heinous or depraved manner; he had caused emotional harm to the victim’s family; and he had disfigured the victim, depriving the family of an open-casket funeral. The court found the aggravating factors outweighed the mitigating factors and again sentenced Johnson to an aggravated, twenty-two-year term of imprisonment. Johnson filed this timely appeal, and we have jurisdiction pursuant to A.R.S. §§ 12-120.21(A)(1), 13-4031, and 13-4033(A)(4).
Sufficiency of Cruel, Heinous, or Depraved Murder
¶ 3 Johnson argues the evidence presented was insufficient to prove the aggravating factor that the crime had been committed in a cruel, heinous, or depraved manner. At the close of the aggravation hearing, he moved for a “judgment that [the] aggravating circumstance was not proven,” pursuant to Rule 20, Ariz. R.Crim. P. The trial court denied the motion, and we review its ruling de novo. See State v. West, 226 Ariz. 559, ¶ 15, 250 P.3d 1188, 1191 (2011).
¶ 4 We will reverse the trial court’s ruling “only if there is a complete absence of substantial evidence to support the charges.” State v. Carlos, 199 Ariz. 273, ¶ 7, 17 P.3d 118, 121 (App.2001). Substantial evidence has been defined as “more than a mere scintilla” and “proof that ‘reasonable persons could accept as adequate and sufficient’ ” to support a finding beyond a reasonable doubt. State v. Mathers, 165 Ariz. 64, 67, 796 P.2d 866, 869 (1990), quoting State v. Jones, 125 Ariz. 417, 419, 610 P.2d 51, 53 (1980). Denying a Rule 20 motion is proper “where reasonable minds could differ on the inferences to be drawn from the evidence presented.” State v. Belyeu, 164 Ariz. 586, 590, 795 P.2d 229, 233 (App.1990). We conclude sufficient evidence existed here that a reasonable jury could have found the factor beyond a reasonable doubt.
¶ 5 Johnson relies primarily on capital cases to support his argument. The state counters that “reviewing courts have undertaken a much more holistic and far less rigorous analysis of this issue in the non-capital context,” citing State v. Stanhope, 139 Ariz. 88, 94-95, 676 P.2d 1146, 1152-53 (App.1984); State v. Meador, 132 Ariz. 343, 347, 645 P.2d 1257, 1261 (App.1982); and State v. Inglish, 129 Ariz. 444, 445-46, 631 P.2d 1102, 1103-04 (App.1981). And, subsequent jurisprudence suggests our supreme court was compelled to set forth a narrowing construction to the especially cruel, heinous, or depraved aggravating factor to comply with Eighth Amendment standards that are arguably inapplicable in the non-capital context. See Walton v. Arizona, 497 U.S. 639, 652-56, 110 S.Ct. 3047, 111 L.Ed.2d 511 (1990), overruled on other grounds by Ring v. Arizona, 536 U.S. 584, 122 S.Ct. 2428, 153 L.Ed.2d 556 (2002); see also Maynard v. Cartwright, 486 U.S. 356, 361-62, 108 S.Ct. 1853, 100 L.Ed.2d 372 (1988) (distinguishing vagueness challenge to capital aggravating factors brought under Eighth Amendment from vagueness challenge under Due Process Clause). We also recognize, however, that almost all intentional murders can be characterized as cruel to the victim, and most all of those who commit such crimes arguably have acted in a heinous and depraved fashion. See State v. Knapp, 114 Ariz. 531, 543, 562 P.2d 704, 716 (1977) (recognizing “ ‘all killings are atrocious’ ” and defining especially cruel, heinous, or depraved factor as applying to murders deviating from norm), quoting Tedder v. State, 322 So.2d 908, 910 (Fla.1975); see also Maynard, 486 U.S. at 364, 108 S.Ct. 1853 (stating, without more guidance defining terms in aggravating circumstance, “an ordinary person could honestly believe that every unjustified, intentional taking of human life is ‘especially heinous’”). Accordingly, Arizona’s capital cases addressing this aggravating factor provide useful guidance to our juries and judges in assessing what features of such crimes appropriately support an aggravated sentence — a judgment requiring a determination whether the crime truly has been committed in a fashion more blameworthy than other second-degree murders. Assuming without deciding that the more rigorous standards set forth in the capital cases apply here, there is sufficient evidence to support the factor.
¶ 6 “A murder is especially cruel ... when the victim consciously ‘suffered physical pain or mental anguish during at least some portion of the crime and ... the defendant knew or should have known that the victim would suffer.’ ” State v. Dixon, 226 Ariz. 545, ¶ 61, 250 P.3d 1174, 1185 (2011), quoting State v. Morris, 215 Ariz. 324, 338, 160 P.3d 203, 217 (2007); accord State v. Smith, 146 Ariz. 491, 504, 707 P.2d 289, 302 (1985). The victim need not have been conscious for every wound inflicted, State v. Sansing, 206 Ariz. 232, ¶ 7, 77 P.3d 30, 33 (2003), and there is no required period of suffering to prove the murder was especially cruel. State v. Cropper, 223 Ariz. 522, ¶ 13, 225 P.3d 579, 583 (2010).
¶ 7 The state presented evidence that Johnson had inflicted at least thirty-seven stab wounds to the victim’s face, neck, chest, back, and upper extremities. She had defensive wounds on her hands and arms and had been moving during at least some of the attack; this constitutes evidence of a struggle, which can support a finding of cruelty. See State v. Moody, 208 Ariz. 424, ¶¶ 223, 225, 94 P.3d 1119, 1167 (2004) (evidence of blood throughout house, victim’s defensive wound, broken fingernail, and lost contact lens supported finding of violent struggle and supported finding “ ‘murder ... was especially cruel’”); see also Morris, 215 Ariz. 324, ¶ 61, 160 P.3d at 217 (evidence of victims’ straggle with attacker part of “overwhelming evidence of cruelty”).
¶ 8 Moreover, a police detective testified the attack would have lasted between thirty to ninety seconds or longer. And, the forensic pathologist opined the victim’s death was not instantaneous. See Sansing, 206 Ariz. 232, ¶ 12, 77 P.3d at 34 (several minutes necessary for victim to lose enough blood to die separately established physical pain component of cruelty factor); State v. Herrera, 176 Ariz. 21, 34, 859 P.2d 131, 144 (1993) (suffering from eighteen seconds to two or three minutes supported finding of cruelty). The foregoing was sufficient evidence from which a jury could have found that the victim consciously suffered physical pain or mental anguish for some of the attack and that Johnson knew or should have known he was making her suffer.
¶ 9 Johnson contends “[t]he State produced no evidence to support the conclusion that [the victim] was conscious at the time of the incident or whether she was conscious of the pain,” while conceding the evidence of defensive wounds on her hands was “evidence that [she] was conscious and suffering.” Although he argues the defensive wounds could have resulted from “a reflexive act,” and did not show conscious ness, that is but one interpretation of the evidence. If reasonable people “could differ as to whether the evidence establishes a fact in issue, then the evidence is substantial,” and a trial court does not err in denying a Rule 20 motion. State v. McCurdy, 216 Ariz. 567, ¶ 14, 169 P.3d 931, 937 (App.2007). The trial court properly denied Johnson’s motion for a judgment of acquittal insofar as there was substantial evidence he committed the murder in an especially cruel manner. Only one of the three subfactors listed in § 13-701(D)(5) must be proven in order for a sentence to be aggravated under this provision. See State v. Hinchey, 165 Ariz. 432, 438-39, 799 P.2d 352, 358-59 (1990) (“We consider the terms ‘especially heinous, cruel or depraved’ in the disjunetive[,] and a finding beyond a reasonable doubt of any one of the three alternative elements is sufficient to find this circumstance exists.”). Therefore, because we have found sufficient evidence supports the jury’s finding that the murder was especially cruel, we need not address Johnson’s argument that the state also failed to prove it was especially heinous or depraved.
Diminished Capacity Evidence
¶ 10 Johnson argues the trial court erred when it precluded him from presenting a psychiatrist’s testimony to rebut the alleged aggravating factor that he had committed the murder in an especially cruel, heinous, or depraved manner. Specifically, Johnson sought to present evidence through the testimony of Dr. Lauro Amezcua-Patino that Johnson has bipolar disorder, and on the night of the homicide he had ingested too much prescription medication, which in turn caused an amnestic dissociative state in which he committed the homicide. Johnson’s purpose in presenting the evidence was to rebut the state’s allegation that his actions were cruel, heinous, or depraved. We generally review a court's evidentiary ruling for an abuse of discretion, see State v. Dann, 220 Ariz. 351, ¶ 117, 207 P.3d 604, 625 (2009), but we review de novo questions of statutory interpretation or constitutional law. See State ex rel. Thomas v. Klein, 214 Ariz. 205, ¶ 5, 150 P.3d 778, 780 (App.2007).
¶ 11 Johnson had given the state notice before the aggravation trial that he intended to call Patino as a witness. The state did not object at that time, but on the day of trial asked for “an avowal as to what [Johnson] expect[s] Doctor Patino to testify about.” Johnson contended Patino’s testimony would be relevant in the aggravation trial to rebut the state’s evidence about Johnson’s state of mind as to the cruel, heinous, or depraved factor. The trial court, while expressing some reservation, ruled it would allow Patino to testify. Based on that ruling, Johnson asked the prospective jurors during voir dire questions about psychiatric testimony in a criminal trial and engaged one particular juror in a lengthy discussion about the topic.
¶ 12 After the jury had been excused for the day, the state complained that it did not know what Patino would testify about and also implied that any testimony he offered would be irrelevant. The trial court reconsidered the issue and, based on a lack of case law specifically authorizing the use of the testimony to rebut the state’s aggravation evidence, precluded Patino from testifying. Johnson moved the court to reconsider its ruling and the court denied the motion.
¶ 13 The state contends this evidence constitutes diminished capacity evidence that is prohibited from admission because Johnson “introduced it to negate the relevant mens rea.” Diminished capacity evidence has been defined in its broadest sense as “‘showing that the defendant’s mental capacity was reduced by mental illness, mental defect or intoxication.’ ” Clark v. Arizona, 548 U.S. 735, 772 n. 41, 126 S.Ct. 2709, 165 L.Ed.2d 842 (2006), quoting People v. Berry, 18 Cal.3d 509, 134 Cal.Rptr. 415, 556 P.2d 777, 781 (1976). In Arizona, our legislature expressly has precluded it from being used “either as an affirmative defense or to negate the mens rea element of a crime.” State v. Mott, 187 Ariz. 536, 541, 931 P.2d 1046, 1051 (1997) (second emphasis added).
¶ 14 And, the language of the relevant statute discussed in Mott, A.R.S. § 13-502(A), provides that insanity is a defense to a “criminal act.” That statute does not address whether evidence of diminished capacity can be used to determine the appropriate range of sentence once a defendant’s guilt has been established. Had the legislature intended to apply a similar prohibition to the sentencing phase, we presume it would have so stated. Subsection (A) of § 13-502 was passed in its current form in 1993, before Mott, and has not been amended since. Compare 1993 Ariz. Sess. Laws, eh. 256, § 3, with 2008 Ariz. Sess. Laws, ch. 301, § 14. Thus, we can presume the legislature has approved the supreme court’s interpretation of the statute as precluding diminished capacity evidence to defend against the mens rea element of an offense. See Hause v. City of Tucson, 199 Ariz. 499, ¶ 10, 19 P.3d 640, 643 (App.2001) (“[W]hen the legislature reenacts without change a statute that has been interpreted by our supreme court, we presume the legislature has adopted the supreme court’s interpretation....”). And even after the United States Supreme Court ruled defendants have a right to have aggravating factors decided by a jury in Blakely v. Washington, 542 U.S. 296, 301, 303-04, 124 S.Ct. 2531, 159 L.Ed.2d 403 (2004), the legislature did not amend the statute to expressly limit diminished capacity evidence from being presented in a jury trial on aggravating factors. See State v. Garcia, 227 Ariz. 377, ¶ 15, 258 P.3d 195, 198-99 (App.2011) (legislature “free to amend” statute to reflect its intent).
¶ 15 Thus, as demonstrated by the language of the statute and our supreme court’s interpretation of it, to the extent the evidence here constitutes evidence of diminished capacity, the legislature only intended to preclude such evidence when a defendant attempts to use it to negate his or her responsibility for a crime in the guilt/innocence phase of the trial. Nothing about § 13-502 or Mott precludes diminished capacity evidence from being presented in the aggravation phase of sentencing when a defendant already has been found criminally responsible. See State v. Denny, 116 Ariz. 361, 365, 569 P.2d 303, 307 (App.1977) (“We will not extend a statute to include matters not within its express provisions.”); accord City of Phx. v. Donofrio, 99 Ariz. 130, 133, 407 P.2d 91, 93 (1965).
¶ 16 To the contrary, a defendant at an aggravation hearing is “free to dispute [the state’s evidence of aggravators] or produce any witness or other documentation to dispute the state’s evidence.” State v. Thomas, 110 Ariz. 106, 109-10, 515 P.2d 851, 854-55 (1973). Moreover, whether we analyze the proffered psychiatric testimony here under our evidentiary rules for jury trials or under the more relaxed standards for the presentation of evidence in sentencing proceedings, the evidence would be admissible. The proffered evidence was relevant to the issues in dispute and offered through the testimony of a live expert witness who had foundation for his opinions. Compare Ariz. R. Evid. 402 (“[ajll relevant evidence is admissible” unless otherwise precluded by rules, constitutions, or statutes), with Ariz. R.Crim. P. 26.7(b) (broadly allowing “any party” at presentence hearing to “introduce any reliable, relevant evidence, including hearsay, in order to show aggravating or mitigating circumstances”). And, the state has presented no technical evidentiary challenge to the admissibility of the testimony under either standard, apart from its incorrect contention that such evidence would violate § 13-502 and Mott.
¶ 17 Here, to prove the aggravating circumstance that the murder was committed in an especially cruel, heinous, or depraved manner, the state presented evidence about Johnson’s state of mind as he killed his former wife. The state’s forensic pathologist testified that “this [wa]s a very personal crime,” a “crime of passion,” and that Johnson must have committed the crime with “an enormous amount of rage” and “anger.” The state then emphasized that evidence in its closing argument by stating Johnson was “so angry and enraged that he brutally butcher[ed] his former wife.” The state further described Johnson as “a guy that hates [the victim]____He’s trying to punish her. He’s trying to inflict pain and suffering on her. That’s what he wants. That’s why he’s doing it.”
¶ 18 Clearly, Johnson was entitled to present evidence rebutting the state’s characterization of the killing. ' In that context, Pati-no’s testimony was squarely relevant to the extent it suggested Johnson was too debilitated by mental illness and prescription medication either to formulate any intention to be especially cruel or to knowingly inflict gratuitous violence beyond the fatal acts. Thus, the trial court abused its discretion in precluding the evidence. And, because we cannot say beyond a reasonable doubt that the jury would have reached the same conclusion had the evidence been presented, see State v. Bass, 198 Ariz. 571, ¶ 40, 12 P.3d 796, 806 (2000), we vacate the jury’s findings that Johnson committed the murder in an especially cruel, heinous, or depraved manner.
¶ 19 However, we do not remand the ease for another jury trial on the aggravating circumstances because at least one other aggravating circumstance was proven to the jury beyond a reasonable doubt. As we explain below, Johnson’s challenge to the jury’s findings on those aggravators has not been successful in this appeal. Thus, Johnson’s right to have a jury find the facts “legally essential to the punishment” has been adequately protected, Blakely, 542 U.S. at 313, 124 S.Ct. 2531, and in the next resentencing proceeding the trial court may consider any of the other alleged aggravators and find whether they exist by a preponderance of the evidence. See State v. Martinez, 210 Ariz. 578, ¶ 26, 115 P.3d 618, 625 (2005) (“[0]nce a jury finds or a defendant admits a single aggravating factor, the Sixth Amendment permits the sentencing judge to find and consider additional factors relevant to the imposition of a sentence up to the maximum prescribed in that statute.”).
¶20 The state contends any error here does not require the ease to be remanded for resentencing of any kind because the trial court twice has given the same sentence and it “outright rejeet[ed]” Johnson’s mitigation evidence based on Patino’s opinions at the second sentencing. It thus maintains the court would impose the same sentence in any further proceeding. See State v. Ojeda, 159 Ariz. 560, 561-62, 769 P.2d 1006, 1007-08 (1989) (if judge relies on inappropriate sentencing factor, we “affirm without remand only where the record clearly shows the trial court would have reached the same result even without consideration of the improper factors”). But the court only “outright reject[ed]” two of his mitigating factors, and it is only when a court finds no mitigating factors in the presence of at least one aggravating factor that it has no discretion but to impose an aggravated sentence. See A.R.S. § 13-701(F). Moreover, it is not clear whether the court would find as an aggravating factor that the offense was committed in an especially cruel, heinous, or depraved manner when considering Patino’s expert opinion in that context. Thus, the record does not demonstrate that the court would necessarily impose the same sentence after appropriately reconsidering the erroneously found aggravating factors, and we remand the case for further proceedings. See State v. Hardwick, 183 Ariz. 649, 656-57, 905 P.2d 1384, 1391-92 (App.1995) (necessary to remand for resentencing when “record does not reveal” whether sentencing judge would have imposed different sentence when not considering improper factor); cf. State v. Lehr, 205 Ariz. 107, ¶¶ 8-9, 67 P.3d 703, 705-06 (2003) (remanding for resentencing in capital case when reversal of basis for one aggravating factor meant “sentencing calculus” had changed and finding error harmless would be “too speculative”).
¶ 21 We vacate the jury’s findings on the cruel, heinous, or depraved aggravator and remand the ease for resentencing. We do not address any additional claims Johnson has raised that, even if valid, would not have affected the jury’s findings on the emotional-harm or open-casket factors.
Double Jeopardy
¶ 22 Johnson argues his sentence violated double jeopardy principles because the state did not allege any aggravating factors until after jeopardy had attached in his first trial. The state responds that the law of the case bars this court from reaching the issue’s merits because Johnson had raised it in his first appeal and it was rejected. See State v. King, 180 Ariz. 268, 278, 883 P.2d 1024, 1034 (1994) (under law of case doctrine, “ ‘no question necessarily involved and decided on ... appeal will be considered on a second appeal ... in the same case, provided the facts and issues are substantially the same as those on which the first decision rested’ ”), quoting In re Monaghan’s Estate, 71 Ariz. 334, 336, 227 P.2d 227, 228 (1951). The state is correct: Johnson made the same argument in his first appeal, this court rejected it, and the facts and issues have not changed since then. State v. Johnson, No. 2 CA-CR 2007-0268, ¶¶ 1-2, 12-19, 2008 WL 2628923 (memorandum decision filed May 29, 2008). Johnson has not persuaded us that we should disturb our decision in the first appeal on that issue.
¶ 23 Johnson also contends we should revisit our first decision because it is in conflict with State v. Cretens, No. 2 CA-CR 2008-0155, 2009 WL 943488 (memorandum decision filed Apr. 8, 2009), and “[a]ll of the published case law on this issue.” Although Johnson emphasized in oral argument that he was citing Cretens only to demonstrate there was a conflict between two panels of this court, his extensive focus on the reasoning of Cretens in his opening brief suggests he also was citing it as persuasive authority. First, to the extent Johnson uses Cretens to suppoi’t his argument on appeal, this is impermissible under Rule 31.24, Ariz. R.Crim. P. Second, to the extent he attempts to incorporate the authorities or arguments found in Cretens in lieu of setting them forth and developing them in his opening brief, such practice is prohibited by Rule 31.13(c)(l)(vi), Ariz. R.Crim. P. See State v. Walden, 183 Ariz. 595, 605, 905 P.2d 974, 984 (1995) (“Argument must be in the body of the brief,” and text in appendix stricken), overruled on other grounds by State v. Ives, 187 Ariz. 102, 927 P.2d 762 (1996); State v. Bolton, 182 Ariz. 290, 298, 896 P.2d 830, 838 (1995) (argument not within body of brief procedurally defaulted). Accordingly, we decline to reconsider Johnson’s double jeopardy argument.
Double-Counted Factors
¶ 24 Johnson argues the trial court erred by double-counting the cruel, heinous, or depraved factor because the jury found it as two separate aggravating factors. The state concedes the trial court erroneously double-counted the factor, and the statute is clear that it constitutes but one factor. See AR.S. § 13-701(D)(5). Thus, on remand, if the court finds by a preponderance of the evidence that the murder was committed in an especially cruel, heinous, or depraved manner, we trust the court will consider it as only one factor when weighing the aggravating and mitigating circumstances. See § 13-701(F).
¶ 25 Noting that the trial court had found emotional harm to the family as a separate aggravating factor, Johnson argues the trial court essentially double-counted the open casket factor because it is “really just a diffei’ent way of saying the victim’s family suffered tremendous emotional harm.” “Whether a trial court may employ a given factor to aggravate a sentence presents a question of law we review de novo.” State v. Alvarez, 205 Ariz. 110, ¶ 6, 67 P.3d 706, 709 (App.2003). Johnson does not develop this argument other than to cite State v. Styers, 177 Ariz. 104, 116, 865 P.2d 765, 777 (1993), a case in which our supreme court found it improper to use one fact to prove more than one aggravating factor if the court weighs that particular fact twice. There is no evidence the court here weighed the fact twice.
¶26 To the extent Johnson is arguing there was insufficient evidence to support both factors, the state presented evidence the victim’s family suffered harm in addition to the harm from being denied an open-casket funeral. Thus, even if the denial of an open-casket funeral was part of the family’s emotional harm, each factor was supported by independent evidence.
Disposition
¶ 27 For the foregoing reasons, we vacate the jury’s finding that the murder was committed in an especially cruel, heinous, or depraved manner and remand the case to the trial court to conduct a new sentencing proceeding consistent with this opinion.
CONCURRING: JOSEPH W. HOWARD, Chief Judge and J. WILLIAM BRAMMER, JR., Judge.
. Although committing the murder in an especially cruel, heinous, or depraved manner is just one statutory aggravating factor, see A.R.S. § 13-701(D)(5), the jury found and the court weighed them as two separate aggravators. We further discuss that issue below.
. Because our sentencing statutes were renumbered in 2009, and the relevant portions are materially the same as when Johnson committed the offense in November 2005, for ease and clarity we have referred to the current versions of those relevant statutes throughout this decision. The relevant statutes in effect at that time, former A.R.S. §§ 13-702 and 13-710, can be found in 2005 Ariz. Sess. Laws, ch. 20, § 1; 2005 Ariz. Sess. Laws, ch. 133, § 1; 2005 Ariz. Sess. Laws, ch. 166, § 1; and 1994 Ariz. Sess. Laws, ch. 236, § 5.
. Although we vacate the jury’s finding of this aggravating factor and remand for other reasons set forth below, we nonetheless address Johnson’s sufficiency claim because the trial court arguably would be precluded from further consideration of this aggravating factor were we to conclude the state presented insufficient evidence to support it.
. These cases largely predate the later line of capital cases, issued by our state supreme court on the same topic, that provide a narrower construction for the meaning of the phrase "cruel, heinous, or depraved.” E.g., State v. Walton, 159 Ariz. 571, 586-87, 769 P.2d 1017, 1032-33 (1989) (cruelty depends on victim's experience before death and whether defendant intended or reasonably could foresee victim’s suffering or mental anguish). Thus, whether the state’s line of authority retains its vitality in the non-capital context has not yet been squarely resolved.
. As already noted, we do not decide in this appeal whether we must apply the standards found in our capital sentencing jurisprudence to determine whether the evidence was sufficient to prove the aggravating circumstance that the offense had been carried out in an especially cruel, heinous, or depraved manner. Under those standards, Johnson makes a strong argument that the state has presented insufficient evidence of gratuitous violence, which was one of the necessary components of the jury’s finding of heinousness or depravity in this case. See State v. Wallace, 229 Ariz. 155, ¶¶ 27-28, 33-35, 272 P.3d 1046, 1052-53, 1053-54 (2012); State v. Bocharski, 218 Ariz. 476, ¶¶ 85-91, 189 P.3d 403, 421-22 (2008); see also infra n. 8 (discussing standards set forth in Bocharski). However, as stated above, we need not address that argument further because we have found sufficient evidence of cruelty, and, therefore, our review of this issue does not require us also to find sufficient evidence of heinousness and depravity. See Hinchey, 165 Ariz. at 438-39, 799 P.2d at 358-59.
. In the alternative, Johnson moved for a mistrial based on the fact he already had told the jury a psychiatrist would be testifying. The trial court denied the motion and, although he argues the court erred in that denial, we need not address the issue in this appeal in light of our resolution of the evidentiary issue.
. We cite the version of the rule in effect during Johnson’s 2010 aggravation trial. The current rule differs only in style. See Ariz. R. Evid. 402 cmt. to 2012 amend.
. As set forth above in the discussion of the sufficiency of the evidence, to prove cruelty, the state needed to show Johnson knew or should have known he was causing his victim mental or physical anguish. See State v. Bocharski, 218 Ariz. 476, n. 15, 189 P.3d 403, 421 n. 15 (2008); State v. Smith, 146 Ariz. 491, 504, 707 P.2d 289, 302 (1985). Proof of heinousness and depravity focuses on Johnson’s state of mind, see Bocharski, 218 Ariz. 476, ¶ 83, 189 P.3d at 420, and at least one of the five specific factors considered in determining whether a killing was heinous or depraved — the infliction of gratuitous violence, which the state alleged here — requires a determination that Johnson "intentionally inflicted violence after he knew or should have known of a fatal occurrence.’’ Id. ¶¶ 83, 91.
. Johnson argues he was denied his constitutional right to present a complete defense. See State v. Machado, 224 Ariz. 343, ¶ 12, 230 P.3d 1158, 1166 (App.2010), aff'd, 226 Ariz. 281, 246 P.3d 632 (2011). Because we have decided the trial court abused its discretion in precluding the evidence, we need not decide the constitutional question. See State v. Korzuch, 186 Ariz. 190, 195, 920 P.2d 312, 317 (1996) ("In general, ... we should resolve cases on non-constitutional grounds in all cases where it is possible and prudent to do so.”).
. For the first time at oral argument, the state argued that the standard for proving the mental state of the cruel, heinous, or depraved aggravating factor is an objective, "reasonable person” standard, which, in its view, would render the diminished capacity evidence irrelevant. However, our supreme court has addressed the issue squarely in State v. Moody, 208 Ariz. 424, ¶ 226, 94 P.3d 1119, 1167 (2004), and reached a contrary conclusion. See id. (finding evidence of defendant's "dissociated state” at time of murder relevant to rebut requirement he knew or should have known victim would suffer).
. In accordance with this decision, when considering the cruel, heinous, or depraved factor, the trial court should take into account any relevant, reliable evidence Johnson presents to rebut the state’s evidence of his mental state.
. The state also argues that any error was harmless because the court considered the evidence in mitigation. But the use of evidence to rebut aggravating factors is distinct from its use as mitigation evidence. For example, the consideration of the evidence in the aggravation stage could yield a determination that the aggravating circumstance did not exist at all, while the consideration of the evidence solely in mitigation never could have that effect. Moreover, some features of the psychiatric evaluation might be considered pertinent to rebut aggravation while other features might be more relevant in mitigation.
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OPINION
VÁSQUEZ, Presiding Judge.
¶ 1 Arizona’s campaign finance laws require political committees, candidates for public office, and candidate exploratory committees to file periodic campaign finance reports disclosing contributions received and expenditures made during designated statutory reporting periods. A.R.S. § 16-913. This appeal arises from a civil action filed by the City of Sierra Vista to reduce to a monetary judgment late penalties and civil penalties it had assessed against the Sierra Vista Wards System Voting Project (the Project) and its treasurer after the Project failed to file campaign finance reports in connection with a 2010 ballot initiative. The Project challenges the trial court’s grant of summary judgment in favor of the city, arguing the court erred by finding the Project had failed to timely request an administrative hearing to challenge the city’s imposition of the penalties. For the reasons set forth below, we affirm in part, reverse in part, and remand for further proceedings consistent with this opinion.
Factual Background and Procedural History
¶2 We view the facts in the light most favorable to the party opposing the motion for summary judgment and construe all inferences in favor of that party. Stein v. Sonus USA, Inc., 214 Ariz. 200, ¶ 2, 150 P.3d 773, 774 (App.2007). The Project is a political committee formed to support a ballot initiative to change the method for electing members to the city council. The Project’s chairman is David Morgan and its treasurer is Michael Mulia.
¶ 3 On August 20, the city clerk sent notices to Morgan and Mulia informing them that the Project was delinquent in filing a campaign finance report for the reporting period “commencing June 1, 2010 and ending August 4, 2010.” The delinquency notice stated that a $10 per day late penalty was “already accumulating” and if the delinquency was not cured within fifteen days, a civil penalty of $25 per day would begin to accrue. Neither Morgan nor Mulia responded to the notice.
¶ 4 On September 8, the city attorney sent an Order Requiring Compliance to Mulia in his capacity as treasurer for the Project, stating:
[Y]ou are required to file the Campaign Finance Report and pay the accrued penalties to the city within 20 days from the date of the issuance of this Order.
Failure to do so will result in a civil penalty of not more than $1,000 in addition to the previously accrued penalties.
The compliance order further provided “you are entitled to request a hearing pursuant to Title 41, Chapter 6.” Mulia did not respond.
¶ 5 On September 29, the city attorney issued an Order Assessing a Civil Penalty of $1,000 against Mulia. The order stated Mu-lia had the right to request an administrative hearing within thirty days from the date of its issuance. On October 22, within thirty days of the order, the Project requested a hearing “to determine the appropriateness of the [city's determination to assess fines for alleged violations of Arizona campaign finance reporting laws considering both the amounts assessed and enforcement not in keeping with past custom and practice.” By letter dated October 29, the city denied the Project’s request for a hearing, stating the request had been untimely.
¶ 6 The city then filed this action in Cochise County Superior Court against the Project and Mulia, seeking to “convert statutory penalties to a money judgment.” The city moved for summary judgment, contending the defendants had failed to “exhaust their administrative remedies” to challenge the imposition of the penalties. The trial court granted the motion and entered judgment against the Project “in the amount of $7,075 for its accumulated penalties as of May 26, 2011,” and against Mulia “in the amount of $1,000,” together with interest thereon at a rate of ten percent per annum. This appeal followed. We have jurisdiction pursuant to A.R.S. §§ 12-120.21(A)(1) and 12-2101.
Discussion
¶ 7 The Project claims there are disputed issues of material fact “surrounding [its] request for an administrative hearing, pursuant to AR.S. § 16-924.” It therefore argues the trial court erred in granting summary judgment. Specifically, it contends the court erred in finding that it had failed to request an administrative appeal of the order assessing a civil penalty in a timely manner.
¶ 8 Summary judgment is appropriate when “there is no genuine issue as to any material fact and ... the moving party is entitled to judgment as a matter of law.” Ariz. R. Civ. P. 56(e)(1). We determine de novo whether summary judgment was appropriate and apply the same standard a trial court uses in ruling on the motion. Modular Mining Sys., Inc. v. Jigsaw Techs., Inc., 221 Ariz. 515, ¶ 9, 212 P.3d 853, 856 (App.2009). We also review de novo “ ‘questions of law, including matters of statutory interpretation.’ ” Robson Ranch Mountains, L.L.C. v. Pinal Cnty., 203 Ariz. 120, ¶ 13, 51 P.3d 342, 347 (App.2002), quoting In re $26,980.00 U.S. Currency, 193 Ariz. 427, ¶ 5, 973 P.2d 1184, 1186 (App.1998).
¶ 9 Title 16, chapter 6, A.R.S., “is entitled ‘Campaign Contributions and Expenses’ and contains a comprehensive statutory scheme governing election campaign finance.” Pa-cion v. Thomas, 225 Ariz. 168, ¶ 6, 236 P.3d 395, 396 (2010). At issue here are the campaign finance reporting requirements contained in A.R.S. § 16-913 and the provisions in A.R.S. §§ 16-918 and 16-924 relating to the reporting enforcement process and penalties as applied to the Project as a “political committee.” See A.R.S. § 16-901(19) (defining political committee for purposes of title 16).
¶ 10 “Each political committee that intends to accept contributions or make expenditures of more than five hundred dollars shall file a statement of organization with the filing officer.” A.R.S. § 16-902.0KA). And, § 16- 913(A) provides that such committees periodically “shall file campaign finance reports ... setting forth the committee’s receipts and disbursements.” The city clerk is the filing officer for statements and finance reports filed by political committees supporting “a city or town initiative or referendum or any measure or proposition appearing on a city or town election ballot.” A.R.S. § 16-916(A)(3).
¶ 11 If a political committee fails to file a finance report timely, the city clerk must send the committee a written notice of the delinquency explaining with “reasonable particularity the nature of the failure and a statement of the penalties provided in this section.” § 16-918(A). The applicable penalties include a “late penalty of ten dollars for each business day after failure to make or file a campaign finance report ... up to a maximum of four hundred fifty dollars.” § 16-918CB).
¶ 12 In addition to sending the delinquency notice to the committee, the city clerk also must notify the city attorney if the clerk has “reasonable cause to believe that a person is violating any provision” of title 16, chapter 6, article 1. § 16-924(A). The city attorney then “may serve on the person an order requiring compliance with that provision.” Id. “The alleged violator has twenty days from the date of the city attorney’s issuance of the compliance order to [either comply or] request a hearing pursuant to title 41, chapter 6.” Id. The committee may comply, and thus cure the delinquency, by filing a campaign finance report and paying the “late penalty” that has accrued up to a maximum of $450. See § 16-918(B) (“The filing officer shall not accept a campaign report unless any penalties owed as a result of this section or any penalties imposed pursuant to section 16-924 are paid with the report.”). Alternatively, the committee may request a hearing to challenge the clerk’s notice of delinquency and the late penalty assessed pursuant to that notice. See § 16-924(A).
¶ 13 In addition to the “late penalty” authorized by § 16-918(B), § 16-918(C) authorizes a “civil penalty.” If the committee has failed to file the report within fifteen days after receiving a notice of delinquency from the city clerk, the committee is liable for a civil penalty of $25 per day for each subsequent day the filing is late, assessed pursuant to § 16-924. Section 16-924(B) provides in pertinent part:
If a person fails to take corrective action within the time specified in the compliance order issued pursuant to subsection A, the [city attorney] shall issue an order assessing a civil penalty of not more than one thousand dollar's. The person alleged to have violated the compliance order has thirty days from the date of issuance of the order assessing the civil penalty to request a hearing pursuant to title 41, chapter 6.
¶ 14 With this background, we consider whether the Project made a timely request for an administrative hearing to challenge the civil penalties imposed by the city. In making that determination, we also address the nature of the penalties imposed and the manner in which they were assessed. “When construing statutes, our foremost goal is to effectuate the legislature’s intent.” State v. Huskie, 202 Ariz. 283, ¶ 5, 44 P.3d 161, 163 (App.2002). “If the statutory language is clear and unambiguous, we look no further” and apply it as written. Robson Ranch, 203 Ariz. 120, ¶ 13, 51 P.3d at 347. We seek to harmonize related statutes and “ ‘aim to achieve consistency among them.’ ” Id., quoting Bills v. Ariz. Prop. & Cas. Ins. Guar. Fund, 194 Ariz. 488, ¶ 18, 984 P.2d 574, 580 (App.1999).
¶ 15 Here, the city maintains that because the Project failed to request an administrative hearing within twenty days of the order requiring compliance, it forfeited the right to an administrative hearing to challenge the $25 per day civil penalty. The city contends the Project’s later request, in response to the city attorney’s order assessing a $1,000 civil penalty, was untimely because that penalty applied only to Mulia as treasurer and not to the Project. The city’s position is based on its contention that the statutes authorize the imposition of separate civil penalties — a penalty of $25 per day assessed against the Project under § 16-918, and a “separate penalty” “of not more than one thousand dollars” assessed against the treasurer individually under § 16-924. The trial court apparently agreed with the city and entered judgment against the Project in the amount of $7,075 for accumulated fees and penalties and against Mulia in the amount of $1,000. However, the city and the court have misapplied the statutes.
¶ 16 The civil penalty of not more than $1,000 under § 16-924(B) is “the basic penalty applicable to all violations of Chapter 6, Article 1.” Pacion, 225 Ariz. 168, ¶ 13, 236 P.3d at 397. But, § 16-924(A) expressly provides that the basic penalty applies “[ujnless another penalty is specifically prescribed.” Here, § 16-918(C) prescribes another civil penalty for a committee’s failure to file a finance report — $25 per day “assessed pursuant to [§ ] 16-924.” Section 16-924 therefore does not authorize a separate penalty in this ease. Rather, the plain language of § 16-918(C) and § 16-924(B), when read together, demonstrate a legislative intent to impose only one civil penalty. The city and the trial court therefore erred in concluding the city was authorized to impose separate civil penalties under §§ 16-918(C) and 16-924(B).
¶ 17 The city nevertheless argues § 16-924(B) must authorize a separate civil penalty, otherwise the administrative hearing provision in § 16-924(A) would be duplicative of that contained in § 16-924(B). The city contends the twenty-day time frame for requesting an administrative hearing following a compliance order applies both to the “late penalty” under § 16-918(A) and the “civil penalty” under § 16-918(B). The city describes the two penalties as “the per diem penalties.” And having grouped them together in this manner, the city maintains the thirty-day period to request a hearing after the issuance of an order assessing a civil penalty cannot apply to the civil penalty under § 16-918(0 because that would give the committee two opportunities to challenge the imposition of that penalty. We reject this argument.
¶ 18 Section 16-924(A) provides that after the city attorney serves an order of compliance, “[t]he alleged violator has twenty days from the date of the issuance of the order to request a hearing pursuant to title 41, chapter 6.” In relation to the penalties involved, that provision applies to a request for an administrative hearing to challenge a “late penalty” under § 16-918(B). Section 16-924(B) similarly states that “[t]he person alleged to have violated the compliance order has thirty days from the date of issuance of the order assessing the civil penalty to request a hearing pursuant” to the same title and chapter. But having determined that the statutes do not authorize the imposition of separate civil penalties, we further conclude that § 16-924(B) therefore applies to a request for a hearing to challenge a “civil penalty” under § 16-918(C). Thus, contrary to the city’s argument, the statutory scheme permits only one administrative hearing to challenge that civil penalty. Because the Project requested an administrative hearing within thirty days of the order imposing a civil penalty, the trial court erred in finding its request untimely.
¶ 19 But the city suggests that, because § 16-924(B) refers to a “person,” the civil penalty cannot be assessed against a political committee like the Project. And, citing § 16-918(D) and (E), the city points out “[t]he person required to file is, of course, the treasurer.” Although we agree a political committee’s treasurer is responsible for making and filing finance reports for the committee, we cannot agree he or she is liable for a civil penalty. Section 16-913 plainly provides “[a] political committee ... who violate[s] this section [is] subject to the penalty prescribed in [§ ] 16-918.” And § 16-918(C) similarly states “[a] political committee ... that has failed to file within fifteen days ... is liable for a civil penalty.” However, that same provision expx’essly imposes liability on certain individuals and not upon the committees where other types of committees are involved. See § 16-918(0) (placing liability on “the candidate” in the case of a candidate’s campaign committee, and on “the designating individual” in the ease of an exploratory committee). We decline to interpret the statute to place personal liability on the Project’s treasurer when the plain language of § 16-918 does not so provide. “ ‘It is a universal rule that courts will not enlarge, stretch, expand, or extend a statute to matters not falling within its express provisions.’ ” In re Martin M., 223 Ariz. 244, ¶ 7, 221 P.3d 1058, 1060 (App.2009), quoting Antonio P. v. Ariz. Dep’t of Econ. Sec., 218 Ariz. 402, ¶ 13, 187 P.3d 1115, 1118 (App.2008). Because the city should have issued the order assessing the civil penalty to the Project and not Mulia individually, the trial court erred in granting summary judgment in favor of the city.
¶ 20 The Project argues the civil “penalties were improperly assessed in excess of statutory authority.” Quoting § 16-918(C), it contends that, because the penalty “ ‘shall be assessed pursuant to § 16-924,’ ” it cannot exceed $1,000 and “the trial court erred in converting civil penalties [exceeding that amount] into money judgments.” The city acknowledges § 16-918(C)’s reference to § 16-924, but argues it applies only to the enforcement procedures in § 16-924. We do not agree with the city’s narrow interpretation. The term “assessed” as used in § 16-918(C) is not defined in the statutes. And, because it does not appear the legislature intended otherwise, we interpret the term according to its common meaning. See Riepe v. Riepe, 208 Ariz. 90, ¶ 52, 91 P.3d 312, 325 (App.2004) (applying dictionary definition where term not defined by statute). The word “assess” is defined as: to determine the amount of, or to impose according to an established rate. Webster’s Ninth New Collegiate Dictionary 109 (1983).
¶ 21 Section 16-924 demonstrates a legislative intent to cap civil penalties authorized by title 16, chapter 6, article 1, at $1,000 unless otherwise provided. Title 16 contains various reporting requirements, and other statutory sections expressly impose civil penalties that exceed the basic penalty cap of “not more than one thousand dollars.” See § 16-924(B) (basic penalty); A.R.S. §§ 16-903(H), 16-914.01(D) (authorizing civil penalty as prescribed in § 16-924 of up to three times the amount of money improperly received or reported); see also 1999 Op. Ariz. Att’y Gen. 199-009 (concluding $25 per day civil penalty provided for in § 16-918(C) capped at $1,000). We therefore conclude the $25 per day civil penalty authorized in § 16-918(C) is capped at $1,000 pursuant to § 16-924(B).
¶ 22 In sum, although title 16, chapter 6 is not a model of legislative clarity, we conclude the legislature did not intend to impose two civil penalties, one against a political committee and the other against its treasurer, for a single failure to file a finance report. The civil penalty authorized under § 16-918(C) is imposed against the political committee and not the committee’s treasurer and is capped at $1,000 pursuant to § 16-924. We further conclude the Project timely requested an administrative hearing to challenge the imposition of the civil penalty under § 16-918(C) and the trial court erred in concluding otherwise.
¶ 23 Last, the Project argues the trial court’s order “deprived [it] of property” without due process of law, and the campaign finance reporting requirements in title 16 unconstitutionally infringe on its “core political speech” grounded in the United States Constitution. But because we have decided this case on statutory grounds, we do not reach the constitutional issues raised by the Project. See Fragoso v. Fell, 210 Ariz. 427, ¶ 6, 111 P.3d 1027, 1030 (App.2005) (courts should avoid deciding constitutional issues when other principles of law are controlling and determinative); Moulton v. Napolitano, 205 Ariz. 506, ¶ 22, 73 P.3d 637, 645 (App.2003) (noting “traditional and proper reluctance to reach constitutional issues unless absolutely necessary” and preference for resolution through administrative proceeding).
Disposition
¶ 24 For the reasons set forth above, the trial court’s grant of summary judgment in favor of the city is affirmed in part and reversed in part. We remand for proceedings consistent with this opinion.
CONCURRING: VIRGINIA C. KELLY, Judge and PHILIP G. ESPINOSA, Judge.
. Initiative Petition 1-001-2010 was placed on the November 2, 2010 ballot and "proposed that every four years a single city councilman, residing in his district, be elected [to the city council from] each of six voting districts,” rather than by an "at large” election.
. The notice also provided: "According to our records, you are the candidate or designating individual responsible for that political committee, the chairman or treasurer."
. The Project filed a Motion for Relief from Judgment pursuant to Rule 60(c), Ariz. R. Civ. P., and a Notice of Appeal on the same day. At a hearing on the Project’s Rule 60(c) and other motions, the trial court asked the parties "whether [it] has any jurisdiction to even consider [the Rule 60(c) motion] as long as there is an appeal pending." Both parties suggested the court retained jurisdiction to address the post-judgment issues that had been raised. Despite expressing reluctance to do so, the court heard argument on the motion and denied the relief sought by the Project. The court concluded its jurisdiction was not an issue because it merely was denying relief and "just keeping the status quo, based on what [it had] already ordered.” That determination was in error. The court lacked jurisdiction to consider the motion because the Project had not requested and obtained a stay or dismissal of the pending appeal. See Budreau v. Budreau, 134 Ariz. 539, 541, 658 P.2d 192, 194 (App.1982); In re Condry's Estate, 117 Ariz. 566, 568, 574 P.2d 54, 56 (App. 1977); see also Ariz. R. Civ.App. P. 26. But, because the Project does not assign error relating to the court’s denial of its request for Rule 60(c) relief, we need not address this issue further.
. The Project does not dispute that it is a "political committee” as defined by § 16-901(19), or that it was required to file periodic campaign finance reports pursuant to § 16-913. In a regular election year, such as 2010, a political committee is required to file "[a] report covering the period beginning January 1 through May 31, filed no later than June 30”; "a preelection report”; and a "postelection report.” § 16-913(B).
. The Project apparently does not challenge the City’s imposition of the "late penalty” pursuant to § 16-918(B), which authorizes a "late penalty of ten dollars for each business day after failure to make or file a campaign finance report ... up to a maximum of four hundred fifty dollars.” And, because the Project failed to timely challenge the late penalty authorized by § 16-918(B), the court properly granted summary judgment as to that penalty. Our discussion therefore relates only to the civil penalty authorized under § 16-918(C) and assessed pursuant to § 16-924, and its relation to the civil penalty authorized by § 16-924(B).
. Although Mulia initially was designated as an appellant in this case, he subsequently filed an affidavit in the trial court stating, "I am not a party to the appeal,” and he was not listed as an appellant in the amended notice of appeal filed by the Project. And, contrary to the Project’s assertion, Mulia's subsequent notice of appearance filed in this court was not sufficient. Thus, Mulia is not a party to this appeal.
. We find additional support for our conclusion in the historical background of § 16 — 918. "[I]f the statutory language is ambiguous, we consider other factors, including ‘the statute’s context, subject matter, historical background, effects, consequences, spirit, and purpose.’ ” Huskie, 202 Ariz. 283, ¶ 5, 44 P.3d at 163, quoting Hobson v. Mid-Century Ins. Co., 199 Ariz. 525, ¶ 8, 19 P.3d 1241, 1245 (App.2001). After being repealed in 1996, § 16-918(H) was reintroduced in 1997 and initially included the following language:
The late fees and civil penalties imposed by this chapter shall not be paid from political committee monies. In the case of an exploratory committee, the designating individual is liable for late fees and civil penalties. In the case of a candidate’s campaign committee, the candidate is liable for late fees and civil penalties. In the case of all other political committees, the chairman and the treasurer are jointly and severally liable for late fees and civil penalties.
S.B. 1237, 43d Leg., 1st Reg. Sess. (1997). The omission of this language from the enacted legis-
lation reinforces our view that the legislature did not intend for officers or other individuals associated with political committees to be liable personally for civil penalties under § 16-918(C).
. The city asserts that the Project "first raised the argument pertaining to the ‘cap’ on the twenty-five dollar ($25.00) per day penalty and that the personal judgment against Treasurer Mulia was not proper” in its motion for post-judgment relief. Our review of the record discloses that the Project and Mulia challenged the city’s calculation of the penalties in their response to the city’s motion for summary judgment. But, even assuming the arguments had not been raised sufficiently, we may exercise our discretion to consider such issues where the facts are fully developed and the issues involve purely questions of law. State ex rel. Horne v. Campos, 226 Ariz. 424, n. 5, 250 P.3d 201, 205 n. 5 (App.2011). We also exercise our discretion to consider these issues because "the question[s raised are] of statewide public importance.” Id., quoting Aldrich & Steinberger v. Martin, 172 Ariz. 445, 447, 837 P.2d 1180, 1182 (App.1992).
. We construe the statutes in this manner based on the language used by the legislature and our effort to harmonize § 16-918 with § 16-924. If the legislature intended a different meaning, we presume it will make appropriate changes to the statutory language. See Helvetica Servicing, Inc. v. Pasquan, 229 Ariz. 493, ¶ 37, 277 P.3d 198 (App.2012) ("If the legislature disagrees with our resolution of this admittedly murky issue, we presume it will amend the existing statutory scheme to make clear its intentions.”).
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OPINION
BRAMMER, Judge.
¶ 1 After a jury trial, appellant Richard Palmer was convicted of possessing nine grams or more of methamphetamine for sale. Palmer admitted having one historical prior felony conviction, and the trial court sentenced him as a category two repetitive offender to a mitigated prison term of 4.5 years. On appeal, Palmer maintains (1) the court erred in allowing inadmissible hearsay evidence over his objection, (2) the admission of hearsay was not harmless, and (3) there was insufficient evidence to support his conviction. For the following reasons, we affirm.
Background
¶ 2 We view the facts, and reasonable inferences from the facts, in the light most favorable to sustaining the jury’s verdict. State v. Haight-Gyuro, 218 Ariz. 356, ¶ 2, 186 P.3d 33, 34 (App.2008). On February 6, 2010, Palmer was taken to the hospital after crashing his motorcycle in a single-vehicle accident. While inventorying Palmer’s possessions, B.C., a hospital employee, found a baggie containing white rocks that resembled “rock candy” and gave it to a police officer. The baggie contained 12.57 grams of methamphetamine.
Discussion
Admission of Hearsay
¶ 3 We review a trial court’s ruling on the admissibility of evidence for an abuse of discretion. Id ¶ 7. In opening statements, the prosecutor told the jury the evidence would show B.C. had “inventorie[d] the things ... brought in” with Palmer, including his “clothing, shoes, wallet, those types of things”; she had found the baggie containing methamphetamine in Palmer’s right front pants’ pocket; and she had given the baggie to a police officer. In contrast, Palmer told the jury the evidence would establish B.C. had found the baggie in a backpack near the door of Palmer’s trauma bay and gave it to hospital security personnel, and two women later “c[a]me up and [went] through the backpack and t[ook] the backpack away.” According to Palmer’s opening statement, the methamphetamine
didn’t come from anybody’s pants. It didn’t come from [Palmer,] and [B.C.] never had a conversation with [him] about the backpack, about who owned it or about this baggie. All she knows is that two women came in and took the backpack away and it’s gone. There’s nothing ... [to] show Mr. Palmer was in possession of any drugs, dangerous or otherwise.
¶ 4 At trial, B.C. testified she had discovered the baggie containing methamphetamine in a backpack that had been transferred from the ambulance that brought Palmer to the hospital to Palmer’s emergency room trauma bay. During cross-examination, defense counsel elicited B.C.’s testimony that the backpack had not been inventoried along with Palmer’s other belongings but had been removed by two women who had come to Palmer’s trauma bay after B.C. had found the baggie of methamphetamine and had given it to the officer.
¶ 5 During redirect examination, the state asked B.C. about the two women who had removed the backpack from the trauma bay and referred her to the transcript of her earlier interview with the state and defense counsel. Palmer’s counsel objected, explaining to the trial court that he was “anticipating ... hearsay,” because the portion of the interview transcript identified had included B.C.’s report of what the women had said. Despite no ruling from the court, the state acknowledged counsel’s concern and the following ensued:
Q.....And going back again, you had told this jury that two women had come in to take the backpack. Did they ask, without telling me what they said, did they ask Mr. Palmer about taking the backpack? A. I can recall they asked, where is your backpack.
Following B.C.’s answer, Palmer renewed his objection, saying “Judge, I would object,” and the court, stating “it’s not offered for the truth of the matter stated,” overruled the objection. B.C. then repeated, “I recall them asking where his backpack was.”
¶ 6 On appeal, Palmer argues the trial court erred in allowing B.C.’s testimony about what the women said before they took the backpack, contending that, although phrased as a question, their words “con-taine[d] an assertion ... that the backpack belonge[d] to Mr. Palmer,” and were “analytically no different than had the women said, ‘We are taking your backpack.’ ” The state responds that Palmer “opened the door” to B.C.’s testimony by asking about the women who removed the backpack from the trauma bay and, therefore, cannot assign error to the admission of their statements; that the evidence was not hearsay because it was offered to explain the backpack’s removal rather than to establish Palmer’s ownership of it; and that, if error occurred, reversal is not required because other independent evidence linked Palmer to the backpack.
¶ 7 The statement the women made was not intended as an assertion and thus was not inadmissible hearsay. Hearsay is “a statement, other than one made by the declarant while testifying at the trial or hearing, offered in evidence to prove the truth of the matter asserted.” Ariz. R. Evid. 801(c). A “statement” is further defined as either “an oral or written assertion” or “nonverbal conduct of a person, if it is intended by the person as an assertion.” Ariz. R. Evid. 801(a). “[Wjords or conduct not intended as assertions are not hearsay even when offered as evidence of the declarant’s implicit belief of a fact.” State v. Chavez, 225 Ariz. 442, ¶¶ 8, 9, 239 P.3d 761, 763 (App.2010) (text messages from “prospective buyers [who] wanted to purchase drugs” from defendant admissible “as circumstantial evidence that [defendant] had drags for sale.”).
¶ 8 Like the court in Chavez, we find reference to federal authority instructive. See id. ¶¶7-9. Commenting on Rule 801(a), Fed. R.Evid., the advisory committee explained its intent to “exclude from the operation of the hearsay rale all evidence of conduct, verbal or nonverbal, not intended as an assertion” based on the perceived reliability of unintended communications. Fed.R.Evid. 801(a) advisory committee note. The committee emphasized the “key to the definition [of ‘statement’] is that nothing is an assertion unless intended to be one.” Id. And evidence “the person acted as he did because of his belief in the existence of the condition sought to be proved, from which belief the existence of the condition be inferred,” is not hearsay. Id. The burden is on the party claiming an assertion was intended and “ambiguous and doubtful cases will be resolved ... in favor of admissibility.” Id.
¶ 9 In State v. Carrillo, 156 Ariz. 120, 124, 750 P.2d 878, 882 (App.1987), vacated in part on other grounds, 156 Ariz. 125, 128, 750 P.2d 883, 886 (1988) (granting review only on issues of voluntary confession and improper comment on invocation of rights), the defendant argued statements the deceased victim had made should have been excluded as hearsay. In that case, the victim had spoken on the phone to a friend around the time of death and the friend had heard him say to someone in the background, “Hector, don’t do that now,” or “Hector, we will do that later.” Id. at 121, 750 P.2d 878, 750 P.2d at 879. The remark “[wa]s probative because it show[ed] that a person named Hector was in [the vietimj’s home at that time, but [the victim] was not intending to assert anything by making the statement.” Id. at 124, 750 P.2d at 882. Therefore, the statement was “not hearsay at all” and was properly admits ted. Id.
¶ 10 Here, as B.C. testified, two women appeared at Palmer’s trauma bay, and asked where his backpack was. At that time no backpack as yet had been identified. They then left with the backpack. This testimony suggested the women “acted as [they] did because of [their] belief in the existence of the condition sought to be proved,”— Palmer’s ownership of the backpack-and their belief gave rise to an inference the backpack belonged to Palmer. Fed.R.Evid. 801(a) advisory committee note; see also Chavez, 225 Ariz. 442, ¶ 7, 239 P.3d at 763. However, the question was not “intended by [the women] as an assertion,” Ariz. R. Evid. 801(a), and, under the analysis the federal advisory committee proposed, was not subject to exclusion as hearsay. See Fed. R.Evid. 801(a) advisory committee note; Chavez, 225 Ariz. 442, ¶¶ 8, 9, 239 P.3d at 763; see also State v. Ellison, 213 Ariz. 116, ¶¶ 54, 56, 140 P.3d 899, 915 (2006) (testimony about person’s “[n]onverbal conduct is hearsay if it is intended to be an assertion”; officer’s testimony that witness’s “actions and body language were visibly very different” at mention of defendant not intended as assertion and not hearsay); State v. Printz, 125 Ariz. 300, 303, 609 P.2d 570, 573 (1980) (hearsay limited to words or conduct “intended by the actor as an assertion”; police officer’s purchase of television for $299.85 not intended as assertion of value). Similar to Carrillo, 156 Ariz. at 124, 750 P.2d at 882, the women were not “intending to assert anything by making the statement,” but were merely attempting to find the backpack, and thus their statement was “not hearsay at all.” Therefore, the trial court did not err in allowing the testimony over Palmer’s objection.
Insufficient Evidence
¶ 11 Palmer also argues evidence that the backpack containing the methamphetamine belonged to him was nothing more than “conjecture or suspicion” and was insufficient to support the jury’s verdict. “When considering claims of insufficient evidence, we view the evidence in the light most favorable to sustaining the verdict and reverse only if no substantial evidence supports the conviction.’ ” State v. Fimbres, 222 Ariz. 293, 14, 213 P.3d 1020, 1024 (App.2009), quoting State v. Pena, 209 Ariz. 503, ¶ 7, 104 P.3d 873, 875 (App.2005). Substantial evidence is that which “‘reasonable persons could accept as sufficient to support a guilty verdict beyond a reasonable doubt.’ ” State v. Stroud, 209 Ariz. 410, ¶ 6, 103 P.3d 912, 913-14 (2005), quoting State v. Hughes, 189 Ariz. 62, 73, 938 P.2d 457, 468 (1997). “Evidence may be direct or circumstantial, but if reasonable minds can differ on inferences to be drawn therefrom, the ease must be submitted to the jury.” State v. Landrigan, 176 Ariz. 1, 4, 859 P.2d 111, 114 (1993) (citation omitted).
¶ 12 Here, B.C.’s testimony that she saw the backpack brought into Palmer’s trauma bay as a normal part of the transfer of a patient’s property from the ambulance that transported him to the hospital is eir- cumstantial evidence from which a jury could infer the backpack belonged to him. Similarly, although Palmer is correct there is no evidence he responded to the statement from the women who came to his trauma bay and removed the backpack, the fact they appeared there and addressed him directly about “his” backpack, and then left with the only backpack present, leads to the reasonable inference that the backpack was his. A reasonable jury could have found this evidence of possession sufficient beyond a reasonable doubt, and substantial evidence thus supports his conviction. See Stroud, 209 Ariz. 410, ¶ 6, 103 P.3d at 913-14.
Disposition
¶ 13 For the foregoing reasons, we affirm Palmer’s conviction and sentence.
CONCURRING: JOSEPH W. HOWARD, Chief Judge.
. Because we determine the evidence was not hearsay, we need not address this argument.
. The version of Rule 801(a) effective January 1, 2012 defines "statement” as "a person’s oral assertion, written assertion, or nonverbal conduct, if the person intended it as an assertion.” Ariz. R. Evid. 801(a). This stylistic change clarifies that all assertions must be intended as such to constitute a "statement.”
. Because we find no error, we need not address Palmer's argument that any error was not harmless.
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OPINION
DOWNIE, Judge.
¶ 1 Nephi Joseph Kemper appeals his conviction for sexual assault, a class 2 felony in violation of Arizona Revised Statutes (“A.R.S.”) section 13-1406. We conclude the jury was improperly instructed about an element of the offense, even though the jury instruction tracked the Recommended Arizona Juiy Instruction (“RAJI”) regarding sexual assault. The erroneous instruction, coupled with the prejudice we discuss in a memorandum decision filed July 12, 2011, requires that we vacate Kemper’s conviction and remand for a new trial.
DISCUSSION
¶ 2 A jury found Kemper guilty of sexual assault in violation of A.R.S. § 13-1406(A). That statute provides:
A person commits sexual assault by intentionally or knowingly engaging in sexual intercourse or oral sexual contact with any person without consent of such person.
¶ 3 Kemper assigns error to the final jury instruction regarding sexual assault, which reads:
The crime of sexual assault requires proof that the defendant:
1. Intentionally or knowingly engaged in sexual intercourse or oral sexual contact with another person; and
2. Engaged in the act without the consent of the other person.
The trial court defined “knowingly” and “intentionally” for the jury. It did not, however, instruct jurors regarding the mens rea applicable to the “without consent” element of the charged offense.
¶ 4 Although the final instruction tracked RAJI 14.06.01, the State concedes that it “erroneously omitted reference to the mens rea element governing the ‘without consent’ element.” Because Kemper did not object to the instruction below, he has the burden of demonstrating both fundamental error and ensuing prejudice. State v. Henderson, 210 Ariz. 561, 567, ¶ 19, 115 P.3d 601, 607 (2005). Fundamental error is “error going to the foundation of the case, error that takes from the defendant a right essential to his defense, and error of such magnitude that the defendant could not possibly have received a fair trial.” Id.
¶ 5 The final instruction correctly advised jurors that Kemper must have intentionally or knowingly engaged in sexual intercourse or oral sexual contact with the victim. It did not, however, properly instruct on the mens rea applicable to the consent element of the crime. Cf. State v. Witwer, 175 Ariz. 305, 308, 856 P.2d 1183, 1186 (App.1993) (“[I]n a prosecution for sexual abuse, the state must prove that the defen dant intentionally and knowingly engaged in sexual contact, and that the defendant knew that such contact was without the consent of the victim.”). The instruction thus improperly relieved the State of its burden of proving an element of the offense, in violation of Kemper’s constitutional right to have a jury determine his guilt as to every element of the crime. See United States v. Gaudin, 515 U.S. 506, 510, 115 S.Ct. 2310, 132 L.Ed.2d 444 (1995) (holding that the Fifth and Sixth Amendments “require criminal convictions to rest upon a jury determination that the defendant is guilty of every element of the crime with which he is charged, beyond a reasonable doubt”).
¶ 6 The challenged instruction constituted fundamental error. See Henderson, 210 Ariz. at 568, ¶ 25, 115 P.3d at 608 (“[I]t is difficult to conceive that use of a procedure that denied rights guaranteed both by the Fifth and by the Sixth Amendments ... could be other than fundamental error.”). In our separate memorandum decision, see n. 1, supra, we conclude that because Kemper has established the requisite prejudice, his conviction and sentence must be vacated.
CONCLUSION
¶ 7 Based on the improper jury instruction, and for the reasons stated in our accompanying memorandum decision, we vacate Kem-per’s conviction and remand for a new trial.
CONCURRING: DANIEL A. BARKER, Presiding Judge and MICHAEL J. BROWN, Judge.
. In the companion memorandum decision, we outline the facts underlying the sexual assault charge. Those facts are not relevant to the narrow legal issue addressed in this opinion.
. The superior court was not asked to instruct jurors about the “without consent” definition contained in A.R.S. 13-1401(5). Whether such an instruction would have cured the deficiency in the sexual assault RAJI is a question we need not decide. Standing alone, the RAJI was clearly inadequate and legally erroneous.
|
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OPINION
ESPINOSA, Judge.
¶ 1 Physical Resource Engineering, Inc. (PRE) appeals from a judgment entered af ter a jury trial in favor of Michael Goodman on his claim for breach of contract. PRE also challenges the trial court’s denial of its motion for judgment as a matter of law pursuant to Rule 50, Ariz. R. Civ. P., and motion for a new trial pursuant to Rule 59, asserting there was no evidence a contract between PRE and Goodman had existed, and, in any event, under the circumstances of this case Arizona law limited Goodman to pursuing only a tort claim. Additionally, PRE contends the case should be remanded for a new trial on Goodman’s negligence claim. For the reasons set forth below, we reverse and remand.
Factual Background and Procedural History
¶ 2 We view “the evidence in a light most favorable to upholding the jury verdict.” Hutcherson v. City of Phoenix, 192 Ariz. 51, ¶ 13, 961 P.2d 449, 451 (1998). Goodman, a Tucson real estate developer, hired Tortolita Valley Homes (TVH) to construct two luxury duplex buildings on property Goodman owned on Fort Lowell Road. In April 2008, TVH hired PRE, a civil engineering, surveying, and geological engineering firm, to stake the location for Goodman’s buildings according to a site plan prepared by Goodman’s architect, Scott Isles, and approved by the City of Tucson. Staking each building required PRE to “dimensionally locate the house on the site [and] place four pins where the house went.”
¶ 3 According to the site plan, one of the buildings should have been located twenty feet, three inches south of the north property line, resulting in a twelve-foot-wide rear yard on the building’s north side. PRE staked the building approximately six feet north of where it should have been built, and TVH constructed the building according to the stakes, resulting in a yard depth of only six feet and a violation of setback and floodplain requirements. In September 2008, TVH and Isles determined the building location did not conform to the site plan, and Goodman subsequently sued PRE for breach of contract and professional negligence.
¶4 PRE filed a motion for partial summary judgment in which it argued there was no contract between it and Goodman, and, furthermore, it had not breached its express agreement with TVH. PRE also contended that any claim Goodman might have against it could be based only on the alleged breach of a professional duty, limiting Goodman to a negligence claim. The trial court denied the motion following oral argument.
¶ 5 During trial, PRE moved for judgment as a matter of law pursuant to Rule 50, again arguing there was no contract between the parties and the verbal contract between PRE and TVH had not been breached. As to the negligence claim, PRE contended that Goodman had failed to introduce sufficient evidence establishing PRE had staked the building in the wrong location or, alternatively, that Goodman and Isles should be found comparatively at fault. The court denied PRE’s motion. Following the close of evidence, PRE renewed its Rule 50 motion and later moved for a new trial pursuant to Rule 59 on the same grounds, which the court again denied. The jury found that a contract existed between Goodman and PRE, and that PRE had breached it, causing damages of $217,314. The court entered judgment in favor of Goodman in that amount, and awarded him attorney fees and costs under A.R.S. §§ 12-341.01 and 12-322. We have jurisdiction pursuant to A.R.S. §§ 12-120.21(A)(1) and 12-2101(A)(1), (A)(5)(a).
Discussion
¶ 6 PRE contends the trial court erred in denying its motions for judgment as a matter of law on Goodman’s breach of contract claim because there was no evidence a contract existed between PRE and Goodman under either of two theories Goodman advanced at trial. We review de novo the denial of a motion for judgment as a matter of law under Rule 50. A Tumbling-T Ranches v. Flood Control Dist. of Maricopa Cnty., 222 Ariz. 515, ¶ 14, 217 P.3d 1220, 1229 (App.2009); Shoen v. Shoen, 191 Ariz. 64, 65-66, 952 P.2d 302, 303-04 (App.1997). We will uphold the ruling unless “ ‘the facts produced in support of the claim or defense have so little probative value, given the quantum of evidence required, that reasonable people could not agree with the conclusion advanced by the proponent of the claim or defense.’ ” A Tumbling-T Ranches, 222 Ariz. 515, ¶ 14, 217 P.3d at 1229, quoting Orme Sch. v. Reeves, 166 Ariz. 301, 309, 802 P.2d 1000, 1008 (1990). Similarly, it is for the trial court to determine, in the exercise of its discretion, whether to grant a motion for a new trial on the ground that the verdict is against the weight of the evidence; absent an abuse of discretion, we will not disturb the court’s ruling. Ogden v. J.M. Steel Erecting, Inc., 201 Ariz. 32, ¶ 15, 31 P.3d 806, 810 (App.2001). Both rulings will be affirmed “[i]f any substantial evidence could lead reasonable persons to find the ultimate facts to support a verdict.” Id. (motion for new trial); Hutcherson, 192 Ariz. 51, ¶ 13, 961 P.2d at 451 (motion for judgment as a matter of law).
Implied Contract between PRE and Goodman
¶ 7 To prevail on a breach of contract claim, Goodman was required to prove a contract existed between him and PRE, PRE breached the contract, and Goodman suffered damages as a result. See Graham v. Asbury, 112 Ariz. 184, 185, 540 P.2d 656, 657 (1975), citing Clark v. Compania Ganadera de Cananea, S.A., 95 Ariz. 90, 94, 387 P.2d 235, 238 (1963). For a valid contract to have been formed between them, there must have been an offer, acceptance of the offer, and consideration, K-Line Builders, Inc. v. First Fed. Sav. & Loan Ass’n, 139 Ariz. 209, 212, 677 P.2d 1317, 1320 (App.1983), and they must have intended to be bound by the agreement, see Schade v. Diethrich, 158 Ariz. 1, 9, 760 P.2d 1050, 1058 (1988). An offer has no binding effect unless and until accepted by the offeree to whom the offer was directed. AROK Constr. Co. v. Indian Constr. Servs., 174 Ariz. 291, 294, 848 P.2d 870, 873 (App.1993) (subcontractor’s bid to contractor and owner). An agreement can be implied and is enforceable where there is a valid offer and acceptance, and the only term missing is the final price. Schade, 158 Ariz. at 5-11, 760 P.2d at 1054-60.
¶ 8 The parties agree there was no written or express contract between them for the staking job. Goodman contends, however, that based on evidence of their prior course of dealing and other circumstances, the jury reasonably could infer PRE had intended to enter into a contract with him. See Carroll v. Lee, 148 Ariz. 10, 13, 712 P.2d 923, 926 (1986) (implied contract, with same legal effect as express contract, may be inferred as matter of reason and justice from acts and conduct of parties and circumstances surrounding their transaction). Goodman argues that PRE was aware he was the owner of the property to be staked, he knew PRE was working on the job, and PRE had worked on a number of his construction projects in the past. But that does not establish that either Goodman or PRE intended to enter into a contract with one another on this particular project. See Keith Equip. Co. v. Casa Grande Cotton Fin. Co., 187 Ariz. 259, 262, 928 P.2d 683, 686 (App. 1996) (course of dealing does not create contract, and conduct of businesses to be interpreted in commercial context of interactions); cf. Johnson Int’l, Inc. v. City of Phoenix, 192 Ariz. 466, ¶ 26, 967 P.2d 607, 611-12 (App. 1998) (parties may be contractually bound if intent to do so clear from surrounding circumstances and parties’ conduct, and there has been mutual assent).
¶ 9 Although Goodman repeatedly points to evidence PRE had knowledge, from a variety of sources, that he was the owner of the property, he provides no authority for the proposition that such knowledge established the existence of a contract with him rather than TVH. It is undisputed that PRE was hired by TVH and dealt exclusively with TVH throughout the course of the project. Thus, other than possibly through TVH, acting as Goodman’s agent as we address infra, there was no evidence Goodman made an offer to PRE, much less that PRE accepted an offer from Goodman, to perform the staking on this project.
¶ 10 Goodman nevertheless contends that a contract with PRE was implied because PRE president Dan White had met with him personally to discuss possible solutions after it was learned the property had been staked in the wrong place. But we agree with PRE that such conduct occurring after the fact cannot serve as the basis for finding an implied contract existed given that there was an express contract between PRE and TVH. See Brown v. Beck, 68 Ariz. 139, 143, 202 P.2d 528, 530 (1949) (no implied agreement where express contract existed for labor performed); cf. Miller Cattle Co. v. Mattice, 38 Ariz. 180, 189, 298 P. 640, 643 (1931) (conversations following formation of express contract could not establish new contract, absent new consideration). Accordingly, we conclude there was insufficient evidence from which reasonable jurors could find any type of direct contract existed between PRE and Goodman. We therefore turn to the question whether TVH was acting as Goodman’s agent when it hired PRE, thereby creating a contract between Goodman and PRE.
Contract Formed through Agency
¶ 11 PRE argues there was no evidence that TVH was acting as Goodman’s agent when it employed PRE to stake the property; rather, the record shows PRE entered into an express oral agreement only with TVH, and nothing said or done created a contractual relationship between PRE and Goodman. Goodman counters that the circumstances, acts, and conduct of Goodman and TVH manifested an agency relationship that resulted in a binding contract between him and PRE. Goodman, as the proponent of the agency theory, had the burden of proof. Brown v. Ariz. Dep’t of Real Estate, 181 Ariz. 320, 326, 890 P.2d 615, 621 (App.1995).
¶ 12 “Agency is the fiduciary relationship that arises when one person (a ‘principal’) manifests assent to another person (an ‘agent’) that the agent shall act on the principal’s behalf and subject to the principal’s control, and the agent manifests assent or otherwise consents so to act.” Restatement (Third) of Agency § 1.01 (2006) (hereinafter “Restatement”). There are two types of agency, express and apparent. Curran v. Indus. Comm’n, 156 Ariz. 434, 437, 752 P.2d 523, 526 (App.1988). An agent holds express authority ‘“[i]f there is evidence that the principal has delegated authority by oral or written words which authorize him to do a certain act or series of acts.’ ” Premium Cigars Int’l, Ltd. v. Farmer-Butler-Leavitt Ins. Agency, 208 Ariz. 557, ¶ 30, 96 P.3d 555, 565 (App.2004), overruled on other grounds by Webb v. Gittlen, 217 Ariz. 363, 174 P.3d 275 (2008), quoting Curran, 156 Ariz. at 437, 752 P.2d at 526. Generally, whether agency exists is a question of fact, but when the material facts are not in dispute, the existence of such a relationship is a question of law for the court to decide. Ruesga v. Kindred Nursing Ctrs., L.L.C., 215 Ariz. 589, ¶ 21, 161 P.3d 1253, 1260 (App. 2007).
¶ 13 Goodman contends the principal’s intent is controlling in determining whether an agency relationship was created, citing Bru- tinel v. Nygren, 17 Ariz. 491, 497, 154 P. 1042, 1044 (1916), and insists the evidence established that such a relationship existed here. Goodman argues the record shows he hired TVH to oversee the construction of the duplex and hire subcontractors for the project, assei’ting he had done so in the past, and points to his own testimony that TVH worked for him and only him at that time. He further argues this court has recognized course of dealing between principal and agent as a substantial factor for implying an agency relationship, citing Phx. W. Holding Corp. v. Gleeson, 18 Ariz.App. 60, 65-66, 500 P.2d 320, 325-26 (1972) (agency may be established from relation of parties to each other and to subject matter, their acts and conduct); Kjerschow v. Daggs, 24 Ariz. 207, 213-16, 207 P. 1089, 1091-92 (1922); and Brutinel, 17 Ariz. at 497, 154 P. at 1044 (principal’s intent to form agency may be implied from particular circumstances).
¶ 14 PRE disputes Goodman’s legal claims, contending the role of a general contractor does not imply an agency relationship with the property owner, citing P. Flanigan & Sons, Inc. v. Childs, 251 Md. 646, 248 A.2d 473, 478 (1968) (no contract between subcontractor and owner even though subcontractor possessed site plan identifying owner and subcontractor was informed details of construction would be discussed with owners), and Summerall Elec. Co. v. Church of God at Southaven, 25 So.3d 1090, ¶¶ 21, 24 (Miss.Ct.App.2010) (statements owner entrusted general contractor with authority to do what was necessary for construction did not establish agency). PRE points to evidence that Goodman considered TVH an independent contractor, and the owner of TVH, Jesse Patterson, identified himself as a general contractor rather than an agent for Goodman. And PRE notes Patterson clarified that although he began to work exclusively for Goodman in 2007 as a general contractor, he was working on other jobs for other owners at the time he hired PRE. Finally, PRE emphasizes that neither Patterson nor Goodman ever testified that TVH had acted in the capacity of an agent in contracting with PRE, and asserts that the agency theory is merely an after-the-fact justification to support Goodman’s contract claim.
¶ 15 Although agency generally is a question of fact, the issue of agency may be decided as a matter of law where “ ‘no competent evidence legally sufficient to prove it has been introduced’ ” and “ ‘the material facts from which it is to be inferred are undisputed and only one conclusion can be reasonably drawn therefrom.’” Schenks v. Earnhardt Ford Sales Co., 9 Ariz.App. 555, 557, 454 P.2d 873, 875 (1969), quoting 3 C.J.S. Agency § 330(a). Where no direct contract exists between a subcontractor and property owner, our courts have held a subcontractor has no standing to sue the owner for breach of contract solely based upon the alleged agency of a general contractor. Keefer v. Lavender, 74 Ariz. 24, 26, 243 P.2d 457, 459 (1952) (general contractor not agent of owner, and statutory agency created through mechanics’ liens did not establish general agency); see also Fagerlie v. Markham Contracting Co., 227 Ariz. 367, ¶ 18, 258 P.3d 185, 190 (App.2011) (general contractor statutory agent of owner for mechanics’ lien purposes only and not general agent).
¶ 16 In Stratton v. Inspiration Consol. Copper Co., 140 Ariz. 528, 529-30, 683 P.2d 327, 328-29 (App.1984), a subcontractor sought to recover unpaid funds from a property owner, alleging breach of an implied contract formed between the owner and subcontractor through the general contractor’s agency. Although the owner did not contract directly with the subcontractor, the owner approved the general contractor’s choice of subcontractor and inspected the subcontractor’s work from time to time. Id. at 529, 683 P.2d at 328. This court held a general contractor is not an owner’s agent except in the limited statutory context of mechanics’ liens. Id. at 531, 683 P.2d at 330. We reasoned that privity of contract must exist before a party may seek to enforce a contract, and, since there was no agency, no privity of contract existed between the subcontractor and owner, and the subcontractor had no claim for breach of contract against the owner. Id. Although Stratton and the above cases relate to the opposite scenario from the one at hand — an owner seeking recovery against a subcontractor — we find them controlling.
¶ 17 At trial, Goodman testified “[Patterson] is in charge of doing all the construction work, getting it completed and getting it finaled out with the city,” and that Patterson is “an independent contractor” who does what Goodman requests on the projects. Patterson testified, not inconsistently with Goodman’s statements, that he alone was responsible for hiring subcontractors, and Goodman did not tell him which ones to employ. Goodman identifies no evidence in the record that he exercised authority over TVH’s hiring process or decisions. See Urias v. PCS Health Sys., Inc., 211 Ariz. 81, ¶¶ 33, 37-41, 118 P.3d 29, 35, 36 (App.2005) (no agency where insurer did not control claim processor’s negotiations to fulfill contract, although claim processor received funds “[o]n behalf of’ insurer); Brown v. Ariz. Dep’t of Real Estate, 181 Ariz. at 326, 890 P.2d at 621 (right to control transaction factor in determining agency relationship); see also Indep. Gin Co. v. Parker, 19 Ariz. App. 413, 415, 508 P.2d 78, 80 (1973) (assignee not lessee’s agent where owner leased lands and lessee relinquished to assignee all control and dominion over farming operations, leased premises, and operating machinery). Moreover, although TVH had used PRE as a subcontractor for Goodman’s projects several times previously, there was no evidence that Goodman had utilized TVH in an agency capacity in the past to form contracts between Goodman and subcontractors that TVH had hired. See Kjerschow, 24 Ariz. at 215-18, 207 P. at 1092-93 (series of real estate transactions in which representative had acted on behalf, and at direction, of enterprise in acquiring properties demonstrated continuing agency); Holsclaw v. Catalina Sav. & Loan Ass’n, 13 Ariz.App. 362, 366-67, 476 P.2d 883, 887-88 (1970) (eolleetion agent’s long and repeated course of accepting payments on behalf of mortgage holders created agency by implication).
¶ 18 Furthermore, even assuming arguendo that TVH was Goodman’s agent, there is no evidence TVH ever disclosed it was acting in that capacity when it engaged PRE’s services to stake the property. A principal is undisclosed if the third party has no notice the agent is acting for a principal. Restatement § 1.03(2)(b); cf. Myers-Leiber Sign Co. v. Weirich, 2 Ariz.App. 534, 536, 410 P.2d 491, 493 (1966) (for agent to avoid personal liability when acting on behalf of principal, agent must disclose agency and identify principal at time of transaction). It appears the majority of cases dealing with undisclosed principals arise in the context of third parties or agents attempting to hold the principal liable on a contract. When the situation is reversed, however, it is unlikely a third party can accurately assess the interests at stake, because the third party is unaware of the actual party to the contract. See Restatement § 2.03 cmt. f (if third party in doubt whether actor represents actor’s interests only, third party lacks reasonable basis to believe actor has power to affect principal’s legal position).
¶ 19 The record supports PRE’s assertion that TVH did not inform PRE that it was acting as Goodman’s agent and, thus, that PRE was contracting with Goodman, when TVH hired PRE to stake the property. Patterson testified as follows:
Q: As the general contractor, you’re the one that’s responsible for hiring the subcontractors?
A: Yes.
Q: Mr. Goodman doesn’t tell you which subs to hire?
A: No.
Q: If there’s a problem with the sub’s work that’s between you and the sub?
A: Yes.
Q: When you hired PRE to work on projects, there were some projects that you were working on for Mr. Goodman but others that you were working on for other people; correct?
A: Yes.
Q: When you hired PRE to do construction staking, you never told them I’m doing this work for Mr. Goodman or somebody else?
A: No.
Q: When you hired them, they were working for you[?]
A: Yes.
Goodman nonetheless argues that PRE was aware of an agency relationship between Goodman and TVH, relying on two other contracts between PRE and TVH pertaining to other work performed on the same property that identified Goodman as “owner.” Goodman also points out PRE had possessed a hydrology report for the property that had been prepared for Goodman. Further, PRE had worked on Goodman’s projects in the past, and PRE recognized Patterson “comes in on behalf of Mike Goodman for his projects.” But it is not the duty of the third person to determine the existence of a principal, rather the duty is on the agent to disclose the principal at the time of the transaction. Mahan v. First Nat’l Bank of Ariz., 139 Ariz. 138, 141, 677 P.2d 301, 304 (App. 1984), citing Myers-Leiber Sign Co., 2 Ariz. App. at 536, 410 P.2d at 493. Goodman directs us to no evidence that at the time TVH hired PRE, it informed PRE or indicated in any way that it was doing so in a representative capacity for Goodman. Finally, even if Goodman had given TVH authority to bind him to some contracts, there is no evidence he directed TVH to enter into this particular contract with PRE on his behalf.
¶ 20 Because there is no evidence TVH was acting as Goodman’s agent for the staking contract, and PRE had no notice otherwise that Goodman was a party to the contract, there was insufficient evidence for the jury to have found the existence of a contract between PRE and Goodman based upon an agency theory. See generally Restatement § 2.03 cmt. f (where principal undisclosed, third party has no knowledge principal is party to contract). Accordingly, we conclude the trial court erred in denying PRE’s Rule 50 and 59 motions.
¶ 21 Because of our resolution of the contract issues, we need not address PRE’s additional argument that Arizona law limits Goodman to pursuing only remedies under tort law.
Disposition
¶ 22 For the reasons set forth above, we reverse the trial court’s entry of judgment in favor of Goodman on his claim for breach of contract and its order denying PRE’s motions for post-trial relief under Rules 50 and 59, as well as its award of $80,000 in attorney fees. PRE has requested an award of its attorney fees under A.R.S. § 12-341.01, and, because it is the successful party on appeal, we grant its reasonable fees upon compliance with Rule 21, Ariz. R. Civ.App. P. See Schweiger v. China Doll Rest., Inc., 138 Ariz. 183, 189, 673 P.2d 927, 933 (App.1983). Goodman’s request for attorney fees on appeal is denied, and this case is remanded to the trial court for further proceedings consistent with this opinion.
CONCURRING: GARYE L. VÁSQUEZ, Presiding Judge and VIRGINIA C. KELLY, Judge.
. The trial court dismissed Goodman’s additional claim for breach of the covenant of good faith and fair dealing. TVH subsequently assigned to Goodman any claims it may have had against PRE. The court denied Goodman's subsequent motion to amend the complaint to add the assigned claims and Goodman has not challenged that ruling on appeal.
. In his complaint, the only theory Goodman advanced was that a contract had been formed as a result of TVH being his agent in its dealings with PRE. The trial court denied Goodman’s motion to amend his complaint to add a course-of-dealing theory. We may, however, affirm the jury’s verdict for any reason supported by the evidence. See Hutcherson v. City of Phoenix, 192 Ariz. 51, ¶ 13, 961 P.2d 449, 451 (1998).
. In the absence of prior decisions to the contrary, we may seek guidance from the Restatement when it is applicable. Maricopa P’ships, Inc. v. Petyak, 163 Ariz. 624, 626, 790 P.2d 279, 281 (App.1989).
. Apparent agency exists when " ‘the principal has intentionally or inadvertently induced third persons to believe that such a person was its agent although no actual or express authority was conferred on him as agent.’” Curran, 156 Ariz. at 437, 752 P.2d at 526, quoting Canyon State Canners v. Hooks, 74 Ariz. 70, 73, 243 P.2d 1023, 1025 (1952). "Apparent authority is the power held by an agent or other actor to affect a principal’s legal relations with third parties when a third party reasonably believes the actor has authority to act on behalf of the principal and that belief is traceable to the principal’s manifestations.” Restatement § 2.03. Neither party argues that Goodman "intentionally or inadvertently induced” PRE to believe TVH was Goodman’s agent. See Curran, 156 Ariz. at 437, 752 P.2d at 526.
. See, e.g., Litchfield v. Green, 43 Ariz. 509, 510, 33 P.2d 290, 290 (1934) (architect sued alleged principal to collect for work performed on principal’s behalf after putative agent hired architect without lawful authority); Kjerschow, 24 Ariz. at 207, 207 P. at 1089 (plaintiff sued to recover from defendants for land transaction, alleging intermediary defendants’ agent); Phx. W. Holding Corp., 18 Ariz.App. at 63, 500 P.2d at 323 (contracting party sought to enforce against corporate principal lease repayment agreement entered into by corporation's putative agent); Schenks, 9 Ariz.App. at 556, 454 P.2d at 874 (automobile-accident victims sued automobile dealer for personal injuries sustained in accident caused by dealer’s alleged agent); Corral v. Fid. Bankers Life Ins. Co., 129 Ariz. 323, 324-25, 630 P.2d 1055, 1056-57 (App. 1981) (decedent’s estate sued insurance company to enforce life-insurance contract submitted to insurance agent but not accepted by insurance company at time of decedent's death).
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OPINION
PELANDER, Justice.
¶ 1 This case is before us now for a fourth time on James Granvil Wallace’s automatic appeal from two death sentences. See State v. Wallace (Wallace III), 219 Ariz. 1, 191 P.3d 164 (2008); State v. Wallace (Wallace II), 160 Ariz. 424, 773 P.2d 983 (1989); State v. Wallace (Wallace I), 151 Ariz. 362, 728 P.2d 232 (1986). For the reasons below, on independent review we find that the State has not established beyond a reasonable doubt that Wallace inflicted gratuitous violence on the two victims. The murders thus were not heinous or depraved under A.R.S. § lS-JSlfFXO), the sole aggravating factor alleged in this case. Accordingly, we vacate Wallace’s death sentences and sentence him to consecutive life terms of imprisonment.
I.
¶ 2 In early 1984, Wallace was living with his girlfriend, Susan Insalaeo, and her two children, sixteen-year-old Anna and twelve-year-old Gabriel. When Wallace came home drunk on January 31,1984, Susan told him to move out. The next day, Susan went to work, and Anna and Gabriel left for school while Wallace stayed home.
¶ 3 When Anna returned from school, Wallace was hiding behind the front door with a small wooden baseball bat. He struck Anna in the head with the bat from behind. She fell to the ground but continued breathing and moaning. Wallace struck her in the head at least ten times, eventually breaking the bat, but Anna was still alive. Wallace dragged her into the bathroom and drove the broken bat into her throat.
¶4 After killing Anna, Wallace found an 18-inch pipe wrench and decided to use it to kill Gabriel because he “didn’t want him to suffer like [Anna].” Gabriel arrived home shortly thereafter and walked into his bedroom. Wallace followed and hit Gabriel in the head with the pipe wrench. Gabriel fell to the floor, and Wallace hit him in the head approximately ten more times until he had “crushed his skull.”
¶ 5 When Susan arrived home from work a couple hours later, Wallace hit her in the head with the pipe wrench. She fell, and Wallace hit her several more times, ultimately killing her. Wallace reported the crimes to the police the next day. After waiving his Miranda rights, he confessed in detail to the murders but could not explain why he committed them.
¶ 6 Wallace pleaded guilty and was sentenced to death by the trial judge for all three murders. After this Court twice affirmed the convictions and death sentences on appeal, see Wallace I; Wallace II, the federal district court granted habeas corpus relief and ordered a new sentencing trial. That retrial before a jury in 2005 again re- suited in the imposition of three death sentences.
¶ 7 In 2008, we reduced the death sentence for Susan’s murder to life in prison because the evidence was insufficient to prove an aggravating circumstance as to that murder. Wallace III, 219 Ariz. at 7-8 ¶¶ 36-39, 191 P.3d at 170-71. Finding error in the jury instructions, we also remanded the case for a new sentencing trial with respect to the murders of the children. Id. at 4-6 ¶¶ 18-25, 8 ¶ 39, 191 P.3d at 167-69, 171. In 2009, a jury found that Wallace murdered both children in an especially heinous or depraved manner through the use of gratuitous violence. The jury found that death was the appropriate sentence for each of those two murders.
II.
¶8 Because the murders occurred before August 1, 2002, this Court independently reviews the aggravation and mitigation findings, as well as the propriety of the death sentences. See A.R.S. § 13-755(A). In independent review, “we do not defer to the findings or decision of the jury, with respect to aggravation or mitigation, when determining the propriety of the death sentence.” State v. Newell, 212 Ariz. 389, 405 ¶ 82, 132 P.3d 833, 849 (2006) (alterations and internal quotation marks omitted). The state must prove aggravating circumstances beyond a reasonable doubt. State v. Kayer, 194 Ariz. 423, 433 ¶ 28, 984 P.2d 31, 41 (1999).
¶ 9 The sole aggravating circumstance here, heinousness or depravity of the murders, requires proof beyond a reasonable doubt that Wallace inflicted gratuitous violence in murdering Anna or Gabriel. Wallace argues that the State failed to prove that aggravating factor beyond a reasonable doubt. “The term ‘heinous or depraved,’ ” as used in § 13-751(F)(6), describes “the defendant’s state of mind.” State v. Murdaugh, 209 Ariz. 19, 31 ¶ 59, 97 P.3d 844, 856 (2004). The state can prove heinousness or depravity by showing that a defendant inflicted gratuitous violence on his victim. State v. Womble, 225 Ariz. 91, 99 n. 7 ¶ 27, 235 P.3d 244, 252 n. 7 (2010).
¶ 10 In State v. Bocharski, this Court clarified the standard for gratuitous violence, recognizing that our “prior eases ha[d] not been entirely consistent in describing the showing needed to establish” that factor. 218 Ariz. 476, 494 ¶ 85, 189 P.3d 403, 421 (2008); see also Wallace III, 219 Ariz. at 6 ¶ 28, 191 P.3d at 169 (noting that Bocharski “clarifiied] the principles governing” gratuitous violence). Bocharski established a two-pronged test. First, the state must show that the defendant used “violence beyond that necessary to kill.” 218 Ariz. at 494 ¶ 85, 189 P.3d at 421. Second, “[t]he State must also show that the defendant continued to inflict violence after he knew or should have known that a fatal action had occurred.” Id. at ¶ 87.
¶ 11 In Bocharski, this Court found on independent review that the State failed to prove gratuitous violence beyond a reasonable doubt even though the defendant had stabbed the victim twenty-four times in the head, including eight wounds that penetrated deep into the victim’s face and head. 218 Ariz. at 494 ¶¶ 85-86, 189 P.3d at 421. Although we could infer that the defendant used more violence than necessary to kill, we could not conclude that the State established the knowledge requirement. Id. at 495 ¶ 91, 189 P.3d at 422. A medical examiner testified that the immediately fatal wound “probably” occurred early in the sequence of wounds, but was uncertain precisely when. Id. at 494 ¶ 88, 189 P.3d at 421. The doctor also testified that the knife injuries occurred in “quick succession and that all the injuries were likely inflicted within a minute.” Id. at 495 ¶ 89, 189 P.3d at 422. This Court concluded that “[bjeeause Bocharski only used a knife to inflict the wounds and completed his attack very rapidly, we find it unlikely he knew or should have known he had inflicted a fatal wound but continued nonetheless to inflict more violence.” Id. at ¶ 90.
¶ 12 Even before Bocharski, this Court had made clear that multiple, rapid attacks on a victim, although reprehensible, do not necessarily establish gratuitous violence when the attacks were made in attempting to kill the victim. In State v. Canez, for example, the defendant “attempted to strangle [the victim], stabbed him six times, and delivered 21 blunt force injuries, ten of them to the head.” 202 Ariz. 133, 161 ¶ 106, 42 P.3d 564, 592 (2002). The defendant attacked the victim “with his fist, a frying pan, a laundry bag, and a knife.” Id. Because the State asserted that the stabbing occurred last, however, the evidence demonstrated that the defendant “merely escalated his attacks until he succeeded in killing” the victim. Id. at 161-62, 42 P.3d at 592-93. Thus, this Court could not find beyond a reasonable doubt that the violence exceeded that necessary to kill. Id.
¶ 13 Similarly, in State v. Anderson, even though it was a “closet ] question,” we could not find gratuitous violence. 210 Ariz. 327, 355 ¶ 123, 111 P.3d 369, 397 (2005). This Court reasoned:
[Two victims] were subjected to prolonged and varied attacks before they succumbed. [One] had his throat slashed, a knife pounded into his ear, and his head beaten with a rock. [The other] was shot through the jaw, hit over the head with a rifle butt and a lantern, and then killed by blows to the head from a cinder block. While these multiple attacks were reprehensible, they do not meet the (F)(6) test of gratuitous violence. Each attack came in an attempt — albeit clumsy — to kill the victim, not engage in violence beyond that necessary to kill.
Id.
III.
¶ 14 Although this Court has previously considered whether Wallace inflicted gratuitous violence on his victims, the law, most notably in Bocharski, has evolved in this area. In Wallace III, we disavowed the reasoning used in Wallace I and Wallace II and held that the trial court erred in instructing the jury to consider “whether the defendant had available less violent alternatives to cause death” in evaluating gratuitous violence. 219 Ariz. at 4 ¶¶ 15, 18, 191 P.3d at 167. Without any showing that Wallace actually intended to inflict greater violence than that necessary to kill, the State had not proven the “killer’s vile state of mind” as required to establish heinousness or depravity under § 13-751(F)(6). Id. at 4-5 ¶ 19, 191 P.3d at 167-68 (internal quotation omitted).
¶ 15 This Court also concluded in Wallace III that the issue of gratuitous violence should not have been submitted to the jury with respect to Susan’s murder. Id. at 7 ¶ 36, 191 P.3d at 170. We noted that the attack on her involved four or five blows to the head “over a relatively brief period,” and “the blows were apparently struck in rapid succession with the same implement that caused . death.” Id. Although the medical examiner had stated that each blow to Susan’s head “might have” been fatal, he “was unable to opine as to which blow was fatal, let alone whether sufficient injury to kill had already been inflicted before the final blow.” Id. at 7-8 ¶ 37, 191 P.3d at 170-71. In addition, the evidence did not support a reasonable conclusion that Wallace possessed the requisite mental state: “Although the assault on Susan was brutal and reprehensible, it ‘came in an attempt ... to kill the victim, not to engage in violence beyond that necessary to kill.’” Id. (quoting Anderson, 210 Ariz. at 355 ¶ 123, 111 P.3d at 397).
¶ 16 This Court in Wallace III found sufficient evidence to submit the issue of gratuitous violence to the jury on remand with respect to the murders of Anna and Gabriel. Id. at 7 ¶¶ 32-35, 191 P.3d at 170. But because we remanded the case, we did not engage in independent review of the gratuitous-violence findings relating to those two victims. Id. at ¶ 35. That issue is squarely presented now and we turn to it, considering the evidence adduced on remand in the 2009 trial.
IV.
¶ 17 In the aggravation phase of the 2009 trial, the medical examiner, Dr. Parks, testified about Anna and Gabriel’s injuries. Crime scene and autopsy photos depicting their wounds were admitted into evidence. Transcripts of the recorded statements Wallace made to police the day after the murders were also introduced. In our independent review, we must determine whether the State proved beyond a reasonable doubt that Wallace inflicted gratuitous violence on the children, analyzing the evidence separately as to each of those victims.
A. Anna’s murder
1. More injury than necessary to kill
¶ 18 Dr. Parks testified that Anna suffered at least ten blows to the head, causing two skull fractures. But he was not able to determine the order of the blows, nor could he determine which blow caused her death. Describing the neck wound, Dr. Parks stated that the bat went through the skin of Anna’s lower neck, into her left chest cavity, breaking a rib in her lower chest cavity, and pushed through the body to her back, leaving “a bulge in her back where the end of the bat came to rest.”
¶ 19 Dr. Parks testified that the late Dr. Jones, who had conducted the autopsy of Anna, listed cerebral injuries as a cause of death, indicating that Dr. Jones did not consider the wound through the neck to be a cause of death. Dr. Parks stated that when the bat entered Anna’s chest and neck area, it did not hit any major arteries or other blood vessels; thus, the neck wound alone would not have been fatal. But Dr. Parks could not determine whether Anna was alive when Wallace inserted the bat into her neck. When asked whether he thought the bat wound to Anna “finished the act of killing her,” he stated “I don’t exactly know.” When asked whether it “hastened the act of killing her,” he stated “it’s possible it could have contributed.”
¶20 Dr. Parks acknowledged that at the 2005 trial, he had testified that he could not conclude with certainty whether Anna sustained more injuries than were necessary to have caused her death. Based on the small amount of blood found in Anna’s chest cavity, however, Dr. Parks opined, “[i]f [Anna] was alive when the bat was placed [in her neck], she didn’t live much longer after that or she was in the process of dying when the bat was inserted.” He explained “[s]he would not have been able to live too long and have such a small amount of blood accumulate.”
¶ 21 Whether the evidence establishes that more injury than necessary to kill was inflicted on Anna is a close question. Dr. Parks never clearly expressed an opinion to that effect. But this Court can infer that Wallace did not have to stab Anna through the neck with the bat in order to kill her after already inflicting ten blows to her head. Although there is uncertainty about whether Anna was still alive when the neck wound was inflicted, the inquiry is not whether the victim was dead before further injury was inflicted, but rather whether more injury was inflicted than necessary to kill. See Bocharski, 218 Ariz. at 494 ¶ 86, 189 P.3d at 421. Dr. Parks indicated that the neck wound would not have been fatal, permitting an inference that the head injuries alone would have been. We find the evidence proved beyond a reasonable doubt that Wallace inflicted more injury on Anna than necessary to kill.
2. Knew or should have known requirement
¶ 22 The more difficult question is whether the State proved beyond a reasonable doubt that Wallace continued to inflict injury after he knew or should have known that he had inflicted a fatal wound. Wallace stated that he hit Anna on the head because “I thought she would die with one blow, that’d be it, like in the movies, it ain’t that way, she looked me in the eye, she knew who was killing her.” After Anna fell to the ground, Wallace said, she continued to moan and breathe. He stated, “she wouldn’t die. I broke a f * * ring bat on her head and she was still moaning. I don’t know what people are like when they are dead. I wanted to put her out of her misery man, and she wouldn’t f * * ring die.”
¶ 23 Wallace also said that even after he jammed the bat piece through Anna’s throat, “she still wouldn’t die.” Before Gabriel’s arrival, Wallace went to the shed to get a piece of steel to kill Gabriel because, he said, “I didn’t know how hard it was to kill a human being, I didn’t want Gabe to go through what I put Anna through, I wanted her to die quick and she didn’t.”
¶ 24 The State argues that Wallace’s “self-serving” statements about Anna’s moaning and breathing and his difficulty killing her should be given little weight. But Wallace made the statements the day after the murders when he turned himself in to the police and freely admitted his crimes, providing many incriminating details without attempting to escape blame or minimize his actions. Indeed, Wallace’s statements were the only direct evidence about how the murders occurred.
¶ 25 Wallace’s observations that Anna was “moaning” before he stabbed her through the neck were supported by Dr. Parks’s testimony. Dr. Parks was not able to determine whether Anna was alive when Wallace drove the bat through her neck. In addition, Dr. Parks agreed that Anna might have still been conscious during the striking of the blows to her head, and that she might have still been moving such that “the person inflicting the blows would not realize that the person was, in fact, fatally injured.” Referring to Wallace’s next-day statement that Anna was breathing, moaning, making eye contact, and “just wouldn’t die,” the defense asked, “[i]s that medically logical and consistent with the injuries that you observed through your photos and [the autopsy] report?” Dr. Parks responded “[y]es.”
¶ 26 On this record, we cannot find beyond a reasonable doubt that Bocharski’s actual or constructive knowledge requirement was met. Viewed as a whole, the evidence easts reasonable doubt on whether Wallace knew or should have known a fatal wound had been inflicted when he stabbed Anna in the neck.
¶ 27 Anna’s murder is more akin to the clumsy and escalating attacks in Canez and Anderson than to murders in recent eases in which the Court has found gratuitous violence. See State v. Bearup, 221 Ariz. 163, 173 ¶¶ 50-53, 211 P.3d 684, 694 (2009) (upholding especially heinous or depraved finding when defendant cut off victim’s finger an hour after beating victim with an aluminum baseball bat, reasoning that the removal of the finger constituted either gratuitous violence or mutilation); cf. State v. Gunches, 225 Ariz. 22, 26 ¶¶ 17-18, 20, 234 P.3d 590, 594 (2010) (finding insufficient evidence to establish beyond a reasonable doubt that the defendant, who shot victim four times, knew or should have known that he had already fired a fatal shot and yet continued to inflict violence). If Anna continued moaning and breathing before Wallace inflicted the neck wound, as the evidence suggests, a logical inference would be that Wallace’s jamming of the piece of bat into her neck “came in an attempt ... to kill the victim, not to engage in violence beyond that necessary to kill.” Wallace III, 219 Ariz. at 8 ¶ 37, 191 P.3d at 171 (quotations omitted); see also Gunches, 225 Ariz. at 26 ¶ 21, 234 P.3d at 594 (evidence that victim was still breathing before final shots were fired supported finding that defendant did not knowingly inflict gratuitous violence by firing final shots).
¶ 28 In sum, the evidence does not establish beyond a reasonable doubt that Wallace knew or should have known that he already had inflicted fatal wounds upon Anna before committing his final assault. We therefore cannot find heinousness or depravity, the sole aggravating factor in this case.
B. Gabriel’s murder
1. More injury than necessary to kill
¶ 29 Dr. Parks testified that there were a total of eleven lacerations on Gabriel’s head, and that no more than eleven blows would have caused those lacerations. Dr. Pai’ks was not able to determine the order of the blows or which particular one caused Gabriel’s death, but opined that two separate wounds to Gabriel’s head would alone “most likely [have been] fatal.” One of those blows to the forehead exposed Gabriel’s brain and caused a portion of brain tissue to separate from the rest of his brain and exit Gabriel’s skull. Another fatal skull fracture near Gabriel’s right ear protruded inward, causing a deep depression in Gabriel’s head.
¶ 30 On cross examination, Dr. Parks acknowledged that he “could not say that the injuries [Gabriel] sustained were more ... than were necessary to have caused his death.” But later, when asked whether he thought either the “gaping hole” to Gabriel’s forehead or the “caved in portion” of his head could by itself have caused Gabriel’s death, Dr. Parks responded affirmatively. We therefore conclude that the State proved beyond a reasonable doubt that Wallace inflicted more injury than necessary to kill Gabriel.
2. Knew or should have known requirement
¶31 When asked by police whether he knew Gabriel was dead during the attack, Wallace said, “I just knew I had to kill him, I couldn’t stand there and watch him go.” When asked whether Gabriel was moving, Wallace said, “He might, he, body reflexes, he probably flinched or something, I smashed his skull in.” As noted earlier, he also stated, “I never killed anybody be-fore____ I tried to kill his sister and she wouldn’t die. I broke a f * * *ing bat on her head and she was still moaning. I don’t know what people are like when they’re dead.”
¶ 32 Dr. Parks testified that, if the two most severe blows to Gabriel’s head were delivered in rapid succession, there would be “no time for the person to register the effect of Blow A versus Blow B.” He further acknowledged that the potentially fatal blows could have been the final two impacts to Gabriel’s skull. Dr. Parks agreed that Gabriel might have still been conscious as his head was struck and might have exhibited some bodily movement “to make one think the person was still alive.” In that regard, Dr. Parks acknowledged that Wallace’s statement that Gabriel might have been “flinching” during the blows was medically consistent with his observations. When asked about the blood found in Gabriel’s lungs, Dr. Parks stated that this indicated Gabriel’s “breathing following at least some of the injuries.”
¶ 33 Whether Bocharski’s knowledge requirement has been established with respect to Gabriel’s murder is difficult to determine. In contrast to his recollection of Anna’s murder, Wallace was less certain about whether Gabriel was flinching during the attacks, which suggests that he was not motivated by Gabriel’s movements to continue attacking him. Given the heavy tool and force used to pummel Gabriel’s head, the number of blows inflicted, and the nature and severity of the injuries Gabriel suffered, it is certainly arguable that Wallace should have known that striking the head of a 102-pound twelve-year-old with an 18-inch pipe wrench nine or fewer times, rather than ten or eleven times, would have been sufficient to kill. See Wallace III, 219 Ariz. at 7 ¶ 34, 191 P.3d at 170 (“[T]he nature of the attack [on Gabriel] and its results support an inference that Wallace either knew or should have known he had struck enough, blows to kill yet continued his attack.”).
¶ 34 But Wallace stated that he used the pipe wrench on Gabriel because he had such difficulty killing Anna and wanted Gabriel to die more quickly than her. As in Bocharski the injuries occurred in quick succession, and all the blows were delivered with the means used to inflict death, facts that tend to cut against a finding of gratuitous violence. In addition, as Dr. Parks acknowledged, the most obviously fatal and gruesome wound that caused Gabriel’s skull to split open could have been the final blow. Creating further doubt, Dr. Parks also acknowledged that in 2005 he could not say for certain whether more injury than necessary to kill was inflicted on Gabriel.
¶ 35 Although the issue is very close, on our independent review of this record, we cannot find beyond a reasonable doubt that Wallace “continued to inflict violence [on Gabriel] after he knew or should have known that a fatal action had occurred.” Bocharski, 218 Ariz. at 494 ¶ 87, 189 P.3d at 421. Because the State did not meet its burden of proving beyond a reasonable doubt Wallace’s intent to inflict gratuitous violence on Gabriel, the (F)(6) aggravating circumstance was not established.
V.
¶ 36 Even among capital eases, this ease is atrocious. Wallace’s premeditated, brutal murders of Anna and Gabriel clearly were senseless, and the unsuspecting, defenseless victims were helpless. Under Arizona’s current statutes, Wallace most certainly would be eligible for the death sentence. See supra n. 3. But under the applicable law when Wallace murdered the victims, his eligibility for capital punishment requires a finding of gratuitous violence to establish heinousness or depravity under § 13 — 751(F)(6).
¶ 37 The United States Supreme Court determined that A’izona’s (F)(6) aggravating circumstance is facially vague but “can be cured by a state appellate court applying a narrowed construction of the aggravator and determining de novo whether the evidence supported the finding of the aggravator.” Anderson, 210 Ariz. at 352 ¶ 109, 111 P.3d at 394 (citing Walton v. Arizona, 497 U.S. 639, 654, 110 S.Ct. 3047, 111 L.Ed.2d 511 (1990), overruled on other grounds by Ring v. Arizona, 536 U.S. 584, 608-09, 122 S.Ct. 2428, 153 L.Ed.2d 556 (2002)). Bocharski’s clarification and narrowing of the concept of gratuitous violence for establishing heinousness or depravity under (F)(6) were thus constitutionally required, as is our application of Bocharski’s two requirements in this ease.
¶ 38 In common parlance, Wallace’s crimes undoubtedly would be characterized as heinous or depraved. But under the Supreme Court’s jurisprudence, we must apply narrowing constructions of those words, not common understandings, to avoid “serious constitutional problems.” State v. Carlson, 202 Ariz. 570, 585 ¶ 55, 48 P.3d 1180, 1195 (2002); see also Anderson, 210 Ariz. at 355 ¶¶ 123-24, 111 P.3d at 397.
¶ 39 Under Bocharski and our other (F)(6) narrowing jurisprudence, we conclude on independent review that the evidence does not show beyond a reasonable doubt that Wallace actually or constructively knew that he had delivered one or more fatal blows to Anna or Gabriel before he stopped striking them. We therefore vacate the death sentences imposed on the two convictions relating to Anna and Gabriel’s murders and impose life sentences for each of those convictions. See State v. Snelling, 225 Ariz. 182, 190 ¶ 38, 236 P.3d 409, 417 (2010) (noting that a “death penalty may be imposed only if the state has proved the existence of at least one aggravating factor beyond a reasonable doubt”) (citation and internal quotation marks omitted). These sentences will be served consecutively to the life sentence previously imposed for Susan’s murder. See Wallace III, 219 Ariz. at 8 ¶ 38, 191 P.3d at 171.
CONCURRING: REBECCA WHITE BERCH, Chief Justice, ANDREW D. HURWITZ, Vice Chief Justice, and ROBERT M. BRUTINEL, Justice.
. We refer to the current version of statutes that have not substantively changed since Wallace's crimes were committed.
. After the United States Supreme Court decided Ring v. Arizona, 536 U.S. 584, 122 S.Ct. 2428, 153 L.Ed.2d 556 (2002), the Arizona Legislature enacted statutes providing for a jury trial on allegations of aggravating circumstances and the appropriate sentence in capital cases. 2002 Ariz. Sess. Laws, ch. 1, §§ 1, 3 (5th Spec. Sess.). See A.R.S.§§ 13-751, 13-752.
. Gratuitous violence was the State’s only theory for the (F)(6) aggravating circumstance of heinousness or depravity. If the crimes were committed today, the multiple homicides aggravator could also be alleged for each murder. See A.R.S. § 13-751(F)(8). And the murder of Gabriel could be aggravated because he was twelve years old when killed. See A.R.S. § 13-751(F)(9). But because the legislature enacted those provisions after Wallace committed the murders, 1985 Ariz. Sess. Laws, ch. 364, § 8 (1st Reg. Sess.); 1984 Ariz. Sess. Laws, ch. 66, § 1 (2nd Reg. Sess.), they cannot serve to make Wallace death-eligible, State v. Correll, 148 Ariz. 468, 482, 715 P.2d 721, 735 (1986); see also Wallace III, 219 Ariz. at 6 n. 4 ¶ 25, 191 P.3d at 169 n. 4.
. Five factors support a finding of heinousness or depravity: (1) relishing; (2) infliction of gratuitous violence; (3) needless mutilation of the victim; (4) senselessness of the crime; and (5) helplessness of the victim. State v. Gretzler, 135 Ariz. 42, 52-53, 659 P.2d 1, 11-12 (1983). However, findings of senselessness and helplessness alone generally do not establish heinousness or depravity. Womble, 225 Ariz. at 99 n. 7 ¶ 27, 235 P.3d at 252 n. 7. Thus, the (F)(6) aggravator can be upheld in this case only if gratuitous violence is established.
. We reject Wallace’s suggestion that the law requires a distinct element of "actual knowledge and intent’’ in addition to Bocharski's second requirement of actual or constructive knowledge. See Bocharski, 218 Ariz. at 494 ¶ 87, 189 P.3d at 421.
. Pre-Bocharski cases in which this Court found that the defendant inflicted violence beyond that necessary to cause death are generally unhelpful. not having engaged in the two-step analysis that Bocharski now requires.
. In view of this disposition, we do not address Wallace's mitigation evidence, his various other issues raised on appeal, or the sixteen additional issues he presented to avoid preclusion. See Bocharski, 218 Ariz. at 499 n. 20 ¶ 112, n. 21 ¶ 113, 189 P.3d at 426 n. 20, n. 21.
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OPINION
HOWARD, Chief Judge.
¶ 1 In this special action, petitioner State of Arizona challenges the respondent judge’s orders precluding the state from introducing the results of blood tests as evidence in its prosecutions of the real parties in interest. For the reasons stated below, we accept jurisdiction of this special action in part and grant the state partial relief.
Factual and Procedural Background
¶ 2 Each of the real parties in interest here was charged with driving under the influence (DUI) while impaired to the slightest degree pursuant to AR.S. § 28-1381(A)(1). Blood samples were taken from all of the defendants in order to test their blood alcohol content (BAC) at the time of the charged offenses. In each case, the respondent judge set the date for a case management conference, noted on that date that BAC testing results were pending, and reset the conference for a date approximately a month later. When the state had not completed its testing of the blood samples by the time of that conference, the respondent ordered the results of any such testing precluded in each of the cases except Jimenez’s.
¶ 3 In this special action, the state contends that in light of State ex rel. Thomas v. Newell, 221 Ariz. 112, 210 P.3d 1283 (App. 2009), the respondent judge abused his discretion “by precluding any evidence resulting from the blood evidence gathered when a BAC report was not available for disclosure.” None of the real parties in interest have filed a substantive response to the petition.
Special Action Jurisdiction and Standard of Review
¶4 “Our special action jurisdiction is discretionary.” State ex rel. Romley v. Martin, 203 Ariz. 46, ¶ 4, 49 P.3d 1142, 1143 (App.2002), aff'd, 205 Ariz. 279, 69 P.3d 1000 (2003). Our exercise of that discretion is particularly appropriate when parties have no “equally plain, speedy, and adequate remedy by appeal.” Ariz. R. P. Spec. Actions 1(a). Here, the state has no right of appeal. If no statute “ ‘provides that a judgment or order is appealable, the appellate courts of this state do not have jurisdiction to consider the merits of the question raised on appeal.”’ Litak v. Scott, 138 Ariz. 599, 601, 676 P.2d 631, 633 (1984), quoting Musa v. Adrian, 130 Ariz. 311, 312, 636 P.2d 89, 90 (1981). Section 13-4032, A.R.S., which allows the state to appeal some justice court decisions, Litak, 138 Ariz. at 601, 676 P.2d at 633, contains no provision applicable here. And, the statutes providing for appeal from the justice courts likewise contain no provision allowing the state to appeal in this situation. See A.R.S. §§ 22-371 (providing defendant may appeal to superior court); 22-375 (no appeal from final judgment of superior court in action appealed from justice court unless “action involves the validity of a tax, impost, assessment, toll, municipal fine or statute”); 12-120.21(A)(1) (court of appeals has appellate jurisdiction only of actions “originating in or permitted by law to be appealed from the superior court”). Likewise, orders involving sanctions pursuant to Rule 15, Ariz. R.Crim. P., or discovery are generally not appealable. See State v. Roper, 225 Ariz. 273, ¶ 6, 236 P.3d 1220, 1221 (App.2010); State v. Fields, 196 Ariz. 580, ¶ 1, 2 P.3d 670, 671 (App.1999); see also Green v. Nygaard, 213 Ariz. 460, ¶ 6, 143 P.3d 393, 395 (App.2006).
¶ 5 Additionally, under Rule 7(b), Ariz. R. P. Spec. Actions, if a special action could have been brought in a lower court, the petitioner must set forth the circumstances that justify bringing it to this court. In this case, the state asserts “the lower court needs guidance on this issue.” It points out that it “has previously filed a special action petition involving this Respondent Judge and his orders to disclose BAC reports or face preclusion.” In that action, the superior court granted the state relief and ordered that the respondent could not preclude the results of the BAC testing. The respondent followed the ruling in that ease, but made clear he did not believe the superior court’s decision had been correct and he did not intend to follow it in future eases. And the state asserts that similar situations have arisen in “other trial courts in Pima County Consolidated Justice Court.”
¶ 6 It is unusual for a higher court to accept special action jurisdiction when such an action could lawfully be initiated in a lower court. See Kelley v. Ariz. Dep’t of Corrections, 154 Ariz. 476, 476-77, 744 P.2d 3, 4-5 (1987); Green v. Superior Court, 132 Ariz. 468, 470, 647 P.2d 166, 168 (1982). But the circumstances here, including the apparent recurrence of this purely legal issue, merit our acceptance of jurisdiction. See Summerfield v. Superior Court, 144 Ariz. 467, 469-70, 698 P.2d 712, 714-15 (1985) (supreme court accepted special action from superior court when several pending cases presented same issue and question presented was one of law and statewide importance); see also Cronin v. Sheldon, 195 Ariz. 531, ¶ 2, 991 P.2d 231, 233 (1999) (noting direct filing in supreme court exceptional, but accepting special action when issue of law and statewide significance).
¶ 7 We review the respondent judge’s orders for an abuse of discretion, mindful that a court abuses its discretion when it makes a legal error. See Fields, 196 Ariz. 580, ¶ 4, 2 P.3d at 672. And, “[w]e interpret criminal procedure rules de novo. We interpret rules of procedure by applying the principles of statutory construction. We look first to the plain language of a rule because that is ‘the best and most reliable index of [the rule’s] meaning.’ ” Newell, 221 Ariz. 112, ¶ 7, 210 P.3d at 1285, quoting State v. Hansen, 215 Ariz. 287, ¶ 7, 160 P.3d 166, 168 (2007) (alteration in Newell; citations omitted).
Discussion
¶ 8 Relying on Newell, the state maintains the respondent judge abused his discretion in precluding the results of BAC testing that had not yet been completed, apparently on the grounds that the state had failed to timely produce them. The Newell court determined that, under Rule 15.1, Ariz. R.Crim. P., the trial court could “order the State to disclose scientific testing results within a reasonable time period if the scientific testing has been completed.” 221 Ariz. 112, ¶ 15, 210 P.3d at 1286. But, it concluded that Rule 15.1 is limited “to the scientific testing that has been completed,” Newell, 221 Ariz. 112, ¶ 15, 210 P.3d at 1286, and that the trial court therefore could not compel the state to disclose evidence it did not yet have as a sanction under Rule 15.7, id. ¶¶ 8, 15. The state contends the court here is similarly barred from sanctioning it for failing to produce the results of testing that was not yet completed. And it suggests that, in any event, the court could not impose sanctions under Rule 15.7 in the absence of a written motion by the defendant.
¶ 9 Under Rule 15.1(b), which applies to these cases, see Ariz. R.Crim. P. 1.1 and 15.1(e)(2), and the Newell court’s interpretation of that rule, the respondent clearly lacked authority to sanction the state under Rule 15.7 for failing to disclose results of tests that had not been completed, see Newell, 221 Ariz. 112, ¶ 15, 210 P.3d at 1286; see also Rivera-Longoria v. Slayton, 228 Ariz. 156, ¶ 7, 264 P.3d 866, 868 (2011) (Rule 15.1 applies to material “ ‘within the prosecutor’s possession or control’ ”), quoting Ariz. R.Crim. P. 15.1(b).
¶ 10 But, a trial court is not left without authority to exclude scientific evidence when it is unavailable. Rather, apparently anticipating situations such as that presented here, our supreme court has provided a final deadline for disclosure and a means for the state to seek extensions of time to complete scientific testing. Pursuant to Rule 15.6(c), all disclosure must be completed seven days before trial. If a party attempts to use materials disclosed after that point, the court may, upon making specified findings, preclude the party from introducing the evidence. Ariz. R.Crim. P. 15.6(d). But Rule 15.6(e) provides:
Upon a motion filed prior to the final deadline for disclosure in Rule 15.6(e)[ — 7 days before trial — Supported by affidavit from a crime laboratory representative or other scientific expert that additional time is needed to complete scientific or other testing, or reports based thereon, and specifying the additional time needed, the Court shall, unless it finds that the request for extension resulted from dilatory conduct, neglect, or other improper reason on the part of the moving party or person listed in Rule 15.1(f) or 15.2(f), grant a reasonable extension in which to complete the disclosure. The period of time of the extension shall be excluded by the court from all time periods prescribed in Rules 15.1(c) 15.1(e), 15.2(d), 15.2(e), 15.6(b) and 15.6(c).
¶ 11 Thus, the supreme court has provided a method for determining if and when additional extensions of time for disclosure of scientific tests should be granted. And it has mandated that a reasonable extension be granted, if properly requested and supported. Indeed, the comment to the Rule explains that although in most cases “scientific evidence is anticipated to be ready for examination and disclosure within the time periods of Rule 15,” “there are circumstances in which the analysis ... cannot be completed with the prescribed time limits ... due to the volume of cases handled by a forensic crime laboratory ... and the large number of pieces of evidence that must be analyzed by the laboratory in total.” The respondent here apparently failed to consider whether the BAC testing was incomplete as a result of the appropriate “triage of cases,” based on “external circumstances, such as budget, personnel and space limitations,” rather than as a result of “dilatory conduct or neglect.” Ariz. R.Crim. P. 15.6 cmt. And, in any event, the court acted ahead of the final disclosure deadline set forth in Rule 15.6(c) rather than allowing the state the time provided it by Rule 15.6(e) to move for an extension of time to complete the testing.
¶ 12 Additionally, outside of Rule 15, our research has disclosed a local rule, uncited by any party, that partially codifies the “inherent power” of the court to control its docket discussed in Newell, 221 Ariz. 112, ¶ 12, 210 P.3d at 1286, and provides the respondent judge some flexibility in dealing with pretrial conferences. The Local Rules for Pima County Justice of the Peace Courts Providing for Pre-trial Conferences in Criminal Cases (“Pima Cnty. J.P. Court Rules”), promulgated by our supreme court, “establish[ ] a procedure for conducting pre-trial conferences.” Pima Cnty. J.P. Court Rule 1.1. And the stated purpose of pre-trial conferences is to promote “[flair, orderly and just disposition of causes without trial,” “[t]o permit the parties ... to engage in disclosure and conduct negotiations for disposition with out trial,” “to provide discovery,” and “[t]o eliminate the need for setting matters for trial which are intended to be disposed of without trial ... and to enable the court to administer its trial docket in a more just and efficient manner.” Pima Cnty. J.P. Court Rule 1.2.
¶ 13 Addressing the matter of discovery, Rule 1.5, Pima Cnty. J.P. Court, provides as follows:
A. Nothing in the rule shall be construed in any manner as altering the procedure pursuant to Rules 15.1 and 15.2 of the Arizona Rules of Criminal Procedure relating to disclosure.
B. The court may, in its discretion, issue orders relating to disclosure including the following:
1. Orders requiring additional disclosure by either party;
2. Orders sanctioning either party where the court deems necessary in the interests of justice for failure to make good faith disclosures;
3. Such other orders as the court deems necessary to promote the interests of justice.
¶ 14 Whatever authority this local rule provides the justices of the peace in ordering discovery or sanctions in individual cases after making appropriate findings, we conclude it does not allow the respondent judge to adopt a blanket deadline for precluding the results of BAC testing outside the framework of Rules 15.1 and 15.6. The local rule itself prohibits the respondent from altering the procedure set forth in Rule 15.1 and, to the extent the local rule arguably could conflict with Rule 15.6, the latter must control. See State ex rel. Corbin v. Superior Court, 138 Ariz. 500, 503, 675 P.2d 1319, 1322 (1984).
Conclusion
¶ 15 For the reasons stated above, the respondent judge abused his discretion in ordering the results of the BAC testing precluded. We therefore accept special action jurisdiction and vacate the respondent’s orders excluding the blood test results in the cases of real parties in interest Llinas, Medina, Rogers, Simio, and Tanner. As indicated in this court’s previous order, we decline to accept jurisdiction in the case of Jimenez.
CONCURRING: PETER J. ECKERSTROM, Presiding Judge and VIRGINIA C. KELLY, Judge.
. In a notice of erratum, the state explained it had mistakenly believed the respondent judge had precluded the BAC testing results in that case as well. It maintains its arguments in this special action still apply to Jimenez’s case because the respondent ordered it to disclose the results of the BAC testing in that case. But, in the record before us, the minute entries in Jimenez’s case are illegible, and the docket states "pending lab results” and "provid [sic] lab results.” Counsel for Jimenez has informed this court the results have now been disclosed. Because we are uncertain what the respondent ordered, because he has not imposed a sanction, and because the results have been disclosed, we have declined to accept special action jurisdiction in that case by separate order.
|
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OPINION
DOWNIE, Judge.
¶ 1 This ease requires us to examine the scope of statutory anti-deficiency protection available to borrowers in the judicial foreclosure context. We hold that refinancing a purchase money loan does not destroy purchase money status and forfeit anti-deficiency protection to the extent proceeds from the refinancing transaction are disbursed in satisfaction of the underlying purchase money obligation. We further hold that loan proceeds used to construct a qualifying residence merit anti-deficiency protection under certain circumstances. However, sums disbursed in a loan transaction for non-purchase money purposes may be traced, segregated, and recovered in a deficiency action. Because the superior court did not apply these legal standards to the various loan transactions at issue in this case, we vacate the deficiency judgment entered against appellant Michael Pasquan and remand for further proceedings.
FACTS AND PROCEDURAL BACKGROUND
¶ 2 Michael and Kelly Pasquan purchased a 4000-square-foot home in Paradise Valley (the “Property”) in May 2003. To satisfy the $935,000 purchase price, the Pasquans made a $335,000 cash payment and obtained a $600,000 loan from Hamilton Mortgage Company (“Hamilton Loan”). The Hamilton Loan was secured by a deed of trust recorded against the Property.
¶3 In December 2004, the Pasquans obtained a $1.6 million loan from Desert Hills Bank (“Desert Hills”). The Desert Hills loan proceeds paid off the Hamilton Loan and also funded the demolition of most of the existing residence and the construction of an 11,500-square-foot home in its place. The Desert Hills loan was secured by a new deed of trust recorded against the Property.
¶ 4 The Pasquans later borrowed an additional $100,000 from Desert Hills. No new deed of trust was recorded; the additional amount was secured by the existing deed of trust on the Property. Subsequently, the Pasquans obtained an additional $400,000 loan from Desert Hills that was secured by a second recorded deed of trust. According to a declaration submitted by Michael Pasquan in the superior court, all of the Desert Hills loan proceeds were used for construction expenses.
¶ 5 In September 2006, the Pasquans obtained a $3.4 million loan serviced by appel-lee Helvetica Servicing, Inc. (“Helvetica Loan”). The Helvetica Loan was secured by a new deed of trust recorded against the Property. According to Michael Pasquan’s declaration, the Helvetica Loan proceeds were disbursed as follows:
Desert Hills Payoff $2,154,038
Stephen Pasquan Loan $225,000
Closing Costs $9,674
Points/Interest $274,894
Interest/Reserves $206,033
Construction Credit Cards $172,575
Net Proceeds to the Pasquans $357,786.15
Pasquan avowed that roughly $228,000 of the funds he and his wife received at closing went toward interest payments on the Helve-tica Loan, with the remainder being used for “improvements, landscaping, maintenance, taxes, utilities and marketing fees for the house.”
¶ 6 The Pasquans defaulted on their loan payments, and Helvetica filed a judicial foreclosure action. The superior court granted partial summary judgment to Helvetica regarding its right to foreclose and the principal sum owed by the Pasquans— $3,657,793.30. The court reserved the question of whether Helvetica could obtain a deficiency judgment.
¶ 7 Helvetica purchased the Property with a $400,000 credit bid at a sheriffs sale. Thereafter, the parties briefed the applicability of Arizona’s anti-deficiency statutes. The superior court ruled in favor of Helvetica and entered a deficiency judgment against the Pasquans in the sum of $1,936,825.53, plus pre-judgment and post-judgment interest. Michael Pasquan timely appealed.
DISCUSSION
¶ 8 The overarching issue in this ease is whether the Helvetica Loan is a purchase money obligation. If it is, Helvetica may not obtain a deficiency judgment against Pas-quan. See Baker v. Gardner, 160 Ariz. 98, 107, 770 P.2d 766, 775 (1989) (supplemental opinion) (“By choosing judicial foreclosure, the creditor can obtain a deficiency judgment in all cases except those dealing with purchase money collateral on the residential property described in § 33-729(A).”). A deficiency judgment “is nothing more than the difference between the security and the debt.” Valley Nat’l Bank of Ariz. v. Kohl-hase, 182 Ariz. 436, 440, 897 P.2d 738, 742 (App.1995) (quoting Baker, 160 Ariz. at 104 n. 7, 770 P.2d at 772 n. 7).
¶ 9 The Arizona legislature enacted statutes in 1971 to protect certain borrowers against deficiency judgments arising from purchase money mortgages and purchase money deeds of trust foreclosed judicially. Baker, 160 Ariz. at 101, 770 P.2d at 769. This legislation was 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.” Id. (quoting Boyd & Balentine, Arizona’s Consumer Legislation: Winning The Battle but , 14 Ariz. L.Rev. 627, 654 (1972)). Anti-deficiency protection reflects a legislative policy decision to place the risk of inadequate security on lenders rather than borrowers. Id. at 103, 770 P.2d at 771. It is intended to discourage purchase money lenders from over-valuing real property by requiring them to look solely to the collateral for recovery in the event of foreclosure.
¶ 10 The statute at issue in this case, Arizona Revised Statute (“A.R.S.”) section 33-729(A), reads:
[I]f a mortgage is given to secure the payment of the balance of the purchase price, or to secure a loan to pay all or part of the purchase price, of a parcel of real property of two and one-half acres or less which is limited to and utilized for either a single one-family or single two-family dwelling, the lien of judgment in an action to foreclose such mortgage shall not extend to any other property of the judgment debtor, nor may general execution be issued against the judgment debtor to enforce such judgment, and if the proceeds of the mortgaged real property sold under special execution are insufficient to satisfy the judgment, the judgment may not otherwise be satisfied out of other property of the judgment debtor, notwithstanding any agreement to the contrary.
¶ 11 We review the interpretation and application of statutes de novo. Schwarz v. City of Glendale, 190 Ariz. 508, 510, 950 P.2d 167, 169 (App.1997) (citation omitted). Our goal in interpreting a statute is to determine and give effect to legislative intent. Mail Boxes, Etc., U.S.A. v. Indus. Comm’n, 181 Ariz. 119, 121, 888 P.2d 777, 779 (1995) (citation omitted). We begin with the statute’s language. Canon Sch. Dist. No. 50 v. W.E.S. Constr. Co., 177 Ariz. 526, 529, 869 P.2d 500, 503 (1994) (citations omitted). If the language is unambiguous, we do not employ other tools of statutory construction. Janson v. Christensen, 167 Ariz. 470, 471, 808 P.2d 1222, 1223 (1991) (citations omitted).
¶ 12 The parties agree that the Hamilton Loan, which was obtained to acquire the Property, was a purchase money obligation. Helvetica contends, though, that by refinancing a purchase money loan, a borrower destroys purchase money status, forfeiting anti-deficiency protection. Pasquan, on the other hand, argues: (1) the Desert Hills loans were construction loans that are purchase money in nature; and (2) the Helvetica Loan refinanced an existing purchase money loan and is therefore a purchase money obligation.
I. The Effect of Refinancing
¶ 13 Both parties rely on this Court’s decision in Bank One, Arizona v. Beauvais, 188 Ariz. 245, 934 P.2d 809 (App.1997), to support their respective positions. In Bank One, the borrowers obtained a loan from Bank One to exercise stock options, pledging the stock as collateral. Id. at 246, 934 P.2d at 810. They later sought another loan from Bank One to purchase a home. Id. The new loan consolidated the first loan with the home purchase loan into a single note. Id. The consolidated loan proceeds paid off the first loan and funded the home’s purchase. Id. The consolidated loan was secured by the stock and a deed of trust. Id.
¶ 14 When the borrowers were unable to pay, they executed a “workout note” that satisfied the consolidated loan. Id. The workout note was secured by the stock and the existing deed of trust. Id. The borrowers defaulted, and Bank One sued them. Id. at 246-47, 934 P.2d at 810-11. The bank argued the workout note was not a purchase money obligation, but a new and independent loan used to pay existing obligations. Id. at 247, 934 P.2d at 811. Alternatively, Bank One argued it could recover the pro rata portion of the workout note that was not purchase money in nature. Id.
¶ 15 The superior court ruled that the workout note was a purchase money obligation and found no basis for apportioning between purchase money and non-purchase money funds. Id. Bank One appealed. Id. This Court held that, regardless of whether the workout note was “an extension, renewal, or new obligation,” it was a purchase money obligation. Id. at 248-51, 934 P.2d at 812-15. Citing Baker, we observed that anti-deficiency protection is intended “to protect certain homeowners from the financial disaster of losing their homes to foreclosure plus all their other nonexempt property on execution of a judgment for the balance of the purchase price.” Id. at 249, 934 P.2d at 813. We concluded:
[T]he legislature did not intend that a loan would lose its character as a purchase-money obligation when, as here, it is extended, renewed, or the remaining portion of the original loan is refinanced and the deed of trust on the property that was bought with the original loan continues or is renewed. Given the realities of the marketplace, to believe otherwise would put many homeowners, unable to make mortgage payments, at the peril of facing personal liability as well as the loss of their homes-a result the legislature intended to avoid through the Anti-Deficiency Statutes.
Id. at 250, 934 P.2d at 814. Bank One did not address the propriety of segregating non-purchase money portions of a loan, noting the bank had abandoned its argument that such funds should be traced and included in a deficiency judgment. Id. at 248 n. 2, 934 P.2d at 812 n. 2.
¶ 16 Helvetica ascribes significance to two factual differences between this ease and Bank One: (1) the original deed of trust the Pasquans executed when purchasing the Property was replaced by deeds of trust in favor of the subsequent lenders; and (2) different lenders are involved. We agree that these factual distinctions exist, but we do not read Bank One as requiring that the original deed of trust remain in place or that the lender remain the same in order to preserve purchase money status. Bank One addressed the facts before it and did not attempt to define the outer limits of anti-deficiency protection.
¶ 17 The court in Bank One held that the character of a purchase money obligation is not changed when it is refinanced and the “deed of trust on the property that was bought with the original loan continues or is renewed.” Id. at 250, 934 P.2d at 814 (emphasis added). “Renew” can mean “to replace” or “to begin again.” Black’s Law Dictionary 1296 (6th ed. 1990). Section 33-729(A) does not mandate that the lender remain the same or that the deed of trust of record at the time of foreclosure be the same one recorded when the property was purchased. The statute instead accords protection if a mortgage is “given to secure the payment of the balance of the purchase price, or to secure a loan to pay all or part of the purchase price.”
¶ 18 In the case at bar, a portion of the first Desert Hills loan proceeds satisfied the balance due on the Hamilton Loan. That disbursement paid “the balance of the purchase price.” A.R.S. § 33-729(A). A deed of trust on the same property secured the Hamilton and Desert Hills loans.
¶ 19 A change in the lender’s identity does not, standing alone, alter the nature of the underlying purchase money debt. To hold that refinancing a purchase money obligation with a new lender and executing a new deed of trust on the same property destroys anti-deficiency protection would contravene the legislative intent to “abolish the personal liability of persons who give trust deeds encumbering properties that fit within the statutory definition.” Bank One, 188 Ariz. at 249, 934 P.2d at 813 (citing Baker, 160 Ariz. at 104, 770 P.2d at 772). Moreover, it would be anomalous to conclude that an original lender who refinances an acquisition loan at a lower interest rate cannot pursue a deficiency judgment, as Bank One instructs, but a new lender who pays off that original loan in a refinancing transaction may do so.
¶ 20 A determination that refinancing does not destroy purchase money status is also consistent with the policy of discouraging the over-valuation of real property. The risk of over-valuation is arguably even more substantial in the refinancing context, where property values are not based on actual sales of the collateral. The second rationale for anti-deficiency legislation — preventing financial ruin of homeowners who have already lost their homes and the attendant drain on the economy — is also furthered by protecting refinancing transactions, which frequently occur in distressed economic climates.
¶ 21 Helvetica’s reliance on Union Bank v. Wendland, 54 Cal.App.3d 393, 126 Cal.Rptr. 549 (1976), is unpersuasive. In Union Bank, the homeowner financed the purchase of residential property by borrowing from a savings and loan. Id. at 554. He later obtained three additional loans from a bank. Id. at 552. The first bank loan was secured by a deed of trust; some of the proceeds were used to satisfy the original purchase money loan, and the remainder went into the homeowner’s account. Id. at 554. The second loan was used to remodel the residence; the third loan paid off the second loan and made payments due under the first note. Id. at 552. The California Court of Appeal held that refinancing is not a purchase money transaction because the loan proceeds are not used to purchase a residence. Id. at 554. Accordingly, by refinancing the property, the homeowner destroyed purchase money status and was subject to a deficiency judgment. Id.
¶ 22 The decision in Union Bank has been criticized. See, e.g., Carol Burns, Comment, Will Refinancing Your Home Mortgage Risk Your Life Savings ?: Refinancing and California Code of Civil Procedure Section 580B, 43 UCLA L.Rev. 2077, 2095 (1996) (“As an appellate level decision, Union Bank’s value as a precedent is limited. Further, the court’s flawed reasoning weakens its value even as persuasive authority.”); Charles B. Sheppard, California Code of Civil Procedure Section 580B, Anti-Deficiency Protection Regarding Purchase Money Debts: Ar guments for the Inclusion of Refinanced Purchase Money Obligations Within the Anti-Deficiency Protection of Section 580B, 6 S. Cal. Interdisc. L.J. 245, 269 (1997) (labeling Union Bank’s holding that refinancing destroys purchase money status “dicta” and “misguided”). Union Bank is also inconsistent with our own Arizona precedent — specifically, Bank One, which holds that refinancing does not necessarily convert a purchase money obligation into a recourse loan.
¶ 23 We hold that the first Desert Hills loan transaction did not destroy the purchase money status of Pasquan’s obligation, at least to the extent of loan proceeds used to satisfy the Hamilton Loan. We next consider whether proceeds from the Desert Hills loans that were disbursed for other purposes, including construction of the residence, merit different treatment.
II. Construction Loans as Purchase Money Obligations
¶ 24 No Arizona appellate decision has addressed whether so-called “construction loans” used to build a residence are purchase money obligations entitled to anti-deficiency protection. In Southwest Savings and Loan Association v. Ludi, 122 Ariz. 226, 227, 594 P.2d 92, 93 (1979), the homeowners assumed a note secured by a purchase money mortgage and a note for a “property improvement loan” secured by a second mortgage. They defaulted on both. Id. The Ludis argued that because they assumed the two mortgages when purchasing the property, both were purchase money obligations, precluding a deficiency judgment. Id. at 228, 594 P.2d at 94. Addressing only the property improvement loan, our supreme court disagreed, stating:
In order to determine whether the Ludis may claim any benefit from [the anti-deficiency] statute as a result of their assumption, we must look to the rights given them by their grantor____ [The grantor] gave Southwest a second mortgage and note, not for purchase money, but for a property improvement loan. That mortgage is clearly not covered by the statute.
Id.
¶ 25 Ludi did not discuss the nature of the property improvement loan or how its proceeds were used. There was no contention that, as to the original borrower, the second mortgage was a purchase money obligation. And because the Ludis stepped into the original borrower’s shoes, they could not elevate the loan’s status to a purchase money obligation.
¶ 26 Notwithstanding the decision in Ludi, we deem it an open question in Arizona whether a loan that funds construction of a statutorily qualifying residence is a purchase money obligation. And although we reject the holding in Union Bank as incompatible with Arizona law, we find guidance in a different California appellate decision relevant to construction loans. See Baker, 160 Ariz. at 102-03, 770 P.2d at 770-71 (because California has similar anti-deficiency laws, its appellate decisions are instructive in interpreting Arizona statutes).
¶ 27 In Prunty v. Bank of America, 37 Cal.App.3d 430, 112 Cal.Rptr. 370 (1974), the court considered whether a lender could obtain a deficiency judgment based on a loan it made to fund construction of a residence on land the borrower already owned. The bank argued the construction loan financed improvements to the property, not its purchase, so a deficiency judgment was proper. Id. at 373. The court, though, ruled that the public policies behind anti-deficiency legislation warranted protection for “residential construction borrowers who fall within its terms.” Id. at 377. The court found certain undisputed facts significant in that ease, including the following:
7. It was intended both by plaintiffs and defendants that the repayment of said loan would be secured by said deed of trust which would cover not only the land but also a dwelling to be constructed thereon.
8. At the time of the application for said loan and at the time of the execution and recording of said deed of trust, plaintiffs intended to use the proceeds of said loan to construct a single family residential dwelling on the property, which they themselves would occupy, and defendant Bank of America was aware and intended that the proceeds of said loan would be so used.
9. All the proceeds of said loan were used by plaintiffs to pay the purchase price of labor and materials which were used in constructing a single family residence on the property. 10. Defendant Bank of America would not have made said loan had not the entire proceeds of said loan been used to pay the purchase price of labor and materials used to construct the residence on said land. 11. Defendant Bank of America looked primarily to the land and to the building thereon as security for its loan.
Id. at 372.
¶ 28 Prunty looked to the legislative history behind California’s statutes, noting that courts “have exhibited a very hospitable attitude toward the legislative policy underlying the antidefieiency legislation and have given it a broad and liberal construction that often goes beyond the narrow bounds of the statutory language.” 112 Cal.Rptr. at 374 (citing Stefan A. Riesenfeld, California Legislation Curbing Deficiency Judgments, 48 Calif. L.Rev. 705, 709 (I960)). The court held that common definitions of the words “purchase” and “purchaser” are broad enough to encompass construction loans, stating:
[T]he owner of real property who finances and builds a “dwelling” on it “acquires” or “obtains” the dwelling for a “price,” in no less a sense than the “purchaser” of real property “acquires” or “obtains” the land itself____Thus, the terms actually used by the Legislature ... (“purchase price” and “purchaser”) may reasonably be assigned the suggested alternative definitions “according to the usual, ordinary import” of the statutory language. The reach of that language is therefore to be assessed according to a liberal construction thereof in light of the legislative purpose underlying the amended statute and the “entire statutory system” of anti-deficiency legislation which includes it.
Id. at 376-77 (citations omitted). The court concluded:
The critical fact here is not ... that the character of the property purchased under a construction Contract is to be determined at the time of execution thereof; it is whether the parties to the construction Loan intended that the deed of trust, securing the loan’s payment, cover Real property.
Id. at 379 (internal citations omitted).
¶ 29 We agree with Prunty and find its analysis and conclusion equally applicable to and consistent with Arizona’s legislative scheme. See, e.g., Cely v. DeConcini, McDonald, Brammer, Yetwin & Lacy, P.C., 166 Ariz. 500, 504, 803 P.2d 911, 915 (App.1990) (“The purposes served by Arizona’s mortgage anti-deficiency statute are identical to those served by California’s statute ----”); see also AR.S. § 1-213 (“Words and phrases shall be construed according to the common and approved use of the language.”); W. Corr. Grp., Inc. v. Tierney, 208 Ariz. 583, 587, ¶ 17, 96 P.3d 1070, 1074 (App.2004) (citing State v. Wise, 137 Ariz. 468, 470 n. 3, 671 P.2d 909, 911 n. 3 (1983)) (in determining the plain meaning of a term in a statute, courts refer to established and widely used dictionaries).
¶30 Like California, see Prunty, 112 Cal.Rptr. at 375, our anti-deficiency statutes allocate the risk of inadequate security to purchase money lenders, thereby discouraging overvaluation of the collateral. Additionally, as in California, “[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 statute] prevents the aggravation of the downturn that would result if defaulting purchasers were burdened with large personal liability.” Id.
¶ 31 Construing anti-deficiency protection to apply to construction loans furthers these legislative policies. See State v. Clary, 196 Ariz. 610, 612, ¶ 9, 2 P.3d 1255, 1257 (App.2000) (citing Carrow Co. v. Lusby, 167 Ariz. 18, 21, 804 P.2d 747, 750 (1990)) (courts consider the policy behind the law and the evil it was intended to remedy when interpreting statutes). Such protection will “tend[] to discourage construction borrowing which is ‘unsound’ because the financed construction is overvalued.” Prunty, 112 Cal.Rptr. at 377. It also avoids further aggravation of a depressed economy. Cf. Burns, Comment, 43 UCLA L.Rev. at 2089 (“Rampant personal judgments against debtors would greatly exacerbate the economic downturn and hinder recovery. To prevent such a catastrophe, the legislature mandated that the losses be distributed: The debtor loses the property, and the lender forfeits the amount by which the debt exceeds the property’s fair value.”).
¶ 32 We hold that a construction loan qualifies as a purchase money obligation if: (1) the deed of trust securing the loan covers the land and the dwelling constructed thereon; and (2) the loan proceeds were in fact used to construct a residence that meets the size and use requirements set forth in A.R.S. § 33-729(A). In the case at bar, these are questions of fact that must be resolved by the superior court on remand.
III. Treatment of Non-Purchase Money Funds
¶ 33 Finally, this case presents a question left unanswered in Bank One: whether non-purchase money loan funds included in a purchase money transaction may be traced and segregated, according anti-deficiency protection only to the purchase money amounts.
¶ 34 Pasquan’s declaration makes clear that not all of the Helvetica Loan proceeds were disbursed to pay either the remaining purchase price of the Property or construction costs. His declaration identifies payments that clearly are not purchase money in nature, including sums for maintenance, utilities, marketing fees, and penalties.
¶ 35 There are three possible outcomes when a judicially foreclosed mortgage secures both purchase money and non-purchase money sums: (1) the entire loan is a recourse obligation; (2) the entire amount receives anti-deficiency protection; or (3) non-purchase money sums may be traced, segregated, and included in a deficiency judgment. Arizona’s statutes offer little guidance regarding this issue. Relevant legislative history, though, persuades us that the third option is the most rational way of harmonizing the competing interests of borrowers and lenders and of giving effect to legislative intent. See A.R.S. § 1-211(B) (“Statutes shall be liberally construed to effect their objects and to promote justice.”); Hayes v. Cont’l Ins. Co., 178 Ariz. 264, 270, 872 P.2d 668, 674 (1994) (citing State Farm Mut. Auto. Ins. Co. v. Wilson, 162 Ariz. 251, 254, 782 P.2d 727, 730 (1989)) (when a court cannot ascertain the legislature’s intent on a specific issue, it attempts to interpret the statutes in a manner that furthers the perceived goals of the relevant body of legislation).
¶ 36 Although there is a dearth of case law authority addressing mortgages that commingle purchase money and non-purchase money sums, several legal commentators have explored the issue. In analyzing California’s statutory scheme, one such commentator concluded:
[Rjefinanced purchase money obligations regarding owner-occupied residential property ought to be recognized as actually being within the purview of the purchase money, anti-deficiency protection of section 580b to the extent that proceeds from the refinance loan were used to pay-off the refinanced purchase money obligation. Any proceeds from the refinance loan that were used for purposes other than a payoff of the refinanced purchase money obligation would not be funds which were used, in fact, to pay all or part of the purchase price of the property in question. To that extent, a borrower would be exposed to personal liability for a deficiency in an amount not to exceed the amount of the refinance loan that was used for purposes other than to pay-off the refinanced purchase money obligation.
Sheppard, 6 S. Cal. Interdise. L.J. at 248.
¶ 37 We reach a similar conclusion. It appears unnecessarily punitive and contrary to the consumer-protection goals of Arizona’s legislation to convert an entire obligation into a recourse loan simply because it happens to include non-purchase money sums. On the other hand, it seems similarly inappropriate to shield borrowers from deficiencies for loan disbursements unrelated to the acquisition or construction of a qualifying residence. Extending anti-deficiency protection in such a manner could encourage irresponsible borrowing and abdication of personal responsibility for repaying legitimate debt. It would also appear to stretch our anti-deficiency laws beyond the scope intended by the legislature. We therefore hold that, to the extent a judicially foreclosed mortgage includes both purchase money and non-purchase money sums, a lender may pursue a deficiency judgment for the latter amounts. If the legislature disagrees with our resolution of this admittedly murky issue, we presume it will amend the existing statutory scheme to make clear its intentions.
CONCLUSION
¶ 38 We vacate the deficiency judgment entered against Pasquan and remand to the superior court for further appropriate proceedings. On remand, the court must resolve various issues, including:
1. The amount of the Hamilton Loan payoff, which is entitled to anti-deficiency protection.
2. Whether the deeds of trust at issue cover the newly constructed residence.
3. Whether and to what extent loan proceeds, beginning with the first Desert Hills loan, were disbursed for construction of the residence and/or payment of the remaining purchase price of the Property.
4. The purposes for which the Helvetica Loan proceeds were disbursed.
5. The amount of a revised default judgment against Pasquan that includes only non-purchase money sums.
¶ 39 We do not foreclose consideration of other matters on remand. Given the procedural context of this ease in the superior court, only limited issues have been litigated to date. For example, there is some suggestion that Helvetica disputes whether the Property’s size and use merit protection under A.R.S. § 33-729(A). Additionally, it is unclear whether the factual assertions contained in Pasquan’s declaration are disputed. Because Helvetica prevailed below on its claim that refinancing destroys purchase money status, such issues have not been litigated. Nothing in this opinion prevents their litigation on remand.
CONCURRING: DANIEL A. BARKER, Presiding Judge and MICHAEL J. BROWN, Judge.
. There are numerous beneficiaries under the Helvetica deed of trust. We refer to them collectively as "Helvetica.”
. The Pasquans reportedly borrowed $225,000 from Stephen Pasquan, Michael's father, for construction expenses.
. The Pasquans divorced in 2009. Kelly Pas-quan is not a party to this appeal. References to "Pasquan” are to Michael Pasquan individually.
. The parties agree that a deficiency exists, though they disputed the amount in the superior court. After an evidentiary hearing, the court set the fair market value of the Property at $2,266,666.67. See Ariz.Rev.Stat. ("A.R.S.”) § 33-814(A) (a deficiency judgment "shall be for an amount equal to the sum of the total amount owed the beneficiary as of the date of the sale, as determined by the court less the fair market value of the trust property on the date of the sale as determined by the court or the sale price at the trustee's sale, whichever is higher”).
. Pasquan raises other issues in his opening brief that Helvetica has not addressed, characterizing them as "irrelevant to this appeal.” For purposes of our decision, we assume the Property is of a size and use meriting protection under A.R.S. § 33-729(A).
. Considering the policies behind Arizona's anti-deficiency legislation, we perceive significant differences between construction loans used to build residences and loans obtained to improve existing homes. Cf. Allstate Sav. & Loan Ass'n v. Murphy, 98 Cal.App.3d 761, 159 Cal.Rptr. 663, 664 (1979) (construing an analogous California statute and holding that "construction loans for improvements or repairs of the type involved in this case [construction of a swimming pool and block wall] are not within the description of loans protected by the purchase-money deficiency prohibition”). The second scenario, though, is not before us. In some cases, it will be a question of fact whether a particular transaction is a construction loan or some different type of obligation — e.g., a home improvement loan. Although the record before us suggests that a substantial portion of the Desert Hills financing is properly characterized as a construction loan, the superior court will be required to make this determination on remand. Because the parties have not raised or briefed the issue on appeal, we do not now undertake to define the characteristics of a protected construction loan.
. The Helvetica Loan likely includes additional non-purchase money sums, including interest payments to Helvetica of $32,555 per month. However, the record on appeal is not sufficiently developed for us to opine further regarding this issue.
. Pasquan himself acknowledges he is "not urging this Court to adopt a rule which protects a borrower who refinances a purchase money loan and takes out additional cash above and beyond paying off the existing purchase money obligations.”
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OPINION
PORTLEY, Judge.
¶ 1 Kool Radiators, Inc. (“KRI”) appeals the attorneys’ fees and costs awarded to Stephen Evans (“Evans”) and Aegis Jet, LLC (“Aegis”). For the reasons that follow, we exercise special action jurisdiction and grant relief by vacating the fee award.
FACTS
¶ 2 Stephen Evans approached Ron Davis, a professional acquaintance, in 2007 with an investment proposal. Evans told Davis that Aegis was raising capital to purchase Aero Jet Services, LLC (“Aero Jet”), and offered him an opportunity to invest in Aegis. Evans presented Davis with the purchase agreement between Aegis and Aero Jet, and allegedly assured him that his money would be used to finance the acquisition or his investment would be returned.
¶3 Davis did not make the investment. Instead, his company, KRI, made the $250,000 investment in exchange for a twenty-five percent interest in Aegis. Aegis, however, did not meet the terms of the acquisition contract and allowed the offer to lapse in August 2007. As a result, Aero Jet terminated the purchase agreement.
¶ 4 KRI subsequently filed a complaint against Evans and Aegis for fraud, securities fraud, negligent misrepresentation, and breach of fiduciary duty. KRI sought to rescind its subscription agreement with Aegis or to recover damages. Aegis and Evans (collectively, “the defendants”) moved to dismiss the complaint. They included the argument that the lawsuit was premature because Aegis was still negotiating to acquire Aero Jet. The motions were denied and the trial court allowed KRI to amend its complaint.
¶ 5 KRI filed an amended complaint, and the defendants again filed motions to dismiss. They maintained that the lawsuit was not ripe and claimed that KRI had failed to cure the earlier defects. After argument, the court dismissed the amended complaint without prejudice and ordered the parties to bear their own attorneys’ fees. The court signed the form of judgment filed by KRI. KRI then filed a notice of appeal, and the defendants filed motions to set aside the judgment and for reconsideration of the denial of their attorneys’ fees and costs.
¶ 6 The trial court subsequently set aside the judgment, again dismissed the amended complaint without prejudice, but awarded defendants their fees and costs, including fees for the dismissed appeal. After receiving the signed minute entry awarding Evans his fees and costs, KRI filed a notice of appeal. KRI filed an amended notice of appeal after the court signed a judgment in January 2011 which mirrored the minute entry, and again after the judgment awarding Aegis its fees and costs.
DISCUSSION
¶ 7 KRI makes three arguments on appeal. First, it argues that the court erred when it dismissed the amended complaint. Second, it argues that the court erred by awarding fees and costs to Evans because he was not a party to the subscription agreement and because the claims against Evans did not arise out of contract. Finally, KRI contends that the court lacked authority to award fees and costs incurred in handling the initial appeal.
A. Jurisdiction
¶ 8 As a threshold matter, “[w]e are obligated to examine our jurisdiction over an appeal____” Grand v. Nacchio, 214 Ariz. 9, 15, ¶ 12, 147 P.3d 763, 769 (App.2006) (citing Cordova v. City of Tucson, 15 Ariz.App. 469, 470, 489 P.2d 727, 728 (1971)). We may resolve only those appeals authorized by statute. Cordova, 15 Ariz.App. at 470, 489 P.2d at 728 (citing Ginn v. Superior Court (Molloy), 1 Ariz.App. 455, 404 P.2d 721 (1965)). KRI challenges the court’s dismissal of its amended complaint without prejudice, which is not a final, appealable order. McMurray v. Dream Catcher USA, Inc., 220 Ariz. 71, 74, ¶ 4, 202 P.3d 536, 539 (App.2009) (citing L.B. Nelson Corp. of Tucson v. W. Am. Fin. Corp., 150 Ariz. 211, 217, 722 P.2d 379, 385 (App.1986)); Grand, 214 Ariz. at 15, ¶ 12, 147 P.3d at 769 (citing R.L. Harris & Co. v. Houck, 22 Ariz. 340, 341, 197 P. 575, 575 (1921)); see also Ariz.Rev.Stat. (“A.R.S.”) section 12-2101 (West 2012) (identifying appealable judgments and orders). As a result, we cannot examine the merits of the dismissal on appeal.
¶ 9 Notwithstanding the statutory restriction, this court has previously held that it can review an award of attorneys’ fees entered after a dismissal of a complaint without prejudice. Callanan v. Sun Lakes Homeowners’ Ass’n No. 1, Inc., 134 Ariz. 332, 337, 656 P.2d 621, 626 (App.1982); see also Osuna v. Wal- Mart Stores, Inc., 214 Ariz. 286, 289, ¶ 10, 151 P.3d 1267, 1270 (App.2007) (acknowledging holding in Callanan). In Callanan, the trial court dismissed a stockholder’s derivative action without prejudice because the stockholder had failed to make a demand on the defendant corporation, or explain the futility of such an effort, as required by Arizona Rule of Civil Procedure 23.1. 134 Ariz. at 334, 656 P.2d at 623. The court then granted the defendant corporation its attorneys’ fees, but did not indicate whether the fees were ordered pursuant to A.R.S. § 10-049(B) or § 12-341.01. Id.
¶ 10 The stockholder did not challenge the dismissal, but did contest the award of attorneys’ fees; thus, the fee award was the only issue on appeal. Id. This court determined that, although “a subsequent suit [would] not be barred by the doctrine of res judicata,” id. at 335, 656 P.2d at 624 (quoting Elfenbein v. Gulf & W. Indus., Inc., 590 F.2d 445 (2d Cir.1978)), the dismissal was a final judgment for fee purposes because it terminated the action, and affirmed the fee award under § 10-049. Id. at 335-37, 656 P.2d at 624-26. Subsequently, in Osuna, and relying entirely on Callanan, we again stated that a voluntary dismissal without prejudice may be final with respect to attorneys’ fees. 214 Ariz. at 289, ¶ 10, 151 P.3d at 1270 (citing Callanan, 134 Ariz. at 337, 656 P.2d at 626). We now conclude that the holding in Callanan was wrong. Section 12-2101 provides no authority for this court to review an order awarding attorneys’ fees made in conjunction with a dismissal of a complaint without prejudice.
¶ 11 Although we cannot invoke our appellate jurisdiction to review an order awarding attorneys’ fees entered with a dismissal without prejudice, we can invoke our special action jurisdiction to review a challenge to such an order. See Villares v. Pineda, 217 Ariz. 623, 624, ¶ 10, 177 P.3d 1195, 1196 (App.2008) (quoting Ariz. R.P. Spec. Act. 1) (“Special action jurisdiction is appropriate where there is no ‘equally plain, speedy, and adequate remedy by appeal.’ ”). Here, and in the exercise of our discretion, we will treat KRI’s appeal as a petition for special action and exercise our special action jurisdiction, because KRI does not otherwise have a remedy by appeal and justifiably relied on Callanan and Osuna in filing its notice of appeal. See A.R.S. § 12-120.21(A)(4) (West 2012) (court may assume special action jurisdiction “without regard to its appellate jurisdiction”); Lloyd v. State Farm Mut. Auto. Ins. Co., 189 Ariz. 369, 375, 943 P.2d 729, 735 (App.1996) (citing Brown v. State, 117 Ariz. 476, 477, 573 P.2d 876, 877 (1978); State v. Perez, 172 Ariz. 290, 292, 836 P.2d 1000, 1002 (App.1992); and A.R.S. § 12-120.21(A)(4)).
B. Dismissal
¶ 12 KRI argues that the defendants are not entitled to any fees or costs because the trial court erred when it dismissed the amended complaint. The court determined that KRI’s cause of action was premature because Aegis was continuing to negotiate to purchase Aero Jet. KRI, however, argued that its claims were not contingent on the failure to consummate the sale. Instead, KRI maintained that its claims accrued when the defendants failed to reveal that the purchase agreement used to solicit the investment had been terminated. We agree.
¶ 13 Ordinarily, a cause of action accrues when “the plaintiff knows or should have known of both the what and who elements of causation.” Lawhon v. L.B.J. Institutional Supply, Inc., 159 Ariz. 179, 183, 765 P.2d 1003, 1007 (App.1988). The amended complaint alleges that the defendants engaged in fraud and negligent misrepresentation when they failed to disclose that the Aegis-Aero Jet purchase agreement had been terminated before KRI invested in Aegis. Although Evans was notified that Aero Jet had terminated the purchase agreement, neither Davis nor KRI were notified of that matei’ial fact before executing the subscription agreement. Thus, and despite the argument that Aegis and Aero Jet were still in discussions to consummate the purchase, KRI had alleged a viable cause of action. Consequently, the trial court erred when it dismissed the amended complaint for lack of ripeness. It follows that the court further erred by awarding fees and costs against KRI.
¶ 14 For the foregoing reasons, we accept jurisdiction and grant relief to KRI by vacating the award of fees and costs to Evans and Aegis. Assuming the issue is properly raised, the superior court may award fees and costs expended in this ease to the successful party in Kool Radiators, Inc. v. Evans, Maricopa County Cause No. CV 2011-005070 (filed March 14, 2011), which purportedly arises from the same circumstances as this lawsuit and asserts the same claim.
CONCLUSION
¶ 15 Based on the foregoing, we accept special action jurisdiction and grant relief.
CONCURRING: ANN A. SCOTT TIMMER, and ANDREW W. GOULD, Judges.
. Jane Doe Evans was served but never filed an appearance.
. We dismissed the KRI appeal because a dismissal without prejudice is not a final appealable order. Kool Radiators, Inc. v. Evans, 1 CA-CV 10-0407 (Ariz. Ct. App. Aug. 6, 2010).
. An exception, not applicable here, exists if a statute of limitations bars a refiling of the action, or if the dismissal otherwise determines the action. McMurray, 220 Ariz. at 74, ¶ 4, 202 P.3d at 539 (citations omitted).
. Section 10-049, a permissive statutory basis for awarding either party to a derivative action attorneys’ fees, was subsequently amended and renumbered as § 10-746. See 1994 Ariz. Sess. Laws, ch. 223, § 4 (2d Reg. Sess.).
. The court in Dream Catcher similarly did not offer a statutory basis but supported its decision to consider a fee award by noting that a defendant’s ability to recover attorneys’ fees should not be contingent on whether the plaintiff decides to refile or abandon the action. 220 Ariz. at 74, ¶ 5, 202 P.3d at 539 (citing Callanan, 134 Ariz. at 336-37, 656 P.2d at 625-26).
. "Ripeness is analogous to standing because the doctrine prevents a court from rendering a premature judgment or opinion on a situation that may never occur.” Town of Gilbert v. Maricopa County, 213 Ariz. 241, 244-45, ¶ 8, 141 P.3d 416, 419-20 (App.2006) (quoting Winkle v. City of Tucson, 190 Ariz. 413, 415, 949 P.2d 502, 504 (1997)) (internal quotation marks omitted).
|
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OPINION
THOMPSON, Presiding Judge.
¶ 1 Appellant Carlson Real Estate Company (Carlson) appeals summary judgment granted to Appellee Alliance TruTrus, L.L.C. (Aliance), which held that Aliance had ninety days from the date of service of the surety bond to file suit. We disagree and reverse and remand for entry of judgment in favor of Carlson.
FACTS AND PROCEDURAL HISTORY
¶ 2 Carlson had a commercial construction project and hired Macada Construction Group, Inc. (Macada), as its general contractor. Macada hired G.D. Anderson Building Company, L.L.C. (G.D. Anderson), which in turn hired Aliance to furnish materials for the project. G.D. Anderson established an open account with Aliance promising to pay all sums owed pursuant to the terms of the credit agreement. Aliance supplied trusses and other related materials for the project totaling $31,284.
¶ 3 Ater the invoices were not paid, Aliance recorded a “Notice and Claim of Mechanic’s, Materialsman’s or Professional Services Lien” (lien) on the real property on September 10, 2008. Carlson executed a “Discharge of Mechanic’s Lien” by posting a surety bond in the amount of $49,926 (discharge bond) on February 17, 2009. The discharge bond was served on Aliance three days later.
¶ 4 Aliance filed its lawsuit on May 1, 2009, against Carlson for payment on a lien-discharge bond, and for quantum meruit/un-just enrichment. The parties filed cross-motions for summary judgment on the lien-discharge bond. After argument, the trial court granted Aliance summary judgment finding it timely filed its lawsuit pursuant to Aizona Revised Statutes (AR.S.) section 33-1004 (2007). The court held that if a “claimant is served with the discharge bond less than ninety days before the expiration of the six-month period prescribed by A.R.S. § 33-998, the claimant has ninety days from the date of service of the discharge bond to commence suit against the surety and its principals.”
¶ 5 Carlson timely appealed. [R 82, 83] We have jurisdiction pursuant to Atiele 6, Section 9, of the Aizona Constitution and A.R.S. § 12-210RB) (2003).
DISCUSSION
¶ 6 The sole issue on appeal is the interpretation of AR.S. § 33-1004(D). Carlson argues that the trial court misinterpreted the statute and, as a result, Alianee’s lawsuit was untimely.
¶ 7 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.” Aiz. R. Civ. P. 56(c). We review whether the trial court properly applied the law de novo. Eller Media Co. v. City of Tucson, 198 Aiz. 127, 130, ¶ 4, 7 P.3d 136, 139 (App.2000). We also review questions of statutory inter pretation and construction de novo. City of Tucson v. Clear Channel Outdoor, Inc., 218 Ariz. 172, 178, ¶ 5, 181 P.3d 219, 225 (App.2008). When interpreting a statute, “[w]e look first to the plain language of the statute as the most reliable indicator of its meaning.” Nordstrom, Inc. v. Maricopa County, 207 Ariz. 553, 556, ¶ 10, 88 P.3d 1165, 1168 (App.2004) (quoting State v. Mitchell, 204 Ariz. 216, 218, ¶ 12, 62 P.3d 616, 618 (App.2003)). We read the statute as a whole and give meaningful operation to all of its provisions, ensuring an interpretation that does not render meaningless other parts of the statute. Welch-Doden v. Roberts, 202 Ariz. 201, 206, ¶ 22, 42 P.3d 1166, 1171 (App.2002).
¶ 8 After a lien is recorded, a lien claimant has six months to file suit. A.R.S. § 33-998(A) (2007). The lien-discharge statute, A.R.S. § 33-1004, allows property owners to discharge a lien against their property by securing a surety bond in an amount equal to one hundred fifty percent of the lien claim. Hanson Aggregates Ariz., Inc. v. Rissling Const. Group, Inc., 212 Ariz. 92, 94, ¶ 7, 127 P.3d 910, 912 (App.2006). The bond can be recorded “either before or after the commencement of an action to foreclose such lien.” A.R.S. § 33-1004(A). Once the bond is recorded, “the lien is discharged and the claimant must pursue the bond for the lien payment as opposed to foreclosing on the property subject to the lien.” Hanson Aggregates, 212 Ariz. at 94, ¶ 7, 127 P.3d at 912 (citations omitted).
¶ 9 Here, Alliance recorded its lien on September 10, 2008, but did not file suit until May 1, 2009; more than the statutorily allowed six months. Alliance argues, and the trial court agreed, that § 33-1004(D)(2) extended the limitations period. Section 33-1004(D) states:
The bond shall be discharged and the principal and sureties released upon any of the following:
1. The failure of the lien claimant to commence a suit within the time allowed pursuant to section 33-998.
2. Failure of the lien claimant to name the principal and sureties as parties to the action seeking foreclosure of the lien if a copy of the bond has been served upon claimant. If the bond is served upon the claimant within less than ninety days from the date claimant would be required to commence his action pursuant to section 33-998, the claimant shall have ninety days from the date he receives a copy of such bond to add the principal and the sureties as parties to the lien foreclosure suit.
¶ 10 The first sentence of subsection (D)(2) provides that the bond will be discharged and the principal and sureties released if the principal and sureties are not named in the lawsuit. The principal and sureties are released because the claimant must pursue the bond rather than foreclosing on the property subject to the lien once the bond is recorded. See Hanson Aggregates, 212 Ariz. at 94, ¶ 7, 127 P.3d at 912. The second sentence in § 33 — 1004(D)(2) gives a claimant “ninety days from the date of service of the bond to add the principal and the sureties as parties to the lien foreclosure suit ” if the bond is served within less than ninety days from the date claimant must file suit. (Emphasis added.) Black’s Law Dictionary defines “add” to mean “[t]o unite; attach; annex; join.” Black’s Law Dictionary 37 (6th ed. 1990). Webster’s Dictionary defines “add” as “[t]o unite or join so as to increase in size, quantity, or scope” or “[t]o combine.” Webster’s II New College Dictionary 13 (1995).
¶ 11 Alliance suggests that the word “add” should not be read literally, but instead subsection (D)(2) should be read in its fullest content to mean “the claimant ‘shall’ have ninety days to bring suit against the principal and sureties.” (Emphasis added.) To support its argument, Alliance relies heavily on Hanson Aggregates. In Hanson Aggregates, appellee failed to serve appellant with a copy of the bond after it was recorded. 212 Ariz. at 93, ¶ 3, 127 P.3d at 911. When appellant filed suit against the lien-discharge bond, appellee moved to dismiss arguing that the bond was discharged because appellant failed to commence its suit against the discharge bond within six months of recording the lien. Id. at 93-94, ¶ 4, 127 P.3d at 911—12. This court held that § 33-1004(F) allows a claimant on a bond additional time to commence an action if the claimant is not served with the bond as the statute requires. Id. at 94, ¶ 10, 127 P.3d at 912. The court reasoned that the filing of the bond discharges the lien whether the claimant is aware of the bond or not, and consequently, the bond principal would have little reason to serve the lien claimant absent a motivation to do so. Id. at 95, ¶ 13, 127 P.3d at 913. The court’s only mention of subsection (D)(2) occurred in its discussion on service compliance. It stated that “the statute also affords a claimant, once served with the bond, ninety days after being served with a discharge bond to bring a claim against the bond principals and sureties,” citing subsections (C) and (D)(2). Id. at ¶ 17. This language was dicta, and subsection (D)(2) was not at all central to the court’s analysis and discussion. Accordingly, we do not find it controlling for our purposes here.
¶ 12 The plain language of § 33-1004(D)(2) does not grant a claimant an additional ninety days to file its lawsuit, but allows an additional ninety days to amend any complaint to add the principal and sureties. We note the trial court’s concern that our holding would “foster [] mischief’ by encouraging property owners to “wait five months and twenty-nine days to record and then serve the discharge bond on the claimant.” However, if a claimant waits five months and twenty-nine days and then files suit, the statute gives the claimant ninety days from service of the bond in which to add the principal and sureties. The statute provides claimants who timely file a lawsuit the opportunity to amend the complaint after service of a surety bond. By means of the statutory language it has chosen, the Legislature has ensured that claimants who have timely commenced lien enforcement actions the opportunity to amend to allow suit on a surety bond. “[W]e are ‘not at liberty to rewrite statutes under the guise of judicial interpretation.’ ” New Sun Bus. Park, LLC v. Yuma County, 221 Ariz. 43, 47, ¶ 16, 209 P.3d 179, 183 (App.2009) (quoting State v. Patchin, 125 Ariz. 501, 502, 610 P.2d 1062, 1063 (App.1980)); Prince & Princess Enters., LLC v. State ex rel. Ariz. Dep’t of Health Servs., 221 Ariz. 5, 6, ¶ 5, 209 P.3d 141, 142 (App.2008) (there is usually no occasion for resorting to statutory interpretation when the language is clear and unambiguous).
¶ 13 Alliance did not timely file its action, and the lien and bond claim were already discharged as a matter of law before this action was filed. Therefore, we reverse the ruling and remand this matter to the court to enter judgment for Carlson.
¶ 14 Both parties request their reasonable attorneys’ fees and costs on appeal pursuant to A.R.S. §§ 33 — 998(B) and 1004(E). We have considered the appropriate factors, and, in the exercise of our discretion, we decline to award attorneys’ fees. As the prevailing party, Carlson is entitled to recover its costs on appeal pursuant to AR.S. § 12-341 upon compliance with Arizona Rule of Civil Appellate Procedure 21.
CONCLUSION
¶ 15 Based on the foregoing, the judgment is reversed and the matter is remanded so the trial court can enter judgment for Carlson.
CONCURRING: MAURICE PORTLEY and JOHN C. GEMMILL, Judges.
. We view the facts in the light most favorable to Carlson, the party against whom judgment was entered. Prince v. City of Apache Junction, 185 Ariz. 43, 45, 912 P.2d 47, 49 (App.1996).
. The parties stipulated to the dismissal of the quantum meruit/unjust enrichment claim with prejudice.
. Section 33-1004(F) provides:
In the event a copy of the bond is not served upon the claimant as provided in subsection C of this section, the claimant shall have six months after the discovery of such bond to commence an action thereon, except that no action may be commenced on such bond after two years from the date it was recorded as provided in this section.
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OPINION
SWANN, Judge.
¶ 1 This ease requires us to determine whether a municipal land use ordinance is exempt as a matter of law from the strictures of the Private Property Rights Protection Act, A.R.S. §§ 12-1131 through 12-1138 (the “Act”), whenever the law’s stated purpose is to promote public health and safety. We hold that a mere declaration of purpose is insufficient to invoke the exemption, and that a government entity seeking to avoid paying compensation must present evidence that its principal purpose in passing a land use law is one that qualifies for exemption under the Act. We further hold that when a land use law enacted after the effective date of the Act expands the reach of a preexisting restriction, the new law is subject to the Act. In such an instance, the Act applies to those portions of the law that represent more severe restrictions than those in existence as of December 7,2006.
FACTS AND PROCEDURAL HISTORY
¶ 2 The Sedona Land Development Code has prohibited short-term rentals of residential property since 1995 (the “1995 SLDC”). Sedona Grand, LLC (-“Appellant”) owns residential property located at 20 Jasper Court in the City of Sedona. The Property, also named “Sedona Grand,” is one of five properties listed as vacation rentals by Red Rock Solutions, LLC. In January 2007, Appellant notified the City that it was using an “Option Agreement” as a “sales tool” to facilitate the sale of its properties “due to the restrictive nature of the City’s zoning regulations.” The “Option to Purchase Real Property” (the “Option”) grants the “Buyer the exclusive right to inspect the property” for a set period of time. The City responded in February 2007, asserting that use of the Option violated the City’s longstanding ban on short-term rentals.
¶ 3 On January 22, 2008, expressing a commitment to maintaining the “small-town character, scenic beauty and natural resources” of the City, the Sedona City Council enacted the “City of Sedona Short-Term Vacation Rental Enforcement Ordinance” (the “Ordinance”), codified at §§ 8-4-1 to 8-4-6 of the Sedona City Code. With a stated intent to promote the aims and goals of the 1995 SLDC ban on short-term rentals in residential districts, the Ordinance makes “rentals” of residential property for less than 30 consecutive days to a “transient” a class one misdemeanor punishable by a fine up to $2500, imprisonment, or both. Sedona, Ariz., Code §§ 8-4-4 to 8-4-6.
¶4 On February 25, 2008, Sedona Grand served a Notice of Claim pursuant to the Act, asserting that the Ordinance caused it to “suffer[] losses and [it] will continue to suffer losses as a result of the reduction of its previously existing rights to use, lease and sell” the Property. Appellant’s complaint, filed May 27, 2008, set forth two counts: Interference with Contractual Relations and Condemnation under the Act.
¶ 5 Sedona Grand moved for partial summary judgment or declaratory judgment on three issues: (1) that its existing rights to use and sell the Property were reduced by the Ordinance; (2) that the Ordinance is a land use law; and (3) that it satisfied the requirements of § 12-1134(E) and was therefore entitled to compensation'from the City. The City responded and cross-moved for summary judgment, asserting that the Act did not apply because the Ordinance is aimed at the protection of the public’s health and safety and is therefore exempt from the Act under § 12 — 1134(B)(1). The City further argued that the Act could not benefit Sedona Grand because its Options were truly “rentals” prohibited by the SLDC long before the Ordinance was enacted. Because the SLDC already prohibited the Options, the City argued, the Ordinance did not diminish any right that Sedona Grand had not already lost before the effective date of the Act.
¶ 6 The trial court ruled that the Ordinance is a land use law as defined in § 12-1136, but declined to reach the question whether Appellant’s use of the Option had been prohibited by preexisting law because (1) it found that the § 12-1134(B)(1) exemption applied, and (2) it concluded “it appears that [the] issue is highly disputed and likely could not be resolved by way of summary judgment.”
¶ 7 Appellant moved for reconsideration and new trial, which the trial court denied. This appeal and cross-appeal timely followed. We have jurisdiction under A.R.S. § 12-2101(A)(1).
STANDARD OF REVIEW
¶ 8 Summary judgment should be granted “if the facts produced in support of the claim or defense have so little probative value, given the quantum of evidence required, that reasonable people could not agree with the conclusion advanced by the proponent of the claim or defense.” Orme Sch. v. Reeves, 166 Ariz. 301, 309, 802 P.2d 1000, 1008 (1990). Because the issue of statutory interpretation is one of law and not of fact, we review the application and interpretation of statutes and ordinances de novo. In re MH 2007-001236, 220 Ariz. 160, 165, ¶ 15, 204 P.3d 418, 423 (App.2008) (citations omitted).
DISCUSSION
¶ 9 In 2006, Arizona voters passed initiative measure Proposition 207, the Private Property Rights Protection Act. Codified at A.R.S. §§ 12-1131 to 12-1138, the Act requires, among other things, just compensation for diminution in value when “any land use law” enacted after its effective date (and after an owner received an interest in the property) reduces “the existing rights to use, divide, sell or possess private real property.” A.R.S. § 12-1134(A).
¶ 10 Sedona Grand argues on appeal that the trial court erred in granting summary judgment to the City because it failed to hold the City to its burden of proof when it applied the public health and safety exemption under § 12-1134(B)(1).I. In support of its cross-appeal, the City argues that the trial court erred in finding that the Ordinance is a land use law enacted after the Act’s effective date.
I. THE ORDINANCE IS A LAND USE LAW AS DEFINED BY THE ACT.
¶ 11 The best and most reliable indicator of the legislature’s intent is the statute’s own words. See Zamora v. Reinstein, 185 Aiz. 272, 275, 915 P.2d 1227, 1230 (1996). When interpreting a statute, we afford the words their “usual and commonly understood meaning unless the legislature clearly intended a different meaning.” State v. Korzep, 165 Ariz. 490, 493, 799 P.2d 831, 834 (1990). We apply the same principles to the interpretation of a voter-approved initiative.
¶ 12 Under A.R.S. § 12-1136(3), a land use law is “any statute, rule, ordinance, resolution or law enacted by this state or a political subdivision of this state that regulates the use or division of land or any interest in land or that regulates accepted farming or forestry practices.” Only laws or ordinances passed after the effective date of the Act are subject to the just compensation requirement. A.R.S. § 12-1134(B)(7).
A. The Ordinance Marks a Material Change from the SLDC and Therefore Affects Existing Rights to Use, Divide, Sell or Possess Private Real Property.
¶ 13 The Ordinance was enacted after the effective date of the Act. Entitled “Enforcement of Restrictions on Residential Short-Term Vacation Rentals,” the Ordinance provides for criminal enforcement of transactions prohibited by the 1995 SLDC. By its plain terms, the Ordinance regulates transactions involving the possession of real property, and is therefore a land use law within the meaning of A.R.S § 12-1136(3). The City argues that even if the Ordinance is a land use law, it is still not subject to the Act because it merely proscribes the same conduct as the 1995 SLDC. We disagree.
¶ 14 The plain language of the Ordinance reveals that the City did not merely reaffirm the existing ban by adding an enforcement mechanism. The Ordinance sets forth twelve expansive definitions, at least four of which differ from the plain meaning of the SLDC. Under the Ordinance, a “rental” occurs when a “transient” and an “operator” exchange “rent” for the right to possess or occupy a “short-term vacation unit.” § 8-4-3. The Ordinance defines a “transient” as:
Any person who at his own expense or at the expense of another, exercises occupancy or possession or is entitled to occupancy or possession by reason of any rental agreement, concession, permit, right of access, option to purchase, license, time-sharing arrangement, or any other type of agreement for a period of less than 30 consecutive calendar days, counting portions of calendar days as full days.
Id. And “rent” is expansively defined as “consideration or remuneration charged whether or not received, for the occupancy of space in a short-term vacation rental, valued in money, whether to be received in money, goods, labor or otherwise, including all receipts, cash, credits, property or services of any kind,” which “may include consideration or remuneration received pursuant to an option to purchase whereby a person is given a right to possess the property for a term of less than 30 consecutive days.” Id. A “short-term vacation unit” includes “any structure or any portion of any structure that is rented to a transient for less than 30 consecutive days.” Id.
¶ 15 The 1995 SLDC ban states in toto: “Rentals of single-family dwellings for periods of less than 30 consecutive days [are] prohibited.” Sedona, Ariz., Land Dev. Code § 603.02.
¶ 16 The terms “rent,” “transient” and “rental,” as now defined in the Ordinance, encompass more than the “usual and commonly understood” meaning of the words used in the 1995 SLDC. Under these expansive definitions, numerous arrangements that would not commonly have been understood to be “rentals” now violate the Ordinance and subject property owners to criminal penalties. Indeed, even a time-share arrangement under which part-owners are entitled to occupancy for less than 30 days would violate the Ordinance. The plain language of the Ordinance indicates that when a “transient” agrees with an owner or renter to come to the home to provide a service “of any kind” (for example, nanny services, in-home nursing, babysitting, pet-sitting, house-sitting, assistance with home improvements), that service agreement now constitutes “rent,” and if the owner permits occupancy of “any portion” for less than 31 days, he may be in violation of the Ordinance.
¶ 17 Conduct not commonly understood to be a “rental” and consideration or remuneration not commonly understood to be “rent” is now prohibited by the Ordinance. Because at least some' of the above types of conduct would not fall within the usual and common understanding of the SLDC’s sparsely worded ban on short-term rentals, we must conclude that the Ordinance contains new restrictions on land use. To the extent those restrictions exceed the scope of the 1995 SLDC, we hold that they are subject to evaluation under the Act.
¶ 18 Sedona Grand’s principal complaint is that the Ordinance’s clear prohibition of the use of the Options represents a new and material diminution of its rights to use its property. The trial court correctly recognized that it could not determine on the record before it whether the Options would have violated the 1995 ban on short-term rentals. On remand, the court should permit the parties to develop a record upon which it can determine whether Sedona Grand is eligible for compensation for the loss of the use of the Options or the availability of the other arrangements that were not prohibited before the Ordinance.
II. TO CLAIM THE EXEMPTION FROM A.R.S. § 12-im(A), THE CITY MUST DEMONSTRATE THAT THE PRINCIPAL PURPOSE OF THE ORDINANCE IS PROTECTION OF THE PUBLICS HEALTH AND SAFETY.
¶ 19 Land use laws are exempt from the Act when they are enacted for “the protection of the public’s health and safety.” A.R.S. § 12-1134(B)(1). The trial court ultimately granted summary judgment to the City because the Ordinance itself proclaimed that it was enacted for that purpose. We conclude that this was error.
¶ 20 Proposition 207 contains a clear statement of intent. The Proposition declared:
[T]he state and municipal governments of Arizona consistently encroach on the rights of private citizens to own and use their property, requiring the people of this State to seek redress in our state and federal courts which have not always adequately protected private property rights as demanded by the State and Federal Constitutions.
Proposition 207, Findings and Declarations, § 2(A)(4) (2006).
¶ 21 To that end, the Act specifically provides that the body enacting the law bears the burden of demonstrating that an exemption applies in the ease of land use laws. A.R.S. § 12-1134(C). And in the context of eminent domain, the Act instructs that “the question whether the contemplated use be really public shall be a judicial question, and determined as such without regard to any legislative assertion that the use is public.” A.R.S. § 12-1132(A) (emphasis added). We recognize that this is not an eminent domain case, and therefore do not hold that the legislative declaration of purpose is entirely irrelevant here. But a reading of the Act in its entirety leads us inescapably to the conclusion that such declarations were not to be considered dispositive in the face of a dispute concerning the true purpose of a land use law.
¶ 22 Instead, we hold that the state or political subdivision must establish by a preponderance of the evidence that the law was enacted for the principal purpose of protecting the public’s health and safety before the exemption can apply.
¶ 23 The Ordinance contains the following statement of purpose:
The City of Sedona is committed to maintaining its small-town character, scenic beauty and natural resources that are the foundation of its economic strength and quality of life____ The rental of private homes for temporary occupancy has been identified as a community concern due to the potential for increased traffic, noise, high occupant turnover, and density in single-family residential neighborhoods. The number of occupants occupying such temporary rentals has the potential to exceed standards for the design capacity of such structures and to cause health and safety problems, and as such may constitute threats to the health and safety of neighbors and nearby properties. The purpose of this Shorh-Term Vacation Rental Enforcement Article is to safeguard the peace, safety and general welfare of the residents of Sedona and their visitors and guests by eliminating noise, vandalism, overcrowding, neighborhood uncertainty, high occupant turnover, diminution of neighborhood character, and other secondary effects that have become associated with the illegal short-term rental of single-family dwellings. These regulations are necessary to protect the integrity and small-town character of the city’s residential neighborhoods.
Sedona, Ariz., Code § 8-4-2 (citation omitted).
¶ 24 Citing State v. Watson, 198 Ariz. 48, 6 P.3d 752 (App.2000), and Smith v. Beesley, 226 Ariz. 313, 247 P.3d 548 (App.2011), the City argues that this language is sufficient to satisfy its burden of demonstrating that the Ordinance limits owners’ rights for the protection of the public’s health or safety. This reliance is misplaced.
¶ 25 The Watson ordinance prohibited accumulations of garbage, debris and visual blight “if the result is a health or safety hazard.” 198 Ariz. at 50, ¶ 2, 6 P.3d at 754. There, we held that the ordinance plainly evinced its health and safety goals in that it focused on accumulations of garbage or debris “in which, ‘insects, rodents, snakes or other harmful pests may live, breed or multiply or which may otherwise create a fire hazard.’ ” Id. at 53, ¶ 14, 6 P.3d at 757. The public health and safety purpose was self-evident — insects, rodents, snakes and fire threaten human health and safety. No further evidentiary showing was necessary there because the harms to be avoided fell squarely within the core meaning of public health.
¶ 26 The Beesley court looked to the purpose statement of a floodplain ordinance in relation to a statewide statute. 226 Ariz. at 323, ¶35, 247 P.3d at 558. The Beesley ordinance was distinguishable from the Ordinance here in that the floodplain ordinance at issue had a eommonsense, self-evident nexus. The logical steps from uncontrolled flood waters or improperly blocked waterways to death and destruction of property, and from stagnant waters to disease and ill-health, are easily made without an additional evidentiary showing. In other words, the protective purpose is clearly evinced by the effect of the ordinance alone. Here, the nexus between prohibition of short-term occupancy and public health is not self-evident, and the governing body must do more than meant the language of a statutory exception to demonstrate that it is grounded in actual fact. Indeed, the Ordinance’s own text suggests that its purpose is to protect the character of neighborhoods. This may be a desirable goal to policy makers, but neighborhood character and public health are entirely distinct concepts. To invoke the exception, the City must provide evidence beyond mere “legislative assertion” to carry the burden that the Act assigns to it.
CONCLUSION
¶ 27 For the reasons set forth above, we affirm the trial court’s determination that the Ordinance is a land use law subject to the Act. We reverse its holding that the public health and safety exception applies as a matter of law and remand for proceedings consistent with this decision, including an evi-dentiary proceeding concerning the primary purpose of the Ordinance and the lawfulness of the Options under the SLDC.
CONCURRING: MARGARET H. DOWNIE, Presiding Judge, and DONN KESSLER, Judge.
. We view the evidence in the light most favorable to the party against whom summary judgment was entered and resolve all inferences from the evidence in that party’s favor. Prince v. City of Apache Junction, 185 Ariz. 43, 45, 912 P.2d 47, 49 (App.1996).
. The 11 Options Appellant sold between May and November 2007 all granted exclusive possession and “inspection rights” to the buyers for less than 30 days. At this stage, there is no evidence in the record to indicate that the Options were sham attempts to rename transactions that were in substance "rentals” under the SLDC, though we acknowledge the possibility.
. The entire text of the SLDC ban reads, "[Cent-als of dwelling units for periods of less than 30 consecutive days is prohibited,” and is repeated for each zoned residential district in the City. Sedona, Ariz., Land Dev. Code §§ 600-617. The Sedona Grand is regulated under § 603.02(A)(1).
. The superior court granted the City’s motion for partial summary judgment as to this count following the March 16, 2010 oral argument and Appellant does not challenge that ruling on appeal.
. The City argues that Appellant waived the issue of the City’s exemption from § 12-1134(A) by failing to raise the "burden of demonstration” argument below. We disagree. Appellant’s response and reply to the cross-motion for summary judgment adequately placed the issue before the trial court. We also note that the City includes as support for this argument an impermissible citation to an unpublished decision.
. The City casts its argument as one under the statute of limitations, reasoning that any claims attacking the 1995 SLDC would be barred. We agree that the Act would provide no relief for any loss in value flowing from prohibition of the Options if they are ultimately determined to have violated the SLDC — a question this record does not permit us to reach. Our reasoning is based on the clear terms and effective date of the Act, and the statute of limitations is not necessary to the analysis.
. The text of Proposition 207 can be found at: http://www.azsos.gov/election/2006/info/ pubpamphlet/english/Prop207.htm.
. The Act provides examples of the types of laws that might further public health and safety: "rules and regulations relating to fire and building codes, health and sanitation, transportation or traffic control, solid or hazardous waste, and pollution control.” A.R.S. § 12-1134(B)(1). The intended effect of the Ordinance does not appear on its face to be principally geared to any of these issues, though an evidentiary presentation may further illuminate its true purpose.
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OPINION
ESPINOSA, Judge.
¶ 1 In this eminent-domain/eondemnation action, defendant/appellant La Paloma Property Owners Association, Inc. (LPPOA) appeals from the trial court’s signed “Partial Judgment” dated August 29, 2011. Because we lack jurisdiction, we dismiss the appeal.
Factual Background and Procedural History
¶ 2 Plaintiff/appellee Catalina Foothills Unified School District No. 16 owns property, known as Block 24, which neighbors La Paloma, a subdivision in the Tucson area. Block 24 is bounded on its southeast side by Campo Abierto, a private drive owned by LPPOA that provides access to La Paloma. In 2007, the district filed a complaint seeking to condemn an easement over a portion of Campo Abierto in order to provide access to an early childhood learning center that was at that time being constructed on Block 24. The trial court dismissed the complaint, however, finding that the district did not have authority to condemn an easement “for a private roadway over private land,” but also granting the district leave to amend its complaint to condemn the property in fee simple. The district amended its complaint to seek condemnation in fee, “subject to a perpetual easement in favor of Defendant La Paloma POA and any other property owners with rights under the plat or other recorded documents for ingress, egress, utilities and such other purposes for which the Disputed Property is currently used.” In March 2008, the trial court granted the district immediate possession of the subject property but did not foreclose continued use of the property for accessing La Paloma.
¶ 3 LPPOA subsequently petitioned this court for special-action relief, but we declined to exercise jurisdiction. Litigation continued in the trial court, and in May 2011 the district moved in limine to preclude testimony by LPPOA’s expert witness about severance damages that LPPOA would suffer as a result of the district’s proposed taking. The trial court heard argument on the motion, made certain legal findings, and took the motion under advisement.
¶ 4 In August 2011, the trial court granted the district’s motion in limine, reasoning, “Because [the expert] was told to assume [the district] lacked authority to give [LPPOA] an easement and just compensation cannot be reduced by a non-monetary asset such as a conveyance of a deed of easement, he did not rely on the proposed form of easement in reaching his opinion of value.” The court concluded that “[a]n expert opinion based on incorrect legal assumptions will not assist the trier of fact to understand the evidence or determine a fact at issue as required by Ariz. R. Evid. 702,” and consequently excluded the expert’s testimony.
¶ 5 LPPOA then lodged a proposed partial judgment, which the trial court signed. The partial judgment contained a certification that “there is no just reason for delay and the entry of this Judgment is hereby expressly directed pursuant to Ariz. R. Civ. P. 54(b).” It purported to “resolve[] claims that involve issues of constitutional and statutory construction that are properly determined prior to further proceedings or a trial,” but it did not identify those claims or the court’s resolution of them. Instead, the partial judgment incorporated by reference legal and factual determinations from the court’s 2008 order of immediate possession, its 2011 minute entry from the hearing on the motion in limine, and its under-advisement ruling on the same motion. LPPOA filed a timely notice of appeal.
Appellate Jurisdiction
¶ 6 Although neither party initially addressed the issue, we have an independent duty to determine whether we have jurisdiction over an appeal. Sorensen v. Farmers Ins. Co. of Ariz., 191 Ariz. 464, 465, 957 P.2d 1007, 1008 (App.1997). After finding a possible jurisdictional defect, we ordered the parties to submit additional briefing on the issue. In its supplemental memorandum, LPPOA argues we have jurisdiction pursuant to A.R.S. § 12 — 2101(A)(1) and Rule 54(b), or, in the alternative, pursuant to A.R.S. § 12-2101(A)(6) and Bilke v. State, 206 Ariz. 462, 80 P.3d 269 (2003). We examine these potential bases of jurisdiction in turn.
A.R.S. § 12-210KAX1) and Rule 54(b)
¶ 7 Subject to limited exceptions not relevant here, this court has jurisdiction to consider an appeal “[f]rom a final judgment entered in an action or special proceeding commenced in a superior court.” § 12-2101(A)(1). “The general rule is that an appeal lies only from a final judgment,” Davis v. Cessna Aircraft Corp., 168 Ariz. 301, 304, 812 P.2d 1119, 1122 (App.1991), that “ ‘dispose[s] of all claims and all parties,’ ” Santa Maria v. Najera, 222 Ariz. 306, ¶ 5, 214 P.3d 394, 395 (App.2009), quoting Musa v. Adrian, 130 Ariz. 311, 312, 636 P.2d 89, 90 (1981). The requirement that a judgment be final before an appeal may lie arises from a public policy preference that cases not be decided “in a piecemeal fashion.” Davis, 168 Ariz. at 304, 812 P.2d at 1122; Robinson v. Kay, 225 Ariz. 191, ¶ 4, 236 P.3d 418, 419 (App.2010).
¶8 By virtue of Rule 54(b), however, a party may appeal from a ruling that disposes of fewer than all parties or claims “upon an express determination [by the trial court] that there is no just reason for delay and upon an express direction for the entry of judgment.” But in order for the court to direct entry of a final judgment under Rule 54(b), its ruling must actually dispose of “one or more, but not all, of the multiple claims.” Davis, 168 Ariz. at 304, 812 P.2d at 1122. In other words, the court's order must result in “‘an ultimate disposition of an individual claim.’ ” Id, quoting Sears, Roebuck & Co. v. Mackey, 351 U.S. 427, 436, 76 S.Ct. 895, 100 L.Ed. 1297 (1956).
¶ 9 We review a trial court’s Rule 54(b) determination de novo. Davis, 168 Ariz. at 304, 812 P.2d at 1122. “Rule 54(b) certification does not give this court jurisdiction to decide an appeal if the judgment in fact is not final, i.e., did not dispose of at least one separate claim of a multi-claim action.” Id.; see Sisemore v. Farmers Ins. Co. of Ariz., 161 Ariz. 564, 565, 779 P.2d 1303, 1304 (App.1989) (“The insertion of Rule 54(b) language only acts to make an order or judgment final and immediately appealable if the judgment completely disposes of an entire claim.”). Accordingly, although the order appealed from is styled as a “Partial Judgment” and contains a Rule 54(b) certification, we must still examine it in detail to determine whether it actually disposes of any claim.
¶ 10 The language of the partial judgment itself does not purport to dispose of any claim; that is, it does not itself grant relief to either party in any form. Instead, it incorporates by reference three of the court’s prior orders or minute entries relevant to this appeal, and provides,
IT IS, THEREFORE, ORDERED, ADJUDGED AND DECREED as follows:
The legal and factual determinations made ... in numbered Paragraphs 1 through 7 and Paragraphs 9 through 12 of the Minute Entry dated March 19, 2007, [sic] are incorporated in this Judgment, constitute the law of the ease, and are binding on the parties as a matter of law.
The legal and factual determinations of this Court set forth in the Minute Entry Orders of July 19, 2011, and August 17, 2011, are binding on the parties as a matter of law.
We therefore look to these prior orders to determine if any of them is independently final and appealable.
¶ 11 The March 19, 2008, minute entry grants the district’s request for an order of immediate possession of the disputed property. Both this court and our supreme court have held that an order of immediate possession is not directly appealable because it is not a final judgment. Rogers v. Salt River Project Agric. Improvement & Power Dist., 110 Ariz. 279, 517 P.2d 1275 (1974); Cordova v. City of Tucson, 15 Ariz.App. 469, 470-71, 489 P.2d 727, 728-29 (1971); see also Bailey v. Myers, 206 Ariz. 224, ¶ 8, 76 P.3d 898, 900 (App.2003) (special action provides only relief from order of immediate possession). This rule is further supported by AR.S. § 12-1116(0), which anticipates that additional proceedings will be held after entry of an order of immediate possession and before entry of a final judgment. The order of immediate possession therefore is not a final judgment. And, because “[a] trial court’s Rule 54(b) certification does not give this court jurisdiction to decide an appeal if the judgment in fact is not final,” we lack jurisdiction to review the order of immediate possession or the findings it contains, notwithstanding the trial court’s inclusion of Rule 54(b) language in the partial judgment. Davis, 168 Ariz. at 304-05 & 305, 812 P.2d at 1122-23 & 1123; see also Musa, 130 Ariz. at 313, 636 P.2d at 91 (summary judgment ruling disposing of legal theories but no claims not final and appealable, notwithstanding trial court’s Rule 54(b) certification).
¶ 12 In its July 2011 minute entry, the trial court took the district’s motion in limine under advisement but made two findings that LPPOA challenges in this appeal. First, the court concluded that the district “could acquire the property at issue in fee simple and then grant an easement to [LPPOA], and that such a transaction is not a substitution for the monetary compensation required by Article 2 § 17 of the Arizona Constitution, but rather is a cost to cure the severance damages caused by the taking.” The court additionally found that “the transfer of an easement from the [district] to [LPPOA] for purposes of ingress and egress by the homeowners does not violate A.R.S. [§ ] 15-342[ (10) ].” These findings do not dispose of any claim. See Musa, 130 Ariz. at 313, 636 P.2d at 91. Indeed, the July 2011 minute entry does not even reflect a ruling on any pending motion. Consequently, the minute entry is not a final judgment from which an appeal may lie.
¶ 13 Finally, the August 20Í1 under-advisement ruling granted the district’s motion in limine, which sought to preclude LPPOA’s expert witness from testifying about severance damages because his opinion was “based entirely on the assumption that the District may not convey to LPPOA an easement to continue to use the property to be condemned.” The court reaffirmed its preliminary findings from the July 2011 minute entry and determined,
Because [the expert] was told to assume [the district] lacked authority to give [LPPOA] an easement and just compensation cannot be reduced by a non-monetary asset such as a conveyance of a deed of easement, he did not rely on the proposed form of easement in reaching his opinion of value nor did he prepare an alternative analysis should the legal assumptions prove incorrect.
The court concluded, “An expert opinion based on incorrect legal assumptions will not assist the trier of fact to understand the evidence or determine a fact at issue as required by Ariz. R. Evid. 702,” and consequently precluded the expert’s testimony. The court, however, granted LPPOA leave to obtain a revised valuation in light of its ruling. Thus, although the court’s ruling on the district’s motion limited the evidence LPPOA would be able to present at trial, that ruling did not dispose of any claim and thus cannot be considered a final judgment. See Englert v. Carondelet Health Network, 199 Ariz. 21, ¶ 24, 13 P.3d 763, 771 (App.2000) (characterizing motion in limine ruling as pretrial, interlocutory order).
¶ 14 Neither the judgment nor any of the incorporated orders constitutes a final judgment in the case. Accordingly, Rule 54(b) certification was unwarranted, and we lack jurisdiction to consider this appeal pursuant to § 12-2101(A)(1).
A.R.S. § 12-2101(A)(6) and Bilke v. State
¶ 15 Both parties argue, in the alternative, that we have jurisdiction pursuant to § 12-2101(A)(6), which allows appeals from certain non-final judgments: “An appeal may be taken to the court of appeals from the superior court ... [f]rom an interlocutory judgment that determines the rights of the parties and directs an accounting or other proceeding to determine the amount of the recovery.” Relying on Bilke, 206 Ariz. 462, 80 P.3d 269, LPPOA claims we have jurisdiction because the partial judgment entered in this case “effectively resolves all issues except the amount of damages.”
¶ 16 In Bilke, our supreme court considered the previous vei’sion of this provision, then found at § 12-2101(G), see 1973 Ariz. Sess. Laws ch. 75, § 10, and held that “interlocutory judgments can be appealed under § 12-2101(G) when the trial judge has signed an order that contains language indicating that the judgment is a final determination of the rights of the parties and the only remaining issue is the amount of recovery.” 206 Ariz. 462, ¶ 1, 80 P.3d at 270. The court explained that “appealability under § 12-2101(G) turns not on the finality of the judgment, but on the finality of the liability decision and the trial court’s discretionary finding that an appeal should lie in the particular case” and suggested that “Rule 54(b) certification, while not necessary, would satisfy the finality requirement.” Id. ¶ 23.
¶ 17 The district agrees that § 12-2101(A)(6) confers jurisdiction and argues that Bilke has implicitly abrogated this court’s decision in Cordova, 15 Ariz.App. 469, 489 P.2d 727 (1971), which held that orders of immediate possession are not appealable under former § 12-2101(G). But neither party cites or acknowledges Rogers v. Salt River Project Agricultural Improvement & Power District, in which our supreme court followed Cordova and held that an order of immediate possession is not appealable because appellate courts lack “legislative authorization for allowing such an appeal prior to the final judgment.” 110 Ariz. at 280, 517 P.2d at 1276.
¶ 18 Although Bilke is the more recent case, we conclude that Rogers controls. The Bilke court presumably was aware of its holding in Rogers and could have overruled it, but it did not do so. See City of Phoenix v. Leroy’s Liquors, Inc., 177 Ariz. 375, 378, 868 P.2d 958, 961 (App.1993) (“Whether prior decisions of the Arizona Supreme Court are to be disaffirmed is a question for that court.”). And Rogers, which specifically holds that orders of immediate possession are not appealable under the predecessor to § 12-2101(A)(6), is squarely on point with the present case, whereas Bilke involved an appeal from a summary judgment ruling, did not involve an order of immediate possession, and articulated a more general rale. Compare Rogers, 110 Ariz. at 280, 517 P.2d at 1276, with Bilke, 206 Ariz. 462, ¶¶ 1, 4, 80 P.3d at 270; cf. Clouse ex rel. Clouse v. State, 199 Ariz. 196, ¶ 11, 16 P.3d 757, 760 (2001) (established axiom that where both general and specific constitutional provisions relate to same subject, specific provision controls). Thus, although Bilke may have application beyond its specific facts, we find controlling the express holding in Rogers that an order of immediate possession “ ‘does not qualify as an appealable interlocutory judgment’ ” under § 12-2101(A)(6). Rogers, 110 Ariz. at 280, 517 P.2d at 1276, quoting Cordova, 15 Ariz.App. at 471, 489 P.2d at 729 (internal quotations omitted). Nor do we have jurisdiction over the July and August 2011 orders under § 12-2101(A)(6) because neither is a final determination of the rights of the parties that leaves only the issue of recovery to be determined. See Bilke, 206 Ariz. 462, ¶ 1, 80 P.3d at 270. Accordingly, we conclude that we also lack jurisdiction over the partial judgment as an interlocutory judgment pursuant to § 12-2101(A)(6).
¶ 19 LPPOA requests that in the event we find we lack jurisdiction, we remand this matter to the trial court “for the limited purpose of supplementing the record or the Trial Court’s findings to correct any technical deficiency.” However, for the reasons discussed above, we conclude the deficiency in the judgment is more than merely technical and the jurisdictional defect cannot be cured by the limited remand LPPOA proposes.
Special-Action Jurisdiction
¶ 20 In certain eases where we lack appellate jurisdiction, we have nevertheless elected to assume special-action jurisdiction over a matter brought as a direct appeal. See, e.g., Grand v. Nacchio, 214 Ariz. 9, ¶ 25, 147 P.3d 763, 772 (App.2006); Danielson v. Evans, 201 Ariz. 401, ¶ 35, 36 P.3d 749, 759 (App.2001); Lloyd v. State Farm Mut. Auto. Ins. Co., 189 Ariz. 369, 374-75, 943 P.2d 729, 734-35 (App.1996). In special actions, we decide whether to exercise jurisdiction after considering various well-established factors, including whether there exists an “equally plain, speedy, and adequate remedy by appeal,” see W. Pinal Family Health Ctr., Inc. v. McBryde, 162 Ariz. 546, 547, 785 P.2d 66, 67 (App.1989), and whether the case “presents a purely legal question on an issue of statewide importance,” Ariz. Dep’t of Econ. Sec. v. Superior Court, 186 Ariz. 405, 407, 923 P.2d 871, 873 (App.1996). Both parties request that we accept special-action jurisdiction in the event we find we lack appellate jurisdiction, but neither party explains how this case satisfies the criteria described above apart from a generalized argument by the district that special-action review would promote judicial economy. See Ariz. R. P. Spec. Actions 7(e) (special-action petition shall include jurisdictional statement). And our own review does not demonstrate that this ease merits the exercise of our extraordinary jurisdiction. See Nataros v. Superior Court, 113 Ariz. 498, 499, 557 P.2d 1055, 1056 (1976) (“A special action requests extraordinary relief which is usually granted only where justice cannot be satisfactorily obtained by other means.”).
¶ 21 First, we have already declined to exercise jurisdiction over a previous petition for special action, filed in 2008, from the same order of immediate possession at issue here, which petition raised many of the same issues as are now presented. Even assuming, without deciding, that a subsequent peti tion for special action challenging the same ruling as a previous petition would not be categorically barred, the amount of time that has passed since the order was entered — four years in this ease — weighs heavily against our exercising extraordinary jurisdiction to review it now. See Anserv Ins. Servs., Inc. v. Albrecht, 192 Ariz. 48, ¶¶ 10-11, 960 P.2d 1159, 1161 (1998) (finding petition meritorious but denying relief because of petitioner’s extensive delay in filing special action); State ex rel. Neely v. Rodriguez, 165 Ariz. 74, 77, 796 P.2d 876, 879 (1990) (“One of the equitable considerations involved in accepting special action jurisdiction is a petitioner’s showing of a need for speedy relief____”).
¶ 22 And, although we occasionally accept special-action jurisdiction to review rulings on motions in limine, see, e.g., Ariz. Dep’t of Econ. Sec., 186 Ariz. 405, 923 P.2d 871, we decline to exercise such jurisdiction here because review of the ruling on the motion in limine will be available, and we believe more appropriately conducted, on appeal from an eventual final judgment. See A.R.S. § 12-2102(A); see also Yauch v. S. Pac. Transp. Co., 198 Ariz. 394, ¶ 10, 10 P.3d 1181, 1186 (App.2000) (reviewing trial court’s motion in limine ruling on appeal); Larsen v. Decker, 196 Ariz. 239, ¶¶ 6-8, 995 P.2d 281, 283 (App.2000) (reviewing trial court’s evidentiary rulings on appeal); Stapert v. Ariz. Bd. of Psychologist Exam’rs, 210 Ariz. 177, ¶ 21, 108 P.3d 956, 961 (App.2005) (special-action jurisdiction reserved for “extraordinary circumstances” and “not available “where there is an equally plain, speedy, and adequate remedy by appeal’ ”), quoting State ex rel. Romley v. Fields, 201 Ariz. 321, ¶ 4, 35 P.3d 82, 84 (App.2001).
¶23 Finally, although the briefs raise issues of law, a consideration that supports accepting special-action jurisdiction, neither party explains, nor do we see, how these issues are of statewide importance. See Ariz. Dep’t of Econ. Sec., 186 Ariz. at 407, 923 P.2d at 873. For all the foregoing reasons, we decline to exercise special-action jurisdiction in this matter. See Robinson, 225 Ariz. 191, ¶ 7, 236 P.3d at 420.
Conclusion
¶ 24 Because the partial judgment appealed from is neither a final judgment, see § 12-2101(A)(1), nor an interlocutory order appeal-able under § 12-2101(A)(6), this court lacks appellate jurisdiction. Furthermore, we decline to exercise discretionary, special-action jurisdiction because LPPOA has failed to show that this matter satisfies the criteria governing our acceptance of such jurisdiction. Accordingly, the appeal is dismissed and the case is remanded to the superior court for further proceedings.
CONCURRING: GARYE L. VÁSQUEZ, Presiding Judge and PETER J. ECKERSTROM, Judge.
. The partial judgment also incorporated the court’s October 2007 order dismissing the original complaint; however, that order was not included in the notice of appeal and consequently is not at issue here.
. This appeal does not implicate the provisions of Rule 54(b) relating to multiple-party litigation.
. Section 12-1116 outlines the procedures for obtaining an order of immediate possession. Subsection (O) provides: "Any stipulation that is made or any evidence that is introduced pursuant to this section shall not be introduced in evidence or used to the prejudice of any party in interest on the trial of the action.”
. Section 15-342(10) limits a school district’s power to "sell school sites or enter into leases or lease-purchase agreements for school buildings and grounds" by requiring that certain transfers be approved by the district’s electors.
. Section 12-2101(G) has been renumbered § 12-2101 (A)(6). See 2011 Ariz. Sess. Laws ch. 304, § 1. Apart from a minor grammatical difference, the two provisions are identical. Id.
. We observe that this has long been the rule in Arizona. See De Hansen v. Dist. Court, 11 Ariz. 379, 383, 94 P. 1125, 1126 (Terr.1908) (order of immediate possession "unquestionably not directly appealable” under Ariz. Civ. Code, § 1214 (1901)).
. Although the record in this case does not contain the special-action petition, we take judicial notice of the petition, which is contained in this court's records for case number 2 CA-SA 2008-0028. See In re Sabino R., 198 Ariz. 424, ¶ 4, 10 P.3d 1211, 1212 (App.2000) (court may properly take judicial notice of its own records).
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OPINION
ECKERSTROM, Presiding Judge.
¶ 1 In this appeal, the state challenges the trial court’s order dismissing with prejudice the indictment against appellee Jaime Espinoza for failure to register as a' sex offender. The court’s dismissal was based on its conclusion that the superior court had lacked jurisdiction when, in 2004, it ordered Espinoza to register as a condition of his probation and that the order therefore was void. We agree and therefore affirm the trial court’s ruling.
Procedural History
¶ 2 To address the arguments raised by the parties, we are required to “begin at the beginning” of Espinoza’s criminal history, as it relates to sex offender registration. In February 1997, then twelve-year-old Espinoza was adjudicated delinquent for attempted molestation of a child and other charges and placed on juvenile intensive probation for twelve months. The juvenile court deferred a determination of whether Espinoza would be required to register as a sex offender and struck language requiring registration from the conditions of his probation, stating, “If the minor successfully completes probation, he will not be required to register as a sex offender.” However, the court did not state that it would necessarily order him to so register if he failed on probation. That July, Espinoza appeared before a different juvenile court judge on a petition to revoke his probation. The court revoked his probation and committed him to the Arizona Department of Juvenile Corrections. The state does not dispute that the juvenile court never ordered Espinoza to register as a sex offender.
¶ 3 In 2003, when Espinoza was nineteen, he was indicted for burglary after he broke into a car and stole the vehicle’s stereo speakers. Espinoza pleaded guilty to criminal damage. In the presentence report, a probation officer informed the trial court of Espinoza’s adjudication of delinquency and added, “A review of the Arizona Department of Public Safety records indicates the defendant never registered as a juvenile sex offender.”
¶ 4 At the sentencing hearing in March 2004, the state urged the trial court to sentence Espinoza to a presumptive term of imprisonment. Noting that Espinoza had missed appointments with the probation department and had “failed to register,” the state argued he was not likely to succeed on probation. Espinoza’s counsel asked the court to give his client “one more chance” to “follow through,” suggesting, “Perhaps if you give him one shot at probation [and] give him directions” he would be motivated to succeed.
¶ 5 After Espinoza echoed his attorney’s comments, the trial court asked, “Are you sure?____ [Y]ou know, you were supposed to register? And you failed to do that, sir; do you understand that?” Espinoza responded, ‘Tes. And I have talked about it. They said that I have to do that, and I told him I got at — forgot where I had to do that. And I have followed through. I will do that if I get probation.” The court suspended the imposition of sentence and placed Espinoza on three years’ probation, specifying as a condition of probation that he “register as a sex offender immediately upon his release from custody” (hereinafter “the 2004 order”). In short, the court, counsel for the state, and counsel for Espinoza all erroneously relied on the probation officer’s inaccurate assumption that the juvenile court previously had imposed on Espinoza a duty to register as a sex offender. Unaware of that error, Espinoza did not file a timely, of-right petition for post-conviction relief pursuant to Rule 32, Ariz. R.Crim. P., to challenge the terms of his probation.
¶ 6 In August 2004, based on the erroneous trial court order, Espinoza was charged with failing to register as a sex offender and, after pleading guilty, was sentenced to a prison term of 2.5 years. It appears he was charged once again with failing to register in July 2008, shortly after his release from prison for the 2004 offense. Again, Espinoza pleaded guilty and was sentenced to 2.5 years’ imprisonment. His attorneys failed to challenge either of these convictions in timely, of-right petitions for posteonviction relief. See Ariz. R.Crim. P. 32.4(a) (first notice of post-conviction relief in of-right proceeding “must be filed within ninety days after the entry of judgment and sentence”).
¶ 7 In 2009, Espinoza initiated a Rule 32 proceeding seeking reversal of his 2004 conviction for failing to register. In that proceeding, he argued he was entitled to relief because he was “actually innocent” of the charge pursuant to Rule 32.1(h), a ground not automatically subject to preclusion for untimely filing. See Ariz. R.Crim. P. 32.2(b), 32.4(a). Espinoza maintained there had been “no lawful order” requiring him to register in 2004, because the juvenile court had not ordered him to register as a result of his delinquency adjudication, and the superior court’s order requiring him to register as a condition of the probation imposed for criminal damage therefore was “void and ... unenforceable.”
¶ 8 The trial court summarily denied relief, citing Espinoza’s failure to comply with Rule 32.2(b), which requires summary dismissal of an untimely notice of post-conviction relief that fails to include “meritorious reasons ... why the claim was not stated ... in a timely manner.” As the court noted, notwithstanding Espinoza’s “blanket statement” that Rule 32 permits an untimely claim of actual innocence, neither Espinoza’s notice nor his petition for relief “set forth the reasons why the claim was not filed in a timely manner ... [and] has taken over four years to file.” In addition to its summary denial, the court concluded Espinoza’s claims lacked merit, finding Espinoza could not “use the instant petition to challenge a condition of probation ordered in a separate cause number” and noting he had acknowledged in a change-of-plea hearing “that he had an affirmative duty to register and had not done so.” On review of the trial court’s ruling, we found no abuse of discretion and denied relief. State v. Espinoza, No. 2 CA-CR 2010-0114-PR, 2010 WL 2721410 (memorandum decision filed July 9, 2010).
¶ 9 Although the trial court’s determination that Espinoza had failed to comply with Rule 32.2(b) provided a sufficient basis to deny relief, we also rejected Espinoza’s argument that the 2004 criminal damage probation order was void ab initio. We did so, however, without identifying which of the several potential jurisdictional arguments we were resolving. Espinoza, No. 2 CA-CR 2010- 0114-PR, ¶¶ 4-5. Our supreme court denied further review.
¶ 10 While review of that post-conviction proceeding was pending, Espinoza filed a notice of post-conviction relief challenging his sentence in the 2004 criminal damage case, specifically the order requiring him to register as a sex offender as a condition of his probation. The trial court found his claim precluded and, on review, we also denied relief. State v. Espinoza, No. 2 CA-CR 2011-0066-PR, 2011 WL 2714079 (memorandum decision filed June 16, 2011).
The Instant Case
¶ 11 In March 2011, Espinoza again was indicted for violating the requirements of sexual offender registration. Specifically, the state charged him with failing to give notice of a change of name or address and failing to obtain a valid nonoperating identification license or driver license. See A.R.S. §§ 13-3821(J), 13-3822(A), 13-3824. Espinoza filed a “Motion to Dismiss Indictment with Prejudice as Insufficient as a Matter of Law,” in which he argued he “was never legally ordered to register as a sex offender by any court” and therefore could not be found guilty of having failed to comply with registration requirements.
¶ 12 After a hearing, the trial court granted the motion, finding “the Juvenile Court never ordered the defendant to register as a sex offender and [the] Superior Court then did not have jurisdiction to order that the defendant register as a sex offender” in the 2004 criminal damage probation order, because such a requirement “was a matter only to be determined by the Juvenile Court.” Having concluded the superior court had been without jurisdiction to order Espinoza to register as a condition of his probation, the court further found that order void and dismissed the indictment against Espinoza with prejudice. At Espinoza’s urging, the court further found he “does not have to register as a sex offender in the future.”
¶ 13 On this appeal from the trial court’s dismissal order, the state argues the court abused its discretion in dismissing the indictment because Espinoza “is required to register as a sex offender” based on the probation terms imposed in connection with the criminal damage conviction and the convictions for registration violations in 2004 and 2008. As the state points out, in addition to substantive offenses enumerated in AR.S. § 13-3821(A) that trigger a duty to register as a sex offender, § 13-3821(A)(19) also imposes a duty to register if a defendant is convicted of violating the registration procedures set forth in A.R.S. §§ 13-3822 and 13-3824.
¶ 14 According to the state, the original superior court order requiring Espinoza to register as a condition of his probation, as well as the two convictions for registration violations that followed, all fell within the court’s subject matter jurisdiction and therefore were not void ab initio, but voidable orders that could have been modified only “on appeal or by proper and timely post-judgment motion.” State v. Bryant, 219 Ariz. 514, ¶ 15, 200 P.3d 1011, 1015 (App.2008); see also State v. Cramer, 192 Ariz. 150, ¶ 16, 962 P.2d 224, 227 (App.1998) (“A judgment that is voidable is binding and enforceable ... until it is reversed or vacated.”). In response, Espinoza maintains the superior court lacked jurisdiction when it ordered him to register as a condition of his probation for criminal damage and, therefore, that order and any further orders based upon it were void ab initio and subject to challenge even after they became final. See State v. Chacon, 221 Ariz. 523, ¶ 5, 212 P.3d 861, 863-64 (App.2009) (order or judgment void if issuing court lacked subject matter jurisdiction; challenge to subject matter jurisdiction “may be raised at any time” and “ ‘can never be forfeited or waived’ ”), quoting United States v. Cotton, 535 U.S. 625, 630, 122 S.Ct. 1781, 152 L.Ed.2d 860 (2002).
Discussion
¶ 15 We review a trial court’s ruling on a motion to dismiss criminal charges for an abuse of discretion, but we review de novo questions of statutory interpretation. State v. Mangum, 214 Ariz. 165, ¶ 6, 150 P.3d 252, 254 (App.2007); State v. Kuntz, 209 Ariz. 276, ¶ 5, 100 P.3d 26, 28 (App.2004) (“Whether the trial court properly applied § 13-3821(A) is a question of law that we review de novo.”). We may affirm the court’s ruling if it is legally correct for any reason. State v. Aguilar, 218 Ariz. 25, ¶ 22, 178 P.3d 497, 503 (App.2008); see also State v. Cañez, 202 Ariz. 133, ¶ 51, 42 P.3d 564, 582 (2002) (“[W]e are obliged to uphold the trial court’s ruling if legally correct for any reason.”); State v. Wills, 177 Ariz. 592, 594, 870 P.2d 410, 412 (App.1993) (reviewing court may affirm summary dismissal with prejudice when record “demonstrably require[s] it”).
¶ 16 Pursuant to A.R.S. § 13-3821, persons convicted of specifically enumerated offenses are required to register as sex offenders in A’izona. For the most part, the offenses specified involve kidnapping or unlawful restraint of a minor and certain sexual offenses found in chapters 13, 14, 32, and 35.1 of title 13 of the Arizona Revised Statutes. § 13-3821(A)(1)-(18), (20)-(21).
¶ 17 In addition to the registration mandated upon conviction for one of the offenses identified in § 13-3821(A), a sentencing court may, in its discretion, require lifelong, sex offender registration of a defendant convicted of any sexual offense or child sexual exploitation offense found in chapter 14 or 35.1 of title 13, or of any offense which, pursuant to AR.S. § 13-118, the state has alleged, and the trier of fact has found, was committed for the purpose of sexual gratification. § 13-3821(C). As the state concedes, Espinoza’s 2004 conviction for criminal damage would not authorize a trial court, under any of these provisions, to order him to register as a sex offender. Criminal damage neither is listed among the offenses that trigger potential sex offender registration nor was any evidence presented suggesting that Espinoza had committed the offense for sexual gratification.
¶ 18 However, a superior court may require a juvenile who has been adjudicated delinquent for an act that would constitute an offense specified in either § 13-3821(A) or (C) to register as a sex offender. § 13-3821(D). But, as explained below, there is a concrete jurisdictional boundary, expressly set forth by our legislature, between a superior court addressing felony charges in its adult jurisdiction and when it addresses juvenile delinquency in its capacity as a juvenile court. We therefore agree with the trial court that the superior court judge who presided over Espinoza’s adult criminal damage conviction and sentencing proceedings, lacked subject matter jurisdiction to issue the order requiring Espinoza to register as a sex offender.
¶ 19 In analyzing the 2004 order, we are mindful that not all legal errors are jurisdictional errors and that Arizona courts have, on occasion, conflated the two. See State v. Maldonado, 223 Ariz. 309, ¶¶ 15-18, 223 P.3d 653, 655-56 (2010) (concluding reasoning of two prior supreme court eases, which found jurisdictional error arising from mere procedural defects in charging process, “no longer tenable”); Marvin Johnson, P.C. v. Myers, 184 Ariz. 98, 101-02, 907 P.2d 67, 70-71 (1995) (noting “imprecise use” of jurisdictional language in cases involving nonjurisdietional error). As our supreme court has recently observed, the conclusion that “a court cannot enter a valid judgment because of a procedural error does not mean that the court lacks subject matter jurisdiction.” Maldonado, 223 Ariz. 309, ¶ 15, 223 P.3d at 655. Rather, “the phrase ‘subject matter jurisdiction’ refers to a court’s statutory or constitutional power to hear and determine a particular type of case.” Id. ¶ 14.
¶ 20 In determining whether a challenge to a court’s power to act on a specific matter sounds as a jurisdictional question, we begin with the premise that our respective state courts have no threshold jurisdiction to hear and determine any type of case unless expressly authorized to do so by Arizona’s constitution or by statute. See Restatement (Second) of Judgments § 11 emt. a (1982) (“The authority of courts derives from constitutional provisions or from statutory provisions adopted in the exercise of a legislative authority, express or implied, to establish courts and to provide for their jurisdiction.”); Maldonado, 223 Ariz. 309, ¶ 14, 223 P.3d at 655 (“ ‘[Sjubject matter jurisdiction’ refers to a court’s statutory or constitutional power to hear and determine a particular type of case.”). But, as our supreme court has explained, this does not mean all judgments or orders in violation of either our state’s constitution or statutory provisions implicate the jurisdiction of the court to issue them.
¶ 21 In Maldonado, the trial court had erroneously entered a judgment of guilt against a defendant who had never been properly charged. 223 Ariz. 309, ¶¶ 10-11, 15, 223 P.3d at 655. That judgment was therefore obtained in violation of article II, § 30 of the Arizona Constitution, a provision that expressly bars felony prosecutions in the absence of an indictment or information. See Maldonado, 223 Ariz. 309, ¶ 11, 223 P.3d at 655. Yet, our supreme court held the court had not exceeded its subject matter jurisdiction in entering the judgment because article II, § 30 did not “by its terms address jurisdiction” and because article VI, § 14(4) of the Arizona Constitution specifically provides superior courts subject matter jurisdiction over felony criminal matters. Maldonado, 223 Ariz. 309, ¶¶ 19-21, 223 P.3d at 657. Accordingly, in analyzing whether a court has exceeded its jurisdiction, we are instructed to distinguish between those constitutional or statutory provisions that expressly set forth or limit the jurisdiction of a court — from those that merely direct how that jurisdiction should be exercised. See State v. Payne, 223 Ariz. 555, ¶ 10, 225 P.3d 1131, 1136 (App. 2009) (test of jurisdiction whether tribunal has power to enter upon inquiry, not whether conclusion of inquiry correct).
¶ 22 For this reason, we must reject Espinoza’s specific contention that the trial court in 2004 acted in excess of its subject matter jurisdiction merely because that court erroneously imposed upon him a duty to register as a sex offender in contravention of statute, specifically § 13-3821. Although that statute sets forth the circumstances under which a person may be required to register as a sex offender, it does not purport to address the jurisdiction of a superior court “to hear and determine a particular type of case.” Maldonado, 223 Ariz. 309, ¶ 14, 223 P.3d at 655.
¶ 23 That conclusion, however, does not end our inquiry. Although § 13-3821 is silent on the question of whether the trial court had jurisdiction to enter the 2004 order, the legislature has not been similarly mute on the nature of a superior court’s subject matter jurisdiction over matters of juvenile delinquency. Section 8-202, A.R.S., which is entitled “Jurisdiction of juvenile court,” provides in pertinent part as follows:
A. The juvenile court has original jurisdiction over all delinquency proceedings brought under the authority of this title.
G. Except as otherwise provided by law, jurisdiction of a child that is obtained by the juvenile court in a proceeding under this chapter ... shall be retained by it, for the purposes of implementing the orders made and filed in that proceeding, until the child becomes eighteen years of age, unless terminated by order of the court before the child’s eighteenth birthday.
H. Persons who are under eighteen years of age shall be prosecuted in the same manner as adults if either:
1. The juvenile court transfers jurisdiction pursuant to § 8-327.
2. The juvenile is charged as an adult with an offense listed in § 13-501.
Although our prior case law has established there is no abstract jurisdictional distinction created by a superior court’s decision to divide itself into different administrative divi sions, see Marvin Johnson, 184 Ariz. at 102, 907 P.2d at 71, our legislature has, in § 8-202, expressly set forth a specific, and juris-dietionally relevant, subeategory of the superior court called the juvenile court. That court has original jurisdiction over all delinquency matters. § 8-202(A). By the terms of that jurisdiction-defining statute, the adult divisions of the superior court only acquire jurisdiction over those acts committed by a juvenile that are charged as offenses listed in A.R.S. § 13-501 or those offenses wherein “jurisdiction” has been specifically transferred pursuant to the criteria set forth in A.R.S. § 8-327. § 8-202(H)(l) and (2). In short, the legislature has created a jurisdictional boundary, based primarily on the subject matter of the dispute (here, the type of offense), between a superior court acting in its capacity as a juvenile court and a superior court acting in its capacity as an adult court.
¶ 24 Applying those principles to the case before us, we must conclude that, when the superior court issued the 2004 order, it lacked subject matter jurisdiction over Espinoza’s juvenile adjudication for attempted child molestation in either its juvenile — or adult-court capacity. It lacked jurisdiction over the juvenile adjudication in its juvenile capacity because Espinoza had surpassed the age of eighteen. See § 8-202(G) (jurisdiction of juvenile court retained only until child “becomes eighteen years of age”); see also In re Maricopa Cnty. Juv. Action No. JV-132744, 188 Ariz. 180, 181, 933 P.2d 1248, 1249 (App.1996) (same). It likewise lacked jurisdiction in its adulGcourt capacity because the offense of attempted child molestation neither is itemized as an offense requiring adult prosecution under § 13-501, nor was jurisdiction for that offense transferred to the adult division pursuant to § 8-327. See § 8-202(H) (itemizing subject matter over which adult court secures jurisdiction of offense committed by juvenile).
¶25 Therefore, the superior court that presided over Espinoza’s 2004 adult conviction for criminal damage lacked the jurisdiction to add additional consequences to Espinoza’s delinquency adjudication. Those consequences were set forth by a juvenile court more than six years earlier and no longer could be modified after Espinoza’s eighteenth birthday in March 2002.
¶ 26 The above reasoning leads us to two pertinent conclusions. To the extent the 2004 order can be characterized as arising from the trial court’s authority to impose sanctions upon Espinoza for his adult conviction for criminal damage, that order — however erroneous under § 13-3821 — would not have been issued in excess of the court’s jurisdiction. So characterized, it would be merely a procedural error in the context of the court’s appropriate jurisdictional authority to resolve an adult felony matter. However, to the extent the trial court perceived its authority to enter the order as derived from Espinoza’s juvenile adjudication for attempted child molestation, the superior court lacked jurisdiction to issue it.
¶ 27 The record before us suggests the trial court believed its authority to order Espinoza to register as a sex offender arose not from his conviction for criminal damage but rather from Espinoza’s prior juvenile adjudication for a sex offense. The presen-tence report prepared for Espinoza’s sentencing listed his prior adjudication for “sexually molesting his younger half-sister,” as reported by Espinoza, and noted that he had failed to register as a sex offender with the Arizona Department of Public Safety. In context, these notations conveyed the probation officer’s erroneous assumption that Espinoza had a duty to so register because of that adjudication. And, the trial court had no other information before it suggesting any other basis for ordering him to register as a sex offender.
¶ 28 Apparently relying on the information in the presentence report, the prosecutor argued Espinoza would not succeed on probation, in part, because he had failed to comply with a duty to register. Given that Espinoza had not yet been sentenced on the criminal damage offense, the prosecutor could not have been suggesting that Espinoza had failed to register for that offense. Espinoza’s counsel requested “directions” from the court concerning what Espinoza was required to do on probation. Having been advised by both the probation officer and the prosecutor that Espinoza had failed to comply with a pre-existing duty to register as a sex offender, the trial court adopted that assumption. It verbalized skepticism about Espinoza’s assertion that he would be a good candidate for probation, specifically noting he was “supposed to register” and had failed to do so. In context, the record is clear that (1) the court believed Espinoza had a duty to register as a sex offender predating and unrelated to his criminal damage conviction, (2) the presentence report, which the court read, contained the only information before it indicating he had a pre-existing duty to register, and (3) the presentence report indicated that duty had arisen from the juvenile adjudication for a sexual offense.
¶ 29 At the same time, nothing in the record supports that the trial court believed the criminal damage conviction authorized it to impose on Espinoza any threshold duty to register. We assume trial courts know the law in the absence of evidence to the contrary. State v. Williams, 220 Ariz. 331, ¶ 9, 206 P.3d 780, 783 (App.2008). As discussed, the law is unambiguous that the offense of criminal damage is not a predicate offense for requiring sex offender registration. And, as noted above, the court and the parties could not have been referring to the criminal damage offense as the trigger for Espinoza’s duty to register because each clearly believed that any such duty pre-existed the sentence pronouncement for the adult felony conviction.
¶ 30 Given our review of the record, we must conclude the state was correct when it conceded during oral argument that the trial court believed it was “building on something that had already occurred in juvenile court” and that the court thought “it was dealing with the juvenile matter when it issued the order.” We therefore further conclude the court believed its authority to order Espinoza to register as a sex offender arose from his juvenile adjudication.
¶ 31 A judgment or order is void, and not merely voidable, if the court that entered it lacked jurisdiction “to render the particular judgment or order entered.” State v. Cramer, 192 Ariz. 150, ¶ 16, 962 P.2d 224, 227 (App.1998). Because the trial court that presided over Espinoza’s 2004 adult conviction lacked jurisdiction to order Espinoza to register as a sex offender based on the previous delinquency adjudication, its order requiring him to register was void.
¶ 32 A void judgment is a “nullity” and “‘all proceedings founded on [a] void judgment are themselves regarded as invalid and ineffective for any purpose.’” See id. ¶ 12, quoting 46 Am.Jur.2d Judgments § 31 (1994); accord Valley Vista Dev. Corp. v. City of Broken Arrow, 766 P.2d 344, 348 (Okla.1988). Espinoza’s convictions in 2004 and 2008 for failing to register as a sex offender were “ ‘founded’ ” entirely on Espinoza’s violation of the void 2004 criminal damage probation order; therefore, those convictions are likewise “ ‘invalid and ineffective for any purpose.’” Cramer, 192 Ariz. 150, ¶ 16, 962 P.2d at 227, quoting 46 Am.Jur.2d Judgments § 31.
¶33 Accordingly, neither the trial court’s original order compelling Espinoza to register as a sex offender nor Espinoza’s two subsequent felony convictions for failing to abide by that order, support the indictment in the instant case. The trial court in the instant case did not err in finding the original order void or in concluding Espinoza not only has no duty to register as a sex offender in the future, but never has had such a duty.
¶ 34 When we encounter questions of subject matter jurisdiction raised for the first time long after a judgment has been entered, we enter an arena of the law where the competing values of validity and finality in judgments come into inevitable conflict. As both the Restatement of Judgments and our supreme court have acknowledged, the law of jurisdiction often has been directed and distorted by the comparative weight of those values in the individual case. See Maldonado, 223 Ariz. 309, ¶¶ 16-18, 223 P.3d at 655-56; Restatement § 11 cmt. e, § 12 emt. a, b. In the context of challenges to criminal judgments that have become final, our state has adopted a modern approach, in conformity with the Restatement, which resists the temptation to characterize even serious procedural irregularities as violations of jurisdictional court authority. See, e.g., Maldonado, 223 Ariz. 309, ¶ 18, 223 P.3d at 656. But true jurisdictional limitations on a court’s authority remain and it is our conclusion that one of those boundaries has been breached here. It is mere happenstance that the breach occurred in an individual case where the equities of finality and validity weigh so heavily in favor of voiding the judgment.
Disposition
¶ 35 For the foregoing reasons, we affirm the trial court’s order dismissing the indictment against Espinoza.
CONCURRING: JOSEPH W. HOWARD, Chief Judge and J. WILLIAM BRAMMER, JR., Judge.
. Relying on Standard Oil Co. of Indiana v. Missouri ex rel. Hadley, 224 U.S. 270, 281-82, 32 S.Ct. 406, 56 L.Ed. 760 (1912), Espinoza also maintains the 2004 order " 'transcended] the limits of [the court's] authority,' " id. at 282, 32 S.Ct. 406, quoting Windsor v. McVeigh, 93 U.S. 274, 282, 23 L.Ed. 914 (1876), and violated his right to procedural due process, because a registration requirement was not statutorily authorized upon his conviction for criminal damage. But, because we agree with Espinoza and the trial court that the original order was void ab initio, we need not address this claim.
. Specifically, § 13-3821(A) requires registration of any person convicted of the following offenses:
1. Unlawful imprisonment pursuant to § 13-1303 if the victim is under eighteen years of age and the unlawful imprisonment was not committed by the child’s parent.
2. Kidnapping pursuant to § 13-1304 if the victim is under eighteen years of age and the kidnapping was not committed by the child's parent.
3. Sexual abuse pursuant to § 13-1404 if the victim is under eighteen years of age.
4. Sexual conduct with a minor pursuant to § 13-1405.
5. Sexual assault pursuant to § 13-1406.
6. Sexual assault of a spouse if the offense was committed before August 12, 2005.
7. Molestation of a child pursuant to § 13-1410.
8. Continuous sexual abuse of a child pursuant to § 13-1417.
9. Taking a child for the purpose of prostitution pursuant to § 13-3206.
10. Child prostitution pursuant to § 13-3212 subsection A or subsection B, paragraphs 1 or
11. Commercial sexual exploitation of a minor pursuant to § 13-3552.
12. Sexual exploitation of a minor pursuant to § 13-3553.
13. Luring a minor for sexual exploitation pursuant to § 13-3554.
14. Sex trafficking of a minor pursuant to § 13-1307.
15. A second or subsequent violation of indecent exposure to a person under fifteen years of age pursuant to § 13-1402.
16. A second or subsequent violation of public sexual indecency to a minor under the age of fifteen years pursuant to § 13-1403, subsection B.
17. A third or subsequent violation of indecent exposure pursuant to § 13-1402.
18. A third or subsequent violation of public sexual indecency pursuant to § 13-1403.
19. A violation of § 13-3822 or 13-3824.
20. Unlawful age misrepresentation [pursuant to § 13-3561].
21. Aggravated luring a minor for sexual exploitation pursuant to § 13-3560.
. Given the terms of § 8-202, wherein the legislature specifically addresses the jurisdiction of the juvenile court and articulates concrete jurisdictional distinctions between it and superior courts sitting in their capacity to adjudicate adult criminal cases, we do not follow the conclusion of another division of this court suggesting there is no jurisdictionally relevant division between the two. See State v. Marks, 186 Ariz. 139, 142, 920 P.2d 19, 22 (App.1996) (stating juvenile court department of unified superior court for purposes of jurisdiction). Notably, Marks addressed a similar problem under pivot-ally different state constitutional language than exists today. At the time, the Arizona Constitution expressly gave jurisdiction over juvenile matters to "the superior court.” See former Ariz. Const, art. VI, § 15 (effective Dec. 9, 1960). Today’s provision states instead that "[tjhe jurisdiction and authority of the courts of this state in all proceedings and matters affecting juveniles shall be as provided by the legislature____" Ariz. Const, art. VI, § 15 (effective Dec. 6, 1996). The legislature has so provided in § 8-202.
. Section 13-3 821(D) provides an apparent exception to this jurisdictional limitation stating, "Any duty to register [arising from an adjudication of delinquency] shall terminate when the person reaches twenty-five years of age.” But this court has not read that provision to grant a superior court the jurisdiction to impose the threshold duty to register after the defendant’s eighteenth birthday. See Maricopa Cnty. No. JV-132744, 188 Ariz. at 181-82, 933 P.2d at 1249-50 (rejecting argument that § 13-3821(D) constitutes exercise of juvenile court’s jurisdiction after age eighteen and concluding statute contemplates initial order to register will necessarily occur before age eighteen).
. One need not be a specialist in criminal law to surmise that property offenses, unrelated to any sexual conduct, would not trigger any duty to register as a sex offender. We therefore are skeptical that an experienced jurist such as the superior court judge who issued the 2004 order would have believed the criminal damage offense authorized her to impose the duty to register.
. In Marks, 186 Ariz. at 142, 920 P.2d at 22, a division of this court found a superior court lacked personal jurisdiction rather than subject matter jurisdiction when litigating a criminal offense that had not been transferred properly from juvenile court. But, as noted above, that court’s conclusion turned on its interpretation of jurisdictional language in the Arizona Constitution that is no longer present. Here, there can be little dispute that the trial court had personal jurisdiction over Espinoza because he was appropriately before it in adult court for an adult crime. Rather, the dispute in this case turns on whether the court had jurisdiction to address the subject matter of his juvenile adjudication. Moreover, § 8-202(H) clearly distinguishes those delinquency matters which must be litigated in juvenile court by the specific subject matter of the offense. Thus, there can be little dispute that § 8-202 sets forth the jurisdictional boundaries pertinent here based primarily on subject matter.
. The essence of this quote is currently found in 46 Am.Jur.2d Judgments § 29 (2012).
. Although the state directs this court to our prior contrary conclusion issued in rejecting Espinoza’s 2009 post-conviction challenge, the state does not specifically argue that principles of finality prevent us from reaching the same general issue in the context of this new criminal proceeding against Espinoza. No Arizona court has yet addressed whether a challenge to a court’s subject matter jurisdiction would be barred under such circumstances. See Pettit v. Pettit, 218 Ariz. 529, n. 3, 189 P.3d 1102, 1104 n. 3 (App.2008) (noting existence of federal and state authority suggesting finality of judgments could bar jurisdictional arguments that were, or could have been, raised in prior proceedings). But see State v. Chacon, 221 Ariz. 523, ¶ 5, 212 P.3d 861, 863-64 (App.2009) (challenge to subject matter jurisdiction "may be raised at any time" and " 'can never be forfeited or waived’ ”), quoting United States v. Cotton, 535 U.S. 625, 630, 122 S.Ct. 1781, 152 L.Ed.2d 860 (2002). Because the question has not been squarely raised or litigated in this case, we decline to address it here.
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OPINION
BALES, Justice.
¶ 1 This case concerns commercial property that was subject to a deed of trust and auctioned at trustee’s sales twice in 2009. Alleging it was the successful bidder at the second sale, BT Capital, LLC (“BT”) sued the trustee and the trust beneficiary seeking title to the property and damages. We hold that this ease was rendered moot when the property was purchased by the beneficiary at a third trustee’s sale in 2010.
I.
¶ 2 Point Center Financial, Inc. (“PCF”) was the beneficiary of a deed of trust for commercial property in Chandler, Arizona, securing PCF’s loan for $32 million. TD Service Company of Arizona (“TD”) was the trustee. At noon on June 15, 2009, TD allegedly held a trustee’s sale. PCF contends it then purchased the property when TD made a $1 million credit bid (TD was authorized to make credit bids on PCF’s behalf up to $25 million if competing bids were placed). After a representative of BT told the auctioneer that the sale had been noticed for 2 p.m., TD directed the auctioneer to redo the auction, and a second sale occurred around 3:30 p.m. that same day. TD made an opening bid of $1 million on PCF’s behalf. BT bid $1,000,001. TD mistakenly failed to make a further bid on behalf of PCF, instead announcing BT as the winning bidder. When BT tendered the balance of its bid price the next day, TD rejected it, contending that the second auction was void because there had been a mistake in communicating correct bid instructions.
¶ 3 In July 2009, BT filed a complaint seeking title to the property and damages from TD and PCF for failure to complete the sale. BT also filed a notice of lis pendens. TD noticed another trustee’s sale, which the trial court preliminarily enjoined. In February 2010, the trial court granted summary judgment in favor of PCF and TD. The court found the 3:30 p.m. sale on June 15 void for procedural irregularities, which defeated BT’s claims based on TD’s alleged wrongful refusal to deliver a trustee’s deed. The trial court also dismissed BT’s tort claims, ruling that TD did not owe any duty to BT.
¶ 4 On June 1, the trial court issued an order clarifying that its summary judgment ruling terminated the preliminary injunction. That same day, BT filed a notice of appeal. On June 25, BT filed an “Emergency Motion to Reinstate Preliminary Injunction” with the court of appeals. On July 6, the court of appeals denied that motion but noted BT could apply to the trial court for an order staying its ruling and setting the amount of a supersedeas bond. BT did not file such an application.
¶ 5 While BT’s “Emergency Motion” was pending, on July 1, 2010, TD conducted another trustee’s sale, in which PCF acquired the property. On July 9, a trustee’s deed conveying the property to PCF was recorded.
¶ 6 The court of appeals rejected arguments by PCF and TD that the 2010 sale mooted BT’s appeal. BT Capital, LLC v. TD Serv. Co., 228 Ariz. 188, 191-92 ¶¶ 11-14, 265 P.3d 370, 373-74 (App.2011). On the merits, the court ruled that TD could not void the sale to BT resulting from the 3:30 p.m. auction in June 2009, reversed the superior court’s entry of summary judgment for PCF and TD, and remanded the case for further proceedings. Id. at 196-97 ¶ 39, 265 P.3d at 378-79.
¶ 7 We granted review to consider the proper application of the statutes governing deeds of trust, an issue of statewide importance. Jurisdiction exists under Article 6, Section 5(3) of the Arizona Constitution and A.R.S. § 12-120.24 (2009).
II.
¶ 8 At its core, this litigation turns on whether PCF or BT became the rightful owner of the property as a result of the trustee’s sales. BT argues that it purchased the property at the 3:30 p.m. auction in June 2009, that TD wrongfully refused to deliver a trustee’s deed when BT tendered the balance of the purchase price, and that BT is entitled at least to seek damages from TD and PCF.
¶ 9 The “deed of trust scheme is a creature of statutes.” In re Vasquez, 228 Ariz. 357, 359 ¶ 4, 266 P.3d 1053, 1055 (2011) (citing In re Krohn, 203 Ariz. 205, 208 ¶ 9, 52 P.3d 774, 777 (2002)). BT’s rights related to the trustee’s sale, and thus any claims it may have against the trustee TD or the beneficiary PCF, are defined by the statutes governing deeds of trust. Under those statutes, this ease became moot as a result of the lawfully conducted trustee’s sale in July 2010. See Sedona Private Prop. Owners Assoc. v. City of Sedona, 192 Ariz. 126, 127, 961 P.2d 1074, 1075 (App.1998) (noting that “[a] ease becomes moot when an event occurs which would cause the outcome of the appeal to have no practical effect on the parties”).
¶ 10 Objections to a trustee’s sale are governed by A.R.S. § 33-811, which provides:
The trustor, its successors or assigns, and all persons to whom the trustee mails a notice of a sale under a trust deed pursuant to section 33-809 shall waive all defenses and objections to the sale not raised in an action that results in the issuance of a court order granting relief pursuant to rule 65, Arizona rules of civil procedure, entered before 5:00 p.m. mountain standard time on the last business day before the scheduled date of the sale____
A.R.S. § 33-811(C). Under this statute, a person who has defenses or objections to a properly noticed trustee’s sale has one avenue for challenging the sale: filing for injunc-tive relief. Cf. In re Krohn, 203 Ariz. at 214 ¶ 38, 52 P.3d at 783 (allowing debtor to challenge completed trustee’s sale based on grossly inadequate bid price).
¶ 11 Where, as here, a trustee’s sale is completed, a person subject to § 33-811(C) cannot later challenge the sale based on pre-sale defenses or objections. In that circumstance, the rights of the successful bidder— PCF in this case — are also specified in the statute:
The trustee’s deed shall operate to convey to the purchaser the title, interest and claim of the trustee, the trustor, the beneficiary, their respective successors in interest and all persons claiming the trust property sold by or through them, including all interest or claim in the trust property acquired subsequent to the recording of the deed of trust and prior to the delivery of the trustee’s deed. That conveyance shall be absolute without right of redemption and clear of all liens, claims or interests that have a priority subordinate to the deed of trust and shall be subject to all liens, claims or interests that have a priority senior to the deed of trust.
A.R.S. § 33-81KE).
¶ 12 BT does not dispute that it received notice of, and in fact attended, the July 2010 sale. After the trial court dissolved its preliminary injunction, BT unsuccessfully requested the court of appeals to reinstate it. BT then did not seek a stay in the trial court. Under §§ 33-811(C) and (E), BT thus waived “all defenses and objections to the [2010] sale,” and the resulting trustee’s deed conveyed the property to PCF “clear of all ... claims or interests that have a priority subordinate to the deed of trust.”
¶ 13 BT makes two arguments in attempting to salvage its claims. It first contends that PCF’s title under the 2010 trustee’s deed remains subject to its claims because BT filed a Us pendens in 2009. In an “action affecting title to real property,” a plaintiff may record a notice of the action — a lis pendens — pursuant to A.R.S. § 12-1191. “[Tjhereafter a purchaser or encumbrancer of the property affected shall be held to have constructive notice of the pendency of the action and the claims therein made____” Id. § 12-119KB).
¶ 14 BT’s argument misapprehends the interplay of §§ 12-1191 and 33-811. BT had a “claim” that it was entitled to the property as a result of the 2009 sale, and its lawsuit was “an action affecting title to real property.” Id. § 12-119KA). Although filing the lis pendens provided constructive notice of the lawsuit, it did not establish the validity of BT’s claim or give it priority over the preexisting deed of trust for purposes of § 33-811(E). See Kelly v. Perry, 111 Ariz. 382, 385, 531 P.2d 139, 142 (1975) (noting that, as “a statutory substitute for notice of a legal proceeding which affects the title to realty,” a lis pendens “is fundamentally procedural” and does not “confer[] any additional substantive right”). To conclude otherwise would render § 33-811(0 ineffective, because a party that failed to obtain an injunction preventing the sale — like BT here— could nonetheless preserve its objections merely by filing a lawsuit and lis pendens.
¶ 15 BT also argues that the court of appeals correctly relied on Vinson v. Marton & Assocs., 159 Ariz. 1, 764 P.2d 736 (App.1988), to conclude that BT’s claims for money damages survived the sale of the property. In Vinson, the plaintiff unsuccessfully sought specific performance of a contract for the sale of land; while an appeal was pending, the defendant sold the land to someone else. Rejecting the argument that the sale mooted the appeal, the court of appeals held that, although specific performance was no longer available, the plaintiff could still seek damages. Id. at 5, 764 P.2d at 740.
¶ 16 Vinson is inapposite because BT cannot state a viable claim for money damages against TD or PCF. BT did not appeal the trial court’s dismissal of its tort claims. Nor has BT identified any other basis for a damages claim.
¶ 17 BT argues that it was the successful bidder at the 3:30 p.m. auction in June 2009, and it has viable breach of contract claims based on ease law recognizing such claims by bidders against auctioneers. At common law, the highest bidder at an auction can be said to have entered into a contract for the sale of land on acceptance of the offeree’s bid. See Restatement (Second) of Contracts § 28 (1981) (“auctioneer invites offers from successive bidders which he may accept or reject”); Id. § 30 illus. 4 (“A makes a bid at an auction sale. By the usual custom at auctions, the auctioneer may accept by letting the hammer fall, by saying ‘Sold’, or by any words manifesting acceptance.”).
¶ 18 BT’s rights, however, are determined by the statutes governing deeds of trust, not the common law. The statutes provide that “[ejvery bid shall be deemed an irrevocable offer until the sale is completed,” A.R.S. § 33-810(A), and “[t]he sale shall be completed on payment by the purchaser of the price bid in a form satisfactory to the trustee.” Id. No sale was completed because TD rejected BT’s payment.
¶ 19 If TD’s refusal to accept payment was improper (an issue we do not decide), BT might have brought an action seeking to compel TD to complete the sale consistent with its statutory obligations. See A.R.S. §§ 33-801(10) (providing that “[t]he trustee’s obligations to the trustor, beneficiary and other persons are as specified in this chapter, together with any other obligations specified in the trust deed”); 33-807(E) (“[t]he trustee need only be joined as a party in legal actions pertaining to a breach of the trustee’s obligations under this chapter or under the deed of trust”). But that statutory claim was mooted by the 2010 trustee’s sale at which PCF acquired the property. Moreover, because the statutes do not recognize any right to recover damages in these circumstances, they preclude a third party like BT from asserting claims for common law breach of contract against the trustee or beneficiary.
¶ 20 In short, the 2010 trustee’s sale establishes that BT has no claim to title to the property. BT did not appeal the dismissal of its tort claims and has no viable statutory or contract claim for damages.
III.
¶ 21 For the foregoing reasons we vacate the court of appeals’ opinion, affirm the superior court’s entry of summary judgment in favor of PCF and TD, and grant PCF’s request for attorney’s fees.
CONCURRING: REBECCA WHITE BERCH, Chief Justice, ANDREW D. HURWITZ, Vice Chief Justice, A JOHN PELANDER and ROBERT M. BRUTINEL, Justices.
|
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OPINION
HOWARD, Chief Judge.
The issue in this case is whether the trial court erred in ordering the University of Arizona to grant tenure to appellee, an assistant professor who was hired in 1973. We hold that it did and reverse with directions.
Each department at the University of Arizona is required to have a standing committee to advise the department head on matters of faculty re-employment, non-retention, promotion or tenure. University of Arizona Faculty Manual § 8.08 (14th ed. 1977). At the end of six years’ service an assistant professor has a right of tenure review under § 8.13 of the faculty manual. The standing committee makes its recommendation to the department head or dean who in turn makes a recommendation under § 8.13, which reads as follows:
“Before the end of the sixth year of service in the rank of assistant professor, the assistant professor shall be informed in writing by the department head or dean that he or she is being recommended for: (a) promotion to the rank of associate professor with tenure; or (b) for appointment for a seventh and terminal year as assistant professor (see Section 8.06); or (c) for appointment as a lecturer with tenure (see Section 8.02); or (d) for a temporary appointment to a position which entails no teaching duties and which is not of voting faculty status. The letter will state further, in the case of option (d), that there is no prospect of reconsideration for faculty status.”
The recommendation then goes to the Board of Regents under § 8.03 of the faculty manual. The Board of Regents can either accept or reject the recommendation.
During the fall semester of 1979, after appellant’s sixth year of service, the executive vice president of the university, A.B. Weaver, wrote to appellee’s department head informing him that appellee was not tenure eligible in accordance with the faculty manual, that appellee need not be considered for promotion and that appellee was considered as an academic professional, as defined in the faculty manual. He also stated that appellee was on temporary status and that there was no commitment to him of a permanent position in the department of radio-television or any continuing opportunities for teaching if the best interest of the department indicated otherwise. Mr. Weaver’s position was contrary to previous correspondence which indicated that appellee was in “tenure track.”
Due to Mr. Weaver’s position, appellee filed this lawsuit. The trial court ruled that appellee should have undergone promotion and tenure review not later than the spring of 1979; that the university breached its employment agreement by not following the provisions of faculty manual § 8.13. It then ordered that appellee “... be advanced immediately and without delay to the position of Associate Professor with tenure at the University of Arizona; That the promotion to Associate Professor with tenure be made retroactive to the beginning of the fiscal year 1979-80 .... ”
The vice in the trial court’s order is its failure to recognize that appellee did not have any right to tenure. The only right he did have under the university tenure system was the right to tenure review, and a recommendation by the department head. Even then the Board of Regents has the option to accept or reject the recommendation since there is no automatic right to tenure in the university system. Furthermore, there is no tenure by default. Cf. Cusumano v. Ratchford, 507 F.2d 980 (8th Cir.1974), cert. den. 423 U.S. 829, 96 S.Ct. 48, 46 L.Ed.2d 46 (1975).
The order of the trial court is vacated and set aside and the trial court is directed to enter an order requiring the University of Arizona to grant appellee a tenure review pursuant to University of Arizona Faculty Manual § 8.13 (14th ed. 1977) and to any other pertinent sections of the manual, with the proviso that if the Board of Regents grants tenure that such tenure be retroactive to the academic year 1979-80.
HATHAWAY and BIRDSALL, JJ., concur.
. The parties stipulated that the 1977 edition of the faculty manual would govern in this case.
|
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OPINION
JACOBSON, Chief Judge.
In this review of an award of the Industrial Commission, we are faced with the determination of whether the medical evidence supports the administrative law judge’s finding that the claimant’s present physical problems are related to a post-industrial injury accident and if so, whether such a finding legally requires that a petition to reopen be denied.
The claimant, Donnell M. East, has a long history of recurrent left shoulder dislocations. They first appeared in 1966, when he injured his shoulder in a motorcycle accident which required surgery. In 1967, the claimant again dislocated his shoulder while swimming.
In 1971, while employed by respondent Pete King Corporation, he again injured his shoulder while hanging drywall. This industrial injury was accepted for workmen’s compensation benefits and following surgery in which a pin was inserted in the shoulder, the claim was closed as an unscheduled 10% permanent disability. It is this claim that the claimant seeks to reopen here.
Following the 1971 surgery, the claimant experienced no problems with his shoulder and returned to his occupation as a drywall hanger. He continued in this occupation for several employers until 1975, when, while riding as a passenger in an automobile, he was involved in a serious accident which injured his shoulder and his back. All parties agree that this auto accident was a non-industrial responsibility. As a result of this accident, he sustained a compression fracture of the T-12 vertebra and surgery was again performed on his shoulder in the spring of 1976. The back injury and surgery resulted in the claimant losing approximately a year from work. Apparently, the 1976 surgery to his shoulder did not result in a complete stabilization and he began to experience dislocations and pain although he returned to work hanging drywall.
In 1979, while employed by respondent B.C. Enterprises, which is insured by the State Compensation Fund, the claimant injured his knee which required surgery in early 1980. Following surgery to his knee, the claimant testified that his knee would give away and he would fall, hurting his left shoulder.
The instability to the left shoulder increased to such an extent that in October, 1980, he suffered a total dislocation while turning in his sleep.
In November, 1981, the claimant filed a petition to reopen the 1971 industrial injury and filed a request for hearing pursuant to A.R.S. § 23-1061(J) in regard to the 1979 industrial knee injury. These two matters were consolidated for hearing, the claimant contending basically that the present instability of his left shoulder was an industrial responsibility.
Medical testimony was received from Dr. Howard Aidem, who had been the claimant’s treating physician since 1966 and had performed all the shoulder surgeries, and Dr. Walter V. Edwards.
Dr. Aidem testified that, in his opinion, the claimant’s present instability was the result of all the injuries the claimant had received to his left shoulder and that the 1971 industrial injury was a contributing factor to that instability. Dr. Edwards, on the other hand, was of the opinion given the successful stabilization of the left shoulder following the 1971 industrial injury, that the present instability to the claimant’s shoulder was the direct and proximate result of the 1975 auto accident and the failure of the 1976 surgery to stabilize the left shoulder.
The administrative law judge adopted the opinion of Dr. Edwards and denied the peti tion to reopen the 1971 claim against Pete King Corporation and denied relief under A. R.S. § 23-1061(J) against B.C. Enterprises. The claimant timely perfected review of that decision in this court.
Although the claimant has sought review of the award denying him additional benefits under A.R.S. § 23-1061(J) against B. C. Enterprises, neither claimant’s opening nor reply brief raises any issues concerning the validity of this portion of the award. Under these circumstances, the review of that portion of the award is deemed abandoned, See Minton v. Industrial Commission, 90 Ariz. 254, 367 P.2d 274 (1961), and the award as to B.C. Enterprises is affirmed.
The claimant’s basic contention in regard to the denial of the petition to reopen the 1971 injury is that the administrative law judge erred in disregarding the causation testimony of Dr. Aidem, that is, that the 1971 industrial injury is a substantial contributing cause of the present shoulder instability. However, the administrative law judge, as a trier of fact is entitled, when viewing the evidence as a whole, to resolve the question of medical causation in light of any reasonable inference that can be drawn from the medical testimony. Aros v. Industrial Commission, 15 Ariz.App. 547, 489 P.2d 1249 (1971). Both the medical evidence and the claimant’s testimony that he experienced no problems with his shoulder following the 1971 industrial injury until the 1975 auto accident fully supports the administrative law judge’s finding that the 1975 auto accident was the proximate cause of plaintiff’s present instability problem.
Assuming, for the purposes of argument, that the medical testimony of both doctors is susceptible of the inference that the 1971 industrial injury, together with all other pre-1975 injuries, caused a pre-disposition for the shoulder to dislocate, is that pre-disposition a sufficient causative factor to impose industrial liability for a condition proximately caused by a non-industrial injury? We believe not.
In O’Donnell v. Industrial Commission, 125 Ariz. 358, 609 P.2d 1058 (App.1979), we had occasion to discuss the relationship of the injured worker’s activity in breaking the chain of causal relationship where the resultant problems were the direct and natural result of the initial industrial injury, but would not have occurred except for the engaged in activity. In O’Donnell we held that where the subsequent injury is the direct and natural result of the initial industrial injury, the claimant’s activity will not break the causation chain unless that activity is unreasonable under the circumstances.
The O’Donnell analysis is not applicable here. There is no testimony that the present instability of claimant’s shoulder is a direct and natural result of the 1971 injury. Rather, the testimony supports the conclusion that the direct and natural result of the 1971 accident was a stabilized shoulder which theoretically would have continued in that condition but for the intervening auto accident. Moreover, the 1971 injury played no role in causing that accident to occur. Under these circumstances, where the resulting injury is the result of an occurrence which has no causal relationship to the original injury, that new injury cannot legally be the consequence of the original injury. Wallace v. Judd Brown Construction Co., 269 Minn. 455, 131 N.W.2d 540 (1964). No liability attaches.
Award affirmed.
BROOKS and OGG, JJ., concur.
. O’Donnell involved a worker who, because of a previous industrial knee injury, was unable to kneel to perform his work as a cement mason and therefore bent over, causing back problems.
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OPINION
HAIRE, Presiding Judge.
Following a trial by jury, appellant was found guilty of two counts of aggravated assault while armed with a dangerous instrument and one count of theft with a prior conviction. The trial court sentenced appellant to serve concurrent aggravated terms of 15 years each for the assault convictions, and 8 years for the theft conviction. Appellant timely filed a notice of appeal raising the following issues for our consideration:
(1) whether the trial court’s refusal to grant appellant’s motion for a continuance and ordering the trial to proceed in . appellant’s absence constituted error;
(2) whether the trial court erred by instructing the jury that the individual jurors would be allowed to ask questions of each witness;
(3) whether the trial court erred by refusing to grant appellant’s motion for a judgment of acquittal pursuant to Rule 20, Rules of Criminal Procedure, 17 A.R.S., on a charge of kidnapping with intent to inflict sexual assault;
(4) whether the trial court abused its discretion by finding certain aggravating factors to be true and in using them to aggravate appellant’s sentence pursuant to A.R.S. § 13-702;
(5) whether the trial court erred in admitting certain documentary evidence to establish the allegation of a prior conviction; and
(6) whether the trial court erred by finding that appellant’s prior conviction in Oklahoma was the equivalent of a felony in Arizona.
The evidence introduced at trial revealed that the two female victims, who were from New Zealand, were traveling through this country. They met appellant in a cafe in Gallup, New Mexico, when appellant introduced himself to them and offered them a ride to Flagstaff, Arizona. The incidents which led to the filing of the charges against appellant occurred in Flagstaff. Appellant took the victims to an isolated area and at knifepoint demanded that they remove their clothes and perform cunnilingus upon each other. After partially undressing, the victims were able to escape. Appellant fled in his vehicle, taking all of the victims’ personal belongings, including an expensive camera. He was subsequently apprehended on that same day and most of the victims’ property was recovered.
Based on these incidents, appellant was charged with two counts of aggravated assault while armed with a dangerous instrument, one count of kidnapping with intent to inflict a sexual assault, and one count of theft. The state also filed an allegation of a prior conviction. When appellant failed to appear at trial, defense counsel requested a continuance on the grounds that appellant had indicated that he wanted to be present at trial and that defense counsel had not been able to prepare for trial because of appellant’s absence. The trial court denied the motion for continuance and proceeded to trial.
The jury found appellant guilty of both counts of aggravated assault, a dangerous nature felony, and theft of property valued between $100 and $1,000. Appellant was found not guilty of kidnapping with intent to inflict a sexual offense. Following trial on the allegation of the prior conviction, the jury found the allegation to be true. Additional procedural and factual detail will be set forth in our discussion of the issues raised by appellant in this appeal.
CONTINUANCE
Appellant urges that he was denied his right to be present at trial, to cross-examine the witnesses against him, and to present evidence in his own behalf by the trial court’s denial of his motion to continue the proceedings. He urges that the trial court abused its discretion by inferring pursuant to Rule 9.1, Rules of Criminal Procedure, 17 A.R.S., that his absence from trial was voluntary.
In denying the motion for continuance, the trial court noted that when appellant was released on his own recognizance he was advised of the terms and conditions of release and informed that he would be tried in absentia if he were not present for trial. The record also reveals that appellant’s counsel advised him of the trial date. We find that the trial court did not err in inferring pursuant to Rule 9.1 that appellant’s absence was voluntary. See State v. Tacon, 107 Ariz. 353, 488 P.2d 973 (1971), cert. dismissed, 410 U.S. 351, 93 S.Ct. 998, 35 L.Ed.2d 346 (1973); State v. Pena, 25 Ariz.App. 80, 541 P.2d 406 (1975). Since it is clear that appellant had not informed his attorney of his whereabouts, and his attorney had no reason to believe that appellant would appear for a later trial, there was no abuse of discretion by the trial court in denying appellant’s motion for continuance.
QUESTIONING OF WITNESSES BY JURORS
Before the presentation of any evidence, the trial judge instructed the jury as follows:
“Something I’ll let you do is this: Ask questions of the witness. Now, it doesn’t happen very often; but it is permissible under our rules and I like it. I have been doing it now for several months, and I think it really is a very useful tool. Usually the lawyers are very careful and they’ll ask the questions that really get out the essential information that you need to have; but sometimes there will be some lingering doubt in your mind or maybe you won’t quite have heard something, you want it explained a little and we’ll give you the chance to do that. The way we’ll do it is this: After each witness has finished his testimony, we’ll take a recess and ask the witness to wait around. You will go into the jury room and take your note pads with you; and if you have a question that you’d like to ask, don’t discuss it among yourselves. In other words, this has to be private. Write it out and hand it to the Bailiff. She will bring me all of the questions that the jurors have for a particular witness and I’ll go over them with the attorneys. From time to time we’ll decide that there are certain questions that we cannot ask under the rules of law; but generally we can ask them. Sometimes I’ll edit them a little bit just to make it an easier question, and then we’ll all come back into the Courtroom and I’ll put your questions to the witness, so keep that in mind. This is a very useful thing for you in getting all of the facts that are important in a case.”
The trial proceeded in accordance with this preliminary instruction, and a recess was taken after the completion of counsel’s examination of each witness. The jurors submitted questions to the court for all witnesses except three. The court determined the acceptability of each question after discussion with counsel in chambers, and those questions found acceptable were directed to the witness by the court.
On appeal, appellant does not claim that any specific question resulted in prejudice to him, but rather contends that the entire procedure was improper and constituted reversible error. He urges that by instructing and inviting the jurors to ask questions, the court interjected the jury into the adversary system and jeopardized its position as a fair and impartial arbiter of evidence brought before it by the appropriate officers of the court. Appellant further urges that the provisions of Rule 614(b), Rules of Evidence, 17A A.R.S., expressly authorizing the interrogation of witnesses by the trial judge, implicitly negate the trial judge’s authority to elicit questions from the jurors. He argues that a juror allowed to be an interrogator “will develop a line [of] questioning which predisposes that juror towards a particular finding of guilt or innocence and once committed to that role as an ‘advocate’ could well find it impossible to retreat once again to the position of a neutral arbiter.”
Neither appellant nor the state cites authority addressing the issue of the propriety of jurors asking questions during the course of trial. However, we note that this court addressed the issue in State v. Taylor, 25 Ariz.App. 497, 544 P.2d 714 (1976). In that case, the trial court preliminarily instructed the jury to refrain from asking questions of the witnesses. On appeal, the defendant argued that the instruction in effect denied him his constitutional right to a trial by a fair and impartial jury as provided by Arizona Constitution, art. 2, § 24. This court cited the general rule that the questioning of witnesses by jurors is left to the discretion of the trial court and appellate courts will not reverse unless there is a clear abuse of that discretion. We pointed out, however, the inherent dangers of allowing unrestrained questioning of witnesses by jurors, including disruption of trial, mistrials and reversals on appeal as a result of prejudicial questions. On the other hand, we noted that a well-informed juror serves the cause of justice. We concluded that the trial court should control direct questions to the witnesses by the jury but that jurors should be given the opportunity to raise questions or problems they may have to the court. We recommended that the court instruct the jurors that if they had questions or matters they wanted brought to the court’s attention they should advise the bailiff or the judge. The trial court, on receipt of such a question should notify counsel and discuss the question outside the presence of the jury to determine the proper method for dealing with specific questions or problems raised by the juror.
Although the propriety of allowing juror questioning of witnesses has been addressed in many jurisdictions, we have not found any cases in which the trial court so affirmatively elicited juror participation to the extent done in this case. On the other hand, we have not found any case in which reversal has been based on juror questioning in the absence of a showing of prejudice to the defendant. Most courts conclude, as this court did in State v. Taylor, supra, that the submission of jurors’ questions to a witness is left to the sound discretion of the trial court and will not constitute a basis for reversal unless there is an abuse of discretion.
We reject appellant’s argument that Rule 614(b) implicitly precludes the procedure utilized by the trial judge in this case. Rather, since that rule specifically authorizes the trial judge to interrogate a witness, we hold that he does not abuse his discretion in inviting the assistance of the jury to determine what questions he should ask. Here there has been no showing of prejudice so as to justify a finding of reversible error.
We conclude, however, that when the trial court invites and encourages the jury to participate in the questioning of witnesses, as the trial court did in this case, certain guidelines must be followed. First, the trial court should instruct the jury before any witness has testified that the jury will be permitted to present questions to the court to be asked of any witness for the purpose of clarifying the testimony of that witness. Although cumbersome and time consuming, the trial court may declare a recess or arrange a suitable time period for the submission of questions after the testimony of each witness. In that event, the jurors must be advised that they are not to discuss the case among themselves, but rather, each juror must decide independently any question he or she may have for a witness. The questions should then be given to the bailiff for submission to the court. The court should further advise the jury that it will determine whether the questions may be asked and that the court, itself, will question the witness. The court must review the questions with counsel, give counsel an opportunity to object on the record out of the presence of the jury, and rule on the objections before proceeding. If the question is irrelevant or clearly improper and prejudicial to the rights of either party, the question should not be asked. See State v. Martinez, 7 Utah 2d 387, 326 P.2d 102 (1958) (Worthen, J., concurring). Finally, after the witness’s answers have been given, counsel should be afforded an opportunity to direct further questions to the witness on the subjects raised by the juror question and the witness’s answers.
Because of the inherent risks in the practice of allowing jurors to pose questions to the witnesses, and the particular danger that a juror will not remain fair and impar tial, we hesitate to condone the court s encouraging jurors to question witnesses to the extent presented in this appeal. Nevertheless, we also believe that the interests of justice demand that jurors be well-informed with an opportunity to clarify matters they either did not hear or did not comprehend. We have been unable to find any reversal as a matter of policy because of the questioning of a witness, even directly by a juror, where the question posed was not prejudicial to the rights of a party. Our review of the record reveals that none of the questions posed in this case were prejudicial, and indeed, a few of the questions were directly relevant and helpful in clarifying the issues. We also note that the preliminary instruction in this case, informing the jurors that they would have an opportunity to present questions for the witnesses, lessened the chance that a juror might “blurt out” potentially objectionable questions in open court.
Under these circumstances, where the questioning was scrupulously controlled by the trial court, where counsel had an opportunity to object to the questions out of the presence of the jury, and where none of the questions posed reflected bias or prejudice on the part of the juror, we find that the trial court did not abuse its discretion by preliminarily instructing the jurors that they would be allowed to question the witnesses.
JUDGMENT OF ACQUITTAL
For his third issue, appellant argues that the trial court erred by refusing to grant his motion for a judgment of acquittal pursuant to Rule 20, Rules of Criminal Procedure, 17 A.R.S., on the charge of kidnapping with the intent to inflict sexual assault. The jury acquitted the defendant of this charge. Therefore there is no necessity to consider this issue on appeal. See State v. Linden, 136 Ariz. 129, 664 P.2d 673 (Consolidated) (1983).
AGGRAVATION
For his next issue on appeal, appellant argues that the trial court inappropriately used several factors as aggravating circumstances to enhance punishment. Appellant contends that the trial court improperly found the need for deterrence as an aggravating factor because the need for deterrence has been addressed by the legislature in establishing the terms of sentence. Appellant also contends that the use of his prior felony conviction as an aggravating factor resulted in double punishment because the conviction had been previously used to enhance punishment pursuant to A.R.S. § 13-604. In the same regard, he argues that the finding that the crimes were committed while on parole as an aggravating factor allowed the court to use his prior conviction for a third time to enhance punishment. He also asserts, in essence, that the trial court abused its discretion in finding that appellant had a bad attitude because the reasons for appellant’s absence from trial and sentencing were not established. He maintains that if he has the right to waive his appearance at trial, his absence at trial should not have been used as an aggravating circumstance against him.
The trial court has broad discretion in sentencing, and an abuse of that discretion will not be found absent a decision characterized by arbitrariness or capriciousness or by a failure to conduct an adequate investigation into the facts relevant to sentencing. State v. Gordon, 125 Ariz. 425, 428, 610 P.2d 59, 62 (1980). The trial court should consider not only the offenses charged, but also the past conduct and moral character of the defendant so that the punishment may fit both the offense and the offender. State v. Miller, 120 Ariz. 224, 228, 585 P.2d 244, 248 (1978). The cooperative attitude or lack of one is an appropriate factor in sentencing. See State v. Scrivner, 125 Ariz. 508, 510-11, 611 P.2d 95, 97-98 (App.1979). Finally, it is appropriate for the trial court to consider the objectives of sentencing, namely, retribution, restraint, deterrence and rehabilitation. Id.
A.R.S. § 13-702(D)(10) provides that in imposing an aggravated sentence, the court shall consider any factors which it “may deem appropriate to the ends of justice.” The need for deterrence may vary among offenders, and is greater certainly in those instances where a particular defendant has a substantial criminal background. The trial court should specifically consider the need for deterrence in imposing sentence. State v. Scrivner, supra. In light of the past criminal history and character of appellant, the trial court did not err in considering the need for deterrence as an aggravating factor.
We also conclude that the trial court did not err in using appellant’s prior felony conviction and the fact that he was on parole from that conviction when he committed these offenses as aggravating circumstances. Double jeopardy or double punishment principles do not preclude the trial court from using the prior conviction to impose an enhanced sentence under the recidivist statute, A.R.S. § 13-604, and to find aggravating circumstances under A.R.S. § 13-702. State v. Martinez, 130 Ariz. 80, 81, 634 P.2d 7, 8 (App.1981); cf. State v. Bly, 127 Ariz. 370, 621 P.2d 279 (1980) (court could consider use of deadly weapon to enhance sentence under § 13-604 and to find aggravation under § 13-702). We further conclude that the trial court could use defendant’s bad attitude, manifested in part by his failure to appear for trial and for sentencing, as an aggravating factor. Although a defendant may waive his presence at trial, the record is clear in this case that he absented himself from the proceedings in order to avoid prosecution and punishment. We find that the trial court did not err in imposing aggravated sentences.
PROOF OF THE PRIOR CONVICTION
Appellant presents two issues regarding the prior conviction involved in this case. First he asserts that the trial court erred in admitting exhibit 11 as proof of the prior conviction. Exhibit 11 is a six-page packet of documents reflecting appellant’s prior conviction in Oklahoma. Appellant contends that this exhibit was not properly authenticated. We have reviewed exhibit 11 and find that appellant’s contentions are without merit.
Rule 902(4), Rules of Evidence, 17A A.R.S., makes admissible, without further evidence of authenticity, certified copies of public records. The rule provides:
“Extrinsic evidence of authenticity as a condition precedent to admissibility is not required with respect to the following:
“(4) Certified copies of public records. A copy of an official record or report or entry therein, or of a document authorized by law to be recorded or filed and actually recorded or filed in a public office, including data compilations in any form, certified as correct by the custodian or other person authorized to make the certification, by certificate complying with Paragraph (1), (2), or (3) of this rule or complying with any applicable statute or rule.”
The exhibit in this case reveals that the acting director of records of the Oklahoma Department of Corrections, which had jurisdiction over the penal institutions of Oklahoma, had in his custody the original files and records of persons committed to the Department of Corrections. He certified that the attached photograph, fingerprint card, and commitment were correct copies of the original records of the appellant committed to the Department of Corrections. Attached to this statement is a certificate from the Office of the Secretary of State of Oklahoma certifying both the authority and signature of the acting director of records.
Rule 902(2), Rules of Evidence, 17A A.R.S. provides for self-authentication of a public document not under seal when the public document bears the signature “in his official capacity of an officer or employee” of any state “if a public officer having a seal and having official duties [in the state] of the officer or employee certifies under seal that the signer has the official capacity and that the signature is genuine.” It is therefore clear that exhibit 11 was properly self-authenticated pursuant to Rule 902(2).
Appellant’s second contention concerning the prior conviction is that the trial court improperly designated the prior conviction for larceny of a motor vehicle as a felony. The Oklahoma judgment indicates that appellant was sentenced to serve a term of three years in the Oklahoma State Department of Corrections for the conviction of larceny of a motor vehicle and that the sentence was suspended for 18 months for release on probation. The trial court found that the sentence imposed was in excess of one year and found that the prior conviction constituted a felony.
A.R.S. § 13-604(1) provides:
“A person who has been convicted in any court outside the jurisdiction of this state of an offense which if committed within this state would be punishable as a felony or misdemeanor is subject to the provisions of this section.... ”
A.R.S. § 13-1802(C) makes theft of property valued at $1,000 or more a class three felony; theft of property valued at $500 or more but less than $1,000, a class four felony; theft of property valued at $250 or more but less than $500, a class five felony; theft of property valued at $100 or more but less than $250, a class six felony; and theft of property valued at less than $100, a class one misdemeanor, unless such property is a motor vehicle, in which case the theft which would otherwise be a misdemeanor is a class six felony. Therefore, in all events, theft of a motor vehicle is a felony in Arizona. The trial court properly found appellant’s Oklahoma conviction to be a felony for purposes of A.R.S. § 13-604. Further, the question as to whether an out-of-state conviction would constitute a felony or a misdemeanor in Arizona is a question of law, which must be decided by the trial court. State v. Smith, 126 Ariz. 534, 617 P.2d 42 (App.1980). We conclude that the trial court did not err by admitting the state’s exhibit 11 and by finding that appellant’s prior conviction was for an offense which, if committed in Arizona, would have been a felony.
STATE’S ARGUMENT WITH REGARD TO SENTENCING
Without filing either a notice of appeal or a notice of cross-appeal, and without alleging error at the time of sentencing, the state asserts that this case must be remanded for resentencing because the trial court was mistaken as to the possible maximum sentence. As a repetitive and dangerous offender, appellant faced a maximum sentence on the aggravated assault charges of 20 years, rather than 15. The trial court indicated its intention to impose the maximum sentence, but sentenced appellant to a term of 15 years. The state argues, therefore, that we must remand this case for resentencing because the trial court did not consider the dangerous nature of the aggravated assaults pursuant to A.R.S. § 13-604(G).
A.R.S. § 13 — 4031 provides for the state’s right to appeal. The statute provides in pertinent part:
“The state, ... may appeal as prescribed by law and in the manner provided by the rules of criminal procedure .... ”
A.R.S. § 13-4032(6) provides that the state may appeal from “[a] sentence on the grounds that it is illegal, or if the sentence imposed is other than the presumptive sentence authorized by § 13-604 or 13-701.” The right to appeal exists only by statute, and to exercise that right, a party must bring himself within the conditions prescribed by the statute. State v. Vallejos, 87 Ariz. 119, 122, 348 P.2d 554, 556 (1960). Since the state has failed to appeal in accordance with the provisions of Rule 31.2, Rules of Criminal Procedure, 17 A.R.S., it has not appealed pursuant to the appropriate statute. Thus, we find that the question raised by the state is not properly before this court at this time.
For the foregoing reasons, the judgments and sentences are affirmed.
EUBANK and MEYERSON, JJ., concur.
SUPPLEMENTAL OPINION
HAIRE, Presiding Judge.
On April 12, 1983, this court filed its opinion affirming appellant’s conviction and sentence. See State v. LeMaster, 137 Ariz. 159, 669 P.2d 592 (App.1983). Thereafter appellant timely filed a motion for rehearing. While this court was considering appellant’s motion, the Arizona Supreme Court issued its opinion in State v. Fettis, 136 Ariz. 58, 664 P.2d 208 (1983), holding that in the absence of extraordinary circumstances, sentence may not be imposed on a convicted defendant in absentia. We note that appellant was sentenced in absen-tia and that the record does not disclose any “extraordinary circumstances” as that term is used in Fettis.
The supreme court has indicated that Fettis will have prospective application only. A review of Arizona cases suggests confusion in interpreting the term “prospective application.” The supreme court has stated that a decision is to be applied prospectively and then has refused to apply the decision to cases pending on appeal. See, e.g., State v. Stenrud, 113 Ariz. 327, 329, 553 P.2d 1201, 1203 (1976); State v. Taylor, 109 Ariz. 140, 142, 506 P.2d 1034, 1036 (1973). In cases dealing with use of post-hypnotic testimony, the court has held a decision to be prospective and applicable to some pending appeals, but announced a different standard for other appeals. See State ex rel. Collins v. Superior Court, 132 Ariz. 180, 190, 644 P.2d 1266, 1276 (1982). More recently, the court has indicated that prospective application of a decision means that a decision applies to cases tried after the date of filing as well as to cases pending on appeal as of that date. See State v. Nunez, 135 Ariz. 257, 660 P.2d 858, 859 (1983). This latter interpretation is consistent with the general rule that when there is a change of law by judicial decision between the time of trial and the time of appeal the appellate court will apply the law prevailing at the time of the appellate disposition. Arnold v. Knettle, 10 Ariz.App. 509, 511, 460 P.2d 45, 47 (1969).
We conclude that we are compelled to follow the latest interpretation of “prospective application” enunciated in Nunez. We therefore hold that Fettis precludes sentencing a defendant in absentia except in extraordinary circumstances in all cases pending on appeal as of April 28,1983, the date on which the supreme court filed Fettis. Because on that date we had not yet ruled on appellant’s motion for rehearing, this case had not become final. Applying the law as announced in Fettis to this case, we are required to vacate appellant’s sentence.
The motion for rehearing is denied; the judgment of conviction is affirmed; and the sentence imposed is vacated. The cause is remanded to the trial court for resentenc-ing at such time as the appellant is present before the sentencing judge.
EUBANK and MEYERSON, JJ., concur.
. Appellant was absent from both the trial and sentencing proceedings, and from the record it does not appear that he has subsequently been apprehended.
. See Cheeks v. State, 266 Ind. 190, 361 N.E.2d 906 (1977); Lucas v. State, 381 So.2d 140 (Miss.1980); Raynor v. State, 1 Tenn.Cr.App. 556, 447 S.W.2d 391 (1969); Annot., 31 A.L.R.3d 872 (1970).
. Rule 614(b) reads as follows:
“(b) Interrogation by court. The court may interrogate witnesses, whether called by itself or by a party.”
. Formerly A.R.S. § 13-702(D)(9).
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OPINION
BIRDSALL, Judge.
This appeal is from a summary judgment in favor of the defendants, Tucson General Hospital and Dr. G.D. Griesemer, in a medical malpractice action.
The hospital’s motion for summary judgment was based on the appellant-plaintiff’s failure to identify an expert witness. The hospital contended that the appellant’s claim that its nurse-employee negligently gave him an injection causing damage to his sciatic nerve required the testimony of an expert medical witness that what the nurse did fell below the standard of care. The motion directed the court’s attention to interrogatories requesting the appellant to identify an expert witness. The interrogatories submitted May 28, 1981, were still unanswered on February 12, 1982, when the motion was filed.
The appellee doctor’s motion asserted that the appellant’s only claim of negligence against him was “prescribing vistaril and ordering it for the plaintiff”. Vistaril was the drug which the nurse injected. The doctor contends that expert medical evidence is necessary to show that this conduct fell below the standard of care. The motion contains an assertion that no such medical witness can, or does, exist.
The hospital’s motion contained the stock phrase that the motion should be granted “for the reason that pleadings, depositions and answers to interrogatories show that there is no genuine issue as to any material fact and that your moving party is entitled to judgment as a matter of law.” Rule 56(c), Arizona Rules of Civil Procedure, 16 A.R.S. The doctor’s motion was “on the grounds that the pleadings, depositions and testimony at the Medical Liability Panel Hearing show ....” Neither motion referred to any specific “evidence” and no affidavits were attached. The record contains five depositions all filed in the superi- or court in August and September, 1981. The deponents were: Leon George McWain, taken on July 24, 1981, received September 11, 1981; Gerald D. Griesemer, M.D., taken on July 29, 1981, received September 14, 1981; Helen G. Braase, taken on July 31, 1981, received August 19, 1981; George F. Martin, M.D., taken on August 19, 1981, received September 1, 1981 and Philip R. Weinstein, M.D., taken on September 8, 1981, received September 16, 1981. The record does not, however, contain any transcripts from the panel hearing or any answers to interrogatories.
The appellant filed no opposition to the motion. So far as the motions are concerned all the record shows is presence of the appellant’s attorney at the hearing and that “counsel argue said motions to the court”. The hearing was apparently unreported — we have no transcript.
Prior to the filing of the appellees’ motions the case was assigned to Judge Hooker for the purpose of forming a medical liability review panel pursuant to A.R.S. § 12-567. The panel heard the case August 28, 1981. Its decision in favor of each defendant was filed October 20, 1981. However, that decision was set aside on the appellant’s motion to allow the parties to present closing arguments. Written memo-randa were filed in lieu of oral argument and a second panel decision in favor of the defendants was filed May 12, 1982.
The motions for summary judgment were heard July 19,1982 and taken under advisement. They were granted September 2, 1982. Thus it can be seen that the panel and the summary judgment proceedings were somewhat overlapping.
We must decide whether the matters brought to the court’s attention by the appellees show: (1) that there is no genuine dispute as to any material fact, and that only one inference can be drawn from those undisputed material facts, and (2) that based on those undisputed material facts the appellees were entitled to judgment as a matter of law. Rule 56(c), Arizona Rules of Civil Procedure, 16 A.R.S.; Choisser v. State ex rel. Herman, 12 Ariz.App. 259, 469 P.2d 493 (1970). We must also view the record in the light most favorable to the appellant. Choisser, supra. However, since there was no response to the motions, uncontroverted evidence favorable to the appellees from which only one inference can be drawn will be presumed to be true. Choisser, ibid; Pitzen’s Wig Villa v. Pruitt, 11 Ariz.App. 332, 464 P.2d 652 (1970); Rule 56(e), Arizona Rules of Civil Procedure, 16 A.R.S. Also, we need not consider the dep ositions which were not brought to the attention of the trial court. See Choisser, supra; Pitzen’s Wig Villa, supra. Neither the trial court nor this court has a duty to search the record for evidentiary matters which the parties fail to identify.
The factual matters contained in the summary judgment motions, i.e., that the appellant complains of an intramuscular injection by a nurse causing damage to the sciatic nerve and that Dr. Griesemer prescribed the drug used in the injection, are all contained in the appellant’s complaint or other pleadings filed by him. The question of concern here is whether, as a matter of law, the appellant had to produce evidence that the actions of the nurse and/or the doctor were below the standard of medical care and therefore malpractice.
The trial court implicitly held that expert testimony was necessary and we agree. The Arizona Supreme Court in Riedisser v. Nelson, 111 Ariz. 542, 534 P.2d 1052 (1975), stated:
“The question of a physician’s skill or failure to use his skill is a material question of fact, and on a motion for summary judgment, the party opposing the motion must show that at trial, [sic] he would be able to show evidence that the physician lacked or did not apply the proper skills.”
And Pendleton v. Cilley, 118 Ariz. 84, 574 P.2d 1303 (1978) provides:
“It is established that a physician’s negligence must be shown by expert medical testimony unless the negligence is so grossly apparent that a layman would have no difficulty in recognizing it. Harvey v. Kellin, 115 Ariz. 496, 566 P.2d 297 (1977); Riedisser v. Nelson, 111 Ariz. 542, 534 P.2d 1052 (1975); Boyce v. Brown, 51 Ariz. 416, 77 P.2d 455 (1938). The burden of establishing negligence must be met both at trial and in opposition to the defendant’s motion for summary judgment. Riedisser, supra; Abernethy v. Smith, 17 Ariz.App. 363, 498 P.2d 175 (1972). We have said that a party opposing a motion for summary judgment must show that evidence is available which would justify a trial of that issue. Crocker v. Crocker, 103 Ariz. 497, 446 P.2d 226 (1968).”
See also Hunter v. Benchimol, 123 Ariz. 516, 601 P.2d 279 (1979).
The appellant attempts to rely on the doctrine of res ipsa loquitur. That doctrine is not applicable to this fact situation. Res ipsa is essentially a rule of circumstantial evidence where the trier of fact is permitted, but not required, to draw an inference of negligence from the happening of an accident of a kind which experience has shown does not normally occur if due care is exercised. O’Donnell v. Maves, 103 Ariz. 28, 436 P.2d 577 (1968).
The conditions necessary for the application of the res ipsa loquitur doctrine are:
1. The accident must be of a kind which ordinarily does not occur in the absence of someone’s negligence;
2. It must be caused by an agency or instrumentality within the exclusive control of defendant;
3. It must not have been due to any voluntary action on the part of the plaintiff;
4. Plaintiff must not be in a position to show the particular circumstances which caused the offending agency or instrumentality to operate to his injury. O’Donnell v. Maves, supra; Tiller v. Von Pohle, 72 Ariz. 11, 230 P.2d 213 (1951); Faris v. Doctors Hospital, Inc., 18 Ariz.App. 264, 501 P.2d 440 (1972).
The res ipsa doctrine will only be applied when it is a matter of common knowledge among laymen or medical men, or both, that the injury would not ordinarily have occurred if due care had been exercised. The mere fact that an occurrence is rare does not lead to the application of the doctrine. There must be evidence that the event or injury is more likely than not, the result of negligence. Falcher v. St. Luke’s Hospital Medical Center, 19 Ariz.App. 247, 506 P.2d 287 (1973). In determining whether the doctrine applies the court may rely on both common knowledge and the testimony of expert witnesses. Harris v. Campbell, 2 Ariz.App. 351, 409 P.2d 67 (1965). However, unless it is within the realm of the laymen’s experience, medical evidence is required to show the plaintiff’s injury is of a kind which ordinarily does not occur in the absence of someone’s negligence. Ga-ston v. Hunter, 121 Ariz. 33, 588 P.2d 326 (1978); Riedisser v. Nelson, supra.
Arizona has applied the res ipsa loquitur doctrine in the following cases. In Dodson v. Pohle, 73 Ariz. 186, 239 P.2d 591 (1952), a month old child was burned from a vaporizer, and there was testimony that if the vaporizer was properly used such burns ordinarily would not occur. In Southern Methodist Hospital and Sanitorium of Tucson v. Wilson, 51 Ariz. 424, 77 P.2d 458 (1938), a newborn baby was burned by a hot water bottle while in the hospital nursery and the doctrine was invoked. In Tucson General Hospital v. Russell, 7 Ariz.App. 193, 437 P.2d 677 (1968), the plaintiff was injured when an x-ray machine fell on her while she was lying on the x-ray table. In Tiller v. Von Pohle, supra, the plaintiff submitted to surgery. Two years later the same physician again did surgery in the same area and found a cloth sack there.
The Arizona courts have refused to apply the doctrine of res ipsa loquitur in the following cases. In Harris v. Campbell, supra, the plaintiff’s vagina shortened after a hysterectomy. The court found that the medical evidence did not support an inference of negligence and that the result was an inherent risk of the operation. In Faris v. Doctors Hospital, supra, the plaintiff complained of a herniated disc following a surgical procedure to drain an abscess in the pelvis. The medical opinions were that such condition could be caused by numerous possibilities. The court, therefore, held that there was no evidence that the injury complained of would not have normally occurred in the absence of someone’s negligence. In Falcher v. St. Luke’s Hospital Medical Center, supra, the plaintiff was left by a nurse on a hospital cart and when the nurse returned the patient had fallen off. Neither medical nor lay persons testified that the event was more probable than not the result of negligence and therefore the doctrine was not followed. In Riedisser v. Nelson, supra, pelvic surgery was performed, and the court found that summary judgment was properly granted since the plaintiff failed to establish by medical testimony that the injury ordinarily does not occur in the absence of negligence. In Ga-ston v. Hunter, supra, the patient was injected with a substance to dissolve a herniated lumbar disc. The court refused to apply the doctrine since there was no evidence that the injury complained of would not have normally occurred in the absence of someone’s negligence.
These cases teach that before the doctrine of res ipsa loquitur may be applied there must first be evidence that a negligent act of the defendant is more likely to cause the injury than any other possible cause. There is no such evidence here. The method of giving an injection or the site of the injection or the drug prescribed, are the proper subjects of medical expertise to assist a lay jury in determining the facts. The burden was on the appellant to establish a standard of care and to prove a deviation from that standard by expert medical testimony unless the deviation is so grossly apparent that a layman would have no difficulty in recognizing it.
The appellant cites Bardessono v. Michels, 3 Cal.3d 780, 478 P.2d 480, 91 Cal.Rptr. 760 (1971). The case is inapposite since the plaintiff produced expert testimony concerning the standard of care violated. The California court did hold, however, that since injections do not ordinarily cause trouble unless negligently or unskillfully done, a lay person could rely on his common knowledge and apply the doctrine of res ipsa loquitur. We disagree and find that reasoning inconsistent not only with Arizona law but the vast majority of jurisdictions. See Bialer v. St. Mary’s Hospital, 83 Nev. 241, 427 P.2d 957 (1967); Buchanan v. Downing, 74 N.M. 423, 394 P.2d 269 (1964); Toy v. Rickert, 53 N.J.Super. 27, 146 A.2d 510 (1958); Graham v. St. Luke’s Hospital, 46 Ill.App.2d 147, 196 N.E.2d 355 (1964); Crewse v. Munroe, 224 Or. 174, 355 P.2d 637 (1960); Southwest Texas Methodist Hospital v. Mills, 535 S.W.2d 27 (Tex.Civ.App.1976). And see Annot. 45 A.L.R.3d 731 (1972).
The majority and better-reasoned rule is that in cases of this type expert testimony is required to prove that the person giving the injection either did it improperly or injected it in an incorrect site or that the drug should not have been prescribed. No such evidence exists here.
Affirmed.
HOWARD, C.J., and HATHAWAY, J., concur.
|
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OPINION
HATHAWAY, Judge.
This appeal is taken from the trial court’s denial of petitioner/appellant husband’s re quest for a modification of spousal maintenance. The parties were divorced in 1978 and the final decree of dissolution stated in paragraph two of the court’s order:
“The Petitioner, CHARLES EDWIN KELLER, is assigned and awarded as his sole and separate property the following: a. The gross retirement income from the United States Air Force; including cost of living increases;”
Paragraph five of the order read:
“Petitioner shall pay to Respondent as and for spousal maintenance or alimony the sum of FIVE HUNDRED THIRTY-SEVEN DOLLARS AND NO/lOO CENTS ($537.00) per month, commencing April 1,1978, until the death of either the Petitioner or Respondent; and the Petitioner shall execute Air Force Form No. 836 designated Retired Pay Allotment Authorization to Respondent. Petitioner shall pay as additional spousal maintenance one-half (V2) of any cost of living increases which he receives by virtue of his retirement from the UNITED STATES AIR FORCE until either the death of the Petitioner or Respondent. Further, that the remarriage of the Petitioner or Respondent shall not affect Petitioner’s obligation to pay spousal maintenance.”
In June 1982, appellant filed a petition seeking a termination or reduction in spousal maintenance. After a hearing, the court found changed circumstances and in July ordered that spousal maintenance be reduced to $700 per month. Appellee filed a motion for new hearing or, in the alternative, a motion for reconsideration. A hearing was held on this motion in November 1982. Subsequently, the court vacated the July order, denied appellant’s request for reduction of spousal maintenance and found that the spousal maintenance was actually an award to appellee of a portion of the military retirement benefits as her community property.
Appellant raises several issues in this appeal. He argues that the lower court erred in finding that the disputed award was a division of property where the clear and unambiguous terms of the divorce decree establish that paragraph five is an award of modifiable spousal maintenance. We disagree.
The parties to a divorce may, by agreement between themselves, settle and adjust all property rights growing out of the marital relation and, in the absence of fraud or undue influence, such an agreement is binding upon the parties. The court is not bound by any such agreement and can, if it believes the agreement to be unfair or inequitable, reject or modify the agreement. Wick v. Wick, 107 Ariz. 382, 489 P.2d 19 (1971); In re Estate of Harber, 104 Ariz. 79, 449 P.2d 7 (1969); In re Estate of Henry, 6 Ariz.App. 183, 430 P.2d 937 (1967). In the original divorce proceedings, both parties were represented by counsel (neither of whom are involved in this appeal) and the court accepted the agreement which had been drafted by appellee’s former counsel. That agreement and the decree are res judicata and cannot be modified.
The order granting the motion for new hearing was based upon the finding that the alimony was given in consideration for the property settlement and was therefore not subject to modification. Gillespie v. Gillespie, 74 Ariz. 1, 242 P.2d 837 (1952). In making such determinatipn, the trial court may consider all relevant factors leading up to the decree. Simpson v. Superior Court, 87 Ariz. 350, 351 P.2d 179 (1960), followed in States v. States, 124 Ariz. 189, 603 P.2d 81 (1979).
The decision of the trial court is supported by the terms of the divorce decree in paragraph 5 where the appellee is given one-half of the retirement pay, including cost of living increases, and the payments are to continue until death and are not to be affected by the remarriage of either. Additionally, the testimony of both parties support the court’s conclusion that the payments were given in exchange for appellee’s releasing her community claims in the retirement fund. We do not find the language of the agreement so clear and inclusive of the parties’ understanding as to foreclose the court’s inquiry.
We do not find appellee estopped from asserting that the alimony was given in consideration for the property settlement. Appellee has consistently maintained that the payments were alimony, albeit in the second hearing it was contended that the alimony couldn’t be altered because it was given in consideration of the property settlement. Cf., Simpson v. Superior Court, supra; see also Sailes v. Jones, 17 Ariz.App. 593, 499 P.2d 721 (1972); 31 C.J.S., Estop-pel, § 117, p. 625-626, n. 61.15.
With reference to appellant’s argument that the order granting appellee’s motion for new hearing is not sufficiently definite, Rule 59(m), Rules of Civil Procedure, is satisfied where “both the parties and the appellate court receive adequate notice of the grounds on which the trial court relied.” Reeves v. Markle, 119 Ariz. 159, 164, 579 P.2d 1382, 1387 (1978). The record clearly discloses the court’s reason for granting the motion for new hearing was in application of the test set forth in Simpson v. Superior Court, supra. The court stated:
“Pm saying that I am adopting the five points that are set forth in Simpson and Gillespie which bear on the circumstances and events leading up to entering into the agreement, and the fact that paragraph was put there in consideration of Mrs.Keller’s interest in the husband’s retirement pay.” (Emphasis added)
The grounds for the court’s decision were adequately established. Rules of Civil Procedure, Rules 59(a)(8) and 59(m), 16 A.R.S.
Affirmed.
HOWARD, C.J., and BIRDSALL, J., concur.
|
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OPINION
HOWARD, Chief Judge.
Appellant entered into a one-week car rental agreement with National Car Rentals in Tucson, renting a 1982 Toyota Corolla. He did not return the car to the car rental agency when the term of the lease expired and one month later, while he was traveling to Texas, he was arrested for being in possession of a stolen car. He was tried before a jury on one count of theft of property of a value of more than $1,000 and one count of fraudulent use of a credit card exceeding $100. When the jury went to deliberate, it took with it, as an exhibit in evidence, the car rental agreement which stated, inter alia, that if he did not return the car within 72 hours of the specified date and time he would be subject to imprisonment in the state prison for 1.9 years or a fine of up to $150,000. No objection was ever made to the admission of this exhibit or to any of the matter contained thereon.
The jury found appellant guilty on both counts and he was sentenced to five years’ probation and restitution of $1,195.17 on the theft conviction and three years’ probation on the fraudulent use of a credit card conviction, the latter offense being designated a misdemeanor, and both sentences to run concurrently.
He contends on appeal (1) that fundamental error was committed by allowing the jury to have before it an exhibit having information regarding punishment; (2) that the trial court erred in refusing to instruct the jury on the offense of unlawful failure to return rental property as a lesser-included offense of theft; and (3) that failure to instruct the jury on the issue of fraud resulted in an unconstitutional application of the theft statute. We do not agree and affirm.
Admission of the exhibit was not fundamental error. It did not go to the foundation of the case, or take from appellant a right essential to his defense. Nor was this such an error as to make it impossible for appellant to have a fair trial. State v. Thomas, 130 Ariz. 432, 636 P.2d 1214 (1981). Absent fundamental error, lack of á timely objection operates as a waiver on appeal. State v. Nelson, 129 Ariz. 582, 633 P.2d 391 (1981). Furthermore, the trial court in its final instructions directed the jury to disregard possible punishment.
In determining whether an offense is a lesser-included one, the test is whether the greater offense cannot be committed without necessarily committing the lesser. State v. Malloy, 131 Ariz. 125, 639 P.2d 315 (1981). Appellant was charged and convict ed of theft by conversion in violation of A.R.S. § 13-1802(A)(2) which states:
“A. A person commits theft if, without lawful authority, such person knowingly:
******
2. Converts for an unauthorized term or use services or property of another entrusted to the defendant or placed in the defendant’s possession for a limited, authorized term or use; ...”
Unlawful failure to return rented property is defined in A.R.S. § 13-1806(A) and (B):
“A. A person commits unlawful failure to return rented property if, without notice to and permission of the lessor of property leased for a period of thirty-one days or less, such person knowingly fails without good cause to return such property within seventy-two hours after the time provided for such return in the rental agreement.
B. The lessor shall include within the rental agreement, in bold print, clear written notice to the lessee of the date and time on which return of the property is required and of the maximum penalties to which the lessee shall be subject upon failure to return the property within seventy-two hours of that date and time.”
It is obvious that a person can commit theft in violation of A.R.S. § 13-1802(A)(2) without committing the offense of unlawful failure to return rented property, A.R.S. § 13-1806. For example, A, an employer, entrusts his automobile to B, his employee, with instructions to drive to Phoenix and deliver a package to a customer. B instead drives to California where he remains for three weeks until he is arrested. While B violated A.R.S. § 13-1802(A)(2) it is clear that he did not violate A.R.S. § 13-1806 since there was no written rental agreement between A and B.
Next, citing the case of State v. Leeman, 119 Ariz. 459, 581 P.2d 693 (1978), appellant contends that unless the jury is instructed on the issue of fraud that the theft/embezzlement statute is unconstitutional since it violates Art. 2, § 18 of the Arizona Constitution which prohibits imprisonment for debt except in cases of fraud. Appellant has completely misread State v. Leeman, supra. It does not stand for the principle that there must be fraud in order for there to be a constitutional conviction of theft by embezzlement. Lee-man concerns the construction of former A.R.S. § 13-682 which is not relevant to this case.
Affirmed.
HATHAWAY and BIRDSALL, JJ., concur.
|
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OPINION
EUBANK, Judge.
Pursuant to a plea agreement, appellant pled guilty to the crime of driving under the influence of intoxicating liquor while on a revoked operator’s license in violation of A.R.S. § 28-692.02, a class five felony. The trial judge suspended his sentence and placed appellant on probation for one year on condition that he spend six months “in prison” as is required by A.R.S. § 28-692.-02(A), infra. He appeals from the suspended sentence and raises just one issue:
Can a defendant, convicted of a felony DWI, [while on a revoked operator’s license] be required to serve six months in the Department of Corrections as a condition of a one year probationary term?
Our answer is “yes” and we affirm the judgment, the suspended sentence and the probation order of the trial court.
Appellant contends that the express language of A.R.S. § 28-692.02 does not support the suspended sentence he received. He further contends that the trial court’s disposition of his case is “inconsistent with well reasoned and established sentencing and probationary policies as well as [being] undoubtedly unconstitutional.”
Addressing the first contention that the express language of the statute does not support the suspended sentence, it is necessary to examine the statute in order to determine the intention of the legislature. State v. Barnard, 126 Ariz. 110, 612 P.2d 1073 (App.1980). Section 28-692.02(A) states:
A. A person whose operator’s or chauffeur’s license is suspended, can-celled, revoked or refused and who commits an offense in violation of § 28-692 during the period of such suspension, cancellation, revocation or refusal, or a person who has never applied for or obtained an operator’s or chauffeur’s license or a person who has never reapplied for or obtained such license after suspension, cancellation, refusal or revocation pursuant to § 28-691 or § 28-692.01, who commits a second offense in violation of § 28-692, is guilty of a class 5 felony and shall be sentenced to serve not less than six months in prison. A judge shall not grant probation, pardon, parole, commutation or suspension of sentence or release on any other basis, except upon the condition that the person serve not less than six months in prison. (Emphasis added).
When the underlined portion of the subsection was inserted into the statute at the time it was amended in 1982, the legislature included a statement of its purpose in enacting the statute. Laws 1982, Ch. 234, § 1 reads:
Section 1. Purpose
By this act the legislature recognizes that alcohol-impaired drivers are a danger to the people of this state. It is therefore the purpose of this act:
1. To insure that any person who operates a motor vehicle within this state while affected by alcohol will be prosecuted to the full extent of the law by those who administer the criminal justice system.
2. To maintain public records of the dispositions of these cases for public scrutiny.
3. To provide that driving while having a .10 or higher blood alcohol level is a criminal offense.
4. To deter persons from driving while affected by alcohol by providing for penalties that are commensurate with the seriousness of this offense.
Thus, the legislature clearly expressed its intention to strengthen the penalties for drunken drivers and drunk driving repeat offenders. In response to this purpose, the legislature upgraded the violation of A.R.S. § 28-692.02(A) from a class six felony to a class five felony. While a class six felony, under A.R.S. § 13-702(H), permits the sentencing court to treat the violation as a misdemeanor, under certain circumstances, a class five felony does not afford the court any such discretion, and such classification increases the presumptive sentence from one and one-half years to two years imprisonment. Further, the legislature required that a person sentenced for a violation of the statute be sentenced “to serve not less than six months in prison” and that probation “or release on any other basis” not be granted except upon condition “that the person serve not less than six months in prison.” Prior to the 1982 amendment, the court could suspend a sentence under this statute and place the offender on probation only pursuant to A.R.S. § 13-901. After the 1982 amendment, this could not be done. It is our opinion that the intention of the legislature is clearly expressed in its stated purpose, supra, and that the 1982 amended A.R.S. § 28-692.02(A) conforms to that stated purpose: to deter persons from driving while affected by alcohol by providing for penalties that are commensurate with the seriousness of this offense. In this regard, our supreme court, in a recent opinion, commented on the seriousness of the drunk driving problem and the legislature’s response to it in these words:
The Arizona Legislature has determined that a speedy method of handling drunk drivers is imperative to combat the carnage on our highways. This legislative concern is evidenced by the recent enactment of the new drunk-driving law with its stiffer penalty, the unavailability of plea-bargaining in connection with a DWI charge and the per se illegality of driving with 0.10 percent blood alcohol. As in California, the number of license-revocation hearings in Arizona is great and likely to increase under this new law.
Martin v. Superior Court of Maricopa County, 135 Ariz. 258, 660 P.2d 859, 862 (1983).
The legislative history of A.R.S. § 28-692.02 supports our conclusion that the legislative intent is clear. It demonstrates the struggle that the legislature has had over the years with devising a penalty for the crime of drunk driving. The present statute was enacted in Laws 1972, Ch. 160, § 2, and the penalty provided for “imprisonment in the state prison for not less than one nor more than five years or by imprisonment in the county jail for not to exceed one year.” The penalty was considered too strong and was amended in the Laws 1975, Ch. 165, § 1 by deleting “by imprisonment in the state prison for not less than one nor more than five years” and leaving the county jail time intact. Next, the new revised Criminal Code amended the penalty provision by entirely removing the penalty provision and replacing it with the new penalty: “is guilty of a class 6 felony.” Laws 1978, Ch. 201, § 469. Finally, in Laws 1982, Ch. 234, § 9, the legislature upgraded the crime to a class five felony and provided for a mandatory minimum term of “six months in prison.” Thus, the penalty has now evolved to require a mandatory six months in prison for the offender.
Turning to appellant’s second contention that the trial court’s disposition of his case is “inconsistent with well reasoned and established sentencing and probationary policies as well as [being] undoubtedly unconstitutional,” appellant contends that although his six-month prison term is proper under the penalty imposed by A.R.S. § 28-692.02, the trial judge had no authority to impose the six-month prison term as a condition of probation. As authority for his position, appellant cites, inter alia, State v. Evans, 109 Ariz. 491, 512 P.2d 1225 (1973), and State v. Van Meter, 7 Ariz.App. 422, 440 P.2d 58 (1968). Both of these cases predate the Revised Criminal Code and the 1982 amendment of A.R.S. § 28-692.02(A). In addition, both of these cases held that the sentencing courts were without statutory authority at that point in time to impose a prison term as a condition of probation.
Absent statutory authority, probation can only be conditioned upon those terms set forth in A.R.S. § 13-901 (or its predecessor § 13-1657). Appellant contends that the only incarceration permitted as a condition for probation is provided in A.R.S. § 13-901(F), which states:
When granting probation the court may require that the defendant be imprisoned in the county jail at whatever time or intervals, consecutive or nonconsecutive, the court shall determine, within the period of probation, as long as the period actually spent in confinement does not exceed one year or the maximum period of imprisonment permitted under chapter 7 of this title, whichever is the shorter.
Appellant further contends that the language of § 28-692.02(A) is insufficiently clear to “carve an exception” from the § 13-901 provisions. We disagree.
As discussed above, the plain language of § 28-692.02(A) expressly acknowledges the possibility of granting “suspension of sentence” and “probation” to a violator of the subsection. In addition, the subsection certainly does not create a bar against imposing such sentences. Rather, the subsection mandates the six-month prison term as a condition for any other possible sentence the trial judge may legitimately impose for a class five felony. A.R.S. §§ 13-701, 13-702. This does not conflict with § 13-901, but rather supplements that section with a mandatory condition for all sentences in A.R.S. § 28-692.02 cases. It is a special statute which governs the general statute. Since the legislature did not draft the mandatory condition to be mutually exclusive of other statutory conditions, the trial judge also has the authority to impose any condition allowed under § 13-901 in addition to the mandatory prison term condition. Cf. State v. Davis, 119 Ariz. 529, 582 P.2d 175 (1978) (statute requiring mandatory thirty to sixty day prison term for conviction of assault with a deadly weapon without a gun, not found to prevent trial court from also imposing additional jail time as a condition of probation under predecessor to A.R.S. § 13-901(F)).
We therefore reject appellant’s contention that A.R.S. § 28-692.02(A) is in conflict with A.R.S. § 13-901 and the general sentencing scheme. A sensible construction of the language of A.R.S. § 28-692.02(A), harmonized with statutes which are in pari materia, yields the result reached by the trial court sub judice. See State ex rel. Larson v. Farley, 106 Ariz. 119, 471 P.2d 731 (1970); Peterson v. Flood, 84 Ariz. 256, 326 P.2d 845 (1958).
Appellant’s final argument that A.R.S. § 28-692.02 is unconstitutionally vague because it did not give appellant fair warning of the crime, is without merit for the reasons stated above. The statute was clear enough that present counsel and appellant stipulated to the suspended sentence with a six-month prison incarceration as a part of the plea agreement.
For the above reasons, the judgment, suspended sentence and probation conditioned on appellant’s spending six months in prison are affirmed.
HAIRE, P.J., and MEYERSON, J., concur.
. Appellant makes the same arguments with regard to A.R.S. § 13-604(G) and its predecessor AR.S. § 13-1649. The same reasons discussed above in rejecting the A.R.S. § 13-901 arguments are applicable to § 13-604(G) contentions.
|
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OPINION
BIRDSALL, Judge.
The trial court sitting without a jury dismissed this action at the close of the plaintiff-appellant’s case. The trial court gave as its reason, the statute of limitations. The motion to dismiss could just as well have been granted for another reason urged, that the evidence was insufficient to support any of the appellant’s various theories. Despite the obvious lack of proof the appellant’s counsel has filed both opening and reply briefs which contain facts represented to be shown by the evidence. These “facts” are figments of counsel’s imagination; they are what he wishes the evidence had established. As the appellees argue, they are a recitation of his pleadings and not the evidence. There is no evidentiary basis for this appeal. The appeal is without merit and frivolous.
The complaint was “to impress constructive trust on property conveyed by plaintiff to defendant and to compel reconveyance of legal title”. It alleges that the appellant and the appellees stood in a confidential relationship at the time she signed a deed quit-claiming certain real property to the appellees; that she “desired that the appel-lee Elmo receive the property at her death if he would help her pay the mortgage” and “help her raise and support the seven minor children living with her on said property at the time of her husband’s death”; that Elmo, except for one year, did not help her raise and support the children; that appel-lee Martha tricked her into signing the deed; that at that time she believed she was going to die “because of a bad heart and that she wanted the appellees to care for her if she became disabled”.
The complaint also alleges that the appellant told Martha of her desires and that she thought she was signing a “testamentary document” when she executed the deed. Additional allegations are that no consideration was paid for the deed and the deed was never delivered and that later “to cover up their dishonesty and to take advantage of plaintiff’s widow’s tax exemption” the appellees conveyed a life estate in the property to the appellant. The answer admits only the preliminary matters and the execution and recording of the two deeds.
On appeal we must view the evidence in favor of the party against whom a verdict has been directed. Byrns v. Riddell, Inc., 113 Ariz. 264, 550 P.2d 1065 (1976).. The complaint should not have been dismissed if it was reasonably possible that legally sufficient evidence was produced on any theory. Nieman v. Jacobs, 87 Ariz. 44, 347 P.2d 702 (1959). Our review of the record, including the transcript references furnished by the appellant, discloses no evidence to support the alleged confidential relationship; the agreement that the property would be left to Elmo in return for his promise of assistance, etc.; the trickery or the coverup.
The evidence does show that in 1955 the appellant, a widow, then age 58 and apparently of sound mind, quit-claimed the property to her son Elmo and his wife Martha. At that time the appellant was worried about her heart although a medical doctor had allayed those fears. The deed, acknowledged by the appellant, was recorded in November. It had been signed in July. On December 15, 1956, the appellees executed and recorded a deed giving the appellant a life estate in the property. The appellant has received the income from it, including interest on the proceeds of a size- able condemnation award being held in trust pending these proceedings.
There was evidence that the appellant made statements that inferred she did not know she had signed a deed and thought she had signed a paper expressing a testamentary intent to transfer the property. In subsequent years she repeatedly asked Martha to return “the deed”, but this was apparently the deed to the appellant and her husband, not the quit-claim.
In 1972, prior to renting the property to a third party, a search of the property records revealed the appellees’ ownership subject only to the life estate in the appellant. At about the same time, Elmo, when asked by the other children, asserted his ownership interest in the property. The instant action was commenced on October 20, 1980. We have carefully examined not only each reference in the appellant’s briefs but the entire record. The record does not support the appellant’s version of the evidence. For example appellant’s counsel refers us to the deposition of “Justince (sic, Justine) Getty” for proof of the fact that “appellant without reading the document placed in front of her by Martha, signed the document, which was then notarized.” No part of that deposition was ever admitted in evidence. It was not before the trial court and we cannot consider it.
The appellant makes three arguments on appeal:
1) that the appellant was of unsound mind at the time the action accrued and therefore the statute of limitations was tolled under A.R.S. § 12-502;
' 2) that the statute of limitations did not commence to run against the appellant’s suit to enforce a resulting or constructive trust until she had knowledge of the underlying lack of consideration, fraud or mistake, and at that time she was of unsound mind; and
3) the appellees are estopped to plead the statute of limitations by reason of a fiduciary or confidential relationship between them and the appellant or because of mistake, misrepresentation or fraud.
A.R.S. § 12-502 states, in pertinent part, that:
“... [i]f a person entitled to bring an action ... is at the time the cause of action accrues ... of unsound mind . . . the period of such disability shall not be deemed a portion of the period limited for commencement of the action.”
In Arizona a person of unsound mind is generally considered to be “unable to manage his affairs or to understand his legal rights or liabilities.” Allen v. Powell’s International, Inc., 21 Ariz.App. 269, 518 P.2d 588 (1974). A.R.S. § 12-502 states that the condition of an unsound mind must be in existence at the time the cause of action accrues. Arizona is thus in line with the general rule that personal disabilities commencing after the time the cause of action accrues do not toll the statute of limitations. See 51 Am.Jur.2d, Limitation of Actions § 188. Thus, the trial court had to decide whether the appellant was of unsound mind and whether that condition existed at the time the cause of action accrued. The evidence shows the appellant’s cause of action accrued at the latest in 1972. No evidence contradicts a finding that at that time she had actual knowledge of the appellees’ remainder interest in the property and their intention to retain it. The statute of limitations was three years for the fraud claim, A.R.S. § 12-543, or at the most four years for breach of contract, A.R.S. § 12-550, Barrasso v. First National Bank, 122 Ariz. 469, 595 P.2d 1014 (App.1979).
No evidence, much less any clear and convincing evidence, even suggests that the appellant was of unsound mind prior to the events in 1972. There was no medical evidence or other expert testimony concerning her mental condition. Although she did have the illness in 1955 there is no suggestion that this affected her mind. Nowhere in the appellant’s statement of facts does counsel point us to any evidence showing the appellant to be of unsound mind.
In his reply brief counsel cites testimony from the appellant’s sister that “you never did know” (the condition of her sister’s state of mind), “she said things that she shouldn’t say” and “she didn’t know what she said.” Later the sister testified “she’s a very kind person, but she was ... she’s a sick person too, and she was always upset.... ” And later, “... she don’t like to talk to people. She don’t know what she says sometimes.” The most that can be said of this evidence is it shows she was sometimes confused and forgetful, just as she appeared to be as a witness. This is not evidence of incompetency. As early as 1921 our supreme court said:
“It is well settled that mere mental weakness in the grantor does not invalidate a deed. To have that effect the mental power must be so far deteriorated or destroyed that the grantor is incapable ' of understanding in a reasonable degree and knowing the consequences of the instrument he executes.” Pass v. Stephens, 22 Ariz. 461, 198 P. 712 (1921).
And see more recently Hendricks v. Simper, 24 Ariz.App. 415, 539 P.2d 529 (1975). The trial court could well have found that there was no evidence showing any incompetency, much less any prior to the events in 1972.
Assuming arguendo that all of the appellant’s theories are validly before us, the statute of limitations bars her action. Under the constructive trust theory if the reason for declaring a constructive trust is that the appellees acquired title to the property wrongfully, then a cause of action for its recovery accrues immediately, assuming the appellant had actual or imputed notice of the wrongful acquisition. See G.T. Bogert, The Law of Trusts and Trustees, § 953 (Revised 2d.Ed.1982). Arguably, the appellant had constructive notice in 1955 when the quit-claim deed was recorded. At the latest she received actual notice of the wrongful acquisition in 1972 when a search of the county records disclosed the appel-lees’ ownership interest to all concerned. Even assuming that the statute of limitations did not begin to run under the constructive trust theory until 1972, the appellant’s action would have been barred long before the institution of this action in 1980. The appellant’s contract action is barred by the statute for the same reason.
Finally, the appellant argues that the appellees should be estopped from pleading the statute of limitations as a bar since the transfer of title to the property occurred by reason of a fiduciary or confidential relationship between the appellees and the appellant or because of mistake, misrepresentation or fraud. The doctrine of estoppel may be used to bar a party’s right to assert the statute of limitations. See Cheatham v. Sahuaro Collection Service, Inc., 118 Ariz. 452, 577 P.2d 738 (App.1978); Irwin v. Pacific Am. Life Ins. Co., 10 Ariz.App. 196, 457 P.2d 736 (1969). In the present case, assuming the appellant justifiably delayed the initiation of an action to assert her rights in reliance on the fiduciary relationship between the parties or because of mistake, misrepresentation or fraud, she nevertheless had a reasonable time to sue after the promises or representations ceased to justify delay. See Brewer v. Food Giant Supermarkets, Inc., 121 Ariz. 216, 589 P.2d 459 (App.1978); 51 Am.Jur.2d, Limitation of Actions § 437. The grounds argued in justification for the appellant’s delay in asserting her rights terminated at the latest in 1972 when the true state of affairs was revealed to her. No excuse is offered for the eight-year hiatus before bringing this action.
The appellant knew or should have known of the true state of affairs in 1972 at the latest. At that time the statute of limitations began to run. It was not tolled by any personal disability. The appellant simply waited too long to commence her action.
We affirm the judgment of the trial court. We find this appeal frivolous, Rule 25, A.R.C.A.P., 17A A.R.S. We find appel lant’s counsel guilty of an unreasonable infraction of Rule 13(a)(4), A.R.C.A.P., 17A A.R.S. The statement of facts contained in the brief is totally unsupported by the record. We assess a penalty in the amount of $500 against appellant’s counsel (not the appellant) and in favor of appellees. Rule 25, ibid.
HOWARD, C.J., and HATHAWAY, J., concur.
. A nearly identical complaint on behalf of the other children was filed by the appellant’s counsel in November 1981.
. In the reply brief appellant’s counsel also referred to deposition testimony not in evidence. We granted the appellees’ motion to strike that part of the brief.
. “Brief of the Appellant. The brief of the appellant shall concisely and clearly set forth under appropriate headings and in the order here indicated:
... 4. A statement of facts relevant to the issues presented for review, with appropriate references to the record. The statement shall not contain evidentiary matter unless material to a proper consideration of the issues presented, in which instance a reference shall be made to the record or page of the transcript where such evidence appears.” (Emphasis supplied)
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OPINION
HOWARD, Chief Judge.
Appellant was convicted of conspiracy to escape and attempted escape. The evidence shows that he and another inmate of the Arizona State Prison, Jeffrey Lustig, had made dummies out of their clothes, papier maché, paint, and their own hair. On the evening of the attempted escape, they arranged the dummies in their bunks so that they would appear to be sleeping when the guards made the 9 p.m. body count, and hid themselves in a laundry cart that was pushed into the industrial yard. Their plan was foiled because a guard posted in one of the prison towers that was frequently left unmanned saw them in the cart.
Appellant and Lustig both chose to represent themselves and were appointed advisory counsel. Approximately two months before trial, Lustig was extradited to Cali fornia, so the trials of the two defendants were severed.
Appellant first contends that he was deprived of his right to represent himself. Before trial, appellant and Lustig moved that the court order the warden to give them access to the prison law library and to allow them to telephone at least one of the advisory counsel each week. Appellant also moved that the court order the warden to allow him to interview the state’s witnesses, who were all prison employees, and examine the physical evidence that the state was going to use against him. The trial court judge denied all these motions, explaining that he would not interfere with the administration of the prison.
If appellant had shown that the warden had denied him access to the library or his advisory counsel, or had refused to allow him to interview the witnesses or inspect the state’s evidence, then we might address the question of whether the courts should interfere in the prison’s administration when necessary to preserve an inmate’s Sixth Amendment rights. There is no indication in the record, however, that appellant was not afforded an opportunity to prepare his defense. In fact, the record shows that appellant ably defended himself, cited case law in his arguments to the court, and took the deposition of at least one of the state’s three witnesses. Because there was no showing that appellant’s right to represent himself was in any respect limited, the trial court did not err in refusing to grant appellant’s motions.
Appellant also argues that he should have been given the opportunity to confer with or interview Lustig after he had been extradited to California. All his citations in support of this argument, however, refer only to his right to secure witnesses in his behalf. He has cited no authority for his argument that he should have been provided with the means and opportunity to interview or confer with Lustig. Moreover, while appellant states in his brief that Lus-tig could have been presumed to be a prospective witness on appellant’s behalf, he never stated below that he wanted Lustig to appear as a witness. The court was not obligated to order Lustig’s appearance sua sponte where appellant had never informed the court that he wanted Lustig as a witness.
Appellant argues that the trial court should have suppressed the physical evidence that was seized from his cell after he was caught because the prison regulations governing room searches were violated. The applicable regulation states in part, “Unless prohibited by security considerations, residents shall be present when room searches are conducted.” Arizona Dept, of Corrections Internal Management Policy and Procedure Manual, No. 435, eff. 10/28/80.
Appellant’s right to have illegally seized evidence suppressed does not arise when prison regulations are violated, but rather when his Fourth Amendment right to be free from unreasonable searches and seizures is violated. As a prisoner, appellant’s Fourth Amendment rights are extremely limited, both because of the legitimate security needs of the prison and his diminished expectations of privacy. See United States v. Stumes, 549 F.2d 831 (8th Cir.1977). In Bell v. Wolfish, 441 U.S. 520, 99 S.Ct. 1861, 60 L.Ed.2d 447 (1979), the Court held that a pretrial detainee has no Fourth Amendment right to be present during a room search. As a convicted prison inmate, appellant’s Fourth Amendment rights are similarly reduced. Therefore, appellant did not have a constitutional right to be present when his cell was searched and items used by the state as evidence against him were seized. In addition, appellant could have had no reasonable expectation of privacy as to the dummy, which was the item he specifically objects to, because he had purposely placed it so as to be seen by the prison guards.
Appellant argues that his confession was not voluntary because it was made after a prison official told him he would not be charged with any crime. Captain Alex Cor-dova testified at the voluntariness hearing that he chatted with appellant and Lustig after they were caught and said something to the effect that he didn’t see how they could be tried for escape because they never got past the prison walls. Cordova did not remember whether this conversation took place before or after appellant was interrogated and made the confession. There was evidence from other prison officials who were present at the time that appellant did not have any conversations prior to the interrogation, but might have conversed with Cordova afterwards.
It is for the trial court to resolve any factual conflicts in the evidence. Its decision will not be disturbed unless there was clear and manifest error. State v. Tison, 129 Ariz. 526, 633 P.2d 335 (1981), cert. den. - U.S. -, 103 S.Ct. 180, 74 L.Ed.2d 147 (1982). There was evidence from which the trial court could have concluded that the conversation with Cordova occurred after appellant had already confessed and so could not have affected the voluntariness of the confession. Therefore, its finding that the confession was voluntary is affirmed.
Appellant also argues that the trial court erred in admitting evidence of his confession before the state had established the corpus delicti as to the conspiracy count. The rule is that there must be some evidence tending to prove the corpus delicti before a confession is admitted. State v. Bice, 127 Ariz. 312, 620 P.2d 227 (App.1980). Assuming arguendo this rule applies to a charge of conspiracy even if the corpus delicti of the underlying crime has been established, here, the state had already presented evidence tending to prove the corpus delicti of the conspiracy charge in that it had shown that appellant and Lustig had acted together in attempting the escape. Therefore, the confession was properly admitted.
Finally, appellant contends that the trial court erred in allowing the indictment to be amended after the jury had been empaneled and opening arguments made. Count One of the indictment charged:
“That on or about the 18th day of April, 1982, Jeffery [sic] C. Lustig and Stephen Bishop, persons in the custody of the Department of Corrections, conspired to escape, and in furtherance of such plan:
1. Prepared dummies to be placed in their cells to avoid being missed at a prison count; and
2. Entered and hid in laundry carts to leave their cell area; in violation of A.R.S. 13-2503, 13-701 and 13-801, a class 5 felony.”
After appellant brought the point to the state’s and the trial court’s attentions, the court granted the state’s motion to add a citation to A.R.S. § 13-1003, the conspiracy statute.
The indictment, as originally written, adequately notified appellant of the charges he faced. The lack of a citation to the appropriate statute was a technical defect because its amendment did not change the nature of the offense charged or prejudice the defendant in any way. State v. Bruce, 125 Ariz. 421, 610 P.2d 55 (1980). Therefore, under Rule 13.5(b), Arizona Rules of Criminal Procedure, 17 A.R.S., it could be corrected whenever the matter was presented to the court.
Affirmed.
HATHAWAY and BIRDSALL, JJ., concur.
|
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OPINION
KLEIN SCHMIDT, Presiding Judge.
This is an appeal from the order of the superior court denying the petitioner’s request for the issuance of a writ of habeas corpus to free him from the custody of the Arizona Department of Corrections. The petitioner, Robert V. Tuzon, contends that he was promised that the sentence he was serving would be commuted to immediate release with life parole in return for his cooperation and testimony in connection with cases arising out of the notorious Tison prison escape. It is conceded that if a binding agreement existed Tuzon has fulfilled his part of it. The question is whether he ever had an agreement with anyone authorized to promise his release.
The trial court afforded the petitioner a full and fair hearing that consumed the better part of eleven trial days. A review of the transcript of the hearing shows that Tuzon had every opportunity to develop and present his case. It is well that this is so because the petitioner challenges the integrity of high state officers and the system that they represent.
We affirm the judgment of the trial court. The record shows without dispute that the petitioner did not have an agreement with any person or persons who were authorized by law to effect his release.
Under the terms of A.R.S. § 31-402, the Arizona Board of Pardons and Paroles has exclusive power to pass upon and recommend commutations of sentence and no commutation can be granted by the governor unless it has first been recommended by the board. There is nothing in the statutory scheme which would empower one member of the board to speak or act for another or for the board as a whole.
The pertinent facts are these. The petitioner was, in 1979, serving a sentence of twenty years to life for second degree murder. In early July of 1978, he initiated contact with Ellis MacDougall, the then director of the department of corrections, and advised him in general terms of an impending escape. Tuzon wanted to make a deal to dismiss an escape charge that was pending against him and for release from his sentence so he did not tell MacDougall everything he knew about the escape plan. Instead, he requested MacDougall to contact William Friedl, his then attorney, so that some kind of agreement could be worked out.
On July 30, 1978, Gary Tison and Randy Greenawalt did escape and run amok. Before they were recaptured they killed six people. The authorities desperately sought their apprehension and throughout the period while the Tison gang was free the petitioner cooperated with the prosecutor and police. He provided a lead which may well have been responsible for their recapture in early August, 1978.
In September, 1978, petitioner was transferred to the California Men’s Colony for his own protection. During the time petitioner was in California, an Arizona law enforcement officer named Brawley, Michael Donovan, Deputy Maricopa County Attorney, and Friedl visited petitioner and arranged for his testimony and the testimony of petitioner’s wife in the upcoming Ti-son trial. The terms of that agreement were memorialized by Friedl in a note he made as follows:
6-18 interview — present Tuzon, Friedl, Donovan, Tom Brawley. — transactional immunity for Bob and Irma conveyed by Donovan simply for giving statement which was given.
Additionally — if Bob gave statement today any deal would be negotiated later. Bob would not be called to testify, nor Irma, until deal negotiated. If Bob didn’t like deal or no deal, Bob will not be called as a witness, nor would he be penalized.
Several exchanges give rise to Tuzon’s claim that he was promised his release. At some time before he testified in the Tison matter he was informed through his attorney that if he gave testimony in the Tison trials that the parole board would recommend a commutation that would work his immediate release. This was based upon a promise that Friedl testified was made by Robert Araza, the then chairman of the board of pardons and paroles. Friedl’s affidavit was attached to the petition for a writ of habeas corpus. It reads:
That I was specifically informed by ROBERT ARAZA that should ROBERT VINCENT TUZON testify for and on behalf of the State of Arizona in all matters requested against those persons involved in the prison escape involving GARY TI-ZON and in all subsequent and ancillary criminal matters arising therefrom, that upon notification by the Maricopa County Attorney’s Office of completion of' the same, and upon recommendation of the Maricopa County Attorney’s Office, ROBERT ARAZA assured a commutation and release from prison for Petitioner.
When he testified at the hearing Friedl explained this alleged promise in greater detail. He said that he knew that to secure Tuzon’s release he would have to get the concurrence of the parole board. He be lieved that if Tuzon received a recommendation from the board that the governor would follow it. At some time during the summer of 1979, Donovan and Friedl met with Araza. They discussed the past votes of the board members on prior Tuzon applications for commutation and Araza told Friedl that Araza and two other board members had voted against Tuzon’s application. The record does not clearly show whether or not Friedl knew that the prior votes were on motions to recommend a commutation to a sentence of ten years to life, a sentence that could not have resulted in immediate release or parole. Araza, according to Friedl, guaranteed that he would change his vote and persuade the two others to vote for a commutation that would work an immediate release.
Araza directly contradicts this evidence. The trial judge’s order makes no specific finding that Friedl is correct on this issue and Araza incorrect or vice versa. Instead, he found that if Araza made the promise he had no authority to speak for the other members of the board and that no enforceable agreement arose thereby. We agree.
Tuzon testified, however, that Ellis Mac-Dougall made certain promises to him and to Tuzon’s wife. Mrs. Irma Tuzon had information regarding the Tison escapes and she also cooperated with the authorities in an attempt to secure her husband’s freedom. Shortly after Tuzon told MacDougall of the impending escape, MacDougall remarked that if the information Tuzon was giving were true he, Tuzon, was a “shoo-in for release.” Further, according to Tuzon, shortly after the escape took place MacDou-gall told him that he had spoken with Friedl and the governor and that he was authorized to promise Tuzon his release if he helped capture the Tisons and Greenawalt. Mac-Dougall allegedly said that he was an extension of the governor’s office and that since the governor appoints the members of the board of pardons and paroles he could control the board’s actions. Still another promise of freedom was supposedly made by MacDougall at the Maricopa County Jail in September, 1978.
There was other testimony by Tuzon and his wife regarding comments made either to Tuzon or other members of his family by MacDougall or other employees of the department of corrections that, while too vague to be categorized as promises, can be construed as corroborating the assertion that a promise of release had been made.
Ellis MacDougall contradicted the assertion that he had ever promised Tuzon’s release or represented that he had authority from the governor to make such a promise. MacDougall’s position is strongly, if partially, corroborated by the evidence that when Donovan, Friedl, Brawley and Tuzon met at the California Men’s Colony in June, 1979, it was specifically agreed that the Tuzons would not have to testify in the Tison matter until a deal had been negotiated. Since many of MacDougall’s alleged promises occurred before the California meeting, it is obvious, if Friedl’s memo is correct, that no agreement had been worked out before that time.
Governor Bruce Babbitt also testified at the hearing. He stated that he did not delegate any authority to anyone in connection with the Tison matter but simply brought together various law enforcement agencies acting under the jurisdiction bestowed on them by law to coordinate the Tison manhunt. He testified that he did not authorize anyone to make any promises on his behalf and that he did not promise Tuzon anything through MacDougall.
The trial court found no compelling evidence of such a delegation of authority and noted that even if there had been such a delegation MacDougall and the governor had no authority'to bind the board of pardons and paroles. The trial judge stated that he believed, in effect, that Tuzon indulges in wishful thinking. It is clear from the trial judge’s order that he found that the promises described by Tuzon were not made.
It was undisputed that MacDougall, Donovan and Lawrence Turoff, the prosecutor who took over from Donovan after Donovan was appointed to head the Tison Task Force, all promised that if Tuzon cooperated they would urge the board to commute his sentence so that he could achieve an immediate release. Tuzon acknowledged that he knew that these people alone did not have the authority to release him. It is undisputed that all of these men made a good faith effort to persuade the board to commute petitioner’s sentence to effect an immediate release. Each fulfilled his promise.
While the petitioner has not specifically raised the issue of contract by estoppel we have searched the record with an eye to determining whether the members of the board (other than Araza) and the governor might have been aware, before and while Tuzon was testifying on the Tison matters, that he was doing so upon the belief that he had in fact been promised his immediate release. Nothing in the record will support such a conclusion.
RIGHT TO COUNSEL AND RIGHT TO ADVISORY COUNSEL
The petitioner also contends that the trial court erred in failing to appoint counsel to represent him, and in failing to allow advisory counsel to be present with him during the evidentiary hearing on his petition for a writ of habeas corpus. The petitioner never requested the appointment of counsel. During the first day of the evidentiary hearing, he did move that Friedl be allowed to sit at his table “because he was a party, also, to this case, and give me some advice, if I need it, possibly.” The trial court denied the request noting that there was a difference between a witness and a party. Friedl, of course, was a witness in the proceedings.
Traditionally, a petitioner in habeas corpus proceedings is not entitled to appointed counsel. This is so because such proceedings are considered civil rather than criminal in nature. Powell v. State, 19 Ariz.App. 377, 507 P.2d 989 (1973); State v. Bost, 2 Ariz.App. 431, 409 P.2d 590 (1966); Leonard v. Eyman, 1 Ariz.App. 593, 405 P.2d 903 (1965); Collins v. Heinze, 217 F.2d 62 (9th Cir.1954), cert. den. 349 U.S. 940, 75 S.Ct. 786, 99 L.Ed. 1268 (1954). There is nothing in A.R.S. § 13-4021, et seq., dealing with writs of habeas corpus that would expressly authorize the appointment of counsel. We note that the supreme court has held that appointment of counsel in proceedings for post-conviction relief brought pursuant to Rule 32, Ariz.R. Crim.P., is mandatory upon a proper request from the defendant and a finding that the defendant is indigent. Galaz v. Carruth, 129 Ariz. 368, 631 P.2d 523 (1981). Rule 32.5(b) itself provides for the appointment of counsel in such proceedings. Since petitions for post-conviction relief under Rule 32 encompass many of the grounds for relief formerly available under habeas corpus procedures they are designed to challenge the validity of a conviction or sentence and are deemed criminal in nature. Since the object of either proceeding is to secure the liberty of one who is incarcerated, the distinction between petitions for post-conviction relief and petitions for a writ of habeas corpus may frequently seem artificial. Such is certainly less true in a case like this one where the entire issue turns upon the application of the civil law of contract. We hold that the trial court did not err in failing to sua sponte appoint counsel to represent petitioner.
We further hold that the trial court did not err in refusing to grant petitioner’s request to allow Friedl to sit with him. Friedl was not a party to the action and was a witness. Therefore, pursuant to Rule 615, Ariz.R.Evid., Friedl was properly excluded from the proceedings. Nor do we think that petitioner’s somewhat misdirected and rather offhand request was sufficient to bring home to the court the fact that Tuzon seriously wanted counsel.
OTHER ISSUES
Petitioner raises numerous other issues. Some concern matters either not contained in the record or not properly reserved for purposes of appeal. We shall discuss all of them.
Tuzon argues that the trial court erred in precluding his review of his prison record, and he contends that A.R.S. § 31-221(C), (D), providing for the confidentiality of the record, is unconstitutional. Although the constitutionality of the statute, and its juvenile counterpart, A.R.S. § 8-207, have been addressed in State v. Morales, 129 Ariz. 283, 630 P.2d 1015 (1981), and Ortega v. Holmes, 118 Ariz. 455, 577 P.2d 741 (App.1978), the record in this case does not reveal that petitioner ever requested access to his prison record. In the absence of an appropriate and timely request to the trial court, we find that the petitioner has waived this claim of error on appeal.
Petitioner also argues that the trial court erred in not holding a hearing to reproduce tapes of his commutation hearing held on December 3, 1981, before the board of pardons and paroles. The board did tape the commutation hearing on December 3, 1981. This procedure was unusual in that the hearings are rarely, if ever, tape recorded. At the time of the evidentiary hearing on the petition for the writ of habeas corpus, it became clear that the tapes of a portion of the hearing had been lost. Other portions of the hearing were transcribed. It is further clear that there is no requirement either by statute, rule or regulation that the hearings be taped. Petitioner contends that the trial court erred in not holding a hearing to reconstruct the tapes. The record does not reveal that petitioner requested that the trial court hold such a hearing to reconstruct the record of the commutation hearing, and in the absence of such a request petitioner is deemed to have waived the issue on appeal. Even if no waiver has occurred we do not see the matter as a legitimate issue. While the petitioner’s point is somewhat vague he apparently wants the tape or the reconstruction of the hearing to prove that during the hearing, when Friedl accused Araza of promising freedom for Tuzon, that Arter Johnson, the chairman of the board, intervened and instructed Araza not to discuss that issue. The state has never denied that such an incident occurred at the meeting in question. Since there is no dispute as to what happened at the hearing, we do not consider the missing tape important.
Tuzon also claims that the trial court permitted MacDougall and Araza to commit perjury during the hearing on his petition and that the trial court should have referred the matter of perjury to the proper prosecutorial authorities. His brief in this regard is a catalogue of disputed testimony and instances of internal inconsistencies, real and imagined, in the state’s case. What petitioner overlooks is that the trial court inferentially rejected parts of petitioner’s evidence, disagreed with the interpretation that petitioner would give to much of it, and specifically considered the most glaring conflict between Friedl’s version of the negotiations and Araza’s to be immaterial. Our own review of the record does not reveal anything that would mandate a referral of the matter to any authority for possible prosecution for perjury.
The petitioner also claims that it was error to allow the prosecutor to file what he describes as falsified evidence. While his brief is imprecise on this point he is apparently referring to the evidentiary problem that arose out of his own efforts to admit Exhibit 42 into evidence. Exhibit 42 was a certified exemplified copy of a Motion to Dismiss filed by the state in the case of Tuzon v. Zorn, No. CIV 82-556 PHX-CLH, in the United States District Court for the District of Arizona. Attached as an exhibit to that motion was a copy of an office memo from Zorn, the warden of the Arizona State Prison, to Tuzon dated January 14, 1982. The subject of the memo is an inquiry as to whether Tuzon will acquiesce in certain administrative procedures. Previously, the state had admitted in evidence a similar document designated as Exhibit 34. The whole thrust of these documents is somewhat obscure but they were offered to refute Tuzon’s claim that MacDougall had sought to coerce Tuzon into waiving the promise MacDougall had made for his release by the use of internal prison procedures. In any event, Tuzon admitted that Exhibit 34 was genuine. He contended that Exhibit 42, which had been filed in the district court, was an altered copy of Exhibit 34. He sought the admission of Exhibit 42 to impeach the state. The court reserved its ruling on the basis that Tuzon had failed to show who altered the document and ultimately Exhibit 42 was never admitted. There was no error in this ruling by the trial court. There is no claim that the document admitted in this case was false. The proffered impeachment, at its very best, was offered on a collateral matter. See State v. Acree, 121 Ariz. 94, 588 P.2d 836 (1978).
Tuzon next argues that police investigator Thomas McAfee’s working papers should have been admitted in evidence. During the testimony of Detective McAfee the petitioner asked him if he had notes or information that came to him during the course of his investigation. He said that he did and Exhibit 38, a report from Harold Cardwell to the director of the department of corrections and to the governor, was marked for identification. The petitioner offered it to show that MacDougall, contrary to what he had testified to, had prior knowledge that the Tison escape was imminent. The trial court sustained an objection to its admission on the grounds that it was hearsay. The ruling was correct but even if it was not, the exclusion of Exhibit 38 is not grounds for reversal. The report assumes that MacDougall knew the names of those plotting the escape based on what Tuzon told Cardwell after the escape. In this respect it adds nothing that was not already in evidence. However, even if it did it would have been impeachment on a collateral point. Furthermore, even if that were not correct we point out again that assuming the petitioner’s version of everything MacDougall promised him were correct he would not be entitled to release because MacDougall had no authority, even with the governor’s consent, to release him.
The petitioner argues that certain newspaper articles should have been admitted in evidence. Some newspaper articles were marked as Exhibit 18. That exhibit was withdrawn from evidence and is therefore not included in the record. However, the record does show that the trial court permitted the petitioner to have Friedl read them to refresh his recollection while he was testifying about information Tuzon had given that somehow leaked to the press.
At one point during the questioning of MacDougall the petitioner asked whether a polygraph examination had been arranged for him at a particular time. When MacDougall answered no, the petitioner tried to refer, without marking it as an exhibit, to a particular newspaper article. Following an objection the petitioner explained in essence that he wanted to refresh the witness’s recollection. The court explained that newspaper articles were hearsay and that they could not be used for purposes of impeachment. At this point the petitioner withdrew the question he had been in the process of posing. This was not error.
Finally, with respect to questions of evidence, Tuzon argues that a statement given by Harold Cardwell, the former warden of the state prison, should have been admitted in evidence. From all we can tell from a complete review of the record he is referring to Exhibit 38. We have dealt with that issue above.
Next petitioner claims that the prosecutor, Jay Adkins, xeroxed a deposition and billed petitioner for the xerox costs. There is no record on this matter and we cannot consider it. Nor do we see how such claim relates to the issues presented in the matter before us.
Petitioner contends that the trial court erred in not ordering that he be granted a new hearing. He supports his argument by a general reference to the principles of due process. As we have said, the petitioner received a full and very fair hearing. There is no merit in his argument.
The petitioner asserts that the trial court erred in denying an order for a new hearing before the parole board because certain disciplinary write-ups were improperly a part of his file at the time of the commutation hearing. The petitioner is entirely correct in saying that those write-ups should not have been in his file. They were apparently groundless and the state concedes as much. The trial judge expressed concern about this in that portion of his written order in which he urged the authorities to confer the relief that he was powerless under the facts and the law to grant. What the record does show is that each member of the board was questioned on this point and testified that the write-ups did not influence his or her decision. Two members testified that they considered the incidents satisfactorily explained by the petitioner. We do not believe the petitioner has demonstrated that his hearing before the board was flawed for this reason.
The petitioner contends that since he was proceeding in forma pauperis his wife should be refunded the filing fee that she paid on his behalf. Tuzon filed an affidavit of indigency along with his petition for a writ of habeas corpus. Apparently the clerk of the superior court would not accept his petition without payment of the filing fee and Mrs. Tuzon paid it. From what appears in the record before us the court made no determination of indigency at that time.
After the hearing the petitioner filed a motion to refund the fee. On September 29, 1982, the trial court ruled that defendant’s notice of appeal be deemed filed on August 23, 1982. It further ordered that the county attorney be permitted until October 14, 1982, to respond to the motion for a refund of fees. There is nothing in the record as to any subsequent action on this motion. We are, however, aware of the provisions of A.R.S. § 13-4143 which states that “no fee or compensation of any kind shall be charged or received by any officer for duties performed or services rendered in habeas corpus proceedings.” The provision originally derives from Rev.Stat.1901 § 2650 where it was a part of the title dealing with fees and salaries of county officers, including the clerk of the court. The statute which requires the payment of filing fees, A.R.S. § 12-311, refers to exceptions provided by law. This is one of them. Compare Tahtinen v. Superior Court, 130 Ariz. 513, 637 P.2d 723 (1981).
IT IS ORDERED affirming the judgment of the trial court.
IT IS FURTHER ORDERED remanding this cause to the superior court with directions to order the clerk thereof to refund any filing fee paid in this case.
CONTRERAS, J., and YALE McFATE, Judge, concur.
NOTE: The Honorable YALE McFATE, a retired judge of a court of record, was authorized to participate by the Chief Justice of the Arizona Supreme Court pursuant to Arizona Const. Art. VI, § 20.
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OPINION
GRANT, Judge.
Appellant/defendant Albert Lee Shum-way was charged by indictment dated October 21, 1980, with negligent homicide, a class 4 felony. Appellant entered a plea of not guilty and the matter was set for trial before a jury. At trial, the state presented the following evidence.
At approximately 6:45 p.m. on August 25, 1980, defendant was traveling east on Northern Avenue in his Buick station wagon. Defendant passed a motorcycle driven by Ernie Padilla, who testified at trial that defendant was traveling at approximately 80 to 90 m.p.h. Defendant then swerved into the westbound lane and the path of an oncoming vehicle driven by Gordon Lang-ham. Langham swerved off the road in order to avoid a collision with defendant. Langham turned around quickly and pursued defendant in order to get his license number so that he could report the incident. Langham was unable to overtake defendant’s vehicle.
Continuing in an easterly direction on Northern Avenue, defendant collided head-on with an Oldsmobile at 59th Avenue as the driver of the Oldsmobile, Mrs. Sue Ellen Henderson, attempted to make a lefthand turn from Northern to 59th Avenue. The force of the collision crushed Henderson and she died at the scene of the accident.
Defendant was given a field sobriety test at the scene of the accident, which he passed. Defendant then agreed to take a breathalizer test, the results of which showed that he had .11 percent blood alcohol content.
After a four day trial, the jury returned a verdict finding defendant guilty of negligent homicide. The trial court sentenced defendant to the presumptive term of four years in prison. This appeal followed. We have jurisdiction to hear this appeal pursuant to A.R.S. §§ 12.120.21(A)(1), 13-4031, and 13-4033.
Defendant raises two issues. First, did the trial court err in refusing to give his requested jury instruction No. 1 which reads as follows:
The driver of a vehicle within an intersection intending to turn to the left shall yield the right of way to any vehicle approaching from the opposite direction which is within the intersection or so close thereto as to constitute an immediate hazard.
Secondly, did the trial court commit reversible error by communicating with the jurors outside the presence of defendant or his counsel after the jurors began their deliberations? Because we determine that this second issue requires reversal of the conviction, we address this issue first.
The minute entry record of the proceedings indicates that after the jury had begun their deliberations, the court received the following note:
What blood-alcohol level is considered illegal in the State of Arizona and or Glendale?
Without consulting either attorney or the defendant, the trial court sent the following written response to the jurors:
There is no law in Arizona that states a specific blood alcohol level that is legal or illegal. The blood alcohol level is one fact to be considered with all of the other facts.
The state first urges that defendant failed to lodge a timely objection to the preceding communication. Absent fundamental error the lack of a timely objection at trial generally operates as a waiver for purposes of appeal, asserts the state, citing State v. Mata, 125 Ariz. 233, 609 P.2d 48 cert. denied 449 U.S. 938, 101 S.Ct. 338, 66 L.Ed.2d 161 (1980). The state acknowledges, however, that the record does not reflect whether defendant was ever apprised of the preceding communication by the trial court so as to provide an opportunity for him to voice his objection at the trial level. Because the record is unclear on the question whether defendant knowingly waived his right to object to the communication, we will address the merits of the issue.
Rule 22.3, Arizona Rules of Criminal Procedure, provides:
After the jurors have retired to consider their verdict, if they desire to have any testimony repeated, or if they or any party request additional instructions, the court may recall them to the court room and order the testimony read or give appropriate additional instructions. The court may also order other testimony read or give other instructions, so as not to give undue prominence to the particular testimony or instructions requested. Such testimony may be read or instructions given only after notice to the parties. (emphasis added)
The purpose of this rule is to prevent the court from injecting its own opinions into the jury’s interpretation of the facts, State v. Corrales, 121 Ariz. 104, 588 P.2d 846 (App.1978).
Generally, it is reversible error for the trial court to communicate with members of the jury after they have retired to deliberate, unless the defendant and his counsel have been notified and have been given an opportunity to be present. State v. Mata, supra; State v. Robin, 112 Ariz. 467, 543 P.2d 779 (1975); State v. Werring, 111 Ariz. 68, 523 P.2d 499 (1974); State v. Burnetts, 80 Ariz. 208, 295 P.2d 377 (1956); State v. Hilliard, 133 Ariz. 364, 651 P.2d 892 (App.1982); State v. Corrales, supra. The state argues, however, that where it may be said, beyond a reasonable doubt, that there was no prejudice to the defendant, a communication between the judge and jury, outside the presence of defendant and his counsel, is harmless error. For this proposition the state cites State v. Mata, supra. The state contends that defendant was not prejudiced by the communication between the trial court and the jurors in the present case, and thus, any error committed by the trial court in answering the juror’s legal question was harmless beyond a reasonable doubt. We do not agree.
In State v. Mata, the trial court, in response to questions asked by the jurors, informed the jurors that they would have to rely on the testimony they had heard and that the issues would probably be clarified by further examination or by the court’s instructions. These communications were without notice to defense counsel. Recognizing that prior cases on the subject indicated that prejudice need not be shown, see, e.g., State v. Robin, supra; State v. Bur-netts, supra, the supreme court nevertheless found no reversible error stating that “[w]e are convinced ... that no prejudice resulted to defendant.” 125 Ariz. at 241, 609 P.2d at 56. The trial court’s responses to the jurors’ inquiries operated as refusals to answer and did not involve the judge giving the jury information as to either the facts of the case or the law of the case. The court stated “we cannot conceive of any coercive effect that [the trial court’s responses] could possibly have had upon the jury.” Id.
In contrast to the innocuous responses given in Mata, the court’s response in this case contained information regarding the law of the case. Furthermore, the statement was an incorrect expression of the law. At the time of the incidents of this case, A.R.S. § 28-692(B)(3) provided:
If there was at that time 0.10 percent or more by weight of alcohol in the defendant’s blood, it shall be presumed that the defendant was under the influence of intoxicating liquor.
Additionally, the judge’s comment that the evidence regarding blood alcohol level was one factor to be considered by the jury was an improper expression of his opinion concerning the importance of that evidence. We cannot say that defendant was not prejudiced by the court’s comments. We therefore reverse defendant’s conviction and remand the matter for a new trial. Ariz. Const, art. 6, § 27.
Because the first issue raised by defendant may arise again at the new trial, we will address that issue here.
Defendant states that he is entitled to an instruction on his theory of the case. State v. Melcher, 15 Ariz.App. 157, 487 P.2d 3 (1971); State v. Reynolds, 11 Ariz.App. 532, 466 P.2d 405 (1970). See State v. Rupp, 120 Ariz. 490, 586 P.2d 1302 (App.1978). Defendant’s theory of the case was that Henderson made an illegal left turn in front of him which caused the accident. In determining the facts of the case, argues defendant, the jury was entitled to know the law applicable to the facts and he had the right to have the jury advised of the applicable law. Defendant requested that the jury be instructed in accordance with the statute dealing with left turns, A.R.S. § 28-772. The trial court refused to give defendant’s requested instruction and he submits that this was error.
It is a well established rule that where the state seeks to punish negligent conduct criminally, the contributing negligence of the victim is no defense. Hart v. State, 75 Wis.2d 371, 249 N.W.2d 810 (1977). See also State v. Pope, 6 Conn.Cir. 712, 313 A.2d 84 (1972); People v. Pociask, 14 Cal.2d 679, 96 P.2d 788 (1939); Annot. 20 A.L.R.3d 473, 481 § 5 (1968); Annot. 57 A.L.R. 922 (1930). Negligence of the deceased may be considered, however, with reference to the issue of whether the defendant’s culpable negligence was the proximate cause of death. Wren v. State, 577 P.2d 235 (Alaska 1978); Prince v. State, 12 Ohio App. 347 (1919); Williams v. State, 554 P.2d 842 (Okl.Cr.App.1976); Copeland v. State, 154 Tenn. 7, 285 S.W. 565 (1926). In order to constitute a defense to a charge of negligent homicide, however, the decedent's negligence must be shown to have been the sole proximate cause of the injuries resulting in death. State v. Pope, supra; Prince v. State, supra. This is so because if the defendant’s negligence was the cause of the decedent’s death, the defendant would be responsible under the criminal law even if the decedent failed to use due care since contributory negligence is no defense. People v. Clark, 295 Mich. 704, 295 N.W. 370 (1940); State v. Campbell, 82 Conn. 671, 74 A. 927 (1910). With these legal concepts in mind, we turn to the facts of this case.
In his notice of defenses, defendant specified the following: 1) defendant’s conduct was not criminally reckless; 2) defendant’s conduct was not the cause of the accident; 3) the amount of alcohol in defendant’s blood did not impair his driving ability or judgment; 4) the speed at which defendant’s vehicle was traveling was not excessive for the existing condition; and 5) the victim failed to yield the right of way while making a left turn in violation of A.R.S. § 28-772. At trial, Stephen Willis of the Glendale Police Department testified and identified exhibits which indicated that the collision occurred as Henderson was making a lefthand turn in front of defendant. Willis determined that defendant’s car skidded 150 feet and 6 inches before impact. In light of the great weight of evidence against defendant regarding his excessive speeding and inebriated state at the time of the collision, it appears unlikely that he would be able to convince a jury that Henderson’s conduct was the sole cause of this accident. Nevertheless, defendant is entitled to have the jury instructed on the law relevant to his theory of the case if sus tained by the evidence. State v. Melcher, supra; State v. Reynolds, supra. The cause of this accident is a fact question for the jury.
We note that the jury was not instructed that the conduct of the victim could go to the issue of proximate cause. See Wren v. State, supra. In that case, the defendant requested an instruction stating that the jury may consider the negligence of the deceased in determining whether the defendant’s conduct was the proximate cause of death of the deceased. The court determined that the trial judge was careful to instruct the jury that the conduct of the victim could go to the issue of proximate cause. The court stated:
In all likelihood, if the jury had believed that the deceased’s conduct had the effect of rendering nonculpable [the defendant’s] conduct in driving on the wrong side of the road, the jury would have found her conduct not to have been the proximate cause of Farry’s death.
577 P.2d at 239. The court determined that, considering the speculative nature of the testimony concerning the deceased’s conduct and the instructions given, any error in failing to give the additional requested instructions was harmless.
In the case at bar, however, no instructions were given regarding the conduct of Henderson as it bore on the issue of proximate cause. In fact, the only instruction given on causation was the following:
The crime of negligent homicide requires proof that the defendant caused the death of another person by criminal negligence.
Criminal negligence means that a person fails to recognize a substantial risk that his conduct will result in the death of another person. The risk must be such that failure to recognize it is a gross deviation from what a reasonable person would do in the situation.
Thus, while the evidentiary foundation for defendant’s theory of the case is weak, we believe that it would have been preferable for the trial court to have given the requested jury instruction. Accordingly the trial court is ordered to give the requested instruction at the new trial.
The conviction is reversed and the matter remanded for a new trial in accordance with this opinion.
GREER, J., concurs.
. Defendant’s requested instruction 1 reads as follows:
The driver of a vehicle within an intersection intending to turn to the left shall yield the right of way to any vehicle approaching from the opposite direction which is within the intersection or so close thereto as to constitute an immediate hazard.
|
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OPINION
HATHAWAY, Judge.
Appellant was tried to a jury and convicted of five counts of armed robbery, nine counts of kidnapping, one count of aggravated assault and one count of theft. An allegation of prior conviction and dangerous nature was filed for enhancement of punishment. Appellant was sentenced to 21 years imprisonment on counts 1-5, 28 years imprisonment on counts 6-9 to run consecutive to counts 1-5, 35 years imprisonment on counts 10, 12-15, to run consecutive to counts 1-5 and 6-9, and 25 years imprisonment for count 11, to run concurrent with counts 10, 12-15, and consecutive to previous sentences.
Appellant contends on appeal that the trial court erred (1) when it found him competent to stand trial; (2) in not granting a longer continuance to locate a witness; (3) in dismissing his Rule 32 claim that he was convicted on perjured testimony; (4) in ordering his leg secured to his chair; (5) by imposing excessive sentences and by improperly imposing consecutive sentences. We affirm.
The charges arose from an episode beginning on the evening of November 30, 1979, when appellant entered a Dairy Twin in Tucson, threatened occupants with a silver handgun and forced them to lie on the floor while he took cash from a cash register and a silver certificate from one of the persons present. He tore out the telephone, fired shots at the ceiling and wall and warned those present to stay still for 10 minutes. He proceeded to a Circle K where he terrorized those present with his pistol, took cash from the register, including a bait bill that tripped a camera that photographed him. He fired another shot and warned those present to stay on the floor for 10 minutes. He next went to Zantigos store where he grabbed a person by the throat and forced others to lie on the floor, took bank bags of money from the safe and fired two shots. A customer at the drive-in window observed appellant, followed him and got his vehicle license number for the police. When police attempted to apprehend appellant, he abandoned his vehicle and ran. When captured, he had a large number of bills in his possession, including the bait bill which triggered the camera at the Circle K and the silver certificate. A silver handgun matching the one used in the robberies was found nearby and ballistics confirmed it as the weapon fired during the robberies. The stolen bank bags and telephone were found in the abandoned vehicle.
I
In March of 1980, the trial court determined that appellant was incompetent to be tried based on psychiatric reports. Appellant was reexamined and found competent to stand trial in July of 1980. Defense counsel sought in April of 1981 to have appellant reexamined to determine if he was competent to stand trial in view of a recent suicide attempt, depression and withdrawal which allegedly interfered with his ability to communicate with counsel. The trial court arranged for an interview with appellant by the staff psychiatrist of Kino Community Hospital to determine if there was a reasonable basis to believe that appellant was incompetent to stand trial. The staff psychiatrist filed a written report giving an opinion that the appellant was competent to stand trial.
Rule 11.1 of the Arizona Rules of Criminal Procedure, provides:
“A person shall not be tried, convicted, sentenced or punished for a public offense while, as a result of a mental illness or defect, he is unable to understand the proceedings against him or assist in his own defense.”
An accused has the right to a mental examination and hearing to determine his competence where “reasonable grounds” exist to support the examination and hearing. State v. Steelman, 120 Ariz. 301, 585 P.2d 1213 (1978); see also Rule 11.3(a). We are of the opinion that the trial court properly exercised its discretion in concluding that a Rule 11 examination was unnecessary. The appellant’s competency to stand trial had been extensively reviewed and determined prior to trial. The prior determination, of course, is not conclusive since obviously a party’s mental condition may change from one of lucidity to incompetence in a short period of time. Nevertheless, the trial court may consider such examinations, particularly when recently made, as in the instant case. Moreover, the trial judge who disallowed the Rule 11 reexamination had presided at the prior competency hearing which was submitted to the court by stipulation on the basis of the psychiatric reports and was in a position to observe the appellant. In State v. Messier, 114 Ariz. 522, 562 P.2d 402 (App.1977), the court of appeals approved of a preliminary hearing to determine if the request for mental examination established the requisite “reasonable grounds.” The court cautioned that the trial judge must exercise care to ensure that such preliminary hearing did not become a substitute for a determination of competency itself. The record does not indicate that to be the case here. Furthermore, appellant’s application was deficient in that it was based only upon counsel’s assertions in the application and a newspaper article attached thereto. Langley v. State, 84 Nev. 295, 439 P.2d 986 (1968). The trial court has broad discretion in determining whether reasonable grounds exist to order a competency examination. We conclude from the record that the trial court acted well within that discretion. State v. Ortiz, 117 Ariz. 264, 571 P.2d 1060 (App.1977).
II
Appellant contends that the trial court’s failure to grant his motion to continue in order for him to have sufficient time to subpoena or depose his wife denied him the right to a fair trial and the right to present a defense. Defense counsel expressed his intent to call Mrs. Bishop as a witness at trial because
“. .. she is one of the few persons who are closely associated with the defendant and who observed his behavior just prior to the incident for which he is on trial.... [her] testimony ... is indispensable to the defense because it provides a factual predicate for the defense of insanity.”
It is contended that defense counsel had been led to believe by Mrs. Bishop that she would be willing to return from Sparks, Nevada to testify in her husband’s behalf. About May 11, 1981, defense counsel received a letter from Mrs. Bishop indicating that she would not return to Tucson to testify, but that she would consent to a deposition. Counsel then moved on May 15, 1981, to continue the trial to allow him to subpoena or depose her. A one-day continuance was granted and the trial was moved from May 20 to May 21. The trial court told defense counsel to prepare the paperwork to subpoena the out-of-state witness and observed that several days would be available to accomplish this before the defense put on its case. The court offered to contact a Nevada judge to inquire about service of the subpoena. No subsequent request for help was made by defense counsel, nor was there a subsequent request for a continuance. Attempts to serve the witness in Nevada failed and she could not be found at the address which had been previously furnished. No. indication appears in the post-trial proceedings that the witness has ever been found.
The granting or denial of a continuance to secure the attendance of a witness lies within the sound discretion of the trial court. State v. Benge, 110 Ariz. 473, 520 P.2d 843 (1974). There is no real showing that the witness would have furnished testimony that would have altered the outcome of the case. We find no abuse of the trial court’s discretion in a one-day continuance granted under the circumstances of this case.
Ill
Appellant contends that the use of false or perjured testimony by the state requires that his conviction be reversed and that the denial of his petition for post-conviction relief on this ground was error. His sole defense at trial was insanity and Dr. Gur-land testified that he was insane because he had entered a disassociative state at the time of the criminal activity and did not know the nature and quality of his acts or know right from wrong. One characteristic of this disassociative state is the inability to remember circumstances of the events. The prosecution attempted to establish that the appellant did remember Officer Sanders who was present at his arrest, when he called the officer from the jail three days after his arrest. Appellant’s position is that he discovered through an examination of the telephone logs at the jail that he had placed no such call. He then filed a petition for postconviction relief on the grounds that his conviction was obtained by the unconstitutional use of perjured testimony. The state’s position is that the testimony given by Sanders and the prosecutor’s argument based thereon, emphasize Sanders’ observation of appellant and appellant’s recognition of Sanders at the meeting. The state’s position is that Sanders went to the jail in response to a message from appellant, though not specifically a telephone message. The record bears this out.
A petition for postconviction relief is addressed to the sound discretion of the trial court, State v. Littles, 123 Ariz. 427, 600 P.2d 40 (App.1979), and we do not believe that the mere absence from the telephone logs of a call placed by appellant tainted Sanders’ testimony or that the verdict would have been altered. Dismissal of the Rule 32 petition was proper.
IV
The trial court ordered that appellant be shackled by securing one leg to his chair. It was accomplished in a manner that would make it inconspicuous to the jury. Whether to permit a defendant to be shackled during trial is generally within the sound discretion of the trial court. State v. Reid, 114 Ariz. 16, 559 P.2d 136 (1976). The trial court had good reason for permitting the shackling in view of the appellant’s record of escape and an incident involving hostage taking. He was also involved in an abusive outburst in the courtroom during pretrial. We find that the shackling order was justified.
V
Appellant contends that his sentence is excessive. Sentencing is within the discretion of the trial court, and we will not interfere unless it clearly appears that the sentence imposed is excessive and the result of an abuse of discretion. State v. Ferreira, 128 Ariz. 530, 627 P.2d 681 (1981). A sentence within the statutory limits is not cruel and unusual punishment in violation of the Eighth Amendment to the United States Constitution where the statute fixing the punishment is not unconstitutional. State v. Pike, 133 Ariz. 178, 650 P.2d 480 (App.1982). Appellant’s criminal history and the nature of the offenses involved in the instant case support the sentences imposed.
Appellant complains that the court did not state the reason for the consecutive sentences as required by A.R.S. § 13-708. The court stated the reasons for imposing maximum sentences when giving the aggravated terms. The reasons need not be stated twice, once to comply with A.R.S. § 13-702(C) and once to comply with A.R.S. § 13-708. The reasons appear in the record.
Affirmed.
HOWARD, C.J., and BIRDSALL, J., concur.
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GORDON, Vice Chief Justice:
A jury found the defendant, Guy Nelson Spoon, guilty of first degree murder in the stabbing death of Donald R. Smith. Following an aggravation-mitigation hearing, the defendant was sentenced to death. The defendant appealed from the judgment and sentence. We have jurisdiction pursuant to Ariz. Const, art. 6, § 5(3) and A.R.S. § 13-4031. The conviction is reversed.
The victim, Donald R. Smith, worked as the night manager of the Local Alcohol Rehabilitation Center (L.A.R.C.) in Douglas, Arizona. At approximately 5:30 a.m. on February 17, 1980 employees of the center found the victim’s body on the floor of a first floor apartment. The upstairs apartment of the facility had been vandalized and two butcher knives were missing from the upstairs kitchen. The defendant had been staying at the L.A.R.C. facility but was missing on the day the murder was discovered. The following facts were taken from the defendant’s taped confession made on March 23, 1980:
Spoon had been drinking for several hours on the evening of February 16, 1980. Witnesses testified that he had consumed 8-10 beers over a period of five hours. The defendant returned to the L.A.R.C. at approximately 1:30 a.m. the morning of February 17th. He went up the back stairs of the building and entered an upstairs apartment through a window. After taking food from the pantry, Spoon discharged the contents of a fire extinguisher that he had found in the apartment. The fire alarm went off and in order to stop it Spoon threw it down on the floor. After taking two knives, Spoon left the apartment through the back and came around to the front of the building. At the same time the defendant was approaching the front door of the building the victim was coming down the stairs after he had presumably been investigating the noise upstairs. Smith confronted the defendant regarding the noise upstairs and, according to the defendant, started calling him names, hit him and scratched him on his face. Spoon responded by pulling a knife on the victim, and fol lowed him into the night manager’s residence quarters where he “poked at” the victim and “stabbed him in the back.” The evidence at trial indicated that the victim, who was 58 years old, had been stabbed twenty times with resulting wounds in the chest, back, and arms. He ultimately died from massive bleeding. After attacking the victim, Spoon rolled him over and took Smith’s car keys out of his pocket. He left the L.A.R.C. in the victim’s car, and after abandoning the car in California, hitchhiked to San Francisco, finally ending up at his sister’s home in Walnut Creek. The defendant turned himself in to the Contra Costa Sheriff’s Department on February 21, 1980. He was held in custody on the basis of a warrant that had been issued due to Spoon’s violation of probation arising from his alleged beating of his ex-wife.
Admissibility of Spoon’s Confession
Following the murder of Smith, Charles Austin of the Douglas Police Department was placed in charge of the investigation. On February 19, 1980 Austin contacted David Stoeffler, the defendant’s probation officer in California, and advised him of the Arizona homicide. Although Stoeffler did not know Spoon’s whereabouts at the time, he agreed to contact Austin if the defendant was located. After turning himself in on February 21st, Spoon called Stoeffler and told him that he had been in Douglas, Arizona, had hitchhiked back to northern California, and was now in the Contra Cos-ta County Jail. Stoeffler then called Austin and told him that the defendant was in custody. That same day, Austin called Detective Floyd Snodgrass of the Contra Costa Sheriff’s Department and explained that Spoon was a suspect in the Arizona homicide. Austin asked Snodgrass to approach Spoon to see what he knew about the homicide in Douglas and find out why he left Arizona. Snodgrass agreed to do so and went to see Spoon at the jail immediately thereafter. Initially the defendant waived his Miranda rights and talked freely with Snodgrass about his stay in Douglas and his trip back to California. Snodgrass then asked if he could tape an interview with Spoon. Snodgrass re-advised the defendant of his Miranda rights and at that point Spoon invoked those rights stating that he should talk to an attorney before saying anything further. Snodgrass halted his discussions with Spoon and advised Detective Austin that he had invoked his Miranda rights. At a later date he contacted Stoef-fler to relay the information regarding the defendant’s invocation of his right to counsel.
On February 27, 1980 Stoeffler contacted Snodgrass and asked if he could arrange a polygraph examination of the defendant. Snodgrass declined to do so “because of the fact that Mr. Spoon had invoked his Miranda rights with me, and unless he reinitiated an interview with me, I couldn’t talk to him.” On March 11, 1980 Stoeffler visited Spoon at the jail and discussed both his probation violation and the Arizona homicide. After hearing the defendant’s story about his stay in Douglas, Stoeffler asked if he would be willing to take a polygraph examination. Spoon agreed to do so. Stoeffler called Austin later the same day and advised him that the defendant was willing to take the polygraph. Sometime later Detective Austin called Snodgrass and asked if he would reap-proach Spoon to see if he was still willing to take the polygraph. Snodgrass refused to do so in light of Spoon’s prior request to see an attorney. As a result, Austin contacted Stoeffler on March 18, 1980 with the same request. Stoeffler agreed to go see Spoon and visited him at the jail the next day. Spoon still agreed to take the polygraph. Stoeffler relayed this information to Austin who went to California a few days later with Bill Bangs, a polygraph examiner for the Arizona Department of Public Safety.
On March 23,1980 Bangs and Austin met with the defendant at the Contra Costa County Jail in order to administer the polygraph examination. Spoon signed a stipulation consenting to take the polygraph examination. The stipulation contained a modified Miranda warning advising Spoon of his right to remain silent and his right to counsel. Bangs explained to the defendant that he could refuse to take the test and that the results could be used against him at later proceedings. Spoon still agreed to take the polygraph. The polygraph examination was then given to Spoon and the results revealed that the defendant had given deceptive answers to Bangs’ questions. After Bangs told the defendant the results of the test Spoon admitted that he was lying on all segments of the test and then confessed to Bangs that he had killed the victim. Spoon repeated his confession to Detective Austin who then asked the defendant if he would be willing to restate his confession on tape. Spoon agreed to do so. The taped confession was introduced at trial and constituted the majority of the state’s case against the defendant.
The defendant was not provided with an attorney at any time after he invoked his right to counsel on February 21, 1980 or prior to his confession on March 23, 1980. The record reflects that the defendant was first provided with an attorney on June 9, 1980 at the time of his arraignment in the Superior Court of Cochise County, Arizona. The defendant claims that the trial court erred in denying his motion to suppress the confessions made in California.
In Miranda v. Arizona, 384 U.S. 436, 86 S.Ct. 1602, 16 L.Ed.2d 694 (1966) the Supreme Court stated that when an individual is subject to custodial interrogation, the authorities must follow specific procedures in honoring his or her right to counsel:
“Once [Miranda] warnings have been given, the subsequent procedure is clear. * * * If the individual states that he wants an attorney, the interrogation must cease until an attorney is present. At that time, the individual must have an opportunity to confer with the attorney and to have him present during any subsequent questioning. If the individual cannot obtain an attorney and he indicates that he wants one before speaking to police, they must respect his decision to remain silent.”
Id. at 473-74, 86 S.Ct. at 1627-28, 16 L.Ed.2d at 723. The Supreme Court held in Edwards v. Arizona, 451 U.S. 477, 101 S.Ct. 1880, 68 L.Ed.2d 378 (1981), that
“[W]hen an accused has invoked his right to have counsel present during custodial interrogation, a valid waiver of that right cannot be established by showing only that he responded to further police-initiated custodial interrogation even if he has been advised of his rights. We further hold that an accused, * * * having expressed his desire to deal with the police only through counsel, is not subject to further interrogation by the authorities until counsel has been made available to him, unless the accused himself initiates further communication, exchanges or conversations with the police, (emphasis added.)
Id. at 484, 101 S.Ct. at 1884-85, 68 L.Ed.2d at 386. The State argues that Stoeffler’s contacts with the defendant after February 21st were permissible since he was performing his duties as a probation officer. Thus, when Spoon told Stoeffler that he would take, the polygraph examination he was in fact initiating communication with the police. We disagree.
The facts outlined earlier in this opinion establish that Stoeffler was acting as an agent of the Arizona officials for the purpose of discussing the Arizona homicide with the defendant. Stoeffler’s notes attached to Spoon’s Contra Costa County Adult Probation Record indicate that he regularly contacted Detective Austin with updates on conversations that he was having with the defendant and that a primary purpose in his meetings with Spoon was to assist the Arizona authorities in their investigation of the homicide.
Detective Snodgrass’ testimony indicates that Detective Austin and Stoeffler were aware of the fact that Spoon had stopped his February 21st conversation with Snod-grass by requesting to speak with an attorney. No counsel was provided for Spoon prior to the confession. The record reveals that Spoon did not “initiate further communication” at any time after he invoked his right to counsel on February 21, 1980 or before he confessed on March 23, 1980. In light of the Supreme Court’s holding in Edwards, we do not believe that the authorities properly respected the defendant’s invocation of his right to counsel. Hence, the defendant’s confession was inadmissible.
The State argues that even if we find that the confession was inadmissible, we should conclude that its use at trial was harmless beyond a reasonable doubt. The state’s argument is based on the fact that the defendant admitted the killing, and at trial relied entirely upon defenses of insanity, intoxication, and provocation. While it is true that the defense admitted the killing at trial, its motivation for doing so may have been due to the fact that the trial court had denied the defendant’s motion to suppress the confession. Aside from the confession, the state presented only a minimal amount of evidence which supported the conclusion that the defendant committed the homicide. We can think of no piece of evidence that would be more detrimental to a defendant’s case than the playing of a taped confession to a jury. Therefore, we cannot say beyond a reasonable doubt that the jury would have reached the same verdict if the confession had not been introduced at trial. State v. McVay, 127 Ariz. 450, 622 P.2d 9 (1980).
In view of the possibility that a new trial will be sought by the prosecution, we feel it necessary to deal with the following issues:
Instruction
The defendant claims that the following instruction shifted the burden to the defendant to disprove that he intended his actions:
“The state must prove that the defendant has done an act which is forbidden by law and that he intended to do it. You may determine that the defendant intended to do the act if he did it voluntarily. The state does not have to prove that the defendant knew the act was forbidden by law.”
He relies on Sandstrom v. Montana, 442 U.S. 510, 99 S.Ct. 2450, 61 L.Ed.2d 39 (1979) which held that an instruction stating that “the law presumes that a person intends the ordinary consequences of his voluntary acts” violated the requirement of the Fourteenth Amendment that the state prove every element of a criminal offense beyond a reasonable doubt.
In Sandstrom the Court noted that “the threshold inquiry in ascertaining the constitutional analysis applicable to this kind of jury instruction is to determine the nature of the presumption it describes.” Id. at 514, 99 S.Ct. at 2454, 61 L.Ed.2d at 45. The Arizona Court of Appeals has recently stated in a decision addressing the constitutionality of an identical instruction that “we must first determine if the presumption is mandatory or permissive.” State v. Lopez, 134 Ariz. 469, 472, 657 P.2d 882, 885 (1982). In State v. Grilz, 136 Ariz. 450, 666 P.2d 1059 (1983) we recently explained the difference between mandatory and permissive presumptions as follows:
“A ‘permissive presumption’ is really nothing more than an inference. It allows the trier of fact to infer the presumed fact from proof of the basic facts, but places no burden of any kind on the defendant. County Court of Ulster County v. Allen, [442 U.S. 140, 99 S.Ct. 2213, 60 L.Ed.2d 777] supra. A ‘mandatory presumption’ requires the trier of fact to find the presumed fact upon proof of the basic fact unless the defendant has presented some evidence to rebut the presumption. Id.”
State v. Grilz, supra, 666 P.2d at 1066.
In determining the nature of the presumption, the words actually spoken to the jury must be examined and interpreted as a reasonable juror could have interpreted them. Sandstrom v. Montana, supra. The critical language in the objected to instruction states: “You may determine that the defendant intended to do the act if he did it voluntarily.” (emphasis added.) We believe that the use of the word “may” establishes the permissive character of the instruction. We agree with the Court of Appeals’ statement in Lopez that the instruction “did not by its language tell the jury that proof showing the appellant voluntarily committed an act established that he intended it. Rather it allowed the jury to find that he intended to do the act if it was shown that he did it voluntarily.” (emphasis added) 134 Ariz. at 472, 657 P.2d at 885. We believe that a reasonable juror could only have interpreted the instruction as a “permissive presumption” which, as stated in County Court of Ulster County v. Allen, 442 U.S. 140, 99 S.Ct. 2213, 60 L.Ed.2d 777 (1979), places no burden of any kind on the defendant. See also Hardy v. United States, 691 F.2d 39 (1st Cir.1982); United States v. Mayo, 646 F.2d 369 (9th Cir.1981), cert. denied, 454 U.S. 1127, 102 S.Ct. 979, 71 L.Ed.2d 115 (1981); United States v. Ross, 626 F.2d 77 (9th Cir.1980).
Once an instruction has been found to create a “permissive presumption,” its use at trial is constitutional if there is a rational connection between the predicate and presumed facts. McInerney v. Berman, 621 F.2d 20 (1st Cir.1980), cert. denied, 449 U.S. 867, 101 S.Ct. 201, 66 L.Ed.2d 85 (1980) citing Ulster County v. Allen, supra. In other words, is the proven fact that the defendant voluntarily did an act rationally connected to the presumed intent to do the act? We agree with the Court of Appeals’ conclusion in Lopez that there is a rational relation between an individual’s voluntary action and his intent to act. We therefore find that there was no error in giving the objected to instruction.
Felony-Murder
The defendant next claims that the trial court erred in instructing the jury on felony-murder since the underlying felony was assault. Since assault merges with the homicide itself, see State v. Essman, 98 Ariz. 228, 403 P.2d 540 (1965), the defendant contends that there was no felony “independent” of the resulting crime of murder.
The record indicates that burglary, rather than assault, was the basis of the felony-murder instruction. Under A.R.S. § 13-1105(A)(2) “[a] person commits first degree murder if: * * * [ajcting alone or with one or more other persons such person commits or attempts to commit * * * burglary under § 13-1506, 13-1507 or 13-1508 * * * and in the course of and in furtherance of such offense or immediate flight from such offense, such person or another person causes the death of any person.” The trial judge gave the jury the following definition of burglary: “Burglary is the entering or remaining unlawfully in a residential or nonresidential structure with the intent to commit any theft or any felony therein.” (emphasis added.) The jury was then instructed on aggravated assault and told that “[t]he underlying alleged felony in the alleged burglary which is a claimed basis to one of the alternative charges of first degree murder is aggravated assault.” In State v. Miller, 110 Ariz. 489, 520 P.2d 1113 (1974) we held that a burglary predicated on an aggravated assault can serve as basis for a felony-murder conviction. We are not willing to depart from that position. The record in the case at bench supports the claim that the defendant entered the downstairs apartment armed with a knife intending to assault the victim. Thus, the burglary underlying the charge of felony-murder occurred the instant the defendant entered the apartment with the intent to commit an aggravated assault. The trial court properly instructed the jury on felony-murder.
Jailhouse Confessions
At trial two individuals testified about statements Spoon made to them while in jail prior to trial. The defendant now asserts that the testimony was irrelevant and claims that its prejudicial effect outweighed its probative value.
At the outset we note that the trial court properly treated the testimony as non-hearsay under Ariz.R.Evid. 801(d)(2)(A) since the testimony was given for the purpose of introducing the defendant’s own statements against him. “Relevant evidence” is defined as “evidence having any tendency to make the existence of any fact that is of consequence to the determination of the action more probable or less probable than it would be without the evidence.” Ariz.R.Evid. 401. Reasonable discretion is given to the trial court in determining relevancy of offered evidence, and such discretion will not be disturbed on appeal unless it clearly has been abused. State v. Adamson, 136 Ariz. 250, 665 P.2d 972 (1983); State v. Mosley, 119 Ariz. 393, 581 P.2d 238 (1978). Likewise, the same standards are recognized when an appellate court reviews the admissibility of evidence under Ariz.R. Evid. 403 relating to the exclusion of relevant evidence when its probative value is outweighed by the danger of unfair prejudice. 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). We do not believe that the trial court abused its discretion in admitting this evidence. Frances Vasquez testified that she was having a conversation with the defendant about why he was in jail during the course of which he stated that his victim “deserved it” because “he got up and slapped him.” Lanya Anton also met Spoon in jail and testified that he made similar statements to her about the crime. These statements are relevant since they have a “tendency” to show that the defendant was responsible for the homicide, and since they show Spoon’s state of mind at the time of the homicide the statements are useful in rebutting the defendant’s defenses of insanity and intoxication. For the same reasons the defendant’s admissions are probative. We do not believe that they are unduly prejudicial, as the defendant claims, for the reason that they were made by the defendant for the purpose of “bragging.” In actuality, the defendant’s claim attacks the weight to be given to the statements which is a matter left to the consideration of the trier of fact. State v. McDaniel, 136 Ariz. 188, 665 P.2d 70 (1983). The testimony was properly admitted.
As a result of the violation of the defendant’s right to counsel, the trial court’s judgment of conviction of first degree murder is reversed.
HOLOHAN, C.J., and HAYS, CAMERON and FELDMAN, JJ., concur.
. Although the March 23, 1980 taped confession was the only confession introduced in total at trial, testimony was given concerning his preliminary confessions given earlier that day to Bill Bangs and Detective Austin. David Stoeffler also gave testimony concerning an additional confession made by the defendant to him on May 5, 1980. For the same reasons that we rule that the taped confession is inadmissible, we also conclude these confessions were gained in violation of the defendant's right to counsel as discussed in Edwards v. Arizona, 451 U.S. 477, 101 S.Ct. 1880, 68 L.Ed.2d 378 (1981).
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OPINION
BROOKS, Judge.
By indictment filed October 1, 1981, appellant Mickey Lynn May was charged with count I, aggravated assault, and count II, attempted aggravated assault. The victim in both counts was appellant’s wife, Carol May. He was acquitted on count I, aggravated assault, but was convicted of count II, attempted aggravated assault in violation of A.R.S. § 13-1203(A)(2) and 13-1204(A)(2). Thereafter, he was sentenced to the minimum term of four years imprisonment. On appeal, he presents the following arguments:
I. That count II of the indictment should have been dismissed because attempted aggravated assault is not a crime under Arizona’s criminal code;
2. That the trial court prematurely admitted appellant’s incriminating statements because the state had not yet established the corpus delicti;
3. That the trial court erred in admitting evidence of appellant’s subsequent bad acts;
4. That the trial court erred in denying appellant’s requested instruction on attempted threatening or intimidating as a lesser included offense of attempted aggravated assault; and
5. That it was error for the trial court to admit statements made by appellant’s sister at the police station that the appellant had gone to his wife’s house to kill her.
At trial, Carol May testified that marital difficulties between her and appellant led to her leaving their Cornville, Arizona, family home on Friday evening, April 24, 1981. She travelled to Phoenix with a friend, Larry Dale Major, where she remained for the weekend to consider whether she should continue with the marriage. On Sunday, April 26, 1981 she returned home and told appellant that she wanted to separate and obtain a divorce. An argument ensued and soon thereafter appellant handed her two letters he had prepared for her parents and his parents. These letters outlined provisions for the May’s property and their three children. He then held a pistol to her head, handed her a Bible and told her to read her last rites. He also stated that when he was finished with her, he was going to kill himself. Frightened, Carol May began to calm appellant down by reminding him of their children and stating that maybe they could work things out. Appellant retreated, the parties discussed their difficulties and Mrs. May spent the night at their home although she did explain to appellant that she wanted to leave the next day for a short time to think things out. She took a few clothes with her the next morning and without telling appellant where she would be living, she began staying with Major that Monday evening.
During the next two weeks, appellant made several attempts at reconciliation by contacting his wife at work. During that period, he learned that she was living with Major and even went to Major’s house and discussed the matter with him. Finally, in the early evening of May 11,1981, appellant asked his sister to drive him to Major’s house so that he could attempt a reconciliation. A short distance from Major’s house, however, appellant’s sister became aware that appellant was carrying a gun and she turned her car around explaining to her brother that she was going to the police. He then forced the car to a stop and fled on foot to Major’s house carrying the loaded pistol. When he arrived at Major’s house, no one was home so he waited in a shed behind the house. In the interim, his sister drove to the police station and described her brother’s actions.
Three police officers then went to Major’s house and eventually saw appellant sitting in the shed with his head on his knees and sobbing. The officers ordered appellant out of the shed, removed a loaded 44r-40 pistol from his waistband, and arrested him. While being handcuffed, appellant stated: “God help me for what I was going to do.”
This act of going to the house with a firearm and waiting in the shed with the obvious intent to confront his wife with the weapon led to the charge and conviction of attempted aggravated assault.
In appellant’s first argument, he claims that under Arizona’s criminal code there is no such crime as attempted assault and therefore no such crime as attempted aggravated assault. This argument springs from statutes incorporating the common law concept of assault — an attempt to commit a battery — and cases finding conceptual difficulty with an attempt to commit an attempt. See, e.g., In re M., 9 Cal.3d 517, 108 Cal.Rptr. 89, 510 P.2d 33 (1973) and cases and articles cited therein.
However, under Arizona’s new criminal code, the common law definitions of assault and battery no longer exist. The common law crime of battery is included in the assault statute, A.R.S. § 13-1203(A), which defines assault as follows:
1. Intentionally, knowingly or recklessly causing any physical injury to another person; or
2. Intentionally placing another person in reasonable apprehension of imminent physical injury; or
3. Knowingly touching another person with the intent to injure, insult or provoke such person.
Appellant was charged under subsection 2 which proscribes placing another person in reasonable apprehension of imminent physical injury. See State v. Rineer, 131 Ariz. 147, 639 P.2d 337 (Ct.App.1981). This crime is an act complete in itself and not an attempt to commit a different crime as was common law assault. Thus, the academic arguments of whether criminal sanctions should attach to an attempt to commit an attempt are inapplicable.
Additionally, the subsection of Arizona’s attempt statute which is pertinent to this case is A.R.S. § 13-1001(A)(2). In pertinent part, the statute provides that a person commits attempt if such person intentionally does anything which is a step in a course of conduct planned to culminate in the commission of an offense. When appellant went to Major’s house armed with a pistol under circumstances inferring that he intended to place Carol May in reasonable apprehension of imminent physical injury, he completed a substantial step in his course and design to culminate in what would amount to an aggravated assault. We find no conceptual difficulty in interpreting the intent of the legislature in these statutes to prohibit and make criminal such conduct.
For his second argument, appellant claims that the trial court erred by admitting incriminating statements made by appellant prior to the state establishing the corpus delicti of attempted aggravated assault. When appellant was removed from the shed and told to lie on the ground, he told the arresting officer “God help me for what I was going to do.” Later, he stated on the way to the police station that “she is driving me crazy and I can’t take it any more.” At the police station during questioning he said he went over there “to end it for the three of them.” Finally, when he was asked if he went there to kill anybody, he replied, “No, I had only gone there to talk to them.” These statements, along with the statements also made by appellant that “I am a combative man”, “I am going to take military action”, “My parents will take care of the children”, and “I screwed up — there are better ways,” were all argued to be incriminating statements in the nature of a confession which should not have been admitted prior to the state establishing the corpus delicti of attempted aggravated assault upon Carol May. Appellant argues that while there may have been a corpus delicti established for attempted homicide, attempted threatening or intimidating, attempted kidnap, assault, or burglary, without these statements there was no inference of attempted aggravated assault.
Appellant is correct that before a confession may be admitted into evidence, the state must produce independent evidence, apart from the confession, sufficient to warrant a reasonable inference that the crime charged was actually committed by some person. State v. Janise, 116 Ariz. 557, 570 P.2d 499 (1977). The corpus delicti of attempted aggravated assault, as charged in this indictment, required proof that someone intentionally took a step planned to culminate in intentionally placing Carol May in reasonable apprehension of imminent physical injury.
Prior to the admission of the statements, Carol May had fully described the marital problems between the parties including the incident of April 26, 1981. Appellant’s sister had described driving appellant toward Major’s house, the struggle that ensued over the pistol and her report to the police. The police officers testified that they found appellant hiding in a shed beside Dale Major’s house with a loaded pistol in his waistband. These facts created more than a reasonable inference that appellant had gone to Dale Major’s house with the intent to use the weapon to place his wife in reasonable apprehension of imminent physical injury. The act of going to Major’s house under the circumstances described was an intentional step planned to culminate in the commission of the crime of aggravated assault and therefore established the corpus delicti of attempted aggravated assault. Thus, the trial court did not err in admitting the statements.
Next, appellant complains that the trial court erred in admitting evidence of subsequent threats made to Carol May and Dale Major by appellant on September 26, 1981. On that date, after a visitation with one of his children at Carol May’s residence, appellant held a can of beer approximately four inches from his wife’s mouth and said “How would you like to have this shoved down your throat?” He then stated, “I’m going to get you yet. You’re dead yet.” Additionally, Mrs. May was permitted to testify that on that same day appellant had threatened to burn her house down and after following her to Major’s house had again stated, “You’re dead yet. I’m going to get you yet.” Major was also permitted to testify that a similar threat was made to him by appellant. Appellant claims that these were subsequent bad acts wholly independent from the charges for which he was on trial and which were offered solely to prove his character and that he acted in conformity therewith and were inadmissible under Rule 404(a), Arizona Rules of Evidence. However, as noted by the state, subsequent bad acts may be admitted for other purposes such as proof of motive, opportunity, intent, preparation, plan, knowledge, identity or absence of mistake or accident. See Rule 404(b). Appellant’s intent at the time he went to Major’s house on May 11,1981 was a critical issue at trial. Appellant denied any intent to threaten his wife and testified that he merely carried the weapon to protect himself from Major. These subsequent threats could be reasonably construed to reflect a continuing attitude on appellant’s part to keep his wife in a state of fear of imminent physical injury by him with the intent to break up the relationship with Major and have her return to him out of fear. Thus, they were relevant to his intent at the time he went to Major’s house on May 11, 1981 and were properly admitted.
For appellant’s fourth argument, he claims that the trial court erred in denying his requested instructions on attempted threatening or intimidating as a lesser included offense of attempted aggravated assault.
Appellant recognizes that both State v. Morgan, 128 Ariz. 362, 625 P.2d 951 (Ct.App.1981) and State v. Rineer, 131 Ariz. 147, 639 P.2d 337 (Ct.App.1981) have held that threatening and intimidating is not a lesser included offense of aggravated assault. Nevertheless, he claims that the present case may be distinguished from Morgan and Rineer because of the added element of attempt.
In Morgan, as in the present case, the defendant had been charged with assault under A.R.S. § 13-1203(A)(2). This subsection of the statute states that a person commits assault by “intentionally placing another person in reasonable apprehension of imminent physical injury...” In contrast, the crime of threatening or intimidating is defined in A.R.S. § 13-1202(A) as follows:
A. A person commits threatening or intimidating if such person with the intent to terrify threatens or intimidates by word or conduct:
1. To cause physical injury to another person or serious damage to property of another; or
2. To cause, or in reckless disregard to causing, serious public inconvenience including, but not limited to, evacuation of a building, place of assembly or transportation facility.
(Emphasis added.) In holding that threatening and intimidating is not a lesser included offense of aggravated assault, this court focused on the above emphasized language and its requirement that the defendant must possess an intent to place the victim in a mental state of terror in anticipation of the threatened harm. We concluded that this element is not required to convict a defendant of aggravated assault under A.R.S. § 13-1204(A)(2) where it is only necessary that the defendant intentionally place the victim in reasonable apprehension of imminent physical injury. We further noted that while an assault may in fact terrify a victim, the offense does not require that the defendant intend to evoke such terror. In Rineer, Division 2 disagreed with our reasoning in Morgan but reached the same result. It held that in the crime of threatening and intimidating the defendant must imply some control over the occurrence or nonoccurrence of the harm, an element which is not necessary to satisfy the crime of aggravated assault.
In the present case, appellant argues that our holding in Morgan is inapplicable to the present case because in the crime of attempted assault or attempted threatening and intimidating, the defendant’s subjective concern with the victim’s mental state is so speculative that the distinguishing element no longer exists.
While it is certainly true that a defendant’s subject intent is difficult to determine where an attempt is involved, this is merely a factual issue and does not provide a legal distinction. The crime of attempt requires proof of a specific intent by the defendant to commit the substantive crime. State v. Miller, 123 Ariz. 491, 600 P.2d 1123 (Ct.App.1979). Thus, to prove the defendant guilty of attempted threatening or intimidating the state would have been required to prove not only the commission of an act planned to culminate in the offense of threatening or intimidating but also the intent to complete that crime with all its constituent elements. This includes the intent to place the victim in a state of terror in anticipation of the threatened harm. This element is not required to prove the crime of attempted aggravated assault. The latter merely requires an act designed to place the victim in reasonable apprehension of imminent physical injury. Thus, appellant’s argument that the elements of attempt to commit aggravated assault necessarily include the elements of attempt to commit threatening or intimidating is not persuasive.
In determining whether an offense is a lesser included crime, however, we must not only look to the elements of the crimes but to the terms of the charging document. If the terms of the charging document describe the lesser offense, it is considered an included crime even though the lesser offense would not always form a constituent part of the greater crime charged. See, State v. Teran, 130 Ariz. 277, 635 P.2d 870 (Ct.App.1981). Count II of the indictment stated:
On or about May 11,1981 MICKEY MAY attempted to commit the offense of aggravated assault by carrying a loaded 44-40 pistol to the residence of Larry Dale Major and lying in wait while concealed for the purpose of using a deadly weapon or dangerous instrument, to intentionally place Carol May in reasonable apprehension of imminent physical injury, in violation of A.R.S. §§ 13-1001, 13-1204(A)(2) and (B), 13-1203(A)(2), 13-701, 13-702 and 13-801.
This language follows the statutory language of aggravated assault. It charges that appellant attempted to commit aggravated assault by going to Major’s house with a deadly weapon with the intent to use that weapon to intentionally place the victim in reasonable apprehension of imminent physical injury. In order to charge attempted threatening or intimidating it would have been necessary to allege that appellant went to the residence while armed with a deadly weapon with the intent to terrify the victim by threatening or intimidating by word or conduct to cause physical injury. Under the language of count II, the jury could have found appellant guilty of attempted aggravated assault if they determined that he carried the pistol partially for his own protection but also intended to display the weapon in his belt in such a manner as to intentionally place Carol May in reasonable apprehension of imminent physical injury.. This would not have constituted the crime of attempted threatening or intimidating which would have required a finding of threatening or intimidating by word or conduct to cause physical injury to another person with the intent to terrify Carol May. Thus, even under the language of the charging document, the crime of attempted threatening or intimidating was not a lesser included offense and therefore the requested instruction was properly denied.
Finally, appellant argues that it was error for the trial court to permit the investigating officers to testify as to statements made by appellant’s sister regarding her fear or belief that appellant had gone to his wife’s house to kill her.
As mentioned earlier, when appellant’s sister, Tamara Drake, drove appellant toward Major’s house on May 11, 1981, an argument erupted between the two prior to reaching the house after Tamara saw that appellant was carrying a gun. When appellant left the car, Tamara drove directly to the police station which was only two or three blocks away. During the state’s direct examination at trial, she testified that when she arrived at the station:
I told the lady that I needed to see an officer, something, that he had a gun and he was going to his wife’s boyfriend’s, I guess, to get his wife.
I told them he had a gun and that he went over to get his wife.
The prosecutor then asked:
Q. Did you say that you were afraid Mickey was going to kill Carol?
A. No, I did not ever mention kill, because I really didn’t think he was going to kill her.
On cross-examination, appellant’s counsel elicited the following additional testimony from Tamara:
Q. In connection with Mickey getting out of your vehicle and leaving, did he say what he was going to do?
A. All he said he just said don’t worry, I just want to talk to her.
Q. Is that compatible with what you had said earlier — I mean what he had said to you earlier at your house?
A. That’s all he ever said at the house, and there both, he said he just wanted to talk to her.
Q. But he did have a gun at that point when he says, “I just want to talk to her.”
A. When he got out of the car, yes.
Later, over appellant’s hearsay objection, the state presented testimony by two officers who were present when Tamara arrived at the police station. Officer Ingra-ham testified:
She stated that her brother had a gun and he was on his way to his wife’s house, and she was afraid that he was going to kill her.
Officer O’Donnal testified:
Okay. As I remember, she said my brother has a gun and he is going to kill his wife.
The state offered this testimony as impeachment of Tamara’s earlier statements and also as an excited utterance under rule 803(2), Arizona Rules of Evidence. The trial court apparently admitted the testimony by the officers as excited utterance hearsay exceptions. On appeal, appellant claims that it was error to admit the police officers' statements in that they were irrelevant, prejudicial statements of Tamara’s state of mind. In its answering brief, the state does not dispute that the testimony was irrelevant, but claims that the error in admitting these statements was harmless and therefore does not require reversal citing Chapman v. California, 386 U.S. 18, 87 S.Ct. 824, 17 L.Ed.2d 705 (1967).
We agree that the statements were improperly admitted. In State v. Adamson, 136 Ariz. 250, 255, 665 P.2d 972, 977 (1983), our supreme court reiterated that “[t]here is also a general requirement imposed on declarations coming in under all exceptions to the hearsay rule that the declarant, like witnesses, must have had an opportunity to observe or personal knowledge of the fact declared.” Here, Tamara’s statements to the police officers that she was afraid or believed that appellant was going to kill his wife reflected mere suspicion on her part that appellant possessed the. intent to kill his wife and were not based upon any personal knowledge of the fact by the witness. Therefore, the statements were improperly admitted as exceptions to the hearsay rule.
Nevertheless, we agree with the state that reversal is not required because we find, beyond a reasonable doubt, that even without this testimony, the jury’s verdict would have been the same. Id.; State v. McVay, 127 Ariz. 450, 622 P.2d 9 (1980). The statements were cumulative to similar statements made by appellant and previously admitted in evidence. Additionally, the state’s theory of the case was not that appellant went to the residence to kill the victim but to merely place her in reasonable apprehension of imminent physical injury.
For the reasons stated, the judgment and sentence are affirmed as modified.
JACOBSON and OGG, JJ., concur.
. At the time of sentencing, the trial court erroneously sentenced appellant to four years with the Department of Corrections. We hereby modify the sentence to reflect four years imprisonment in compliance State v. Gutierrez, 130 Ariz. 148, 634 P.2d 960 (1981).
. The tendered instructions were as follows: A person commits the crime of threatening or intimidating if such person with the intent to terrify threatens or intimidates by word or conduct to cause physical injury to another person.
The crime of attempted aggravated assault includes the lesser [sic] serious crime of attempted threatening or intimidating. The State may prove attempted threatening or intimidating, but fail to prove the more serious crime of attempted aggravated assault. You are permitted to find the defendant guilty of the less serious crime of attempted threatening or intimidating:
1. If the evidence does not show beyond a reasonable doubt that the defendant is guilty of attempted aggravated assault; and
2. If the evidence does show beyond a reasonable doubt he is guilty of attempted threatening or intimidating.
|
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OPINION
HOWARD, Chief Judge.
Appellant, convicted by a jury of unlawful possession of an electrical device while riding in a horse race, was placed on two years’ probation.
Appellant rode the winning horse in the sixth race at Rillito Downs on February 6, 1982. Frank Barrios, racing commission investigator, watched appellant walk from the winner’s circle to a jockey room. He was particularly interested in appellant from information he had before the race started and had the authority to conduct an on-the-spot search of appellant. He was accompanied by John Vanover, who was also an investigator for the commission. They followed appellant into the training room area and when appellant spotted Barrios he threw a black object to the ground. Barrios and Vanover retrieved the object which turned out to be an electrical device which gave a “terrific jolt.”
Appellant was asked to accompany Barrios and Vanover to the racing commission office at the track. In the office, before anything was said, Barrios handed the illegal device to the other investigator. As he did so, appellant stated: “It’s a cheap one.”
Appellant took the stand at trial and denied having the device. He also called character witnesses in his favor.
Appellant called as a character witness Charles Sacatello, a jockey, who testified that in his opinion appellant was an honest person. Sacatello was asked on cross-examination by the prosecution whether he knew that appellant had been cited by the racing commission for filing a frivolous foul claim. He said that he did and it wouldn’t change his opinion. He also gave an explanation of the term “frivolous foul claim”:
“Q. Tell me about it; what does it mean?
A. Well, if you have a horse — you are riding a race, you have a horse bump you, you have that right to claim a foul if you choose.
Q. Does it mean it’s not a good-faith claim?
A. Sure, you may claim foul against the wrong one sometimes, but this happens. It’s a normal thing. It happens.
Q. You do it, too.
A. Yes, sir, I have.”
Appellant, on direct examination, explained the meaning of the term:
“A. That’s when two parties disagree when they’re running in a horse race. Like if I was on the rail and another competitor on my right trying to pass me, if he cut over in front of me before he had clearance, that would be a time I could call the stewards after the race and complain that he didn’t give me the right-of-way I should have had. And the stewards would review the films.
After they review the films they would send down their decision either that the man did foul me or he didn’t. And if they say no, he didn’t foul me, they would consider that a frivolous claim of foul.”
Because of the cross-examination of the character witness, appellant offered the following instruction which the court refused to give:
“Where on cross-examination a witness is asked if he has heard of reports of certain conduct of the defendant inconsistent with the traits of good character as to which the witness has testified, such questions and the witness’ answers thereto may be considered only for the purpose of determining the weight to be given to the opinion of the witness or to his testimony as to the good reputation of the defendant.
Such questions and the answers thereto are not evidence that the reports are true and you must not speculate from them that the defendant did in fact conduct himself inconsistently with such trait of character.”
Appellant contends that the state, in its cross-examination of Sacatello, asked an improper question when it asked “Do you know” instead of “Have you heard.” He further contends that the trial court erred in refusing his instruction. We do not agree.
Prior to the adoption of the Arizona Rules of Evidence by our supreme court, a reputation witness as to the character trait of honesty could be asked, for example, “Have you heard about the defendant’s arrest for theft?” Because such a witness was reporting only on what he had heard, the same question prefaced with “do you know” was held improper. Now, Rule 405, Arizona Rules of Evidence, 17A A.R.S., allows proof of character either by reputation or opinion. Since the witness can, under the rule, give his opinion on a character trait, the question “Do you know about defendant’s arrest for theft?” is permissible. See Government of Virgin Islands v. Roldan, 612 F.2d 775 (3rd Cir.1979), cert. den., 446 U.S. 920, 100 S.Ct. 1857, 64 L.Ed.2d 275 (1980) and see also, M. Udall and J. Liver-more, Law of Evidence § 83 at 173-74 (1982).
Rule 405(a), Arizona Rules of Evidence, 17A A.R.S., also provides that on cross-examination, inquiry is allowable into relevant specific instances of conduct. We hold that whenever an exception under Rule 405 allows introduction of prior bad acts, the defendant is entitled to a limiting jury instruction in which the jury is told that they are to consider any incidents brought out in cross-examination only for the purposes of assessing the witness’ standard of opinion of the character trait at issue. United States v. Apfelbaum, 621 F.2d 62 (3rd Cir.1980); Government of Virgin Islands v. Roldan, supra; United States v. Tempesta, 587 F.2d 931 (8th Cir.1978), cert. den. 441 U.S. 910, 99 S.Ct. 2005, 60 L.Ed.2d 380 (1979); cf., State v. Canedo, 125 Ariz. 197, 608 P.2d 774 (1980).
The instruction offered, CAUIC 2.42, applies to “have you heard” cross-examination, which was not the case here. Furthermore, the second paragraph of the instruction is inapplicable when the defendant testifies and admits the conduct, as he did in the instant case. Since the instruction was incorrect because of its inapplicability to the factual posture of the case, the trial court did not err in refusing to give it.
In any event, the filing of a frivolous foul claim was, according to the only testimony elicited at trial, clearly irrelevant since it did not bear in any way upon appellant’s honesty. It is not fundamental error to fail to give a limiting instruction in this situation. Government of Virgin Islands v. Roldan, supra. Assuming arguendo that the instruction should have been given, we find any error to be harmless in view of the explanation made by the witnesses and by the fact that the prosecutor never referred to the conduct in his final argument, perhaps recognizing its irrelevancy.
Appellant next contends the court erred in denying his motion for mistrial based upon statements made by the prosecutor during his final argument. We do not agree. Appellant’s counsel argued in his summation to the jury that no witnesses ever saw appellant use the electrical device during the race. In response to this argument, the prosecutor stated, “You won’t hear any jury instruction saying the State has to prove the Defendant used that item during a race. Do you know what this is? This is deceiving.” (Emphasis added.) The prosecutor also turned to photographs taken by appellant and made the following remark:
“Mr. Minker tells you about the investigation he did on the case. Remember I showed him all these photographs. Are there any photographs in there that accurately showed you the area of the jockey room or the door of the jockey room or the actual width of the hedge? All those photographs are deceiving.” (Emphasis added.)
The prosecutor also labeled another of appellant’s arguments as “a little deceiving” and asked the jury to listen to the definition of the offense that was going to be given by the court and to “consider the word deceiving in this case.”
Appellant contends that the prosecutor’s remarks constituted an unwarranted personal attack on his attorney. We do not agree. It has long been the rule in Arizona that counsel for both sides have considerable latitude in their arguments to the jury and that the granting or denial of a mistrial based upon such remarks is usually within the sound discretion of the trial court. State v. Gregory, 108 Ariz. 445, 501 P.2d 387 (1972). It is also true that an improper comment by the state’s attorney can result in a mistrial and abuse of opposing counsel, unwarranted by the evidence, is not within the scope of proper argument and if carried too far may result in the granting of a new trial or reversal. State v. Gregory, supra. However, in the closing argument excessive and emotional language is the bread and butter weapon of counsel’s forensic arsenal, limited by the principle that attorneys are not permitted to introduce or comment upon evidence which has not previously been offered and placed before the jury. State v. Gonzales, 105 Ariz. 434, 466 P.2d 388 (1970). We do not believe that the remarks of the prosecuting attorney were as inflammatory or derogatory as the defendant contends and we find no error.
Appellant’s next alleged error concerns the admission into evidence of his statement “It’s a cheap one.” Relying on Rhode Island v. Innis, 446 U.S. 291, 100 S.Ct. 1682, 64 L.Ed.2d 297 (1980), appellant contends that the handing over of the electrical device by Barrios to Vanover in appellant’s presence, prior to the giving of any Miranda warnings, was the functional equivalent of interrogation and that his statement should have been suppressed. We do not agree. In Rhode Island v. Innis, supra, the Court stated:
“We conclude that the Miranda safeguards come into play whenever a person in custody is subjected to either express questioning or its functional equivalent. That is to say, the term ‘interrogation’ under Miranda refers not only to express questioning, but also to any words or actions on the part of the police (other than those normally attendant to arrest and custody) that the police should know are reasonably likely to elicit an incriminating response from the suspect. The latter portion of this definition focuses primarily upon the perceptions of the suspect, rather than the intent of the police. This focus reflects the fact that the Miranda safeguards were designed to vest a suspect in custody with an added measure of protection against coercive police practices, without regard to objective proof of the underlying intent of the police. A practice that the police should know is reasonably likely to evoke an incriminating response from a suspect thus amounts to interrogation. But, since the police surely cannot be held accountable for the unforseeable results of their words or actions, the definition of interrogation can extend only to words or actions on the part of police officers that they should have known were reasonably likely to elicit an incriminating response.” (Footnotes omitted.) 446 U.S. at 301-302, 100 S.Ct. at 1690.
Appellant here was not subjected to the “functional equivalent” of questioning. It cannot be said that Barrios should have known when he handed the electrical device to Vanover in appellant’s presence the action was reasonably likely to elicit an incriminating response from appellant.
Appellant’s last contention is that the trial court should have granted his motion for a directed verdict of acquittal. He was charged with violation of A.R.S. § 5-115(A)(3) which provides:
“At any racing meeting conducted under the provisions of this article, a person is guilty of a class 4 felony, if he:
* * * * * *
3. Knowingly has in his possession or in use, while riding or driving in any horse race, any mechanical or electrical device other than an ordinary whip .... ” (Emphasis added.)
Appellant contends there was no evidence that the race meeting was conducted under “the provisions of this article,” which re quire, inter alia, a valid permit issued by the racing commission. A.R.S. § 5-107.01. The trial court denied the motion for acquittal because it believed there was enough circumstantial evidence to show that the racing meeting was being so conducted. The trial court reasoned that Rilli-to Downs was running a sanctioned race, under a permit, because racing commission investigators were present and would have been required to suspend the racing had the situation been otherwise. It further noted that it would defy common sense to infer that licensed jockeys, trainers and others who had testified at trial would all be participating in an unsanctioned meet on that day. Furthermore, it should be noted that A.R.S. § 5-106(J) requires that the racing commission have licensed stewards present at every race meeting and that such stewards were monitoring the race that day. We agree with the trial court’s conclusion that the circumstantial evidence sufficed.
Affirmed.
HATHAWAY and BIRDSALL JJ., concur.
|
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FELDMAN, Justice.
Robert Lee Hensley (defendant), Robert Berndt and Richard Cihak were charged by indictment with two counts of first degree murder, and one count of attempted murder, armed robbery and kidnapping. Prior to trial, defendant requested a voluntariness hearing with respect to several statements he had made to police officers. The trial judge disqualified himself from that hearing and the issues were heard by Judge Scott, who suppressed some of defendant’s statements but ruled that two confessions were admissible.
Defendant then waived his right to trial by jury and submitted his case to the trial court for determination of guilt or innocence based on a “packet” of exhibits, including the two statements which Judge Scott had ruled were admissible. After reading the exhibits, which included police reports, summaries of witness interviews, statements and confessions by the code-fendants and the two confessions which Judge Scott had ruled admissible, the trial judge found the defendant guilty on all counts except kidnapping. The trial court then held an aggravation-mitigation hearing pursuant to A.R.S. § 13-703(B). At that hearing, the trial judge again considered the packet of exhibits, though the stipulation had stated only that the packet was submitted for determination of guilt or innocence. The trial judge found no mitigating circumstances sufficiently substantial to call for leniency and one aggravating circumstance, that the murder was committed in expectation of pecuniary gain. A.R.S. § 13-703(F)(5). The defendant was sentenced to death for each count of murder and to consecutive terms of 21 years’ imprisonment for attempted murder and robbery. Appeal of conviction on sentence of death is automatic. Ariz.R.Crim.P. 31.-2(b). We have jurisdiction pursuant to Ariz. Const, art. 6, § 5(3), and A.R.S. § 13-4031.
Defendant raises several allegations of error on appeal, claiming that all of his statements should have been found inadmissible and that the trial court should not have considered the packet of exhibits at sentencing. The facts necessary for consideration and decision of these issues are as follows.
FACTS
Defendant was employed by a Minnesota company which specialized in cleaning newspaper press rooms. He was sent to Phoenix to assist in cleaning at the Arizona Republic and Phoenix Gazette. Defendant traveled to Phoenix by bus, and en route met Robert Berndt. Berndt had with him a .357 magnum revolver. When the two men arrived in Phoenix, they were low on funds and sought assistance at the Salvation Army. There they met Richard Cihak and Roger and Joyce Windemuth. The group decided to pool their meager resources and rent a room at a motel on Van Burén Street.
On the evening of January 26, 1981, defendant, Berndt and Cihak left the motel in the Windemuth’s car. They cased several grocery stores and then passed the Tin Horn Saloon. The Tin Horn appeared deserted and the men decided it made an attractive target for a robbery. They therefore entered the bar. Defendant was armed with Berndt’s gun and ordered the three people in the bar (the female bartender and a male and female customer) to get on the floor. Cihak stood at the door. Berndt took money from the cash register. As the bartender, Mary Turman, and the two customers, Donna Yeager and Bill Cooper, lay face down on the floor, defendant fired four to five shots, striking each victim at least once in the head. Cooper was dead at the scene; Turman died at the hospital and Yeager miraculously survived.
The three men then returned to the motel and drank until all fell asleep. The next day, defendant shot Cihak in the chest with the .357 revolver and then simply walked away. The police were summoned to the motel, where they questioned and released Berndt and the Windemuths. Berndt and the Windemuths left town together that night. Berndt was eventually arrested in Oklahoma on an unrelated outstanding warrant. During a search incident to arrest, the police found a letter Berndt had written to the FBI. In the letter, Berndt confessed that he had killed a police officer in California. Two California officers, Jerome Beck and Dominick Rivetti, flew to Oklahoma to interrogate Berndt. During that questioning, Berndt told Beck and Riv-etti about his involvement in the Tin Horn robbery.
Beck and Rivetti called the Phoenix police and were put in touch with Detective Joe North. North also flew to Oklahoma and interrogated Berndt about the Tin Horn robbery. After interrogating Berndt, North was convinced that Berndt, Cihak and defendant were responsible for the Tin Horn robbery, and that the Windemuths were potential witnesses. Since Beck and Rivetti were also interested in questioning the Windemuths and defendant, they arranged to keep in touch with North.
On Saturday, March 7, 1981, defendant was arrested in Tucson on an outstanding warrant for the Cihak shooting. Arrangements were made to send defendant to Phoenix. On Monday, March 9,1981, North learned that defendant was being transported to Phoenix. He called and left word with Beck and Rivetti, who arranged to fly to Phoenix that night. By coincidence, North was scheduled to go to Arkansas the next morning to see the Windemuths.
On the evening of March 9, North contacted defendant at the Maricopa County Jail. North advised defendant of his rights and interrogated him about the Cihak shooting. Defendant responded to the interrogation. North then began to interrogate defendant about the Tin Horn robbery. Defendant denied any knowledge of the robbery and stated that he did not want to talk about it. North persisted in interrogating defendant about the Tin Horn robbery and defendant answered, “I think right now we better stop and let me talk to a lawyer cause I don’t know anything about _[sic], if its okay with you.” North acknowledged defendant’s request for an attorney and stated that he would not ask anything else about the Tin Horn robbery. North then immediately asked, “Let me ask you thing [sic] about what you might have heard about what [Berndt] said. Will you talk to me ábout that for just a second?” North then acknowledged that he understood defendant did not want to talk any more, but stated he wanted to question defendant further about Berndt’s activities in relation to the California charges and stated, “I’m not going to ask you anything else about [the Tin Horn matter] ... and even if I did, it wouldn’t be admissible in court.” Defendant agreed and North then interrogated defendant regarding his knowledge of Berndt’s prior criminal activity. While this interrogation focused on Berndt, it included questions regarding defendant’s criminal record, his involvement with Berndt and Bemdt’s gun. North also informed defendant that Berndt had talked to the police.
At the conclusion of this interrogation, North told defendant that Beck and Rivetti “are going to come in town tonight to talk to you. They are going to come over here tomorrow to talk to you. Obviously, you don’t have to talk to them. Right? That’s your right, I’ve already told you that. But will you talk to them as you’ve sat here and talked to me?” Defendant agreed to talk to Beck and Rivetti.
The next day, Beck and Rivetti took defendant from the county jail to the Phoenix police station around 1:00 p.m. En route and at the police station, the officers questioned defendant without reading him his rights. This interrogation focused on Berndt and the shooting of the California officer, but included questions concerning defendant’s bus ride with Berndt and Berndt’s gun. The officers also informed defendant that they had talked to Berndt and Cihak. At the station, Beck and Rivet-ti turned on their tape recorder and again questioned the defendant without having advised him of his rights. This second, taped interrogation covered the same subjects previously discussed.
Beck testified that after the tape recorder was turned off, defendant stated that he would like to make a statement to North about the Tin Horn robbery. Beck informed defendant that North was not available, but that they were willing to take a statement. The tape recorder was then turned on and defendant was advised of his rights. Defendant was also asked, “Can we talk among ourselves right now without a lawyer?” and responded, “Yes, sir, we can.” Beck then interrogated defendant about the Tin Horn robbery, at which time defendant admitted his participation in the robbery and murders (hereinafter referred to as the “Beck confession”).
Beck informed Phoenix police officers Gus Oviedo and Emmet Quill of defendant’s confession. At 5:30 that evening, Oviedo and Quill contacted defendant at the county jail. They advised defendant of his rights and interrogated him about the Tin Horn robbery. Defendant responded to the questions and then accompanied the officers to the area near the motel and directed them to the place where he had hidden after the Cihak shooting and had disposed of bullets from the murder weapon. (These statements will hereinafter be referred to as the “Quill confession.”)
MIRANDA RIGHTS
Defendant moved to suppress all his statements and the fruits of the statements made after he invoked his right to silence and requested counsel. The judge suppressed defendant’s March 9 statements to North, defendant’s March 10 statements to Beck and Rivetti during the initial unrecorded interrogation and the recorded interrogation concerning Berndt. The judge based his ruling on a finding that the “statements were the result of interrogation initiated by law enforcement officers after the defendant had specifically requested the presence of an attorney prior to any further interrogation, Edwards v. Arizona, [451 U.S. 477], 101 S.Ct. 1880 [68 L.Ed.2d 378] (1981), and because prior to making said statements the defendant was not advised of, nor did he voluntarily waive, his rights under Miranda v. Arizona, [384] 389 U.S. 436 [86 S.Ct. 1602, 16 L.Ed.2d 694] (1966).” We agree with this ruling. The judge, however, also ruled that the Beck and Quill confessions were voluntary and were made after a knowing and intelligent waiver of defendant’s right to silence and right to counsel. We do not agree with this ruling.
In Miranda v. Arizona, 384 U.S. 436, 86 S.Ct. 1602, 16 L.Ed.2d 694 (1966), the Supreme Court set out the procedure to be followed when a person subjected to custodial interrogation asks to consult with a lawyer. “If the individual states that he wants an attorney, the interrogation must cease until an attorney is present.” Id. at 474, 86 S.Ct. at 1628. In Edwards v. Arizona, 451 U.S. 477, 101 S.Ct. 1880, 68 L.Ed.2d 378 (1981), the Supreme Court acknowledged that the defendant may waive this right after having asserted it. The Court held, however, that “a valid waiver of that right cannot be established by showing only that [the defendant] responded to further police-initiated custodial interrogation even if he has been advised of his rights.” Id. at 484, 101 S.Ct. at 1885 (footnote omitted). The Court noted that an assertion of the right to counsel is a significant event and emphasized that “it is inconsistent with Miranda and its progeny for the authorities, at their instance, to reinterrogate an accused in custody if he has clearly asserted his right to counsel.” Id. at 485, 101 S.Ct. at 1885. The Court therefore announced a rule that:
[A]n accused, ... having expressed his desire to deal with the police only through counsel, is not subject to further interrogation by the authorities until counsel has been made available to him, unless the accused himself initiates further communication, exchanges or conversations with police.
Id. at 484-485, 101 S.Ct. at 1885.
The question here, then, is whether defendant waived his right to remain silent and to have counsel present when, after Beck finished questioning him about Bemdt’s involvement with the California charges, defendant stated that he would like to talk to North about the Tin Horn robbery. The State argues that after defendant invoked his right to counsel, the officers refrained from further interrogation regarding the Tin Horn matter until the defendant asked to make a statement on that subject to North. The State contends, therefore, that defendant’s request to make a statement was a waiver of his previous request for counsel because, in accordance with Edwards, it was the defendant who initiated the Tin Horn interrogation. We disagree.
The record compels the conclusion that defendant was subjected to custodial interrogation regarding the Tin Horn robbery subsequent to his request for counsel. Immediately after defendant requested counsel, he was questioned by North about “what Berndt said” and the next day was questioned again about Berndt by Beck and Rivetti. These interrogations were police initiated and, while directed toward the unrelated charges against Berndt, were inextricably related to the Tin Horn robbery. While the focus of these interrogations was on defendant’s knowledge of Berndt’s past criminal activities, especially the California charges, all officers were well aware that Berndt had already confessed to the Tin Horn robbery and had implicated the defendant. In addition, North’s interrogation included questions about defendant’s criminal record, defendant’s involvement with Berndt, defendant’s bus trip to Phoenix with Berndt and defendant’s knowledge about Berndt’s gun, which was the murder weapon used at the Tin Horn robbery. The later interrogation by Beck and Rivetti had a similar focus.
The fifth amendment protection against self-incrimination “not only extends to answers that would in themselves support a conviction ... but likewise embraces those which would furnish a link in the chain of evidence .... ” Hoffman v. United States, 341 U.S. 479, 486, 71 S.Ct. 814, 818, 95 L.Ed. 1118 (1951). In defining the procedural safeguards of the fifth amendment, the Supreme Court has held:
[T]he Miranda safeguards come into play whenever a person in custody is subjected to either express questioning or its functional equivalent. That is to say, the term “interrogation” under Miranda refers not only to express questioning, but also to any words or actions on the part of the police (other than those normally attendant to arrest and custody) that the police should know are reasonably likely to elicit an incriminating response from the suspect.
Rhode Island v. Innis, 446 U.S. 291, 300-01, 100 S.Ct. 1682, 1689-90, 64 L.Ed.2d 297 (1980) (footnotes omitted). An incriminating response is “any response — whether in-culpatory or exculpatory — that the prosecution may seek to introduce at trial.” Id. at 301 n. 5, 100 S.Ct. at 1690 n. 5.
The questions asked by the officers which led to defendant’s “volunteering” that he wished to make a statement about the Tin Horn robbery cannot be said to fall into the category of questions “normally attendant to arrest and custody.” United States v. Downing, 665 F.2d 404, 406-07 (1st Cir.1981); United States ex rel. Hines v. LaVallee, 521 F.2d 1109, 1112-13 (2d Cir.1975). We believe it apparent that the questions concerning defendant’s relationship with Berndt were of the type which the police should have known were reasonably likely to produce answers which could be used to link defendant to the Tin Horn robbery. While we do not reach the question of whether, after a defendant has invoked the right to counsel, the police may interrogate him on a totally unrelated subject, we hold here that continuation of questioning on subjects related to the offense under investigation after a suspect has requested counsel is interrogation inconsistent with Miranda and its progeny. See State v. Emery, 131 Ariz. 493, 642 P.2d 838 (1982) (holding that officers’ discussion about the death penalty after defendant had invoked his right to silence was the functional equivalent of interrogation).
Defendant’s eventual expression of a desire to confess without seeing counsel occurred at the end of the final interrogation by Beck and Rivetti and immediately after he had been subjected to improper interrogation by them. The defendant was still in the same room and in the presence of the same two officers. Under these facts, we hold as a matter of law that the trial court’s finding that defendant had waived his previously invoked right to counsel and had “initiated” the contact with the officers which led to his confession is unsupported by the record and is legally erroneous. See State v. Finehout, 136 Ariz. 226, 231, 665 P.2d 570, 575 (1983); see also Brewer v. Williams, 430 U.S. 387, 397 n. 4, 97 S.Ct. 1232, 1238-39 n. 4, 51 L.Ed.2d 424 (1977). We also note that defendant’s interrogation by Oviedo and Quill was at the initiation of the Phoenix police officers who had been informed of defendant’s confession to Beck and Rivetti. We hold, therefore, that the trial court erred in failing to suppress the Beck and Quill confessions and the fruits of those confessions.
VOLUNTARINESS
Aside from the Miranda violations, defendant argues that the judge erred in ruling that defendant’s confessions were voluntary. Confessions are prima facie involuntary and the state must prove by a preponderance of the evidence that the defendant’s statements were freely and voluntarily made. State v. Finehout, 136 Ariz. at 231, 665 P.2d at 575; State v. Knapp, 114 Ariz. 531, 538, 562 P.2d 704, 711 (1977). The determination of the trial judge that a confession was voluntary will not be disturbed on appeal absent clear and manifest error. State v. Knapp, supra.
Defendant argues that his confessions were involuntary for two reasons: (1) they were induced by a promise; and (2) defendant did not receive a timely initial appearance. The rule in Arizona is that a confession induced by a direct or implied promise, however slight, is involuntary. State v. Jerousek, 121 Ariz. 420, 424, 590 P.2d 1366, 1370 (1979); State v. McFall, 103 Ariz. 234, 236, 439 P.2d 805, 807 (1968). Defendant argues that his confessions were induced by a promise that they would not be used against him. After defendant requested counsel and while he was being interrogated by Detective North “about Berndt,” the following exchange took place:
[North]: It is very important that if [Berndt] did tell you anything about what he had done, and this doesn't involve you at all, you’re not hurting yourself. Alright, you’ve already told me you don’t want to talk to me anymore about what you did [the Tin Horn] and I’m not going to ask you anything else about what you did from this point on.
[Defendant]: Okay.
[North]: And even if I did, it wouldn’t be admissible in court. You know enough about the law to know that, don’t you?
[Defendant]: Yes.
[North]: Once you said you don’t want to talk to me about that, anything else you tell me can’t be used against you. So anything you tell me from this point on is, you know, can’t be held against you.
While we strongly disapprove of continued questioning after a suspect has invoked his rights, we do not believe that North’s statements constitute a “promise” within the scope of Arizona decisions. The statements did not offer any benefit to the defendant in exchange for information. Compare State v. Burr, 126 Ariz. 338, 340, 615 P.2d 635, 637 (1980) (defendant led to believe he would not be prosecuted if he agreed to give police information concerning a crime); State v. McFall, supra (drug-addicted defendant led to believe he would be given drugs if he cooperated); see also State v. Jerousek, supra; People v. Jimenez, 21 Cal.3d 595, 611-12, 580 P.2d 672, 681-82, 147 Cal.Rptr. 172, 181-82 (1978).
Moreover, for a promise to render a confession involuntary, the defendant must have relied on the promise in making the confession. State v. Hall, 120 Ariz. 454, 457, 586 P.2d 1266, 1269 (1978). The facts in this case do not support a finding of reliance. Defendant did not confess until the day after North’s statements and after he had been read his Miranda rights and informed that anything he said could be used against him.
Defendant also argues that his confessions were involuntary because the police prevented him from getting counsel on March 10. Defendant argues that because he was removed from the county jail by Beck and Rivetti he missed his initial appearance, at which time counsel would have been appointed. See Ariz.R.Crim.P. 4.1 and 4.2.
We have previously held that the time elapsing between a defendant’s arrest, confession and initial appearance is a factor to be considered by the trial judge in determining the voluntariness of the confession. See State v. Arnett, 119 Ariz. 38, 44, 579 P.2d 542, 548 (1978); State v. Everett, 110 Ariz. 429, 432, 520 P.2d 301, 304 (1974). However, the voluntariness of a confession is to be determined by assessing “the totality of all the surrounding circumstances — both the characteristics of the accused and the details of the interrogation.” Schneckloth v. Bustamonte, 412 U.S. 218, 226, 93 S.Ct. 2041, 2047, 36 L.Ed.2d 854 (1973); State v. Knapp, supra; State v. Arnett, supra. The court must determine whether the confession was the “product of an essentially free and unconstrained choice by its maker” or whether “his will has been overborne and his capacity for self-determination critically impaired.” Schneckloth, 412 U.S. at 225, 93 S.Ct. at 2047.
Even assuming that defendant was entitled to an initial appearance on March 10, and missed it because he was taken to the police station to be interrogated about Bemdt, we do not find that the totality of the circumstances of this case were such that defendant’s will was overborne. We note that defendant had a lengthy criminal record and thus was familiar with police procedures. Defendant had completed the tenth grade and indicated that he could read and write. Defendant claimed to have a drinking problem which impaired his memory, but defendant was not drunk at the time of the interrogations and appeared to understand the questions asked and give responsive answers. While defendant was interrogated three times, the interrogations were not lengthy and occurred over a two-day period, allowing defendant to sleep and eat between interrogations. We also note that prior to defendant’s actual confessions, he was again read his Miranda rights and indicated he understood those rights.
Thus, while we find that defendant’s confessions were obtained in violation of Miranda v. Arizona, supra, and Edwards v. Arizona, supra, we find, nevertheless, that the confessions were the product of an “essentially free and unconstrained” choice of the defendant. Since the Beck and Quill confessions were obtained in violation of Miranda and Edwards, it was error to consider them at trial. Since they were not coerced, that error does not require reversal absent prejudice. See California v. Chapman, 386 U.S. 18, 23 n. 8, 87 S.Ct. 824, 827-28 n. 8, 17 L.Ed.2d 705 (1967).
PREJUDICE
The test to determine whether error mandates reversal requires the reviewing court to ask whether, absent the error, it is clear beyond a reasonable doubt that the jury would have returned a verdict of guilty. United States v. Hasting, - U.S. -, -, 103 S.Ct. 1974, 1979-1980, 76 L.Ed.2d 96 (1983); State v. McVay, 127 Ariz. 450, 453, 622 P.2d 9, 12 (1980). In making this determination, we bear in mind the potential effect when a trier of fact hears a defendant’s confession. See Harrington v. California, 395 U.S. 250, 254, 89 S.Ct. 1726, 1728, 23 L.Ed.2d 284 (1969); State v. Adamson, 136 Ariz. 250, 267, 665 P.2d 972, 991 (1983) (Feldman, J., dissenting). A review of the record, however, reveals that the improperly considered confession was merely cumulative of other, overwhelming evidence on the same point. See Harrington v. California, supra.
In the packet of exhibits submitted to the trial court were statements and investigatory reports which contained many facts about the police investigation. Since these reports were submitted for consideration without any impeaching evidence or objection regarding hearsay or other matters, we must take the facts contained in the documents as established. Statements in the file indicate that defendant told his employer’s brother that he had killed three people in a robbery in Phoenix and that defendant confessed to the Tin Horn robbery and murder to a cellmate in the Mari-copa County Jail. Defendant also told Joyce Windemuth he had killed the people in the bar and when she asked him why, he told her he did it so he would leave no witnesses to identify him.
Also included in the packet of exhibits were the statements of the accomplices Ci-hak and Berndt. These statements establish all of the facts in the improperly considered confessions. Cihak stated that defendant had the gun, defendant walked in the bar first, and that defendant made the three victims lie down on the floor and stood over them with the gun. Cihak looked away and then heard the firing. Ci-hak stated that neither he nor Berndt was armed.
Berndt stated that upon entering the bar defendant removed the gun from the holster. Berndt recognized the gun as his. After the victims had been made to lie on the floor, Berndt saw defendant point the gun at the first of them and saw defendant fire the gun and the bullet strike the first victim in the head. Berndt also stated that defendant was the only one of the three robbers who had a gun. Berndt saw defendant stand over the other two victims and fire the gun at their heads. Back in the motel room, Berndt saw defendant unload the five spent shells from the gun. Statements from the Windemuths were also included. Roger Windemuth saw defendant return to the motel room and unload Berndt’s gun. Defendant had removed the gun from the holster. Joyce Windemuth saw the same thing.
In light of the foregoing evidence, we do not believe that the erroneous admission of the Beck and Quill confessions mandates reversal. There is here direct evidence of defendant’s guilt, indirect evidence also clearly establishing defendant’s guilt, and defendant’s own confessions to Joyce Win-demuth, the cellmate and the employer’s brother. Under these circumstances, we believe the erroneous admission of the confessions did not have any significant impact upon the findings of the trial judge. We need not weigh conflicting evidence, for there is none. We need not weigh evidence, for the unimpeached, uncontroverted and unrebutted evidence before the trial judge makes it apparent that the confessions in question are no more than cumulative evidence in a case submitted to the court without a jury and do not require reversal. Harrington, supra.
SENTENCE
The defendant was sentenced to death based on the judge’s finding that there were no mitigating circumstances sufficiently substantial to call for leniency and the murders were committed for pecuniary gain. Defendant argues that the sentence of death was based on evidence the judge was not entitled to consider. At the sentencing hearing, the State offered two witnesses and then requested that “the court take notice of the evidence presented to the court for the trial of the matter of Mr. Hensley’s guilt.” Defendant’s counsel objected and argued that the packet of exhibits was submitted only for the determination of guilt or innocence and did not meet the standards for evidence which may be considered at sentencing.
A.R.S. § 13-703(C) governs the evidence which may be considered at sentencing and states in part:
[T]he admissibility of information relevant to any of the aggravating circumstances ... shall be governed by the rules governing the admission of evidence at criminal trials. Evidence admitted at the trial, relating to such aggravating or mitigating circumstances, shall be considered without reintroducing it at the sentencing proceeding.
The State argues that since the packet of exhibits was evidence admitted at the trial, it “shall be considered” at sentencing without reintroduction. The State urges that the defendant “did have a trial — one based on materials he agreed to submit and did submit to the fact-finder of his choice, the trial judge.” The State is technically correct, and in ordinary circumstances the statute would require that evidence admitted at the trial be considered at sentencing without reintroduction, even though that evidence was admitted by stipulation and much of it would not have been admissible absent such stipulation. However, in this case the result reached is that a stipulation which by its terms only permitted the use of otherwise inadmissible evidence at the trial on the question of guilt or innocence was used to relieve the State of its obligation to prove aggravating circumstances in accordance with the rules of evidence. (A.R.S. § 13-703(C).) Nothing in the record supports a finding that the parties clearly intended such a result. We note, instead, that the discussions of the parties concerned only the use of the packet of exhibits for the trial to determine guilt or innocence. The judge carefully warned defendant that he was giving up his right to a jury trial on the question of guilt or innocence, but did not indicate in any manner that if he was found guilty defendant was also waiving his right to put the State to its proof on the existence of aggravating circumstances which, if found, might require the imposition of the death penalty. The objection and argument of defense counsel at the time of the sentence hearing indicates that he neither had intended, realized nor warned the defendant that the stipulation on submission of the packet of exhibits for the purpose of determining guilt or innocence would result in the use of that entire packet to prove aggravating circumstances at the sentence proceedings.
We do feel that it is incumbent upon defense counsel to thoroughly consider and explicitly state the possible-effects of a stipulation prior to its submission. Ordinarily, the consequences of failing to do so must be borne by the client. However, where the issue involves imposition of the death penalty, we do not believe that a stipulation should be given any broader effect than that which the record clearly establishes was intended and discussed by the parties. In these circumstances, therefore, we hold that the intended effect of the stipulation should not be broadened by the technical application of a statute when defendant and his counsel evidently failed to foresee such a result. Therefore, in the absence of a record which shows that defendant clearly intended to waive his right to have the State prove by admissible evidence the aggravating circumstances on which the question of the death penalty revolved, we must give the defendant the benefit of the hearing procedures established by law. We therefore hold that the court erred in sentencing by considering materials which had been submitted under a stipulation permitting their use for determination of issues of guilt or innocence. We therefore vacate the sentence and remand for resentencing pursuant to a hearing at which the State may submit such evidence on aggravation as is permissible under the applicable rules, after which the defendant may be resentenced by the court. At the new hearing, the packet of exhibits which the court previously considered may be used and considered on all issues except those pertaining to proof of aggravating circumstances.
HOLOHAN, C.J., GORDON, V.C.J., and HAYS and CAMERON, JJ., concur.
. Cf. Michigan v. Mosley, 423 U.S. 96, 96 S.Ct. 321, 46 L.Ed.2d 313 (1975) (holding that interrogation on unrelated subjects is permissible after invocation of the right to silence).
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OPINION
HATHAWAY, Judge.
Appellant, a juvenile at the time the alleged crimes were committed, was ordered transferred to superior court for prosecution as an adult and stipulated that the matter be decided by the court upon the record. The trial court found appellant guilty of premeditated murder, felony murder, armed robbery and theft. Appellant was sentenced to life imprisonment on the first two counts and concurrent terms of eight years and four years, respectively, on the remaining counts. He argues on appeal that the trial court erred (1) in finding his statements were voluntary, and (2) in applying a preponderance standard to determine voluntariness.
FACTS
On September 26, 1987, the Yavapai County Sheriff’s Office sent Detective Cul-lins to investigate a report that there was a board with nails sticking out of it and a blood covered baseball cap on Owl Slick Road. Upon arrival, Cullins found the board and followed blood-spattered drag marks to a ditch beside the road in which she found the body of a man with a single gunshot wound to the head.
On September 28, 1987, an investigator with the Yavapai County Attorney’s Office, Saravo, contacted a neighbor of appellant’s mother who reportedly had information about the shooting. That information implicated appellant and his friend. It was further reported that appellant and his friend had taken a truck to Phoenix and were staying with friends of appellant in Tempe. That address and phone number were relayed to the Tempe Police Department.
The Tempe Police Department dispatched an officer to that address. He drove past the home twice. The second time, he saw a truck belonging to the shooting victim in Yavapai County, which had been reported stolen. Appellant was outside the resi dence and was arrested in connection with the stolen truck. He was transported to the Tempe City Jail.
While appellant was being transported, his mother, attempting to reach her son, called the Tempe residence at which appellant had been staying and spoke with the arresting officer. While it is clear that appellant’s mother was told he was being transported to the Tempe City Jail, the evidence is in conflict regarding whether she was informed that her son had been arrested and the nature of the charges against him. There is also conflicting evidence of appellant’s mother’s diligence in trying to reach her son. It is undisputed that she remained in Cottonwood and used her neighbor’s phone for messages.
Once in custody, appellant was placed in a segregated cell away from adult prisoners, and after approximately two hours, appellant was questioned by the Tempe officer for about 15 minutes. He was read his Miranda rights from a juvenile rights form containing explanatory information in simplified language. The form included a statement that a juvenile’s case might be transferred to adult court for prosecution and a question asking the juvenile if he wished to have a parent or guardian present. It is undisputed that appellant indicated that he understood his rights and agreed to speak with the arresting officer. The evidence is conflicting as to whether he waived his right to have a parent or guardian present. It is undisputed that appellant was not advised that he was under suspicion of homicide.
The Yavapai County authorities were informed that appellant was in custody and Cullins and Saravo arrived at the Tempe Police Station to interview appellant about one and one-quarter hours after his interview with the arresting officer. Appellant was again advised of his Miranda rights and that he had the right to have a parent or guardian present, to which he responded: “Well, my Mom’s in Cottonwood. As far as I know.” Saravo then said: “Okay ... Ah, let me talk to you first shortly. Will you talk to us?” Appellant agreed. During the interview, which lasted approximately one and one-quarter hours, appellant made inculpatory statements.
Appellant had dropped out of school after the 10th grade. During the transfer hearing, the state’s expert testified that appellant was average in intellectual functioning and above average in abstract conceptual thinking without evidence of thought disorder or impaired judgment. The defense expert testified that appellant had a dependent personality. It is undisputed that appellant appeared calm and remained unemotional throughout the interview.
VOLUNTARINESS
Appellant argues that the trial court should have suppressed his inculpatory statements because they were involuntary. He asserts that his age and the absence of a parent during questioning are extremely important factors in determining voluntariness. In the Matter of Gault, 387 U.S. 1, 87 S.Ct. 1428, 18 L.Ed.2d 527 (1967). Appellant agrees that our courts have held that the presence or absence of parents at the time of confession is only one factor under the totality of circumstances test adopted in Arizona in determining the voluntariness of a juvenile’s statements. See State v. Rodriguez, 113 Ariz. 409, 555 P.2d 655 (1976); State v. Hardy, 107 Ariz. 583, 491 P.2d 17 (1971); Matter of Appeal in Maricopa County Juv. Action #J-84357, 118 Ariz. 284, 576 P.2d 143 (App.1978).
Appellant contends that the absence of a parent or the failure to allow consultation with a parent or guardian prior to questioning should render a juvenile’s inculpatory statements inadmissible. He cites support from jurisdictions outside Arizona for this proposition. Some of the cases cited-are from jurisdictions which follow an “interested adult” rule in determining whether a juvenile’s statements are voluntary. It is well-settled that such a per se rule of exclusion is not the rule in Arizona. Matter of Appeal in Maricopa County Juv. Action
#J-84357, supra. Cf. State v. Crivellone, 138 Ariz. 437, 675 P.2d 697 (1983).
Other cases cited from jurisdictions applying a totality of the circumstances rule involve fact patterns in which the juvenile either had a parent present or a parent had been contacted and advised of the charges. In those cases, that factor was among others which led the respective courts to their voluntariness findings based upon the totality of the circumstances. Under such a test, no one factor is controlling. Among the factors which may be considered are:
(1) The chronological age of the juvenile.
(2) The apparent mental age of the' juvenile.
(3) The educational level of the juvenile.
(4) The juvenile’s physical condition.
(5) The juvenile’s previous dealings with the police or court appearances.
(6) The extent of the explanation of rights.
(7) The language of the warnings given.
(8) The methods of interrogation.
(9) The length of interrogation.
(10) The length of time the juvenile was in custody.
(11) Whether the juvenile was held incommunicado.
(12) Whether the juvenile was afforded the opportunity to consult with an adult.
(13) The juvenile’s understanding of the offense charged.
(14) Whether the juvenile was warned of possible transfer to adult court.
(15) Whether the juvenile later repudiated the statement.
State v. Benoit, 126 N.H. 6, 15, 490 A.2d 295, 302 (1985).
The state responds that the trial court evaluated all the circumstances and there was no clear and manifest error requiring reversal. State v. Crivellone, supra. The trial court concluded in its minute entry that appellant had been advised of his Miranda rights and that the Tempe and Yava-pai authorities had also fully complied with the requirements of Ariz.R.P.Juv.Ct. 18, 17B A.R.S. (Rule 18). The court found that appellant had knowingly, intelligently and voluntarily waived those rights and that the police had employed no promises, threats or coercion.
While the better practice would be specific findings of the factors leading the trial court to its determination that under the totality of the circumstances the juvenile’s statements were voluntary, we believe a review of the record in the present case supports the trial court’s finding, and accordingly affirm.
QUANTUM OF PROOF
Appellant further argues that a clear and convincing evidence standard should be imposed on the state when the issue is whether a juvenile’s statement is voluntary. That argument is supported by the general proposition that special care must be used in determining the voluntariness of juvenile confessions. See In the Matter of Gault, supra; Haley v. Ohio, 332 U.S. 596, 68 S.Ct. 302, 92 L.Ed. 224 (1948); Commonwealth v. Shaffer, 303 Pa. Super 259, 449 A.2d 677 (1982); State v. Caffrey, 332 N.W.2d 269 (S.D.1983). He believes a clear and convincing standard of proof would ensure the special care needed before finding a juvenile’s statement voluntary and admissible.
The state asserts that it would be anomalous on the facts in the present case to impose such a standard. The state argues that because appellant was transferred to adult court for prosecution following a four-day transfer hearing and a subsequent unsuccessful appeal of the transfer order, an adult standard of proof on the voluntariness question was appropriate.
Appellant’s response is that he made the statement as a juvenile, and the voluntariness of the statement at that time should have been determined by a standard of proof applicable to juvenile statements. However, that standard of proof as set out in Ariz.R.PJuv.Ct. 17(3), 17B A.R.S., is also by a preponderance of the evidence.
Haley and Gault are cases decided, respectively, prior to and immediately following Miranda v. Arizona, 384 U.S. 436, 86 S.Ct. 1602, 16 L.Ed.2d 694 (1966). The extra care and caution they admonish is, in effect, recognizing a juvenile’s right to Fifth Amendment protections against self-incrimination. Such protections are afforded a juvenile when there has been compliance with Rule 18. The giving of Miranda warnings satisfies the requirements of Rule 18. Matter of Appeal in Maricopa County Juvenile Action No. J-84357, supra; and In re Appeal in Maricopa County Juvenile Action J-72773S, 22 Ariz.App. 346, 527 P.2d 305 (1975). In the present case, the Miranda warnings were given by the Tempe police officer questioning appellant using the juvenile rights form attached to this opinion. He was further given his Miranda warnings prior to questioning by the Yavapai County authorities. Under the totality of the circumstances, we find no error.
The conviction and sentence is affirmed.
ROLL, P.J., and HOWARD, J., concur.
. See attachment.
. Rule 17. Burden of Proof.
The burdens of proof in juvenile proceedings shall be:
tyl) Beyond a reasonable doubt, as to delinquency matters involving criminal offenses and incorrigibility;
(2) By clear and convincing evidence, as to matters concerning the termination of the parent-child relationship; and
(3) By a preponderance of the evidence, as to all other types of proceedings.
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OPINION
GERBER, Judge.
The taxpayer, People of Faith, Inc., has brought this appeal from a written opinion of the Arizona Tax Court granting appellee Arizona Department of Revenue’s motion for partial summary judgment. For reasons which follow we dismiss the appeal.
The taxpayer is an Arizona non-profit corporation licensed by the State to operate a 100-bed nursing care facility. Pursuant to Arizona Administrative Code (A.A.C.) R15-5-2320(C), the taxpayer regularly obtained tax exempt status from the Department for “purchases made by licensed nursing care and residential care institutions, the primary usage of which is to provide medical services, nursing services, or health related services____” A.A.C. R15-5-2320(B).
During the period from December 1, 1982 through June 30, 1986, the taxpayer employed Mardian Construction Company to construct the Royal Oaks Life Care Center (Royal Oaks) in Sun City, Arizona, consisting of a 100-bed licensed nursing care facility, a 249-unit residential complex and 100 garden homes. Pursuant to the taxpayer’s authorization, Mardian used the taxpayer’s exemption as a licensed nursing care institution to obtain all the building materials for the entire project, including those not incorporated into the nursing care facility, without paying state transaction privilege (sales) taxes. See A.A.C. R15-5-1821(B) (exemption of sales to licensed nursing care institutions from transaction privilege tax).
The Department audited the taxpayer for the period during which Royal Oaks was constructed, ultimately assessing it $524,-032.69 for unpaid use taxes, $52,403.27 for late payment penalties and $185,154.16 for interest. The Department claimed that the taxpayer’s sales and use tax exemptions as a “licensed nursing care institution” extended only to its purchases of personal property used to construct the nursing care portion of the facility. The taxpayer asserted that its exemptions extended to its purchases of building materials for the entire Royal Oaks project, and that it owed no use taxes at all.
After exhausting its administrative remedies, the taxpayer commenced the instant litigation by filing a complaint pursuant to A.R.S. § 42-124(B) alleging three distinct claims: (1) that by virtue of the taxpayer’s status as a licensed nursing care institution, all its purchases of personal property in connection with the construction of Royal Oaks were exempt from use taxes pursuant to A.A.C. R15-5-2320(B); (2) that in any event none of the purchases it made from vendors in Arizona was subject to use taxation, and (3) that the Department had incorrectly assessed late payment penalties in connection with the alleged deficiencies.
The taxpayer’s ensuing motion for partial summary judgment on count 2 sought a determination that, of the purchases assumed to be non-exempt under A.A.C. R15-5-2320(B), only the purchases that had been made from vendors located outside Arizona were subject to Arizona use tax.
The Department then filed a cross-motion for partial summary judgment alleging that in-state purchases are subject to use taxes. After this issue was fully briefed and argued, the tax court filed an opinion denying the taxpayer’s motion and granting the Department’s cross-motion for partial summary judgment. Invoking A.R.S. § 12-171, the tax court ordered its opinion published. See People of Faith Inc. v. Arizona Dept. of Revenue, 161 Ariz. 514, 779 P.2d 829 (Tax Ct.1989). The tax court made no finding pursuant to. Rule 54(b), Arizona Rules of Civil Procedure. The two other claims remain pending in the court.
Two weeks after the tax court filed the opinion, the taxpayer filed a notice of appeal from the court’s denial of its motion for partial summary judgment and its grant of the Department’s cross-motion for summary judgment.
The Department argues in its answering brief that this court lacks appellate jurisdiction because the tax court did not decide all the taxpayer’s claims for relief and made no express determination pursuant to Rule 54(b) that there was no just reason for delaying the entry of judgment. In its reply brief, the taxpayer argues that A.R.S. § 12-170 provides independent statutory authorization for an appeal from an interlocutory judgment of the tax court. The taxpayer contends that pursuant to A.R.S. § 12-166, A.R.S. § 12-170 removes decisions of the tax court from the requirements of Rule 54(b) for purposes of appeal-ability.
Absent a pertinent provision in the Arizona Constitution, the right to appeal exists only when it is specifically given by statute. Musa v. Adrian, 130 Ariz. 311, 636 P.2d 89 (1981); Pima County v. State Dept, of Revenue, 114 Ariz. 275, 560 P.2d 793 (1977). The statute that empowers this court to hear appeals is A.R.S. § 12-2101. Section 12-2101(A) provides:
An appeal may be taken to the court of appeals from the superior court in the instances specified in this section.
The only subsection of § 12-2101 that could possibly authorize this appeal is subsection (B), which provides:
From a final judgment entered in an action or special proceeding commenced in a superior court, or brought into, a superior court from any other court, except in actions of forcible entry and de-tainer when the annual rental value of the property is less than three hundred dollars.
(Emphasis added.)
Rule 54(b) controls the “finality” of a judgment rendered in an action in which multiple claims are asserted. Pulaski v. Perkins, 127 Ariz. 216, 619 P.2d 488 (App. 1980). This court recently stated in Sisemore v. Farmers Ins. Co. of Arizona, 161 Ariz. 564, 565, 779 P.2d 1303, 1304 (App. 1989):
Multiple claims for relief exist when the facts give rise to more than one legal right or cause of action. The determination rests on whether the different claims could be separately enforced.
(Citations omitted.)
In this case, the taxpayer clearly asserted multiple claims for relief. Its complaint stated three distinct, independently enforceable claims. The tax court’s opinion resolved only the second of these claims. It made no determination pursuant to Rule 54(b). Therefore, its judgment in this case is not “final” and not appealable under A.R.S. § 12-2101(B).
We have recognized, however, that the appealability of an interlocutory order does not depend on the making of Rule 54(b) findings if a statute renders the order substantively appealable. Bulova Watch Co. v. Super City Dept. Stores of Ariz., 4 Ariz.App. 553, 422 P.2d 184 (1967) (order refusing preliminary injunction appealable without Rule 54(b) findings under A.R.S. § 12-2101(F)(2), which authorizes an appeal from an order granting or refusing an injunction). The taxpayer contends that the tax court’s ruling is substantively appeal-able under A.R.S. § 12-170, which provides:
A. The tax court, except when it is sitting as a small claims tax court, shall render its decision in writing and, on its own motion or at the request of a party, include a concise statement of the facts found and the conclusions of law reached by the court.
B. In its judgment the court shall grant the relief, invoke the remedies and issue any orders which are appropriate to its decision.
C. The judgment is final unless within thirty days after the entry of the judgment a notice of appeal is filed with the clerk of the tax court. The appeal shall be heard by a department of division 1 of the court of appeals designated hy the chief judge of the division pursuant to § 12-120.04.
We do not interpret § 12-170(C) as granting a substantive right to appeal every ruling made by the tax court. The text of § 12-170 refers to the “decision” or “judgment” of the tax court only in the singular. Use of the singular suggests that the legislature’s focus was on the tax court’s final, dispositive ruling on the entire case rather than on interlocutory orders entered midway in the litigation. Further, the initial sentence of § 12-170(C), which the taxpayer reads as creating a substantive right of appeal, conveys no such meaning. That sentence states: “The judgment is final unless within thirty days after the entry of the judgment a notice of appeal is filed with the clerk of the tax court.” Unlike A.R.S. § 12-2101(F), this provision does not authorize a right of appeal that did not exist before but confirms that the procedures for appealing final judgments under A.R.S. § 12-2101(B) also apply to judgments entered by the tax court. It also emphasizes that a final judgment of the tax court becomes absolute and unreviewable if no notice of appeal is filed within the 30 days following its entry. See Rules 8 and 9, Arizona Rules of Civil Appellate Procedure.
We also note that A.R.S. § 12-120.04(G) does not indicate that § 12-170 was intended to create any new substantive right of appeal. The language “authorized by § 12-170” in § 12-120.04(G) is most reasonably interpreted as a reference to the sec ond sentence of § 12-170(C), which establishes a new procedural system under which tax appeals are channeled for consideration and decision to a single department of Division One of the Court of Appeals.
Our interpretation of A.R.S. § 12-170(C) is supported by a still more compelling analysis. Our supreme court stated in Barassi v. Matison, 130 Ariz. 418, 636 P.2d 1200 (1981):
The underlying rationale of requiring a final judgment for appealability is to avoid the constant disruption of the trial process, to prevent appellate courts from considering issues that may be addressed later in trial, and to promote efficiency, that is, encourage the consolidation in one appeal of all error a litigant feels transpired during the trial.
Id. 153 Ariz. at 421, 636 P.2d at 1203. The supreme court has also stated:
Public policy is against deciding cases piecemeal. [Citations omitted.] The rule against piecemeal appeals recognizes that an appellant may ultimately prevail on the complete action, rendering interlocutory appellate determinations unnecessary.
Musa v. Adrian, supra 130 Ariz. at 312, 636 P.2d at 90. The taxpayer’s broad interpretation of A.R.S. § 12-170 would directly contravene this policy. For example, if we adopted the taxpayer’s view, this court would be required to consider and resolve the merits of an issue that might well be rendered entirely academic through later resolution of the remaining issues. This wasteful and disruptive consequence surely could not have been what the legislature contemplated. Moreover, as interpreted by the taxpayer, § 12-170 would permit appeals from orders denying motions for summary judgment, orders compelling discovery, orders sustaining claims of privilege, orders denying motions to dismiss for failure to state a claim, and many other interlocutory orders that would otherwise be non-appealable. We will not infer from § 12-170 a legislative intent to expand the class of appealable orders without limit contrary to our settled policy against piecemeal appeals.
Finally, while the tax court has the authority to publish its decisions, in order to give effect to these policy considerations and to comply with our construction of A.R.S. § 12-170, we encourage the tax court to refrain from publishing its decisions until they are final and appealable.
In conclusion, A.R.S. § 12-170 creates no general right of appeal from interlocutory orders of the tax court. Because the interlocutory ruling appealed in this case was entered without Rule 54(b) compliance, it does not constitute a final judgment ap-pealable under A.R.S. § 12-2101(B). The appeal is therefore dismissed for lack of jurisdiction.
JACOBSON, P.J., and FIDEL, J., concur.
. A.R.S. § 12-171 provides:
Decisions of the tax court which the court finds are of general public interest shall be published and distributed in the same manner as provided for the publication and distribution of the opinions of the supreme court.
. Rule 54(b) provides:
When more than one claim for relief is presented in an action, whether as a claim, counterclaim, cross-claim, or third-party claim, or when multiple parties are involved, the court may direct the entry of final judgment as to one or more but fewer than all of the claims or parties only upon an express determination that there is no just reason for delay and upon an express direction for the entry of judgment. In the absence of such determination and direction, any order or other form of decision, however designated, which adjudicates fewer than all the claims or the rights and liabilities of fewer than all the parties shall not terminate the action as to any of the claims or parties, and the order or other form of decision is subject to revision at any time before the entry of judgment adjudicating all the claims and the rights and liabilities of all the parties.
. A.R.S. § 12-166 provides:
Except as provided in this article, proceedings in the tax court shall be governed by the rules of civil procedure in the superior court.
(Emphasis added.)
. We do not view this interpretation as inconsistent with the general rule that "[statutes will be interpreted whenever possible so that no clause, sentence or word is rendered superfluous, void, contradictory or insignificant.” Prairie State Bank v. I.R.S. of Treasury Dept., 155 Ariz. 219, 224, 745 P.2d 966, 971 (App.1987). It is simply not possible to interpret the statutory language otherwise without running afoul of the principle that requires us to avoid constructions that "would lead to mischief or absurdity.” State Farm Auto. Ins. Co. v. Dressler, 153 Ariz. 527, 531, 738 P.2d 1134, 1138 (App.1987).
. A.R.S. § 12-120.04(G) provides:
The chief judge of division 1 shall designate one department to hear and determine all appeals authorized by § 12-170. This department may also hear and determine other matters assigned to it by the chief judge.
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OPINION
KLEINSCHMIDT, Judge.
This is the second appeal in this lengthy litigation. The substantive issue was resolved by the supreme court in Scottsdale Memorial Health Systems, Inc. v. Clark, 157 Ariz. 461, 759 P.2d 607 (1988), and the case was remanded to the trial court to determine whether attorney’s fees should be awarded to the prevailing party, Scottsdale Memorial Health Systems. The trial court declined to award those fees, and this appeal ensued. We hold that the trial court’s refusal to award attorney’s fees to Scottsdale Memorial was not an abuse of discretion.
This case arose out of construction work performed by appellee, Larry Clark Construction Company, on property owned by North Scottsdale Associates No. 3 Limited Partnership in late 1976. The partnership obtained construction financing from Western American Mortgage Company, and a deed of trust to that effect was recorded on the property. Shortly after the Western American deed of trust was recorded, Clark recorded a notice of mechanic’s lien on the property, in compliance with A.R.S. section 33-993. The mechanic’s lien had priority over Western American’s deed of trust pursuant to A.R.S. section 33-992.
The partnership, which owned the property, became dissatisfied with Clark’s performance and sued for fraud and breach of contract. Clark responded by filing a counterclaim seeking foreclosure of the mechanic’s lien. The counterclaim was filed within the six-month limitation period set forth by A.R.S. section 33-998 for foreclosure of mechanic’s liens after recording. Clark did not join the holder of the deed of trust, Western American, as a counterdefendant, file a separate foreclosure action against Western American, or file a lis pendens on the property pursuant to A.R.S. section 12-1191.
While Clark’s lien foreclosure action was pending, Western American assigned its deed of trust on the property to C.J. Smith and Thelma Smith. Upon the partnership’s failure to pay the amounts due on the Western American loan, the Smiths initiated nonjudicial foreclosure proceedings. The Smiths were the successful bidders and acquired fee title to the property. Shortly after acquiring title to the property, the Smiths conveyed their entire interest to Scottsdale Memorial.
In the meantime, the partnership and Clark settled the partnership’s original action against Clark. A consent judgment was entered in which Clark released the partnership from any monetary claims arising from the original construction contract, and which foreclosed Clark’s mechanic’s lien in the amount of $181,736.17. Clark subsequently noticed a sheriff’s sale pursuant to the judgment, and Scottsdale Memorial brought this action the next day to enjoin the sheriff’s sale and to quiet title to the property. In a counterclaim, Clark sought to establish the priority of its lien over Scottsdale Memorial’s claim of title. Scottsdale Memorial moved for summary judgment, arguing it was not bound by Clark’s judgment against the partnership, and that the six-month mechanic’s lien statute of limitations barred Clark from attempting to foreclose a lien against Scottsdale Memorial. After the trial court denied the motion, Scottsdale Memorial unsuccessfully sought special action relief in the Arizona Supreme Court.
. At trial, the court took judicial notice of Clark’s foreclosure judgment against the partnership and ultimately found in favor of Clark, holding that Clark’s lien was valid and took precedence over Scottsdale Memorial’s interest in the property. The court also held that because Clark had begun foreclosure proceedings against the partnership which had owned the property within six months after the mechanic’s lien was recorded, Clark was not barred by A.R.S. section 33-998 from asserting the lien against Scottsdale Memorial, even though Scottsdale Memorial’s predecessors, Western American and the Smiths, had not been joined in the foreclosure action. The trial court ordered the sale of the property to satisfy the foreclosure judgment, plus interest and attorney’s fees due Clark.
Division Two of this court affirmed the judgment against Scottsdale Memorial. Scottsdale Memorial Health Systems, Inc. v. Clark, 157 Ariz. 456, 759 P.2d 602 (App. 1987). On review, however, the supreme court vacated the court of appeals’ holding and reversed the trial court judgment. Scottsdale Memorial Health Systems, Inc. v. Clark, 157 Ariz. 461, 759 P.2d 607 (1988). After a lengthy analysis of the various issues raised, the supreme court held that Clark’s lien rights were unaffected by the trustee’s sale, whereby the Smiths acquired ownership of the property from the partnership, and that “unless barred by the statute of limitations, Clark may still enforce his lien by proving its validity, priority and amount by foreclosing it against Scottsdale [Memorial].” Id. at 468, 759 P.2d at 614. The court then analyzed the statute of limitations issue that had first been raised by Scottsdale Memorial in its motion for summary judgment before the trial on the merits, and on which the supreme court had previously declined special action jurisdiction.
The statute in question was A.R.S. section 33-998. Each party urged what the court deemed were “mutually exclusive interpretations” of the statute. Id. at 469, 759 P.2d at 615. According to Clark, once an action was brought against a property owner within the six-month limitation period of A.R.S. section 33-998, the holder of the mechanic’s lien has effectively tolled the statute. Scottsdale Memorial, on the other hand, maintained that a mechanic’s lienholder was required to sue all parties with an interest in the property within six months from the date the mechanic’s lien was recorded. Although there was no Arizona case law interpreting the statute, both interpretations were supported by case law from other jurisdictions. Scottsdale Memorial’s interpretation, however, was in accord with the majority rule. Id. at 469, 759 P.2d at 615.
Although the supreme court ultimately chose to follow the majority rule, it did note that the statute “does not expressly require foreclosure actions to be brought against all claimants,” and further, that an action against the owner was an action, in the words of the statute, “to enforce a lien.” Id. at 469, 759 P.2d at 615. The court also noted the remedial nature of lien laws and the burden that a requirement that all title claimants be joined in a lawsuit could place on the lien claimant. The court nevertheless concluded that because Clark sued only the partnership which was the original owner of the property within the six-month limitations period of A.R.S. section 33-998, it was barred from enforcing its lien against the partnership’s successor in interest, Scottsdale Memorial.
The court concluded by stating: “On remand, the trial court has discretion to award appropriate trial and appellate attorney’s fees to Scottsdale upon a showing that Scottsdale complied with A.R.S. § 12-1103.” Id. at 471, 759 P.2d at 617. Scottsdale Memorial then filed an application for attorney’s fees in excess of $188,-000, which was opposed by Clark. The trial court denied the application in its entirety for reasons which it stated as follows:
1. This case has been to three courts, and the Defendant [Clark] prevailed in two of them. Although the Plaintiff [Scottsdale] prevailed in the Supreme Court, that court recognized that ‘We must choose, then, among two plausible statutory interpretations.’ (157 Ariz. at 469, 759 P.2d at 615). There was substantial merit to the claims of each party.
2. The courts have had difficulty with the case in part because of the novelty of the central legal issues in this jurisdiction. The case presented novel questions of law.
3. The Plaintiff has now been awarded clear title to the property, and to the improvements that were built by Defendant. Defendant’s loss is for unpaid work in the amounts of $181,736.17, plus interest at ten percent per annum from January 3, 1979. The outcome of the case is harsh as to Defendant and represents something of a windfall to Plaintiff and Plaintiff’s title company. The Court does not know the financial condition of either Plaintiff or Defendant. But the known circumstances of the facts of the case support a finding, which is hereby made, that it would be inequitable to not only declare a forfeiture of Defendant’s lien but also to order Defendant to pay Plaintiffs attorney (sic) fees.
(Emphasis added.)
Scottsdale Memorial appealed this decision and argues that the trial court abused its discretion in denying an award of fees because the three reasons the judge gave for his actions were insufficient.
We turn to a consideration of the statutory basis for an award of fees in this case. Arizona Revised Statutes section 12-1103 provides, in pertinent part:
B. If a party, twenty days prior to bringing the action to quiet title to real property, requests the person, other than the state, holding an apparent adverse interest or right therein to execute a quit claim deed thereto, and also tenders to him five dollars for execution and delivery of the deed, and if such person refuses or neglects to comply, the filing of a disclaimer of interest or right shall not avoid the costs and the court may allow plaintiff, in addition to the ordinary costs, an attorney’s fee to be fixed by the court.
(Emphasis added.) It is within the trial court’s discretion to determine whether to award attorney’s fees to a party who has prevailed in a quiet title action and otherwise complied with the provisions of section 12-1103(B). McNeil v. Attaway, 87 Ariz. 103, 118, 348 P.2d 301, 311 (1960) (supplemental opinion on rehearing). Arizona Revised Statutes section 12-1103(B) is, in fact, the only statute under which attorney’s fees can be awarded in quiet title actions. Lange v. Lotzer, 151 Ariz. 260, 727 P.2d 38 (App.1986). In Lange, this court explained that the statute
is clearly designed to allow fees only to the party who attempts to avoid litigation by first tendering $5.00 to the other party and requesting the return of a quitclaim deed. The statutory purpose of avoiding litigation would not be served if fees were awarded to the prevailing party, regardless of whether the party followed the statutory prerequisites.
Id. at 262, 727 P.2d at 40.
In this case, there is no question but that Scottsdale Memorial complied with the provisions of section 12-1103(B). Both parties concede that when a party complies with the statutory provisions, it nevertheless remains within the trial court’s discretion to determine whether to award attorney’s fees to the prevailing party. Clark maintains that attorney’s fees can only be awarded in a quiet title action if the losing party’s claim was frivolous. Because this would severely restrict the trial court’s discretion on whether to award attorney’s fees, we do not agree. But see Collier v. Wetmore, 164 Iowa 344, 145 N.W. 944 (1914). Because both statutes are discretionary and are intended to mitigate the expense of litigation to establish a just claim, see Mariposa Dev. Co. v. Stoddard, 147 Ariz. 561, 565, 711 P.2d 1234, 1238 (App.1985), the trial court may consider the same factors that are considered in determining whether to award attorney’s fees pursuant to A.R.S. section 12-341.01. See Associated Indem. Corp. v. Warner, 143 Ariz. 567, 570, 694 P.2d 1181, 1184 (1985).
In Associated Indemnity, the supreme court listed those factors, which include:
1. The merits of the claim or defense presented by the unsuccessful party.
2. [Whether] [t]he litigation could have been avoided or settled and the successful party’s efforts were completely superfluous in achieving the results.
3. [Whether] [assessing fees against the unsuccessful party would cause an extreme hardship.
4. [Whether] [t]he successful party did not prevail with respect to all the relief sought.
Id. at 570, 694 P.2d at 1184 (quoting Associated Indem. Corp. v. Jack C. Warner, 143 Ariz. 585, 589, 694 P.2d 1199, 1203 (App.1983)). The court proceeded to add three factors of its own: the novelty of the legal question presented; whether such claim or defense had previously been adjudicated in this jurisdiction; and whether the award in any particular case would discourage other parties with tenable claims or defenses from litigating or defending legitimate contract issues for fear of incurring liability for substantial amounts of attorney’s fees. Id., 143 Ariz. at 570, 694 P.2d at 1184 (citing Wistuber v. Paradise Valley Unified School, 141 Ariz. 346, 687 P.2d 354 (1984)). As long as there is a reasonable basis in the record upon which a trial court could have denied attorney’s fees, an appellate court will not substitute its discretion for that of a trial judge. Id., 143 Ariz. at 570-71, 694 P.2d at 1184-85.
Bearing these principles in mind, we turn.to the trial court’s denial of attorney’s fees in this case, and, specifically, the three reasons set forth as the basis for its denial. The trial court found that there was substantial merit to Clark’s position, even though Clark ultimately lost in the supreme court. According to the trial court, Clark’s position had substantial merit because Clark prevailed in both the trial court and the court of appeals prior to the supreme court decision. Scottsdale Memorial seems to argue that because it was ultimately successful in the supreme court, Clark’s position was without merit. The supreme court, however, did not believe this to be the case, as reflected by its comment that it “must choose ... among two plausible statutory interpretations,” one urged by each party. Scottsdale Memorial Health Systems v. Clark, 157 Ariz. at 469, 759 P.2d at 615. The trial court’s conclusion that there was substantial merit to both parties’ claims is thus supported by the record and the history of this case.
Scottsdale Memorial focuses on the trial court’s statement that Clark was successful in two out of three courts, which, according to Scottsdale Memorial, should be a reason to ameliorate its burden rather than deny its fee application. A reading of the judge’s explanation as a whole shows that he merely made reference to two courts deciding in Clark’s favor to demonstrate that Clark's position was not without merit. Moreover, it is clear that the supreme court believed Clark’s position had merit, as reflected by its thorough analysis and consideration of his position. The merits of the losing party’s claim or defense is one of the factors a trial judge can consider in deciding whether or not to award attorney’s fees. See Associated Indemnity, 143 Ariz. at 570, 694 P.2d at 1184.
The second reason set forth by the trial court was that the case presented novel questions of law because the courts had “difficulty in resolving a central issue, concerning the statute of limitations question.” The supreme court apparently agreed; it expressly stated that it granted review because the issues presented were of first impression in Arizona. Scottsdale Memorial, 157 Ariz. at 463, 759 P.2d at 609.
Scottsdale Memorial contends that the legal question presented in the case at bar was not a novel one. To support this assertion, Scottsdale Memorial notes that, although Clark’s position was based on only two old cases, see Kurz v. Pappas, 107 Fla. 861,146 So. 100 (1932), and Gaines v. Childers, 38 Or. 200, 63 P. 487 (1901), the position urged by Scottsdale Memorial was ultimately adopted by the supreme court and is well supported by many more recent cases. See, e.g., Seafirst Mortgage Corp. v. Specialty Concrete Constr., 708 P.2d 1245 (Wyo.1985); Rogers Concrete, Inc. v. Jude Contractors, 38 Colo.App. 26, 550 P.2d 892 (1976). We disagree with this contention and conclude that, without doubt, the supreme court decision resolved unanswered questions concerning Arizona law. The novelty of the legal question presented is also one of the factors to be considered by the trial court in deciding whether or not to award attorney’s fees. See Associated Indemnity, 143 Ariz. at 570, 694 P.2d at 1184.
The final reason set forth by the trial court for denying attorney’s fees was that the outcome of the case, which resulted in Clark being unpaid for work performed in an amount in excess of $180,000, was harsh to Clark and represented “something of a windfall” to Scottsdale Memorial. According to the trial court, Scottsdale Memorial received the benefits of the work performed by Clark when it was awarded clear title to the property, which necessarily included the improvements, as a result of the supreme court decision. The trial court concluded that although it was unfamiliar with the financial condition of the parties, the circumstances of the case supported a finding that it would be “inequitable to not only declare a forfeiture of Defendant’s [Clark’s] lien but also to order Defendant to pay Plaintiff's attorney (sic) fees.”
One of the factors a trial judge can consider is whether assessing attorney’s fees against the unsuccessful party would cause an extreme hardship. See id. at 570, 694 P.2d at 1184. The trial court’s conclusion that it was inequitable to assess attorney’s fees in excess of $188,000 against the party who, because of its failure to comply with a statutory provision which, until the supreme court decision, was unclear in its application, is within its discretion. Clark prevailed in the original lawsuit against the former owner of the property and obtained a judgment in excess of $180,000 for work performed for the partnership’s benefit. The judgment was overturned, however, primarily because of the statute of limitations question, rather than on the merits. Under these circumstances, it was not unreasonable to conclude that imposing in excess of $188,000 of attorney’s fees against Clark, on top of its inability to enforce its lien, would impose a substantial hardship. Even if the record is insufficient to support the presumed hardship to Clark — or insufficient to support the judge’s presumption that Scottsdale Memorial got a windfall when it acquired property to which Clark had added value, this is not enough from which to conclude that the trial judge abused his discretion.
Scottsdale Memorial argues that several of the factors listed by the court in Associated Indemnity would support an award of attorney’s fees. For example, it points out that this lengthy litigation could have been avoided had Clark simply tendered a quitclaim deed to the property upon Scottsdale Memorial’s request prior to this lawsuit. Undoubtedly, if Clark had quit-claimed the property, this litigation would have been avoided. At the time of Scottsdale Memorial’s tender, however, Clark had a foreclosure judgment against the former property owner, the partnership, in excess of $180,000. Without the benefit of the ultimate supreme court decision in this case, it was not unreasonable to believe its foreclosure judgment was enforceable against the partnership’s successor in interest, Scottsdale Memorial.
Scottsdale Memorial points out several other reasons which would justify an award of attorney’s fees, including the fact that it raised the statute of limitations question at the onset of the litigation, first in trial court, then by special action to the supreme court, and finally on appeal to the court of appeals and supreme court. That is one factor out of many to be considered, and we simply cannot say, upon the facts and procedural history of this case, that the trial court abused its discretion in denying the application. As the supreme court stated in Associated Indemnity:
[T]he question is not whether the judges of this court would have made an original like ruling, but whether a judicial mind, in view of the law and circumstances, could have made the ruling without exceeding the bounds of reason. We cannot substitute our discretion for that of the trial judge.
Id. at 571, 694 P.2d at 1185 (quoting Davis v. Davis, 78 Ariz. 174, 179, 277 P.2d 261, 265 (1954) (Windes, J., specially concurring)). Likewise, in this case,‘we cannot say that the trial court, in denying attorney’s fees, exceeded the bounds of reason. The trial judge set forth specific reasons for denying the attorney’s fees application, most of which were strongly supported by the facts and procedural history of this case.
Finally, Scottsdale Memorial argues that the trial judge who denied attorney’s fees was not the same judge who had presided over the original trial court proceedings, and that this, somehow, gives him less discretion. We disagree. While it would have been ideal to have the trial judge who handled the case also consider the issue of attorney’s fees, it is obvious from the trial judge’s denial that he reviewed the extensive record in this case, was familiar with its facts and procedural history, and made a well-reasoned decision. We simply will not substitute our discretion for that of the trial judge.
Both parties request attorney’s fees on appeal, Scottsdale Memorial pursuant to A.R.S. section 12-1103 and Clark pursuant to Rule 11, Arizona Rules of Civil Appellate Procedure, 17B A.R.S., on the grounds that Scottsdale Memorial’s arguments are “an affront to this court.” Scottsdale Memorial did not prevail on appeal and is therefore not entitled to attorney’s fees under section 12-1103. Although we affirm the trial court, under the circumstances of this case we do not agree with Clark’s contention regarding the merits, or lack thereof, of Scottsdale Memorial’s arguments. We therefore deny Clark’s request for attorney’s fees as well.
Affirmed.
CLABORNE, P.J., and EHRLICH, J., concur.
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OPINION
ROLL, Judge.
Robert Lee Nelson (husband) appeals from partial summary judgment in favor of Virginia Marie Nelson (wife), awarding her the amounts due on promissory notes he executed. The husband also appeals from the marriage dissolution decree which ordered judgment against him personally rather than the community for the amounts due on promissory notes. For the reasons set forth below, we affirm.
FACTS
The Nelsons were married for 37 years when the wife filed a petition for dissolution of marriage. During the course of the marriage, the wife inherited over $200,000. She loaned $58,534.11 of the inherited funds to the marital community. The loans were evidenced by promissory notes, payable upon demand, which were executed by the husband more than six years prior to commencement of this action. The husband testified in his deposition that at the time he executed the notes, he and his wife were involved in a lawsuit and he executed the notes to protect the assets his wife had contributed from her separate estate to the community.
PROCEDURAL HISTORY
Mrs. Nelson filed a petition for dissolution on September 24, 1987. On April 1, 1988, she filed a motion for partial summary judgment on the amounts due and owed on the promissory notes. The husband responded to the motion and also filed his own motion for summary judgment on April 22, 1988. On May 12, 1988, the wife’s motion for partial summary judgment was granted. The wife submitted a formal written judgment which was objected to and never signed.
On June 14, 1988, the court heard arguments on the husband’s motion for summary judgment. The court denied the husband’s motion and “affirmed” the granting of the wife’s motion. In a minute entry of June 17, 1988, the court said:
The Court has reviewed every pleading and memo submitted concerning both the Petitioner’s Motion For Partial Summary Judgment and Respondent’s Motion For Summary Judgment and has again examined each Motion.
IT IS ORDERED affirming the granting of Petitioner’s Motion For Partial Summary Judgment.
FURTHER ORDERED denying Respondent’s Motion For Summary Judgment.
The remaining issues were resolved at trial and an equitable division of the community property was made in a final decree entered December 13, 1988. In the final decree, the court ordered: “Judgment is hereby granted against Respondent [husband] in the amount of $91,426.13,” which sum represented the principle, plus five percent interest per annum, due on the promissory notes.
ISSUES
The husband argues that the granting of partial summary judgment was improper because (1) genuine issues of material fact existed, (2) the statute of limitations had expired on the promissory notes, and (3) if the action on the notes could be maintained, the court erroneously entered judgment against him personally instead of against the community.
DISCUSSION
“In reviewing the granting of summary judgment, this court must view the evidence in the light most favorable to the party opposing the motion and draw all inferences fairly arising from the evidence in favor of that opposing party.” Auto-Owners Ins. Co. v. Moore, 156 Ariz. 184, 185, 750 P.2d 1387, 1388 (App.1988). “Summary judgment is appropriate where the record shows that there is no genuine dispute as to any material fact, that only one inference can be drawn from those facts, and that based upon the facts, the moving party is entitled to judgment as a matter of law.” Id. If there are material facts upon which reasonable people could reach different conclusions, summary judgment is inappropriate. Gulf Ins. Co. v. Grisham, 126 Ariz. 123, 124, 613 P.2d 283, 284 (1980).
Disputed Facts
The husband argues that summary judgment was improper because he disputed the existence of any loans to the community or to him.
We disagree. The wife’s motion for summary judgment contained copies of checks made payable to the husband and to various venders, as well as copies of promissory notes executed by the husband and payable to the wife. Also attached was the wife’s affidavit in which the wife swore she loaned the funds to the community. The husband’s answers to the request for admissions, also attached, summarily denied that the community borrowed money and denied that the promissory notes evidenced any such loan. The husband presented no affidavits or any evidence to counter the wife’s motion. The party opposing a motion for summary judgment must show that evidence is available that would justify a trial. Dobson v. Grand Intemat’l Brotherhood of Locomotive Engineers, 101 Ariz. 501, 505, 421 P.2d 520, 524 (1966).
The husband claims that a qualification set forth in a letter by his attorney and attached to his response to the request for admissions evidenced disputed issues. We disagree. Generally, an unsworn letter from an attorney is not the proper form to controvert a motion for summary judgment. Rule 56(c), Ariz.R.Civ.P.; State ex rel. Corbin v. Sabel, 138 Ariz. 253, 255, 674 P.2d 316, 318 (App.1983).
The record shows that the husband did file an affidavit June 6, 1988, attached to his reply to the wife’s response to the husband’s motion for summary judgment. .The wife’s motion for partial summary judgment, however, had been granted May 12, 1988. On review, this court only considers the evidence presented to the trial court when the motion was heard and does not consider any evidence introduced later. Payne v. Greenberg Const., 130 Ariz. 338, 343, 636 P.2d 116, 121 (App.1981). No disputed issues were before the trial court.
Statute of Limitations
Based on Vana v. Elkins, 20 Ariz. App. 557, 514 P.2d 510 (App.1973), the husband argues that the wife’s action on the promissory note was barred by the statute of limitations. A.R.S. § 12-548 (action for debt evidenced or founded on contract must be brought within six years after cause of action accrues). We do not agree.
In Vana, we held that the statute of limitations applied to a promissory note executed by the husband as evidence of a loan by the wife of her separate property to the husband. Here, it is undisputed that the loan was to the community. We hold that a claim by the lending spouse based on an agreement between the spouses for reimbursement for that spouse’s separate funds used for community expenses accrues on the dissolution of the community. To hold otherwise could lead to absurd and undesirable results, such as lawsuits by the spouse during marriage which would either end in a judgment that is not enforced, or, if it is enforced, an execution, attachment, or garnishment of community property.
The husband also argues that the trial court specifically found that funds contributed by the wife were not loans and no agreement required repayment. The trial court’s finding referred to funds paid to the community but explicitly excluded those evidenced by the promissory notes. Accordingly, the promissory notes evidence an agreement by the community to repay the wife for funds advanced to the community from her separate property. See Baum v. Baum, 120 Ariz. 140, 584 P.2d 604 (App.1978).
Personal Judgment
The husband argues that the judgment improperly obligated the husband to pay the entire amount due on the promissory notes.
The trial court’s findings of facts stated: On May 12, 1988, [the trial court] granted Petitioner/Wife’s Motion for Summary Judgment in favor of Wife’s separate estate and against the community on promissory notes in the total principle amount of $58,524.11 on demand notes bearing interest at the rate of 5% per annum. The amount of such judgment, including interest, is $91,-426.13....
The decree then ordered: “Judgment is hereby granted against Respondent in the amount of $91,426.13.”
The trial court is required to provide for the allocation of the community indebtedness. Cadwell v. Cadwell, 126 Ariz. 460, 461, 616 P.2d 920, 921 (App. 1980). The trial court has broad discretion to allocate assets and obligations and its decision will not be disturbed absent a clear abuse of discretion. Wick v. Wick, 107 Ariz. 382, 385, 489 P.2d 19, 22 (1971); Dopadre v. Dopadre, 156 Ariz. 30, 32, 749 P.2d 939, 941 (App.1988).
At oral argument, husband’s counsel conceded that the husband was not being required to reimburse his wife for the entire $91,426.13 owed on the promissory notes. From the decree, the trial court found that the $91,426.13 was a community debt, then allocated that community debt to the husband. The trial court allocated all community debts to either the husband or the wife. The net effect of this apportionment was to require the husband to pay an equitable portion of one-half of the community debts. Accordingly, we find no abuse of discretion.
ATTORNEYS’ FEES
The wife is awarded attorneys’ fees pursuant to A.R.S. § 25-324.
HOWARD and HATHAWAY, JJ„ concur.
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OPINION
CAMERON, Justice.
I. JURISDICTION
The Arizona State Bar Disciplinary Commission (Commission) recommends that Jesus Maria Cardenas be suspended from practice for six months and one day, ordered to pay $20,000 in restitution to his former client and $862 in costs to the State Bar of Arizona (Bar). We have jurisdiction pursuant to Rule 53(e), 17A A.R.S.Sup.Ct. Rules.
II. QUESTIONS PRESENTED
We consider two questions on appeal:
1) Did the respondent violate the Arizona Rules of Professional Conduct?
2) Were the recommended sanctions appropriate?
III. FACTS AND PROCEEDINGS
Respondent Jesus Maria Cardenas was admitted to the Bar in 1974 and practiced in Coolidge, Arizona. On 29 July 1986, a complaint was lodged with the Bar alleging facts which indicated that respondent had violated the Arizona Rules of Professional Conduct, Rule 42, Rules of the Supreme Court.
Respondent failed to answer the complaint, or otherwise file any pleadings. He did, however, appear in person without counsel before both the State Bar Hearing Committee (Committee) and the Commission. He admitted that he had been negligent and stated that the sum of $25,000 was a proper amount for restitution, although he did not know where he would get the money to pay that amount.
The Committee made the following findings of fact and conclusions of law.
FINDINGS OF FACT
The Committee finds:
1. That Respondent agreed to represent Tim Harvey in a personal injury action even though Respondent had no prior experience in civil matters and, by his own admission, was not knowledgeable in such suits.
2. Respondent thereafter failed to pursue Mr. Harvey’s case with reasonable diligence and promptness or to control his workload so that the matter could be handled adequately.
3. Respondent failed to inform Mr. Harvey of settlement offers received from the Defendants, including a settlement offer in the amount of $20,000.00 or to consult with Mr. Harvey prior to rejecting the same.
4. Respondent failed to file a Motion to Set and Certificate of Readiness or to seek and obtain an additional extension of Mr. Harvey’s case on the inactive calendar in a timely manner as ordered by the Court which resulted in the dismissal of Mr. Harvey’s lawsuit.
5. Respondent failed to inform Mr. Harvey in a timely manner that the trial court had dismissed his lawsuit as a result of Respondent’s failure to file a timely Motion to Set and Certificate of Readiness or request an additional continuance of the case on the inactive calendar;
6. Respondent failed to consult with Mr. Harvey and obtain his consent before pursuing an appeal of the trial court’s dismissal of his lawsuit.
7. Respondent failed to pay the $25.00 filing fee required by Division Two of the Arizona Court of Appeals although Respondent was informed by the Court of Appeals that such a filing fee was required, which resulted in the dismissal of Respondent’s appeal from the trial court’s dismissal of Mr. Harvey’s lawsuit.
CONCLUSIONS OF LAW
1. Respondent failed to provide Mr. Harvey with competent representation, a violation of Rule 42, Rules of the Supreme Court, particularly ER 1.1;
2. Respondent failed to provide Mr. Harvey with accurate or complete information regarding his lawsuit, a violation of Rule 42, Rules of the Supreme Court, particularly ER 1.2;
3. Respondent failed to act with reasonable diligence and promptness throughout his representation of Mr. Harvey, a violation of Rule 42, Rules of the Supreme Court, particularly ER 1.3; and
4. Respondent failed to keep Mr. Harvey reasonably informed about the status of his lawsuit, a violation of Rule 42, Rules of the Supreme Court, particularly ER 1.4.
The Committee recommended that respondent be suspended for six months and pay restitution to the client in the amount of $25,000 with interest at the rate of 10% per annum from the date of this court’s order. The respondent did not contest the findings of fact or conclusions of law.
The Commission affirmed the findings of fact and conclusions of law of the Committee, but rejected the sanctions recommended by the Committee. Instead, the Commission recommended suspension for six months and a day and restitution in the amount of $20,000 with interest at 10% per annum accruing from 25 August 1985. We agree with the Commission’s action in affirming the Committee’s findings of fact and conclusions of law. We disagree, however, with both the Commission and the Committee as to the proper sanctions that should be imposed.
IV. DID RESPONDENT VIOLATE THE ARIZONA RULES OF PROFESSIONAL CONDUCT?
Pursuant to Rule 42 of the Rules of the Supreme Court, we have, with some amendments, adopted the Model Rules of Professional Conduct of the American Bar Association approved by the House of Delegates on 2 August 1983.
We have also noted:
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 Ireland, 146 Ariz. 340, 341, 706 P.2d 352, 353 (1985).
We believe the respondent violated the following Rules of Professional Conduct.
A. Competence
ER 1.1 reads as follows:
A lawyer shall provide competent representation to a client. Competent representation requires the legal knowledge, skill, thoroughness and preparation reasonably necessary for the representation.
17A A.R.S.Sup.Ct.Rules, Rules of Professional Conduct, Rule 42, ER 1.1. A lawyer should no more take a case for which he is not competent than a medical doctor should perform surgery for which the doctor is unprepared to perform.
In the instant case, respondent made no effort to become competent. He made no effort to educate himself as to the matter nor did he consult with a lawyer of established competence. We believe respondent was not only not competent to take the case but remained not competent to handle the matter in violation of ER 1.1 of the Rules of Professional Conduct.
B. Scope of Representation
ER 1.2(a) reads:
(a) A lawyer shall abide by a client’s decisions concerning the objectives of representation, ... and shall consult with the client as to the means by which they are to be pursued. A lawyer shall abide by a client’s decision whether to accept an offer of settlement of a matter.
Rule 42, ER 1.2(a).
The respondent took critical actions without informing his client. He failed to discuss with his client the dismissal by the superior court. He attempted to appeal the matter without consulting with his client. Most important, he failed to inform and consult with his client concerning the $20,-000 settlement offer. We believe respondent violated ER 1.2(a) of the Rules of Professional Conduct.
C. Diligence
The Committee also found that respondent violated ER 1.3 which reads:
A lawyer shall act with reasonable diligence and promptness in representing a client.
Rule 42, ER 1.3.
It is apparent that respondent did not use due diligence in representing his client's affairs. As the Committee noted, he failed to control his workload so that the matter could be properly handled. He failed to file a motion to set and certificate of readiness. He did not obtain an extension of time on the inactive calendar. On appeal, he failed to pay the $25 filing fee and the appeal was dismissed. We believe lack of due diligence has been shown in violation of ER 1.3 of the Rules of Professional Conduct.
D. Communication
Finally, the Committee found that respondent violated ER 1.4 which reads:
(a) A lawyer shall keep a client reasonably informed about the status of a matter and promptly comply with reasonable requests for information.
(b) A lawyer shall explain a matter to the extent reasonably necessary to permit the client to make informed decisions regarding the representation.
Rule 42, ER 1.4.
Respondent not only failed to keep his client informed, as required by ER 1.4, but did not explain the matter to his client so that decisions, vital to his client, could be intelligently made. We find respondent violated ER 1.4.
V. SANCTIONS
The recommendation of the Committee as to suspension (six months) was objected to by Bar counsel. The Commission agreed and recommended six months and one day. We disagree with both the Committee and the Commission.
The Standards for Imposing Lawyer Sanctions of the American Bar Association provide:
In imposing a sanction after a finding of lawyer misconduct, a court should consider the following factors:
(a) the duty violated;
(b) the lawyer’s mental state;
(c) the actual or potential injury caused by the lawyer’s misconduct; and
(d) the existence of aggravating or mitigating factors.
ABA Standards for Imposing Lawyer Sanctions, Standard 3.0 (1986).
A. Disbarment or Suspension
The ABA Standards are persuasive but not mandatory. The Standards do provide a useful tool in determining the proper sanction to be applied. The standard that applies particularly to respondent is Standard 4.4:
4.4 Lack of Diligence
Absent aggravating or mitigating circumstances, upon application of the factors set out in Standard 3.0, the following sanctions are generally appropriate in cases involving a failure to act with reasonable diligence and promptness in representing a client:
4.41 Disbarment is generally appropriate when:
4c ‡ # * * *
(b) a lawyer knowingly fails to perform services for a client and causes serious or potentially serious injury to a client ...
ABA Standards, Standard 4.4. The ABA Standards also provide:
4.42 Suspension is generally appropriate when:
fa) a lawyer knowingly fails to perform services for a client and causes injury or potential injury to a client ...
ABA Standards, Standard 4.2.
The difference between Standard 4.41(b) (calling for disbarment), and Standard 4.42(a) (calling for suspension) is that 4.41(b) applies in cases of serious injury or potential serious injury while 4.42(a) is followed when the injury is not serious. We believe that a loss of $20,000 is a serious injury that calls for disbarment. If this was respondent’s first transgression, we might be inclined to impose a sanction of suspension as recommended by the Committee and the Commission. Considering respondent’s prior misconduct, as discussed below, together with the serious injury to the client in this case, we believe disbarment is warranted. See ABA Standards, Standard 4.41(b).
B. Aggravating Factors
Respondent had previously been sanctioned for violating the Code of Professional Responsibility. Although the record before the court does not indicate the details of the prior violation, the uncontested statement of Bar counsel is helpful:
Of primary concern to the State Bar is the pattern of neglect which is evidenced by the similarity between the misconduct in Mr. Cardenas’ previous disciplinary matter and that at issue in this matter. For example, on April 22, 1985, the State Bar of Arizona filed a complaint against Mr. Cardenas alleging that he had: (1) agreed to represent Leo Mercado; (2) received $200.00 from him; (3) failed to take any action towards the representation; (4) avoided contact with Mr. Mercado; and (5) failed to refund the $200.00 he had received. See complaint filed on April 22, 1985, in Bar No. 5-0262. The above-referenced allegations were deemed admitted for the reason that Mr. Cardenas failed to answer the complaint
or obtain an extension of time within which to do so.
******
Although the Hearing Committee in Mr. Cardenas’ previous disciplinary matter recommended a six-month suspension from the practice of law as the appropriate sanction for the misconduct discussed above, the Disciplinary Commission reduced the sanction to a Judgment of Censure. In addition, the Disciplinary Commission ordered Mr. Cardenas to pay the State Bar $454.90 as and for its cost in that matter. See Judgment of Censure filed April 14, 1986 in Bar No. 5-0262.
When Mr. Cardenas failed to pay the $454.90 in costs assessed against him and ignored reminders that his failure to do so could result in the suspension of his license to practice law, the State Bar moved to suspend Mr. Cardenas’ license pending payment of the above-referenced costs. The State Bar’s Motion was granted and, as a result, Mr. Cardenas was suspended from the practice of law for approximately two months (from November 19, 1986 until January 23, 1987).
With respect to this prior violation, we believe the Commission treated respondent very charitably. Rejecting the Committee’s recommendation of a six-month suspension, the Commission reduced the sanction to censure. Despite this lenient treatment, respondent neglected to pay the costs assessed against him and was consequently suspended for two months and then reinstated. Respondent, nonetheless, promptly repeated the same pattern of behavior in representing Mr. Harvey. We consider this prior discipline to be an aggravating circumstance weighing strongly against respondent. Rule 54(k)(4), Sup.Ct. Rules.
We note an apparent conflict between this case and In re Anderson, 163 Ariz. 362, 788 P.2d 95 (Ariz.1990). Both Anderson and Cardenas were charged with the same type of violations. In Anderson, the Commission recommended a three-month suspension; we agreed, noting that Anderson, like this respondent, was not only negligent but had knowingly failed to protect his .client’s interests. 163 Ariz. at 365, 788 P:2d at 98.
In distinguishing the two cases, it is important to note first that the Commission recommended that this respondent be suspended for six months and one day. The obvious purpose of this was to put the case within the provisions of Rule 71(g), Sup.Ct. Rules, 17A A.R.S., which provides that lawyers suspended for a period of more than six months will not be readmitted except on application and proof of rehabilitation, demonstrated in a reinstatement proceeding. The Commission was obviously and quite properly much more concerned with respondent’s misconduct than it had been with Anderson’s.
The reason for that concern is apparent from the record. Anderson knowingly failed to act competently in connection with a single matter in which he may have been out of his depth. Respondent, unfortunately, repeatedly displayed this same tendency. Respondent’s transgressions are part of a pattern of behavior.
Thus, Anderson’s past record was a mitigating circumstance (Anderson, 163 Ariz. at 364-365, 788 P.2d at 97-98), while respondent’s past record not only provides aggravating circumstances but makes it quite obvious that disbarment is an appropriate sanction for him.
C. Restitution
Restitution is a proper sanction for attorney misconduct. ABA Standards, Standard 2.8; see also the Arizona Rules of the Supreme Court which provide for restitution to a client or a victim for an attorney’s negligence or misconduct, 17A A.R.S. Sup.Ct.Rules, Rule 52(a)(7).
The Hearing Committee recommended restitution in the amount of $25,000 plus 10% interest accruing from the date of the Supreme Court order. The Commission recommended that respondent pay $20,000 in restitution with interest at 10% accruing from 25 August 1985. Regarding the amount of restitution, the following transpired at the hearing before the Commission:
MS. BARTON: The reason the hearing committee went with a $25,000 restitution is because Mr. Cardenas stated at the hearing committee session that he felt the case was worth $25,000, which is why he had rejected the $20,000 settlement offer, and he was at that time, in the process of entering into an agreement with Mr. Harvey whereby he was going to pay him restitution in the amount of $25,000, and since Mr. Cardenas felt that $25,000 was more appropriate than $20,000, that is why the hearing committee recommended restitution in the amount of $25,000.
MR. CRUM: In other words, they did not take into consideration the fact it was a contingency contract and that the client would not have netted out 20 or 25,000 even if he got the $25,000 he was demanding?
MS. BARTON: They did not, in that portion of the meeting I attended. I don’t know what was discussed during their deliberations and whether they took that into consideration at that time.
The record does not show the nature or seriousness of the client’s injury. The offer of settlement for $20,000 is some evidence that the claim might be worth more than $20,000. There was, however, a contingent fee of one-third that the respondent would be entitled to for the settlement of the claim. Considering the existence of a contingent fee, we believe $20,000 is a more appropriate amount.
VI. DISPOSITION
Restitution to the victim is ordered in the amount of $20,000 with interest at the rate of 10% per annum accruing from 25 August 1985. Costs to the State Bar in the amount of $862 are allowed. See Rule 52(a)(7), Sup.Ct.Rules.
Respondent is disbarred.
GORDON, C.J., FELDMAN, V.C.J., and MOELLER and CORCORAN, JJ., concur.
. A suspension of six months or less allows the respondent to be readmitted upon the filing of an affidavit of compliance in lieu of an application for reinstatement. Rule 71(c), Rules of the Supreme Court. Suspension for six months and one day or more requires the respondent to petition for reinstatement and show proof of rehabilitation. Rule 71(d) and (g), Rules of the Supreme Court.
. The parties in their briefs did not address the question of disbarment. We allowed the parties to file supplemental briefs on this question before deciding the appropriate sanction to be imposed.
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OPINION
SHELLEY, Judge.
This appeal is from a superior court order in a special action proceeding remanding a zoning application to the City of Phoenix Board of Adjustments. The order directs board members to clarify their vote on the application of a hazardous waste storage business to maintain its facility in an A-l zone or alternatively, that the application be determined by a newly constituted Board of Adjustments. The primary issue on appeal is whether the trial court abused its discretion in refusing to affirm the decision of the Board of Adjustments.
We reverse the order of the trial court and reinstate the board’s decision.
FACTS AND PROCEDURAL HISTORY
Chemical Waste Management, Inc. (Chemical Waste) stores hazardous industrial wastes at its business site in Phoenix pending transfer of the waste to approved disposal facilities in California. These wastes are neither explosive nor radioactive.
In December, 1984, a neighbor of Chemical Waste sent a letter to: “Mr. Atonna, City of Phoenix Planning,” inquiring about the safety of Chemical Waste’s operation. The letter was forwarded to Zoning Enforcement Supervisor Paul Seerest. Sec-rest asked City of Phoenix Zoning Administrator Peter Atonna to determine whether Chemical Waste’s operation was a permitted use in an A-l zone.
The zoning administrator conducted a hearing on January 31,1985, and issued his opinion that Chemical Waste’s business was a permitted use in the A-l district.
M & M Auto Storage Pool, Inc. (M & M), an adjacent property owner, appealed the zoning administrator’s ruling to the City of Phoenix Board of Adjustments pursuant to A.R.S. § 9 — 462.06(G)(1).
The Board of Adjustments conducted a hearing on April 4, 1985, and approved the zoning administrator’s determination that Chemical Waste’s facility was an appropriate use in an A-l zone. M & M filed a special action complaint in superior court pursuant to A.R.S. § 9-462.06(K). The special action complaint alleged that the board’s decision was arbitrary and capricious.
The superior court remanded this matter back to the Board of Adjustments for clarification of its vote or for reconsideration by a newly constituted board and later denied Chemical Waste’s motion to reconsider the order. The City of Phoenix, the Board of Adjustments, and Chemical Waste were defendants below, but only Chemical Waste filed a notice of appeal. The parties stipulated that the remand would be stayed pending the appeal.
JURISDICTION
M & M argues that because the trial court’s order remanded the case, it was not a final decision and cannot be reviewed by this court. We disagree.
We find no Arizona appellate decisions addressing the precise jurisdictional argument raised by M & M. However, the procedural posture of this case is analogous to that of the parties in Caldwell v. Arizona State Bd. of Dental Examiners, 137 Ariz. 396, 670 P.2d 1220 (App.1983). Caldwell sought review of a decision of the Arizona State Board of Dental Examiners to suspend his certificate for the practice of denture technology. The superior court determined that the board had not followed proper procedures, and remanded the case to the board for another hearing. Both Caldwell and the board filed appeals from the remand order. This court affirmed the trial court’s decision without discussion of its jurisdiction.
Other states with statutory review procedures similar to A.R.S. § 9-462.06 permit appellate review of trial court orders re manding zoning matters to administrative boards. See generally 4 R. Anderson American Law of Zoning § 27.39 (3d ed. 1986). But see North American Holding Corp. v. Murdock, 6 A.D.2d 596, 180 N.Y. S.2d 436 (1958), aff'd 6 N.Y.2d 902, 160 N.E.2d 926, 190 N.Y.S.2d 708 (1959).
The superior court’s order was a final determination of the parties’ rights under its special action authority. The order stated:
IT IS THEREFORE ORDERED that this appeal be remanded to the CITY OF PHOENIX BOARD OF ADJUSTMENTS to have the members of the BOARD clarify on the record their vote on the application of CHEMICAL WASTE MANAGEMENT, INC. to maintain its facility in the A-l zoned area, and in the event the BOARD OF ADJUSTMENTS is unable to clarify its vote of April 4, 1985, that the application of CHEMICAL WASTE MANAGEMENT, INC. as aforesaid be determined by a newly constituted Board of Adjustments. [Emphasis in original]
The special action has been completed except as to this appeal. If the parties returned to the Board of Adjustments pursuant to the remand order, they would have no further recourse to the superior court in this special action. If either party was dissatisfied with the board’s action after remand, that party would have to file a new special action in superior court. Therefore, the superior court has entered a final order in a special proceeding commenced in superior court for purposes of A.R.S. § 12-2101(B).
We conclude that we have jurisdiction to review the superior court’s order.
FAILURE TO PROSECUTE
Chemical Waste contends that this case should never have reached the point at which Judge Stover issued her remand order. It contends that Judge Stover-abused her discretion by setting aside a prior order of dismissal which had been entered pursuant to Rule Y, Uniform Rules of Practice of the Superior Court of Arizona (hereinafter Uniform Rules).
M & M argues that this is not an appealable order. This is incorrect. An order denying or granting a motion to set aside a judgment under Rule 60(c), Arizona Rules of Civil Procedure, is appealable as a “special order made after final judgment.” A.R.S. § 12-2101(C). See Sullivan & Brugnatelli Advertising Co., Inc. v. Century Capital Corp., 153 Ariz. 78, 79, 734 P.2d 1034, 1035 (App.1986); Cline v. Ticor Title Ins. Co., 154 Ariz. 343, 344, 742 P.2d 844, 845 (App.1987). We therefore consider the merits of Chemical Waste’s argument.
The court administrator’s office sent a notice to M & M on February 13, 1986, stating that the case would be placed on the inactive calendar for dismissal on May 13, 1986, unless a motion to set the certificate of readiness was filed. However, before May 13, 1986, the city and Chemical Waste filed motions for summary judgment. On April 22,1986, Judge Stover denied the motions for summary judgment by minute entry order. In the minute entry, Judge Stover stated that the case should be remanded to the Board of Adjustments for clarification. However, M & M did not file a cross motion for summary judgment or take other action to obtain a judgment.
On June 10,1986, the court administrator dismissed M & M’s special action for lack of prosecution under Rule V, Uniform Rules. The order was signed by Judge Noel Fidel on behalf of Judge Stover.
On June 19, 1986, M & M moved to set aside the dismissal, arguing that it had relied on the April 22, 1986, order and requested a remand order.
M & M argued that Rule V does not apply in special actions where review is of a record and there will be no trial de novo. It contended that no reason existed for filing a list of witnesses and exhibits and motion to set.
Judge Stover granted M & M’s motion to set aside the dismissal under Rule 60(c)(1) and (6), Arizona Rules of Civil Procedure.
Rule 60(c) allows a final judgment to be set aside for reasons of: “(1) mistake, inadvertence, surprise or excusable neglect; ...” or “(6) any other reason justifying relief from the operation of the judgment.”
M & M’s attorney claimed “excusable neglect” because he thought he could rely on the trial court’s April 22, 1986, minute entry.
Chemical Waste contends that M & M’s actions were not excusable neglect because counsel knew or should have known that although the court had denied the city and Chemical Waste’s motions for summary judgment, the case was not finished. Chemical Waste argues that counsel’s failure to act to obtain a final judgment and misplaced reliance on the minute entry do not constitute excusable neglect. It argues that these were not the acts of a reasonably prudent person. See Daou v. Harris, 139 Ariz. 353, 678 P.2d 934 (1984).
Judge Stover found that M & M’s reliance upon the minute entry was excusable neglect and expressed concern that M & M would be unable to file its special action if the dismissal were not set aside. In addition, she found that Rule V was not totally applicable because M & M was not entitled to a trial de novo and no witnesses or exhibits would be presented.
The requirements for relief from Rule V dismissal under Rule 60(c)(6) have been discussed at length in Bickerstaff v. Denny’s Restaurant, Inc., 141 Ariz. 629, 688 P.2d 637 (1984), Gorman v. City of Phoenix, 152 Ariz. 179, 731 P.2d 74 (1987), and Cline v. Ticor Title Ins. Co., 154 Ariz. 343, 742 P.2d 844 (App.1987).
In Bickerstaff, the Arizona Supreme Court upheld a trial court’s denial of a motion to set aside a Rule V dismissal. The decision notes that to justify relief under subsection (6), extraordinary circumstances of hardship or injustice must be present. It noted that although a factor relevant to subsections (1H5) would not alone justify setting aside a dismissal under subsection (6), it might be one of several factors to be considered in determining whether there were extraordinary circumstances justifying relief. Bickerstaff, 141 Ariz. at 632, 688 P.2d at 640.
In Gorman, the Arizona Supreme Court reversed the trial court’s denial of plaintiff’s motion to set aside a dismissal for lack of prosecution under Rule Y. The court emphasized that the determination of whether a specific case presents “extraordinary,” “unique,” or “compelling” circumstances is left to the sound discretion of the trial court on a case-by-case basis. However, the court noted that Rule V is aimed at disposing of abandoned cases, not cases in which a party who is actively prosecuting the case makes a procedural error. The court stated that the trial court should consider granting Rule 60(c)(6) motions to satisfy Rule V dismissal where there is evidence that:
(1) the parties were vigorously pursuing the case, (2) the parties were taking reasonable steps to inform the court of the case’s status, and (3) the moving party will be substantially prejudiced by, for example, the running of the limitations period if the dismissal is not set aside. If all these factors are present, even doubtful cases should be resolved in favor of the party moving to set aside the dismissal.
Id. 152 Ariz. at 183-84, 731 P.2d at 78-79.
In Cline, this court noted that the major distinction between Bickerstaff and Gor-man was that the parties were actively litigating in Gorman.
In this case, the parties had been vigorously litigating the defendant’s motion for summary judgment. We do not view counsel’s reliance on a minute entry and failure to obtain a final resolution of the special action for almost two months as excusable neglect for purposes of Rule 60(c)(1). However, under the guidelines of Gorman and its emphasis on the parties’ active involvement in the litigation, we find that the trial court did not abuse its discretion by setting aside the order of dismissal under Rule 60(c)(6).
STANDARD OF REVIEW OF THE SPECIAL ACTION
The superior court’s primary purpose in special action review of a decision by a Board of Adjustments is to determine whether the decision was arbitrary, capricious, or an abuse of discretion. Blake v. City of Phoenix, 157 Ariz. 93, 96, 754 P.2d 1368, 1371 (App.1988); Book Cellar, Inc. v. City of Phoenix, 139 Ariz. 332, 334, 678 P.2d 517, 519 (App.1983). The superior court should not substitute its judgment for that of the agency even where it would have reached a different decision had it been the original arbiter of the issues. Mueller v. City of Phoenix, 102 Ariz. 575, 581, 435 P.2d 472, 478 (1967).
This court reviews the evidence presented by the record filed in the superi- or court, and we may substitute our opinion for that of the superior court because we are reviewing the same record. Arkules v. Board of Adjustment of Paradise Valley, 151 Ariz. 438, 441, 728 P.2d 657, 660 (App.1986). We must allow the board’s decision to stand if there is some credible evidence to support it. Id.; Burroughs v. Town of Paradise Valley, 150 Ariz. 570, 573, 724 P.2d 1239, 1242 (App.1986).
DID THE SUPERIOR COURT ABUSE ITS DISCRETION IN REMANDING THIS MATTER TO THE BOARD OF ADJUSTMENTS?
The record before the superior court and this court consists of a transcript of the April 4, 1985, hearing of the Board of Adjustments and the documents which were presented to the board. These documents include the evidence which was presented to the zoning administrator and the background materials attached to that decision.
Judge Stover’s order states that she was remanding this matter to the Board of Adjustments in part because counsel for Chemical Waste and others had made incorrect statements of fact which were relied on by the board. She identified the statements as comments that four validly issued approvals had been made by the city before the hearing. Our review of the record indicates the following.
Six people spoke at the April 4, 1985, hearing in opposition to Chemical Waste’s position. Their arguments were based on perceived safety problems, the proximity of the facility to residential areas, the possibility of catastrophic accidents and examples of ordinances from other cities which prohibit hazardous waste storage in zones similar to Phoenix’s A-l zone. Chemical Waste’s attorney attempted to counter those arguments. As part of his presentation, he referred to a history of contacts between Chemical Waste and the City of Phoenix. At one point counsel stated that Chemical Waste had been operating at its site under four validly issued approvals. In fact, there had not been four formal approvals. However, there were four prior contacts with the City of Phoenix.
When Chemical Waste originally decided to open a facility in Phoenix, it considered locating in an A-2 zone. On July 14, 1980, Chemical Waste caused a letter to be written to the zoning enforcement supervisor. The letter requested an interpretation of whether the proposed business was permissible in an A-2 zoning district without the need of a use permit or variance.
The enforcement supervisor held a hearing on the request and issued findings of fact and a decision concluding that chemical waste was permitted in an A-2 district. His summary of the interpretation also indicated that “[cjhemical plants and similar uses are permitted in the A-l and A-2 districts.” Chemical Waste subsequently decided to consider locating at a different site in an A-l zone. It called the zoning enforcement supervisor to make sure that it actually understood his previous interpretation. The supervisor made a “supplemental interpretation” in a letter stating that a waste-storage-and-transfer facility would be permitted in either an A-l or an A-2 zoning district. Chemical Waste eventually decided to open its business in an^ A-l zone and notified the zoning administrator and again requested confirmation that it could be located at that site. In a letter dated May 1, 1981, the zoning administrator advised Chemical Waste that its proposed use was permissible in the A-l zone.
Subsequently, the zoning enforcement supervisor received a letter from one of Chemical Waste’s neighbors triggering the formal hearing before the zoning administrator which led to the appeal to the Board of Adjustments.
Although this history does not constitute four formal approvals of Chemical Waste’s operation, counsel’s statement cannot reasonably be found to be misleading in light of the fact that the entire correspondence was presented to the Board of Adjustments. Further, several Phoenix Planning Department employees and an opponent of Chemical Waste’s position all discussed and specifically identified the four documents as Supervisor Secrest’s decision of August 21, 1980, Zoning Administrator Atonna’s letters of November 18, 1980, and May 1, 1981, and Atonna’s January 31, 1985, decision, which was the subject of the appeal. The chairperson of the board acknowledged that the board was in possession of all those documents and was following along with the documents as each one was discussed by the speakers.
Judge Stover stated that her decision was also based on the fact that she believed that comments made by board members indicated that they were confused or in error as to their duty. She referred to a statement made by Chairperson Espinosa which she construed to be a statement that the chairperson felt that the board was not the proper forum to review the zoning administrator’s decision. Chairperson Espi-nosa commented that, “I personally don’t think it is our job to interpret this particular case.” However, our review of the record indicates that Chairperson Espino-sa’s entire statement was that she agreed that the zoning ordinance as it was written permitted Chemical Waste to operate in an A-l zone. She later expressed her opinion that she agreed with another board member, Bleier, that the Phoenix City Council ought to reexamine the zoning ordinance. She stated that the Board of Adjustments was not the proper forum for such reexamination.
There is nothing in the record to indicate that those board members who voted for the application believed that they could not interpret the ordinance. Some members simply indicated a disagreement with the ordinance and acknowledged that there were other agencies involved in issuing permits for these kinds of facilities who were directly responsible \ for safety requirements. Particular references were made to the Arizona Department of Health Services.
We find that the record in this case does not support the trial court’s conclusion that the board did not realize what it was supposed to do in reviewing the zoning administrator’s decisions.
The board reviewed the zoning administrator’s written findings of facts and background memorandum in which he made a careful examination of Chemical Waste’s operations in conjunction with those which are permitted to be in A-l and A-2 districts. Atonna had examined the state and federal regulations concerning waste-transfer-and-storage facilities. He placed particular emphasis on the fact that Chemical, Waste did not handle explosive materials, radioactive materials, or the disposal, processing, or manufacture of hazardous materials. Such activities are only allowed in an A-2 zone.
Atonna concluded that a waste-transfer- and-storage facility is closely analogous to examples of permitted use as set forth in the zoning ordinance for an A-l zone. All the information upon which he relied was forwarded to and considered by the Board of Adjustments.
We find nothing in the record to indicate that the board acted arbitrarily or capriciously. Neither do we find any evidence that the board misunderstood its function or failed to provide an adequate hearing on this matter. We therefore conclude that the decision of the Board of Adjustments should be reinstated.
Because we conclude that there was sufficient evidence before the Board of Adjustments to support its decision, we do not address Chemical Waste’s assertion that the city’s zoning function has been preempted by the Arizona Department of Health Services pursuant to A.R.S. §§ 36- 2821-36-2827. The judgment and remand order entered by the trial court is reversed. This case is remanded to the trial court with directions to reinstate the April 4, 1985, decision of the Board of Adjustments.
EUBANK, P.J., and VOSS, J., concur.
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OPINION
LACAGNINA, Judge.
The Pima County Merit System Commission, Pima County and Clarence Dupnik, Pima County Sheriff, appeal from a judgment of the superior court reversing the termination of Jason Williams, a corrections officer employed by the Pima County Sheriff's Office, and ordering his reinstatement with back pay. After a court-ordered hearing, the commission awarded back pay mitigation damages and interest in the amount of $59,235.65, and the trial court entered judgment for that amount, together with costs and interest until paid. Williams has cross-appealed claiming the monetary judgment was insufficient.
We reverse the judgment of the trial court reinstating Williams and ordering payment of damages for the following reasons:
1. There was sufficient evidence to support the findings and decision of the Pima County Merit System Commission to uphold Williams’ termination.
2. Williams’ participation in the investigation of allegations made against him satisfied any Loudermill pretermination requirements.
3. Williams’ refusal to answer his employer’s questions, which answers could not be used against him in criminal proceedings, was a sufficient ground to support his dismissal.
4. Williams was not entitled to the assistance of counsel during an interview and investigation by his employer.
FACTS AND PROCEDURAL BACKGROUND
Jason Williams was hired by the Pima County Jail as a corrections officer in October 1979. An internal affairs investigation into incidents which occurred on May 13 and August 5, 1982, involving young women motorists who were stopped late at night by a man posing as a law enforcement officer, led to the issuance of a search warrant for Williams’ residence. As a result of the search of Williams’ residence, which revealed many weapons, court records and booking slips, on August 19, 1982, Williams was placed on administrative leave pending an investigation by the Pima County Sheriff’s Department.
On September 8,1982, an internal affairs investigator conducted a tape-recorded interview with Williams. Williams’ attorney was present during a discussion of the scope of the interview and the consequences of his refusal to answer questions. Williams was advised that his attorney could not be present when he was questioned about the May 13 and August 5, 1982 incidents and the department records found at his residence. Williams and his attorney were told that the answers given by Williams to questions asked during the interview would not be used against him in any criminal proceedings, but that his employment could be terminated for refusing to answer. Williams refused to answer any questions regarding the May and August incidents by invoking his fifth amendment right to remain silent.
On September 13, 1982, Williams was given written notice of his termination based on his refusal to answer questions during the internal affairs investigation, the possession of booking records and other documents at his residence and information received by the department indicating that Williams was involved in the May and August incidents. On October 21 and 27, 1982, a hearing was conducted by a hearing officer upon Williams’ appeal to the Pima County Merit System Commission. Williams appeared with his attorney and testified. Parts of the reporter’s transcript of these hearings were destroyed by accidents in 1983 and 1984. The hearing officer prepared and submitted to the commission a report containing a summary of all of the testimony which concluded that Williams was properly terminated and recommended that his appeal be dismissed. On January 25, 1983, the commission decided in accordance with the hearing officer’s report and conclusions that Williams’ appeal should be dismissed. Review by the superior court of the commission’s decision was based upon the record, the file, exhibits and the hearing officer’s report and findings.
STANDARD OF REVIEW
Williams’ complaint to the superior court was pursuant to A.R.S. §§ 12-901 through 12-914 for review of the action taken by the commission. If there is substantia] evidence in the record to support the commission’s decision, the trial court must affirm. Taylor v. Arizona Law Enforcement Merit System Council, 152 Ariz. 200, 731 P.2d 95 (App.1986); DeGroot v. Arizona Racing Commission, 141 Ariz. 331, 686 P.2d 1301 (App.1984); Petras v. Arizona State Liquor Board, 129 Ariz. 449, 631 P.2d 1107 (App.1981).
On appeal, the trial court may not reweigh the evidence presented to the commission. See Arizona Board of Regents v. Superior Court, 106 Ariz. 430, 477 P.2d 520 (1970). In addition, if two inconsistent factual conclusions can be supported by the record, then there is substantial evidence to support an administrative decision that elects either conclusion. Webster v. State Board of Regents, 123 Ariz. 363, 599 P.2d 816 (App.1979).
POSSESSION OF JAIL RECORDS
The trial court erroneously found from the record that Williams’ possession of the booking records and other documents was not a violation of departmént rules, “since there was no evidence that [Williams] revealed any ‘official business’ of the Pima County Sheriff’s Department, or that [Williams] divulged any criminal records, or that [Williams] used, utilized, converted, copied or distributed for person al use departmental records.” The trial court also found that even if “some strained construction” of the rules could be considered a violation, it did not justify termination. The evidence from which these findings were made was disputed at Williams’ hearing. The trial court on review of the commission’s action has no authority to make an independent finding of fact and is required only to search the record to determine if evidence was presented which would support the commission’s finding that departmental rules were broken.
Williams admitted he had booking slips containing personal information concerning inmates and photos of prisoners just lying around his home, a home shared with others, for no reason at all. He admitted he did not take them home as part of his official duties and did not use them for duty-related work at home. His admissions, together with conflicting testimony regarding the disposal of booking records by other department employees, was sufficient to sustain the hearing officer’s conclusion that departmental rules were broken, and the commission’s action affirming Williams’ termination based on the hearing officer’s findings and conclusions was not arbitrary. Arizona Board of Regents v. Superior Court, supra; Taylor v. Arizona Law Enforcement Merit System Council, supra; DeGroot v. Arizona Racing Commission, supra; Petros v. Arizona State Liquor Board, supra. The trial court’s finding and conclusion that even if Williams violated the rules and regulations related to possession of department documents, the violations would not justify termination, was a finding of fact precluded by the case law governing the standard of review by the superior court on appeals from decisions of an administrative agency.
REFUSAL TO ANSWER QUESTIONS
Williams was terminated because he refused to answer questions during an internal affairs investigation. The record is clear that he knew he would be fired for not answering the questions. He invoked the fifth amendment, even though he was advised that his answers would not be used against him in criminal proceedings. The trial court’s conclusion that “[pjlaintiff may not be fired from his job in compliance with due process of law for exercising his Fifth Amendment rights against self incrimination without a properly authorized grant of immunity” is erroneous. Rivera v. City of Douglas, 132 Ariz. 117, 121, 644 P.2d 271, 275 (App.1982); Eshelman v. Blubaum, 114 Ariz. 376, 379, 560 P.2d 1283, 1286 (App.1977).
As an employee of the sheriff’s department, Williams was required to conduct himself in a manner reflecting favorably on the department, both on and off duty. The investigation into allegations that an employee may have been impersonating a law enforcement officer and assaulting young women concerned conduct that violated department rules and justified the questioning of Williams about his off-duty conduct. See City of Tucson v. Mills, 114 Ariz. 107, 112, 559 P.2d 663, 668 (App.1976). In this case, his off-duty conduct was related to his job performance and, therefore, the proper subject of inquiry.
The trial court correctly concluded that at any criminal trial in which Williams’ statements were offered against him, the statements would have been suppressed because they were obtained by compulsion. Garrity v. State of New Jersey, 385 U.S. 493, 87 S.Ct. 616, 17 L.Ed.2d 562 (1967). However, that fact is irrelevant to his termination. A grant of immunity by a proper judicial officer was not a prerequisite to his employer’s right to require that he answer the employer’s questions during the investigation. The commission properly concluded, supported by substantial evidence, that Williams’ employment should be terminated for his refusal to answer questions and cooperate in the investigation. In addition, we disagree with the special concurrence that Williams was terminated because he invoked the fifth amendment. His silence, in response to his employer’s legitimate inquiry concerning his off-duty conduct relating to job performance, was the reason for his termination. He would likewise have been ter minated if he had merely refused to answer without invoking the fifth amendment.
DUE PROCESS UNDER LOUDERMILL
The trial court concluded that Williams was entitled to a pre-termination hearing as mandated by Cleveland Board of Education v. Loudermill, supra. Loudermill does not require an adversarial hearing but merely notice of the reasons for discharge and some reasonable format and opportunity to dispute the accusations before termination. In other words, all Loudermill requires is an opportunity for an employee to give his side of the story before his employer reaches the decision to fire him. Zavala v. Arizona State Personnel Board, 159 Ariz. 256, 766 P.2d 608 (App.1987). The facts of this case meet all of the Loudermill requirements. Williams knew about the charge of mishandling records and gave his side of the story to the investigator. He knew that if he refused to answer questions about his off-duty conduct involving the impersonation of a law enforcement officer and the assaults, he would be fired. The due process notice requirements were met. He waived the opportunity to give his side of the story and any claim of lack of due process when he refused to answer his employer’s questions. The September 8, 1982 interview met the Loudermill due process requirements. As stated by the Sixth Circuit in the second Loudermill case, Loudermill v. Cleveland Board of Education, 844 F.2d 304, 312 (6th Cir.), cert. denied, 488 U.S. 941,109 S.Ct. 363,102 L.Ed.2d 353 (1988):
[Cjourts construing the Supreme Court’s language in Loudermill have required only the barest of a pretermination procedure, especially when an elaborate posttermination procedure is in place. See, e.g., Buschi v. Kirven, 775 F.2d 1240, 1256 (4th Cir.1985); Kelly v. Smith, 764 F.2d l412, 1414 (11th Cir. 1985); Brasslett v. Cota, 761 F.2d 827, 836 (1st Cir.1985). This court has also decided such questions of procedural due process requiring only the minimum of procedures. See Gurish v. McFaul, 801 F.2d 225, 227-28 (6th Cir.1986) (indicating that an interview prior to termination by one not the ultimate decision-maker is enough to satisfy due process); Lee v. Western Reserve Psychiatric Habilitation Center, 747 F.2d 1062, 1068-69 (6th Cir.1984) (all that is required is an “abbreviated opportunity to respond,” and, under this standard, a letter informing one of the charges and an interview to explain them is sufficient). See also Deryck v. Akron City School Dist., 633 F.Supp. 1180, 1183 (N.D. Ohio 1986), aff'd without opinion, 820 F.2d 405 (6th Cir.1987).
While it might be tempting to make this test harder and require that a meeting be with the one actually empowered with the authority to fire, the courts have not construed procedural due process to merit such a requirement.
RIGHT TO COUNSEL
The trial court also erroneously concluded that Williams’ right to counsel under the sixth and fourteenth amendments to the United States Constitution and Article 2, § 24 of the Arizona Constitution were violated when he was required to answer his employer’s questions in the absence of his attorney. The sixth amendment to the United States Constitution and Article 2, § 24 of the Arizona Constitution apply only to criminal proceedings. State v. Superior Court, 125 Ariz. 370, 373, 609 P.2d 1070, 1073 (App.1980).
In the context of employer/employee relationships, the fourteenth amendment does not confer on an employee the right to counsel at a pretermination interview with his employer. Pretermination interviews which are informal should not unduly intrude on the employer’s right to terminate an unsatisfactory employee. Loudermill, supra, 470 U.S. at 546, 105 S.Ct. at 1495; cf. Wilson v. Swing, 463 F.Supp. 555 (M.D. N.C.1978). Williams did have an attorney at his formal hearing in compliance with due process requirements.
Issues raised in the briefs but not addressed in this decision either have no merit or were waived by the failure to object at the hearing. As part of the crimi nal investigation, the police obtained a subpoena and searched Williams’ home, recovering the jail records mentioned above. Dupnik concedes that Williams and his lawyer made an agreement with Dupnik’s lawyer that information from the criminal investigation would not be offered as a basis for Williams’ termination. The trial court found the agreement was breached by use of the jail records obtained in the search of Williams’ home. We disagree. Williams testified at length at the hearing, without objection, as to the jail records. Neither Williams nor his lawyer ever objected that any questions regarding those records violated any agreement. The hearing itself is proof of what the real agreement was— that Dupnik would not use any information concerning the incidents which occurred on May 13 and August 5 as a basis for Williams’ termination. In fact, Williams took the fifth amendment as to those incidents.
In any event, any objection to an alleged technical violation of the agreement by the use of the records obtained from the search, as construed by Williams on appeal, was waived bjr his extensive testimony concerning the records. The hearing officer could not decide an issue not presented to him, nor can we review such an issue. DeGroot v. Arizona Racing Comm’n, supra. Absent consideration of the records, we can still sustain the commission’s decision based solely upon Williams’ testimony.
This decision reverses the judgment of the trial court setting aside Williams’ termination; therefore, we need not address the cross-appeal involving issues of the proper award for damages because Williams was properly terminated and not entitled to any damages. In addition, the trial court had no authority to reinstate Williams; its authority was limited to remanding the case to the commission for further proceedings consistent with its opinion. Zavala v. Arizona State Personnel Board, supra; City of Tucson v. Mills, supra.
The judgment of the trial court is reversed. The case is remanded for entry of judgment in favor of Pima County, Pima County Merit System Commission and Dup-nik, affirming Williams’ termination of employment.
FERNANDEZ, C.J., concurs.
. Cleveland Board of Education v. Loudermill, 470 U.S. 532. 105 S.Ct. 1487. 84 L.Ed.2d 494 (1985).
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OPINION
HATHAWAY, Judge.
The sole issue we must resolve in this appeal is whether an airplane is a “vehicle” for the purposes of Arizona’s Personal Property Lien Statute, A.R.S. § 33-1021. We hold that it is and reverse the judgment entered below.
Appellant, doing business as Hamilton Aviation, maintains and repairs airplanes. It performed repairs and provided maintenance on an aircraft owned by appellee. When appellant did not release the airplane to appellee when demand was made, appel-lee filed suit alleging conversion and breach of contract. Appellant counterclaimed for the value of the work performed on the airplane. The parties filed cross motions for summary judgment on the issue of whether a personal property lien can be asserted against an airplane under Arizona law. The trial court ruled that neither A.R.S. § 33-1021 or § 33-1022 granted appellant a lien against the airplane.
A.R.S. § 33-1021 states, in pertinent part:
When [a] ... vehicle ... is repaired ... with labor, with or without material, by a . ... mechanic ... or other workman, such person shall have a lien thereon for the labor or material and may retain possession thereof until the amount due is fully paid.
The question to be answered is whether an airplane is a vehicle.
Nowhere in Chapter 7, Title 33 of the Arizona Revised Statutes pertaining to personal property liens is the term “vehicle” defined. Appellee cites Title 28, Motor Vehicles, and refers to the definitions contained therein. Definitions which pertain to statutes which have nothing to do with the subject of liens are not persuasive. Western Coach Corp. v. Malibu Corp., 22 Ariz.App. 482, 528 P.2d 868 (1974).
The general definition statute, A.R.S. § 1-215, does not define “vehicle”; however, A.R.S. § 1-213 provides: “Words and phrases shall be construed according to the common and approved use of the lan-guage____” This rule of construction is applied unless it is clearly apparent that the legislature intended some special or technical meaning. State ex rel. Frohmil-ler v. Hendrix, 59 Ariz. 184, 124 P.2d 768 (1942). We can discern no legislative intent to impart some special or technical meaning to the word “vehicle” in A.R.S. § 33-1021. Webster’s Third New International Dictionary, Unabridged, defines “vehicle” as “a means of carrying or transporting something, conveyance, a carrier of goods or passengers.” In the examples of usage after the definition is included “aerial vehicles such as airplanes, and submerged vehicles such as ... submarines.” In addition, current everyday usage assigns a broad meaning to the word vehicle, e.g., space vehicle and launch vehicle.
To limit the scope of “vehicle” as used in A.R.S. § 33-1021 would mean that anyone who repaired, maintained or stored an airplane, or for that matter a boat, could insure payment for his services only by obtaining and perfecting a security interest in the airplane or boat. We do not believe the legislature intended such a result. One who has expended labor and materials on an “article, implement, utensil, garment, wearing apparel, or vehicle” can assert a personal property lien under A.R.S. § 33-1021 in order to ensure payment for services rendered. We believe the term “vehicle” is broad enough to encompass an airplane.
We find support for a broad reading of “vehicle” from other jurisdictions. Bearce v. United States, 433 F.Supp. 549 (N.D.I11. 1977) (even motor vehicle includes boat); United States v. One Pitcairn Biplane, 11 F.Supp. 24 (W.D.N.Y.1935) (vehicle includes airplane); MacKnight v. Federal Life, 278 Ill.App. 241 (1934) (vehicle applies to any conveyance whether on land or on water or in the air); McReynolds v. Municipal Court of the City of Ottumwa, 207 N.W.2d 792 (Iowa 1973) (airplane); Barnes v. Crowe, 240 S.W.2d 604 (Ky.1951) (airplane); South Miss. Airways v. Chicago & Southern Airlines, 200 Miss. 329, 26 So.2d 455 (1946) (airplane); Vetrano v. Aetna Life & Cas., 612 S.W.2d 689 (Tex.Civ.App. 1981) (boat).
We find Certain British Underwriters at Lloyds of London, England v. Jet Charter Service, Inc., 789 F.2d 1534 (11th Cir.1986), relied on by appellee, distinguishable. There, the court was interpreting an insurance contract which contained an exception to an exclusionary clause which resulted in coverage for damages to vehicles. The court held that the term “vehicle” did not include aircraft. However, a separate clause in the insurance policy, which the insured had chosen not to procure, covered damages to aircraft. The court had no difficulty in finding that “vehicle” was not intended to include aircraft. The other case relied on by appellee, Di Guilio v. Rice, 27 Cal.App.2d 775, 70 P.2d 717 (1937), we decline to follow.
We hold that “vehicle” as used in A.R.S. § 33-1021 includes airplanes, and that appellant can assert a personal property lien against the airplane in this case. We express no opinion as to the validity of any such lien.
Reversed.
ROLL, P.J., and HOWARD, J., concur.
|
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OPINION
CAMERON, Justice.
I. JURISDICTION
The Disciplinary Commission of the Supreme Court of Arizona (Commission) recommends respondent, Ernesto R. Castro, be suspended from the practice of law in Arizona for a period of 30 days and pay $500 in restitution. The conduct in question occurred prior to the adoption of the Rules of Professional Conduct, effective 1 February 1985. 17A A.R.S.Sup.Ct.Rules, Rule 42. The Code of Professional Responsibility (former Rule 29(a)), therefore, applies to the conduct in this case. See In Re Pappas, 159 Ariz. 516, 518, 768 P.2d 1161, 1163 (1988).
We have jurisdiction pursuant to Ariz. Const, art. 6, § 5(3) and 17A A.R.S. Sup.Ct. Rules, Rule 53(e).
II. ISSUES
On review, we address two issues:
1. Was there clear and convincing evidence to support the Committee’s and Commission’s findings of respondent’s ethical misconduct?
2. Was the Commission’s recommendation for a 30 day suspension and restitution of $500 an appropriate sanction in this case?
III. PROCEDURAL HISTORY
On 5 February 1986, the State Bar of Arizona (Bar) filed a two-count complaint against respondent. The first count alleged that respondent improperly handled his client’s funds. The second count alleged that he failed to properly represent his client. Respondent answered the complaint and the Hearing Committee (Committee) began disciplinary proceedings on 5 January 1988. The Committee filed its report on 12 February 1988 and recommended public censure under Count One (Improperly Handling a Client’s Funds) and a 30-day suspension under Count Two (Failure to Properly Represent a Client). A minority of the Committee recommended a 30-day suspension for both counts. Respondent filed an objection to the Committee Report on 11 March 1988.
The Commission heard oral arguments on 9 July 1988 and filed its report on 18 July 1988, adopting the Committee’s findings of fact and conclusions of law. By a 7 to 1 vote, the Commission recommended a 30-day suspension and $500 in restitution to be paid to respondent’s client. The sole opposing vote recommended a longer suspension.
Respondent filed a timely notice of appeal to this court objecting to the Commission’s findings of fact, conclusions of law and recommended sanctions.
IV. DISCUSSION
In disciplinary proceedings, we sit as an independent trier of both fact and law in the exercise of our supervisory responsibility over the State Bar and its members. Pappas, 159 Ariz. at 518, 768 P.2d 1161. We will, however, give deference and serious consideration to the findings and recommendations of both the Committee and the Commission. Id. The burden remains on the Bar to prove by clear and convincing evidence that respondent violated his ethical obligations. Id.
A. Count One
In August 1983, respondent agreed to represent Aubrey L. Isbell (Isbell). Isbell was 57 years old and had been involved in more than 15 prior criminal matters. In 1983, Isbell was convicted of three felony counts of aggravated assault and was incarcerated in the Arizona State Prison at Perryville. Isbell employed respondent to perfect an appeal from those convictions and agreed to pay respondent $200 a month for his services. Respondent claims that the agreement was for a fee of $5,000, payable at $200 a month, plus expenses. This fee agreement was not reduced to writing although evidence in the record indicates that the agreement was for a total of $5,000. Respondent appealed Isbell’s convictions and received monthly checks from Isbell for fees ($200 per month) and other expenses. Respondent represented Isbell from August 1983 to October 1984 and received a total of $1,850 for fees and expenses.
In January 1984, Isbell requested respondent’s assistance in obtaining a medical release from prison. A medical release hearing was scheduled for June 1984. Respondent received funds from Isbell for attorney’s fees, witness fees and other related expenses. In March 1984, Isbell requested an accounting of the fees paid to respondent. Respondent claims he furnished Is-bell an accounting at the medical review hearing and that Isbell approved it.
The Committee found that respondent received funds for costs of a transcript on appeal and for the employment of expert medical testimony. The Committee noted respondent “failed to maintain complete records of these client funds and was specifically unable to provide an accounting of such funds to the Committee from contemporaneously created records.” The Committee also found respondent received funds to which he was not entitled. Specifically, in December 1983, respondent received $200 in excess of the $200 a month which Isbell agreed to pay.
The evidence indicates that respondent never sent a billing statement or any other record to Isbell during the entire time he represented him. Almost every month, Is-bell sent respondent a check for $200 and sometimes more. At one point, Isbell signed several blank checks and respondent filled in the blanks as expenses or monthly payments became due.
Respondent admitted that his “bookkeeping with respect to the entire matter was not the best.” Respondent failed to keep time records and receipts in Isbell’s case; instead, he merely maintained as a record “just a bunch of little chits that I would write.” Respondent testified before the Committee as follows:
Q. Did you have any written record, ledgers, journals, any financial books that you kept during this time period?
A. No.
Q. None whatsoever?
A. Just my check account.
Q. How would it be possible for you to determine what Mr. Isbell paid you in the course of your representation?
A. I believe at that time, that for each client I had a little pad in my desk, and as monies came in, they were credited in their name, and as soon as the account was over, that piece of paper was thrown away
Q. Where is that piece of paper for this account?
A. I don’t have it; I don’t have it.
Q. When was it thrown away?
A. Probably when I moved into my other office.
Q. When was that?
. A. Three years ago.
Regarding the excess $200 he received from Isbell in December 1983, the Committee questioned respondent as follows:
Q. Now, by my calculations, Mr. Castro, you got $200 in August from check No. 202; you got $200 in September from check No. 204; you got $200 in November from check No. 135; you got $200 in December from check No. 210. At the most you were due $200 for the month of October when you met with him on December 14, and perhaps due $200 for the month of January; where does the additional $400 come from to comprise this check No. 209?
A. Is there a check for October any place there?
Q. Not according to my review.
A. Okay, it would be October, November, December, and we’re getting close to January, I believe.
Q. According to my review of this, you received check No. 135, dated Novem ber 7, 1983, which included a $200 payment for your fees, and you have told us — you have testified that you received check No. 210, dated December 6 — should be 1983 — for a $200 fee. So, that takes November and December out of the calculations.
A. Oh, you mean on the — the check 135?
Q. Yes.
A. I don’t — I don’t know how to explain it, to be honest with you.
The Committee found that respondent violated former DR 9-102(B)(3) (Preserving the Identity of Funds and Property of a Client), Rule 29(a), Rules of the Supreme Court, which provided:
(B) A lawyer shall:
******
(3) Maintain complete records of all funds, securities, and other properties of a client coming into the possession of the lawyer and render appropriate accounts to his client regarding them.
The Commission adopted the Committee’s finding and we agree with both the Committee and the Commission. Respondent failed to keep a complete financial record and failed to provide an appropriate accounting of all funds received from Is-bell.
B. Count Two
In January 1984, while incarcerated, Is-bell was treated for a bleeding ulcer. Is-bell’s treating physician noted that Isbell’s condition was “very critical” and “near death.” After his release from the hospital, Isbell discussed his health problems with respondent. Apparently, Isbell told respondent that his life was in danger and that he lost 90-95% of his stomach during surgery. Respondent decided to seek a medical release for Isbell and obtained Is-bell’s medical records in March 1984. He then moved for an order to release Isbell on the grounds that his “continued confinement would endanger his life.” See A.R.S. § 13-3961. Hearing on the motion for release was held on 22 June 1984.
With respect to the medical review hearing, the Committee found that respondent:
A. Failed to make adequate efforts to communicate with ISBELL’s treating physician.
B. Failed to make adequate arrangements to provide for evidentiary testimony sufficient to permit the introduction of ISBELL’s medical records after the trial court, by minute entry dated May 18, 1984, had cautioned Respondent that it was his responsibility to secure subpoenas for the attendance of whatever witnesses or documents may be required to establish the state of ISBELL’s health.
C. Failed to initiate efforts to obtain independent expert testimony from non-treating physicians until June 18, 1984, at which time consultation was had with Dan Morris, M.D. (The Committee acknowledges the testimony of Respondent that informal communication was had with L.C. Runke, M.D. at approximately the same time as communication with Morris, M.D. and for which no consultation fee was charged.)
******
E. Notwithstanding the above, Respondent obtained from ISBELL $500 for the purpose of paying for expert testimony.
F. Respondent employed Connie Au-guste to review the medical records of ISBELL and testify at the hearing of July 6, 1984 without any reasonable expectation that Auguste could either lay sufficient foundational testimony for the introduction of medical records or offer an expert medical opinion as to ISBELL’s alleged medical condition.
G. Respondent failed to obtain any additional evidence or expert medical testimony to support the motion for release.
H. Respondent failed to seek a continuance of the July 6, 1984 hearing in order to obtain additional time to locate expert medical testimony required to support the allegations of the motion for release.
I. Respondent wholly failed to offer in evidence the medical records of IS-BELL.
In denying respondent’s motion for release of Isbell, the trial court noted that neither Isbell nor Auguste were competent to testify as to Isbell’s medical condition and that Isbell’s medical records were never offered into evidence.
The Committee concluded that respondent violated former DR 6-101 which provided:
(A) A lawyer shall not:
******
(2) Handle a legal matter without preparation adequate in the circumstances.
(3) Neglect a legal matter entrusted to him.
The Commission adopted the Committee’s findings of fact and conclusions of law. We agree.
Isbell’s hospital record stating that his condition was “very critical” and “near death” was central to Isbell’s claim. Respondent contacted Connie Auguste and asked her to explain the medical records to him so he could better understand Isbell’s condition. Although Auguste was neither a physician nor a medical expert, she was a consultant in legal-medical matters and was previously licensed as a nurse in California. Auguste indicated that Isbell was not in any danger of dying either during or after surgery for his bleeding ulcer. Respondent also consulted both Drs. Runke and Morris, neither of whom was Isbell’s treating physician. Both Runke and Morris told respondent that Isbell was not in any life-threatening clanger. Because of these adverse opinions, the testimony of the treating physician and the medical record explaining Isbell’s condition before the surgery were vital to Isbell’s case. Nevertheless, the treating physician was not called to testify nor was the medical record properly introduced into evidence.
Bar counsel asked respondent the following questions regarding the treating physician:
Q. Why is it, Mr. Castro, you didn’t call as a witness at the hearing, this doctor, who in the medical records had placed that the condition was life threatening?
A. Because basically, I didn’t know who he was. There was some physician from Maricopa County. I made every inquiry I could to find out who had treated him, and I had left messages there to please contact me. And again, I was operating in a very limited time frame of approximately ten days. ******
Q. Tell me what you did to make the determination of which doctor it was that in the medical records stated Mr. Isbell’s condition was life threatening?
A. I didn’t make that determination.
Q. Tell me what you did to try and determine what doctor it was that stated it in the medical records?
A. There was a list of physicians from the radiologist on up, and one of those — you know, if you try and read those notes as a layman and read their writing, I don’t know who they were.
Q. Tell me what you did, Mr. Castro, to determine which doctor wrote in the medical records that Mr. Isbell’s condition was life threatening.
A. My procedure was to call the Marico-pa County Hospital indicating that I was the attorney of Lynn Isbell and would they please give me information relating to the treating physicians, period. Now, at first, Lynn Isbell had directed me to the physicians at Perry-ville, and these were my initial inquiries, was to Perryville. They referred me to Maricopa County, and in Maricopa County is where I traced these records down.
Q. You did take some steps to determine which doctor it was that ...
A. Yes, I did.
******
Q. Did you take the opportunity to discuss with the custodian of the records at Maricopa Medical Center, which doctor it would have been that noted that in Mr. Isbell’s medical records?
A. I don’t believe so.
We. agree with Bar counsel’s argument before the Commission:
At the minimum — at the bare minimum— in order to be properly prepared without any expert testimony or anything else, those medical records should have been introduced as evidence at the medical review hearing in front of Judge Suit. All that would have taken is the custodian of records. It’s a hearsay exception, a regularly conducted activity of a business. It was done at a medical center. It would have gone in. Jim Suit made a point of that — Judge Suit made a point of that in his minute entry that he issued in regard to that medical review hearing. Those medical documents were not ever even offered into evidence, and that’s the only place that Mr. Castro had at his disposal, at the date of the hearing, to show that, in fact, the situation was life threatening.
We find that respondent, in his preparation for the medical release hearing, violated former DR 6-101(A)(2) & (3) (Failing to Act Competently).
V. SANCTIONS
We have the ultimate authority to impose sanctions on members of the Bar. In re Arrick, 161 Ariz. 16, 22, 775 P.2d 1080, 1086 (1989). The main purpose behind attorney discipline is to protect the public and deter others from misconduct. In re Fres-quez, 162 Ariz. 328, 783 P.2d 774, 780 (1989). We look to the American Bar Association’s Standards for Imposing Lawyer Sanctions (1986) for guidance in determining the appropriate sanctions. Arrick, 161 Ariz. at 22, 775 P.2d 1080. The ABA Standards list the following factors to consider in imposing the appropriate sanction: -(1) the duty violated, (2) the lawyer’s mental state, (3) the actual or potential injury caused by the lawyer’s misconduct, and (4) the existence of aggravating or mitigating circumstances. ABA Standards, Standard 3.0.
The Committee in this case recommended that respondent be given public censure under Count One and a 30-day suspension under Count Two. The Commission, however, did not delineate its recommendation under each count. Instead, the Commission recommended a 30-day suspension and $500 restitution to Isbell. We consider respondent’s acts under both counts in reaching our decision as to a single appropriate sanction.
Reprimand is generally appropriate when a lawyer is negligent in dealing with client property and causes injury or potential injury to a client. ABA Standards, Standard 4.13. Regarding respondent’s failure to maintain adequate financial records, we note the following:
Reprimand should be reserved for lawyers who are merely negligent in dealing with client property, and who cause injury or potential injury to a client. Suspension or disbarment as applicable under Standards 4.11 and 4.12 and the commentary thereto is appropriate for lawyers who are grossly negligent. For example, lawyers who are grossly negligent in failing to establish proper accounting procedures should be suspended; reprimand is appropriate for lawyers who simply fail to follow their established procedures.
ABA Standards, Commentary to Standard 4.13.
With regard to respondent’s failure to act competently, we note the following:
Admonition is generally appropriate when a lawyer engages in an isolated instance of negligence in determining whether he or she is competent to handle a legal matter, and causes little or no actual or potential injury to a client.
ABA Standards, Standard 4.54.
In support of a lesser sanction than that recommended by the Committee and the Commission, we consider several mitigating factors that may justify a reduction in the degree of sanction to be imposed. See ABA Standards, Standard 9.31. We note that respondent did represent Isbell in his appeal, among other things, for more than one year and was paid less than the agreed upon total fee. This factor indicates an absence of a dishonest or selfish motive on the part of respondent. See ABA Standards, Standard 9.32(b). Moreover, we find respondent’s inexperience in the practice of law a mitigating factor because he was admitted to the practice of law in August 1982 and the events in this case started in August 1983. See ABA Standards, Standard 9.32(f). Finally, we note that Isbell suffered no actual injury due to respondent’s improper introduction of the medical records at the medical release hearing. See ABA Standards, Standard 4.54. Even with competent counsel, Isbell probably would not have been released because he was not in any life-threatening danger at the time of the hearing.
One aggravating factor existing in this case is respondent’s prior disciplinary offense. See ABA Standards, Standard 9.22(a). On 17 February 1987, but before the hearing in this case, the Commission issued a private reprimand to respondent for appearing in justice court while intoxicated.
Considering both the mitigating and aggravating circumstances in this case, we note the following:
Each disciplinary case involves unique facts and circumstances. In striving for fair disciplinary sanctions, consideration must necessarily be given to the facts pertaining to the professional misconduct and to any aggravating or mitigating factors. Aggravating and mitigating circumstances generally relate to the offense at issue, matters independent of the specific offense but relevant to fitness to practice, or matters arising incident to the disciplinary proceeding.
ABA Standards, Commentary to Standard 9.1. We believe reprimand (public censure) is a more appropriate sanction in respondent’s case.
The Commission also recommended that respondent pay $500 in restitution to Isbell, presumably for the amount Isbell paid to respondent for Auguste’s expert medical testimony. We believe restitution is appropriate under the facts of this case.
Finally, the Bar has filed a statement of its administrative costs and expenses in the processing of this disciplinary matter. We order respondent to pay $2,659.80 in costs, pursuant to Rule 53(e), Sup.Ct.Rules, 17A A.R.S.
VI. ORDER
Respondent Ernesto R. Castro is publicly censured and ordered to pay $500 in restitution to Aubrey Lynn Isbell and $2,659.80 to the Bar for costs.
GORDON, V.C.J., and CORCORAN, J., concur.
. Public reprimand under the ABA Standards is the same as public censure under our Rule 52(a)(4), Rules of the Supreme Court. Admonition under the ABA Standards is the same as informal reprimand under our Rule 52(a)(5).
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OPINION
HOWARD, Judge.
In Bartning v. State Farm, 162 Ariz. 344, 783 P.2d 790 (1989), the Supreme Court vacated our opinion and remanded to us the disposition of this cross-appeal.
While walking in Mexico, Enrique Bartn-ing was killed when he was struck by a car owned by an uninsured motorist. Both Enrique and his son Luis had purchased separate automobile policies from State Farm. Enrique was the named insured under his own policy and Luis was the named insured under his policy. Enrique did not reside with Luis, and neither Enrique nor Luis was listed as a named insured on the other’s policy.
Luis sought payment from State Farm under the uninsured motorist coverage of his own policy for Enrique’s wrongful death. State Farm refused coverage. This action followed and the trial court granted partial summary judgment to State Farm, holding that Enrique was not an insured under the provisions of Luis' policy and that Luis was not entitled to recover damages for his father’s wrongful death.
In this appeal, Luis contends that the clear, and unambiguous language of his insurance policy shows that he is entitled to collect damages for his father’s wrongful death under the uninsured motorist provisions of his policy. We do not agree.
The provision which Luis points to in his policy states:
We will pay damages for bodily injury an insured is legally entitled to collect from the owner or driver of an uninsured motor vehicle.
(Emphasis added.)
A.R.S. § 20-259.01 states in part:
A. No automobile liability or motor vehicle liability policy insuring against loss resulting from liability imposed by law for bodily injury or death suffered by any person arising out of the ownership, maintenance or use of a motor vehicle shall be delivered or issued for delivery in this state, with respect to any motor vehicle registered or principally garaged in this state, unless coverage is provided in the policy or supplemental to the policy, ... for the protection of persons insured who are legally entitled to recover damages from owners or operators of uninsured motor vehicles be cause of bodily injury, sickness or disease, including death, resulting there-from____
(Emphasis added.) The State Farm policy provisions substantially track the above statutory requirements. The determinative issue is this. Did the legislature, by the above provisions, intend to give an insured the right to recover damages for injuries to third persons? We think not.
The Uninsured Motorist Act was intended to close the gap in protection offered by the Uniform Motor Vehicle Safety Responsibility Act, §§ 28-1101 et seq., by requiring insurance companies issuing automobile liability policies to include coverage for injuries suffered by their insureds for damages caused by uninsured motorists. Chase v. State Farm Mutual Auto Insurance Co., 131 Ariz. 461, 641 P.2d 1305 (App.1982). Prior to the adoption of the Uninsured Motorist Act, if an insured was injured or was killed and the responsible party had no insurance and was impecunious, there was no way for the insured to recover. The gap that was closed related to injuries to the insured, and not injuries to third persons.
We agree with the Division One’s decision in Bakken v. State Farm Mutual Auto Insurance Co., 139 Ariz. 296, 678 P.2d 481 (App.1983). There, the court rejected the same position that the cross-appellant is taking in this case. The cross-appellant argues that the clear and unambiguous language mandates a decision in his favor. It would be a “Catch 22” if we were to hold that by tracking the language of the statute the insurer had agreed to give more coverage than the legislature intended when it enacted the Uninsured Motorist Act.
State Farm has requested and is entitled to attorney’s fees for defending this cross-appeal, which will be granted upon compliance with 17B A.R.S. Civil Appellate Proc. Rules, Rule 21(c).
Affirmed.
ROLL, P.J., concurs.
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OPINION
MORONEY, Judge.
This property tax appeal was filed October 27, 1989. The filing document was designated as a “Notice of Appeal and Complaint.” The notice of appeal and complaint failed to provide any information to identify the property which is the subject of the appeal. The notice of appeal and complaint was not amended to provide a means for identifying the property prior to November 1, 1989.
The Court holds that in a property tax appeal pursuant to A.R.S. § 42-177, the property which is the subject of the appeal must be identified in the notice of appeal in order for jurisdiction to attach in the Superior Court.
The notice of appeal and complaint herein sets forth that the appeal is from a determination by the State Board of Tax Appeals. Appeals from the State Board of Tax Appeals are governed by A.R.S. § 42-176. A.R.S. § 42-176(B) requires that such appeals “shall be taken on or before on November 1, except as provided in subsection C of this section.” Subsection C has no applicability here.
A failure to file an appeal in the manner provided by A.R.S. § 42-177 by November 1 deprives the Court of jurisdiction.
A.R.S. § 42-177(A) provides that “an appeal to the superior court relative to valuation or classification of property is commenced by filing a notice with the tax court.” A.R.S. § 42-177(B) provides that the “notice of appeal shall contain a statement of the reasons why the valuation or classification is excessive or erroneous.” A notice of appeal from an administrative determination, by definition, must contain an adequate reference to the administrative decision from which the appeal is taken. Property tax appeals pursued under this section always constitute a dispute over classification or valuation of property for the purpose of ad valorum taxation. Since the result of disputes over classification are always measured by differences in valuation, all property tax appeals pursuant to A.R.S. § 42-177 concern the valuation of property. The appeal is always an effort to change a valuation determined administratively, either by the Department of Revenue, an assessor, the Board of Equalization, or the State Board of Tax Appeals. A notice of appeal which does not provide sufficient information to identify the subject property is an incomplete and inadequate notice of appeal.
In this case, Maricopa County moved to dismiss the complaint because the property was not described. The Court granted the motion, and, later, entered an appropriate judgment. The taxpayer’s motion to amend the complaint followed, a motion resisted by Maricopa County. The taxpayer now wishes the Court to treat the motion to amend the complaint as a motion to set aside the judgment.
The Court has held that, in order for it to have jurisdiction over a property tax appeal pursuant to A.R.S. § 42-177, an adequate notice of appeal must be filed by November 1 of the proper year. The notice in the present case is not adequate and November 1 has passed. Therefore, this Court has no jurisdiction, and the County’s motion to dismiss was properly granted.
|
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OPINION
FERNANDEZ, Chief Judge.
This is an appeal from a judgment of legal malpractice. The appeal involves the proper measure of damages, and the cross-appeal questions the propriety of the malpractice judgment. We affirm the cross-appeal issues and reverse on the appeal issue.
In 1976 appellant Frank Elliott developed a flexible insulated roof top for mobile homes. He obtained a patent on the process in 1977. Elliott and his wife had retained attorney Dan Morris or his firm in several miscellaneous legal matters, and he sought Morris’s advice about his invention. Morris prepared the paperwork to incorporate Thermo-Ann Industries, Inc. He later incorporated another corporation for Elliott named Advanced Insulation, Inc. Initially, appellant owned 40% of the shares of stock in Thermo-Ann Industries, Inc., his father-in-law owned 20%, and Morris owned 40%.
In late 1980, after the company encountered financial difficulties, Morris proposed that Elliott meet with Evan Mecham and his brothers as potential investors in Ther-mo-Ann Industries. Morris was present during negotiations and prepared documents for the transaction, including an irrevocable assignment of Elliott’s patent to Thermo-Ann Industries, a five-year employment contract for Elliott and a “purchase agreement” that provided for Mec-ham Investments, Inc. to invest cash and to pledge its credit in exchange for 51% of Thermo-Ann’s stock.
A month and a half after the agreements were signed, Elliott was terminated by Wayne Mecham. A few months later, he retained appellees James Videan and his law firm (Videan) to represent him for a contingent fee of one-third of the gross recovery. Videan filed a lawsuit against Dan Morris; Wayne, Willard, and Evan Mecham; and Mecham Investments, Inc. In his complaint against Morris, Elliott sought punitive damages, alleging that Morris had willfully and intentionally breached his fiduciary relationship to him while acting as his attorney. Discovery commenced and some depositions were taken.
After the suit had been pending for 23 months, it was dismissed for lack of prosecution on October 11, 1983. Videan learned of the dismissal on November 15. He immediately confirmed the dismissal and within two weeks had obtained six affidavits showing excusable neglect. Vi-dean told Elliott he needed $5,000 to obtain experts’ affidavits to show a meritorious claim. Elliott obtained the money from a friend in mid-March 1984. On April 16, 1984, Videan moved to set aside the dismissal. Attached to the motion was the affidavit of an attorney who stated that he had reviewed the verified complaint and that, if the allegations were true, Morris had committed legal malpractice. Videan paid $1,500 for the affidavit. Judge David Grounds denied the motion, finding that it was not timely filed, that there had not been prompt application for relief under Rule 60(c), Ariz.R.Civ.P., 16 A.R.S., and that the attorney’s affidavit was insufficient to establish a meritorious claim. No appeal was taken from the ruling, and the statute of limitations barred refiling of the tort claims.
This legal malpractice action was filed in October 1984. At the end of the trial, the jury answered interrogatories in favor of Elliott, finding that the fraud and conspiracy to defraud claims had been proven against Morris, Evan and Wayne Mecham and Mecham Investments, Inc. The jury also found that Elliott had proven the malpractice claim against Morris. Elliott was awarded actual damages of $64,600 and punitive damages of $800,000 on the underlying claims. The trial court later granted Videan’s motion for judgment notwithstanding the verdict and set aside the $800,000 punitive damage award.
Elliott contends on appeal that in a legal malpractice claim, the punitive damages that the jury determined should have been assessed against the defendant in the underlying case are part of the value of his lost claim. Videan contends in his cross-appeal that the evidence was insufficient to show that the underlying claims would have been successful, that Elliott failed to show that Videan breached any duty to Elliott, and that the verdict was the product of passion and prejudice. For purposes of clarity, we address the cross-appeal issues first.
SUFFICIENCY OF THE EVIDENCE: UNDERLYING ACTION
A plaintiff in a legal malpractice action must prove that his suit would have been successful if the attorney had not been negligent. Phillips v. Clancy, 152 Ariz. 415, 733 P.2d 300 (App.1986). Videan argues that the evidence was insufficient to support a finding that Morris breached any duty to Elliott. He further argues that there was a lack of clear and convincing evidence of fraud by the defendants in the underlying action. Finally, he contends that no cause of action exists for conspiracy to defraud.
Breach of Duty by Morris
Videan contends that Elliott failed-to show that Morris breached any duty he owed to Elliott. Elliott testified that prior to the incorporation of Thermo-Ann Industries, Morris or his firm had been his or his wife’s attorney in various matters, including a guardianship, a child support matter, and some domestic relations matters. During the period that Elliott owned stock in Thermo-Ann, Morris served as president and prepared necessary legal documents. Morris denied that he acted as attorney either for Thermo-Ann Industries or for Elliott. Elliott testified that Morris did not advise him that the Mechams and Mecham Investments, Inc. were clients of his firm. Morris did not inform Elliott of the existence of actual or potential conflicts of interest even though he made at least one entry in his personal diary that implied such conflicts existed. Morris did not withdraw as Elliott’s attorney during the negotiations with the Mechams or while he was drafting the legal instruments for sale of the corporation. After Elliott was terminated, Morris assisted Wayne Mecham in auditing the company records in order to justify stopping payments to Elliott under the agreement.
Morris’s conduct in his relationship with Elliott constituted violations of DRs 1-102, 4-101, 5-104, 5-105, and 7-101 that were in effect in Arizona in 1980. See former Ariz.Sup.Ct.R. 29(a). Videan complains that the jury was instructed as to Morris's malpractice by means of "abstracts” of disciplinary decisions. We disagree. The jury was instructed on the existence of certain rules of professional conduct, including the following: a lawyer may not represent clients of differing interests in the same matter; an attorney-client relationship is an ongoing one that gives rise to a continuing duty by the attorney unless and until the client clearly understands or reasonably should understand that the relationship may no longer be depended upon; it is improper for a lawyer to enter into a business relationship with a client without advising the client to seek outside counsel and without fully disclosing the nature of the transaction. The court also instructed the jury as follows:
These rules are rules of professional conduct only, and a violation of these rules does not establish an act of malpractice. They are merely evidence that you may consider in your determination of whether Dan R. Morris committed malpractice.
Our supreme court has recognized that an “attorney-client relationship is an ongoing relationship giving rise to a continuing duty to the client unless and until the client clearly understands, or reasonably should understand, that the relationship is no longer to be depended on.” In re Weiner, 120 Ariz. 349, 352, 586 P.2d 194, 197 (1978). The court also held in that case that it is improper for a lawyer to enter into a business relationship with a client without insuring that the transaction is fair to the client and without fully disclosing the nature of the transaction and the presence of any conflict of interests. We find that the evidence supports the jury’s conclusion that Morris committed malpractice and that the court properly instructed the jury as to that issue.
Evidence of Fraud
Videan contends next that even assuming Elliott showed a breach of duty, he cannot recover because he lost only a “worthless” cause of action. There was conflicting evidence as to the value of the patent and the corporation at the time the Mechams took control, and the jury resolved that conflict.
Videan also contends that Elliott failed to introduce clear and convincing evidence that any of the underlying defendants committed fraud. The trial court correctly instructed the jury on the nine elements of fraud and on the burden of proof by clear and convincing evidence. See Staheli v. Kauffman, 122 Ariz. 380, 595 P.2d 172 (1979). We find sufficient evidence that the underlying defendants entered into the agreements with Elliott without intending to fully perform so as to support the jury's finding of fraud.
Conspiracy to Defraud
Videan also complains that there was no evidence to support the underlying cause of action for conspiracy to defraud against the Mechams and Morris, arguing that no such cause of action exists in Arizona and citing Tovrea Land & Cattle Co. v. Linsenmeyer, 100 Ariz. 107, 412 P.2d 47 (1966). The trial court instructed the jury as follows:
Conspiracy to defraud is a combination of two or more persons to accomplish by concerted action an unlawful purpose or a lawful purpose by unlawful means. Unlawful includes fraud.
The damages to be awarded in a conspiracy action are the damages arising out of the acts committed pursuant to the conspiracy and not the conspiracy itself.
Conspiracy to defraud must be proven by clear and convincing evidence.
“When a civil wrong occurs as the result of concerted action, the participants in the common plan are equally liable____ The thrust of Tovrea is that a mere agreement to do a wrong imposes no liability; an agreement plus a wrongful act may result in liability.” McElhanon v. Hing, 151 Ariz. 386, 392, 728 P.2d 256, 262 (App. 1985), affirmed, 151 Ariz. 403, 728 P.2d 273 (1986). We find no error.
JURY DETERMINATION OF RULE 60 ISSUES
Videan next argues that the court erred in submitting issues to the jury on the sufficiency of Videan’s Rule 60 motion. The trial court instructed the jury that he had determined that Judge Grounds’s ruling was correct, that an appeal of that ruling would not have been successful, and that Videan was not negligent in filing the motion to reinstate the case more than six months after the entry of dismissal. The jury was then instructed to determine whether Videan was negligent in unduly delaying the filing of the motion and/or in the manner in which he presented the argument for meritorious claim.
Videan argues that because a judge determines Rule 60 motions, the trial court was required to determine any issue of malpractice involving his handling of that motion. In support of that contention, Videan cites Molever v. Roush, 152 Ariz. 367, 732 P.2d 1105 (App.1986). Division One of this court held in that case that “the question of causation is one of fact for a jury except in those instances where no reasonable persons could disagree____ However, when the consequences of an attorney’s alleged negligence bear upon a legal ruling by the court, the causation question is in all circumstances one of law.” 152 Ariz. at 374, 732 P.2d at 1112. We agree with that general rule. In this case, the trial court properly narrowed the issues of causation and ruled on several legal issues. It then submitted factual issues to the jury on the reasonableness of Videan’s actions with regard to the motion and a determination of whether those actions constituted negligence. See Phillips v. Clancy, supra. Thus, the general rule was not violated.
Videan also contends that a lawyer does not breach his duty to a client if he has made no legal mistake or if he has committed a mere error in judgment. We agree. The court, however, instructed the jury that a lawyer “is not liable for an error of judgment if he acts in an honest belief that his actions or advice are well founded____”
PASSION AND PREJUDICE OF VERDICT
Publicity
Videan contends that he should be granted a new trial because of the public notoriety of and extensive publicity about the underlying defendant, Evan Mecham, who, as governor of Arizona during the time of trial, was the subject of a number of newspaper articles, including stories about this lawsuit. “The test is whether prejudice seems affirmatively probable and prejudice will not be presumed, but must appear probable from the record.” Hallmark v. Allied Products Corp., 132 Ariz. 434, 441, 646 P.2d 319, 326 (App.1982). Aside from Videan’s contention, we find no showing of prejudice that denied him a fair trial.
Juror Misconduct
During voir dire the court asked the jury panel whether or not they could be impartial in light of the fact that Evan Mecham was involved in the trial. Several jurors volunteered that they had signed recall petitions against Mecham. After trial Videan’s counsel discovered that the jury foreman had signed a recall petition but had not disclosed it during voir dire. The court permitted an evidentiary examination of the juror who testified that he had initially attempted to disclosé that he had signed a petition, but after the court al lowed one of the potential jurors who had signed a recall petition to remain on the panel, he decided not to disclose this fact to the court. He testified that he made that determination because he felt he had no problem being impartial. The trial court was fully aware of the juror’s conduct. In Cota v. Harley Davidson, 141 Ariz. 7, 10, 684 P.2d 888, 891 (App.1984), this court held as follows:
If there has been misconduct on the part of a juror, the grant or denial of a motion for mistrial is a matter within the sound discretion of the trial court____ Prejudice will not be assumed, but must appear probable from the record____ The trial court commands the best position to determine what effect, if any, alleged misconduct might have had upon other jurors and whether a mistrial should be granted.
(Citations omitted.) We find no abuse of discretion in the trial court’s denial of Vide-an’s motion for a new trial because of juror misconduct.
Excessive Damages
Finally, Videan asserts that the damages awarded are excessive and that no evidence of Morris’s wealth was introduced to support the punitive damage award. Morris testified and was heard and observed by the jury. There was sufficient evidence to support the compensatory damage award. In Puz v. McDonald, 140 Ariz. 77, 680 P.2d 213 (App.1984), this court responded to the defendant’s contention that the punitive damage award exceeded his assets with the following comment: “We have been cited to no authority, nor have we found any precedent, which would support appellant’s contention that the sole fact that an award exceeds a defendant’s present assets would be grounds for setting it aside.” 140 Ariz. at 79, 680 P.2d at 215. In addition, Division One of this court recently stated in White v. Mitchell, 157 Ariz. 523, 529, 759 P.2d 1327, 1333 (App. 1988), in a case involving punitive damages:
We reject [defendant’s] argument that [plaintiff] failed to introduce sufficient evidence from which the jury could have determined an appropriate amount of punitive damages to award against him. Contrary to [defendant’s] argument, Hawkins v. Allstate Insurance Co., 152 Ariz. 490, 733 P.2d 1073[, cert. denied, 484 U.S. 874, 108 S.Ct. 212, 98 L.Ed.2d 177] (1987) does not require specific proof of [defendant's] ‘wealth, property, income, education, earning capacity, debts, savings, or credit.’ The plaintiff, in a punitive damages case, need only introduce evidence sufficient to allow the trier of fact to calculate an award that is reasonable under the circumstances.
See also Asphalt Engineers, Inc. v. Galu-sha, 160 Ariz. 134, 770 P.2d 1180 (App. 1989). We find no error.
In his reply brief and at oral argument, Videan argued that Elliott failed to prove that he could have collected the $800,000 punitive damage award if it had been rendered against Morris personally. Videan contends that an element of Elliott’s legal malpractice cause of action is that the underlying judgment would have been collectible. The only argument on that issue below, however, appears in Videan’s motion for judgment notwithstanding the verdict. Videan included among his requested jury instructions one that touched upon the issue. However, the record reveals that the requested instruction was withdrawn. Under the circumstances, then, the issue is not properly before us on appeal.
VIDEAN’S LIABILITY FOR PUNITIVE DAMAGE AWARD AGAINST MORRIS
Having determined that there is no merit to Videan’s cross-appeal issues, we now address Elliott’s complaint on appeal that the trial court erred in granting Videan’s motion for judgment notwithstanding the verdict and in setting aside the $800,-000 punitive damage award against Morris. Elliott argues the award was part of the value of his lost claim.
Punitive damages have historically been awarded against attorneys for legal malpractice. Division One of this court recently sustained a punitive damage award against an attorney. Asphalt Engineers, Inc. v. Galuska, supra. In this case, the trial court instructed the jury on punitive damages in accordance with Rawlings v. Apodaca, 151 Ariz. 149, 726 P.2d 565 (1986) and Linthicum v. Nationwide Life Insurance Co., 150 Ariz. 326, 723 P.2d 675 (1986). Because an appellate court does not weigh the evidence, we examine the record only to determine whether substantial evidence exists to support the finding by the trier of fact. Whittemore v. Amator, 148 Ariz. 173, 713 P.2d 1231 (1986).
Elliott presented evidence as to the value of his underlying action and introduced into evidence a letter by Videan to the attorney for the underlying defendants in which he had evaluated the claim in excess of $1 million and offered to settle for that amount.
Having concluded that the evidence supports the jury’s finding that Videan, through his negligence, was the cause of the dismissal of Elliott’s underlying claim, we must determine whether the value of that lost claim consists only of the amount of the compensatory damage award or the entire verdict, including the punitive damage award. “In a malpractice action charging that an attorney’s negligence in prosecuting an action resulted in the loss of the client’s claim, the measure of damages is the value of the lost claims, i.e., the amount that would have been recovered by the client except for the attorney’s negligence.” George v. Caton, 93 N.M. 370, 378, 600 P.2d 822, 830 (App.1979).
Videan argues that because he committed only negligence and because punitive damages are intended to punish and deter future wrongful conduct, he should not be liable for punitive damages for his conduct. Videan, however, misperceives the nature of a malpractice action. The jury award of punitive damages is not a finding that Vi-dean’s conduct was motivated by an evil mind; it is a finding that Morris’s conduct was. Although Videan’s conduct was only negligent, it nevertheless caused Elliott to lose his entire underlying claim. That distinction has been elaborated upon as follows:
The damages Hunt had to pay under the Sampson [v. Hunt, 233 Kan. 572, 665 P.2d 743 (1983) ] judgment included damages called punitive damages from the vantage point of that lawsuit. From the vantage point of this lawsuit, should Hunt be successful, all the damages are simply those which proximately resulted from his attorneys’ negligence; they are no longer properly called punitive damages. If they were called punitive damages and the trial court’s decision properly denied their recovery, then any attorney representing a client who might be assessed punitive damages in a lawsuit could rest easy, secure in the knowledge that any improper handling of the suit, even intentional actions, could not subject the attorney to any malpractice liability at all.
Hunt v. Dresie, 241 Kan. 647, 661,740 P.2d 1046, 1057 (1987).
In a case quite similar to this one, the Texas Court of Civil Appeals held that the injured party in a tort action is entitled to recover punitive as well as compensatory damages. Patterson & Wallace v. Frazer, 93 S.W. 146 (Tex.Civ.App.), reversed on other grounds, 100 Tex. 103, 94 S.W. 324 (1906). In so holding, the court stated:
It is known that judgments for damages, actual and exemplary, are recovered and collected for slander, and it will not do to say that attorneys at law are not liable to their clients for negligence in managing such cases, because of the difficulty a jury may have in arriving at the damages occasioned by such negligence, for this would absolve them from all liability for negligence in such cases.
93 S.W. at 148.
Legal malpractice constitutes a tort. Schroeder v. Hudgins, 142 Ariz. 395, 690 P.2d 114 (App.1984). Arizona has traditionally held that a tortfeasor is liable for all damages that occur as a result of the commission of the tort. Myers v. Rollette, 103 Ariz. 225, 439 P.2d 497 (1968). If an attorney’s negligence is the cause of dismissal of the underlying claim, the proper measure of damages is all compensatory and punitive damages awarded by the jury in the trial of the case within a case. We conclude that the trial court erroneously set aside the punitive damage portion of the jury award and thus reinstate that portion of the verdict.
Affirmed in part; reversed in part.
LIVERMORE, P.J., and LACAGNINA, J., concur.
. Videan argued that Rule 6(e), Ariz.R.Civ. P., 16 A.R.S., applied to permit him an extra five days in which to file his motion to reinstate the case. Because that argument had not been resolved in the case law at the time, the trial court ruled that it fell within the realm of Videan's professional judgment.
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GORDON, Chief Justice.
The State of Arizona and defendant (Roger Allen Berger) both petitioned this Court to review the court of appeals’ decision, 164 Ariz. 46, 790 P.2d 744, upholding the imposition of lifetime parole as part of the sentence following defendant’s conviction of a dangerous crime against children in the second degree. We granted review because of an apparent conflict with the court of appeals’ decision in State v. Wagstaff, 161 Ariz. 66, 775 P.2d 1130 (App. 1988). We have jurisdiction pursuant to Ariz. Const, art. 6, § 5(3).
For purposes of our review, it is sufficient to note that, pursuant to a plea agreement, defendant pled guilty to attempted molestation of a child, a class 3 felony and a dangerous crime against children as defined in A.R.S. § 13-604.01(K). The superi- or court sentenced defendant to an aggravated term of 15 years’ imprisonment. In addition, the court exercised its discretion under A.R.S. § 13-604.01(1) and ordered defendant placed on lifetime parole upon his release.
Defendant appealed from his sentence, arguing that the superior court’s order placing him on lifetime parole should be vacated pursuant to the court of appeals’ decision in State v. Wagstaff The State agreed that Wagstaff applies to persons convicted of a dangerous crime against children in the second degree.
The court of appeals held that the concern underlying Wagstaff, that it is impossible to enforce the lifetime parole provision as it relates to those convicted of a dangerous crime against children in the first degree, is not present in a conviction for second-degree dangerous crimes against children. The court observed that a second-degree offender was eligible for parole release consideration after serving half of the term of imprisonment imposed. According to the court of appeals, therefore, a second-degree offender possibly could have an unexpired term for which reimprisonment could be imposed upon violation of a parole condition. The Berger panel of the court of appeals also disagreed with the Wagstaff panel’s characterization of the lifetime parole scheme as a violation of separation of powers. It pointed out that A.R.S. § 13-604.01(1) authorizes the superior court to sentence a defendant to lifetime parole but the Board of Pardons and Paroles retains discretion on whether to release an offender on parole at all. The court of appeals determined that such a legislative scheme did not violate separation of powers.
Discussion
With regard to those convicted of a dangerous crime against children in the second degree, A.R.S. § 13-604.01(1) provides:
If the person is convicted of any dangerous crime against children in the second degree the court, in addition to any term of imprisonment imposed or in lieu of the term if probation is otherwise authorized, may order that the person convicted be supervised on probation or on parole after release from confinement on such conditions as the court or board of pardons and paroles deems appropriate for any term up to the rest of the person’s life.
In State v. Wagstaff, 164 Ariz. 485, 794 P.2d 118 (1990), we affirmed the court of appeals’ determination that the lifetime parole provision violates separation of powers, but applied a different analysis. We agree with the court of appeals panel in the Berger case that the statute authorizes the court to impose a parole term up to the remainder of the person’s life as part of the sentence. See Wagstaff, at 485, 794 P.2d 118. We disagree, however, with the court of appeals’ determination that the enforcement concern with respect to first-degree offenders is not present with regard to second-degree offenders.
As we stated in Wagstaff, the uncertainty as to how the legislature envisioned the enforcement of violation of a parole term abdicates the legislative power to fix penalties to the judiciary. Although a second-degree offender may or may not be granted parole before the term of imprisonment expires, the legislative scheme for enforcement of the period of parole after the remaining term of imprisonment expires is as uncertain for second-degree offenders as it is for first-degree offenders.
In accord with our decision today in Wag-staff, we declare that A.R.S. § 13-604.01(1), as it relates to second-degree offenders, violates separation of powers. The decision of the court of appeals on this issue is vacated. Defendant’s sentence is modified pursuant to A.R.S. § 13-4037 to delete all reference to lifetime parole.
FELDMAN, V.C.J., and LACAGNINA, J., concur.
Justice ROBERT J. CORCORAN recused himself and did not participate in this decision; pursuant to Ariz. Const, art. 6, § 3, Judge MICHAEL A. LACAGNINA of the Court of Appeals, Division Two, was designated to sit in his stead.
|
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OPINION
GERBER, Judge.
Appellant Roger Allen Berger (defendant) appeals from his conviction for attempted molestation of a child, a class 3 felony and dangerous crime against children in the second degree in violation of A.R.S. §§ 13-1410, 13-3821, 13-1001, and 13-604.01, and from the sentence imposed. Defendant raises two issues on appeal:
(1) whether the trial court’s imposition of lifetime parole was improper, and
(2) whether his guilty plea was involuntary because he was not advised that he would not be entitled to early release credits pursuant to A.R.S. §§ 41-1604.06 and 41-1604.07.
PROCEDURAL HISTORY
On July 31, 1987, defendant was indicted in Cause No. CR 87-06925 on one count of molestation of a child, a class 2 felony and dangerous crime against children. On October 28, 1987, defendant was indicted in Cause No. CR 87-09693 on two counts of sexual conduct with a minor, class 2 felonies and dangerous crimes against children. The trial court granted the state’s motion to consolidate these actions on January 29, 1988.
On February 29, 1988, defendant entered into a written plea agreement (agreement) and agreed to plead guilty in CR 87-09693 to count II, as amended, attempted molestation of a child, a class 3 felony and dangerous crime against children in the second degree. The agreement provided, in part, that:
... a person convicted of a dangerous crime against children in the second degree ... may be eligible for probation and any prison sentence imposed requires the defendant to serve at least one-half the sentence imposed by the court. The defendant could receive ... lifetime probation or, if sentenced to a prison term, parole for up to the rest of his life.
At the change of plea hearing, the trial court clearly advised defendant that the maximum possible sentence would be 15 years imprisonment, and that he would not be eligible for release on any basis until at least one-half of the sentence imposed had been served. Defendant indicated he understood these consequences of his plea.
On April 12, 1988, the trial court pronounced judgment, sentenced defendant to an aggravated term of 15 years of imprisonment, and ordered him placed on lifetime parole upon release pursuant to A.R.S. § 13-604.01(1).
LIFETIME PAROLE
Defendant argues that the trial court’s order placing him on lifetime parole should be vacated pursuant to this court’s decision in State v. Wagstaff, 161 Ariz. 66, 775 P.2d 1130 (Ct.App.1988), review granted, Nov. 23, 1988. The state concurs with defendant’s assertion that Wagstaff applies to persons convicted of dangerous crimes against children in the second degree. However, this court is not bound by the state’s confession of error. State v. Stewart, 3 Ariz.App. 178, 180, 412 P.2d 860, 862 (1966).
In Wagstaff, this court held that A.R.S. § 13-604.01(1) was invalid insofar as it provided for the imposition of lifetime parole for a defendant convicted of a dangerous crime against children in the first degree. 161 Ariz. at 70, 775 P.2d at 1134. Pursuant to A.R.S. § 13-604.01(E), such a defendant would be ineligible for release at any time prior to the expiration of the entire sentence imposed by the court, and thus would have no unexpired term during which he could be placed on parole. Further, enforcement of the lifetime parole provision against such a defendant would be impossible: he could not be reimprisoned for a term equal to his unexpired maximum sentence at the time parole was granted because there would be no unexpired portion of his sentence remaining to be served. Wagstaff, 161 Ariz. at 70, 775 P.2d at 1134.
In this case, however, since defendant was convicted of a dangerous crime against children in the second degree, he would be eligible for release after serving half of the sentence imposed. A.R.S. § 13-604.01(G). Sentenced to an aggravated term of 15 years of imprisonment, he would be eligible for release in 7.5 years. Thus, defendant could possibly have an unexpired term during which he could be placed on parole and for which he could be reimprisoned if he violated a condition of parole. The concern expressed in Wagstaff is not present in second degree crimes against children.
However, Wagstaff also held that lifetime parole was violative of the separation of powers doctrine between the executive and judicial branches of government. We agree that the Arizona Board of Pardons and Paroles has exclusive power to grant a defendant parole. Wagstaff, 161 Ariz. at 70, 775 P.2d at 1134. As stated in State v. Harris, 133 Ariz. 30, 648 P.2d 145 (App. 1982):
Courts have power to impose sentences only as authorized by statute and within the limits set down by the legislature. Whether or not a prisoner is eligible for release on parole or absolute discharge is not for courts to decide — it is within the control of the board of pardons and paroles, A.R.S. § 31-402, or the department of corrections. See A.R.S. §§ 41-1604.06 and 1604.07.
Id. at 31, 648 P.2d at 147. However, A.R.S. § 13-604.01(1) does not give power to the trial court to grant parole to a defendant who has committed a dangerous crime against children in the second degree! Subsection (I) provides in part:
... If the person is convicted of any dangerous crime against children in the second degree the court, in addition to any term of imprisonment imposed or in lieu of the term if probation is otherwise authorized, may order that the person convicted be supervised on probation or on parole after release from confinement on such conditions as the court or board of pardons and paroles deems appropriate for any term up to the rest of the person’s life.
While defendant is potentially eligible for release after serving 7.5 years of his sentence, the Board of Pardons and Paroles retains full control over whether defendant is certified for parole at that time or any time thereafter. A.R.S. §§ 31-411 and 31-412; Harris. Subsection (I) merely authorizes the trial court to sentence defendant to lifetime parole, with the Board of Pardons and Paroles retaining discretion on whether to release defendant on parole at all. Such a legislative scheme does not violate separation of powers concepts. See People ex rel. Scott v. Israel, 66 Ill.2d 190, 5 Ill.Dec. 580, 361 N.E.2d 1108 (1977) (sentence of mandatory parole is part of the original sentence and does not violate separation of powers clause of the Illinois constitution). See also United States v. Bridges, 760 F.2d 151,153-54 (7th Cir.1985) (rejecting argument that special lifetime parole term violates separation of powers clause); United States v. Arellanes, 767 F.2d 1353 (9th Cir.1985) (special lifetime parole provision offends no constitutional guarantee).
In State v. Marquez, 127 Ariz. 98, 618 P.2d 592 (1980), the defendant argued that A.R.S. § 13-1206 was an unconstitutional violation of the powers of the executive and judicial branches because it provided for a mandatory prison term without the possibility of an early release. The supreme court disagreed, holding:
A.R.S. § 13-1206 does not violate Article 3 by invading executive and judicial prerogatives; defining crimes and appropriate sanctions for those who commit them is a legislative function____ Neither does the statute violate Article 5, § 5, which in its very terms provides that the Governor’s power to grant commutation may be limited by the legislature.
Id. at 103, 618 P.2d at 597 (citations omitted). See also State v. Williams, 115 Ariz. 288, 289, 564 P.2d 1255, 1256 (App.1977) (mandatory minimum sentences were a proper exercise of legislative power to prescribe punishment for prohibited criminal acts).
In State v. Molina, 118 Ariz. 250, 575 P.2d 1276 (App.1978), the court held that a statute providing that a defendant would be ineligible for parole until he had served a minimum sentence was not “an invasion of the executive domain____”
... The Arizona Constitution, Art. 5, § 5, gives the Governor power to grant reprieves, commutation, and pardons, with certain exceptions. The constitution does not speak of parole and therefore parole is within the legislative scope of establishing suitable punishment for the various crimes.
Id. at 251, 575 P.2d at 1277.
We find the reasoning of these cases persuasive and thus decline to follow Wagstaff where it construes A.R.S. § 13-604.01(1) to be violative of the separation of powers doctrine. We uphold the trial court’s imposition of lifetime parole in this case.
EARLY RELEASE CREDITS
Defendant also argues that his guilty plea was involuntary because, having committed a dangerous crime against children under A.R.S. § 13-604.01, he would not be entitled to accrue early release credits. See A.R.S. §§ 41-1604.06(C) and 41-1604.07.
Rule 17.2(b) does not require the trial court to advise a defendant of his ineligibility for early release credits where the defendant has been properly advised of the earliest release date and the maximum sentence imposable as a result of the plea. State v. Lee, 160 Ariz. 323, 772 P.2d 1176 (Ct.App.1989). In this case, defendant was clearly advised that he was charged with a dangerous crime against children in violation of A.R.S. § 13-604.01, and that he therefore could not be released on any basis until he had served at least half of the sentence imposed. He was informed that the maximum potential term of imprisonment was 15 years. This was in fact the sentence he received. Thus, he would be eligible for parole after serving 7.5 years of his sentence.
Under the circumstances, the trial court did not commit reversible error by failing to inform defendant that he was ineligible for early release credits pursuant to A.R.S. §§ 41-1604.06 and -1604.07. See Lee, supra.
The conviction and sentence are affirmed.
JACOBSON, P.J., and BROOKS, J., concur.
. A.R.S. § 13-1206 proscribes dangerous or deadly assaults by prisoners.
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OPINION
LIVERMORE, Presiding Judge.
The minor was charged with two counts each of child molestation, sexual conduct with a minor under 15, kidnapping and aggravated assault. Following a contested hearing, the juvenile court adjudicated the minor delinquent on one count of child molestation and sexual conduct with a minor under 15 and two counts of aggravated assault. Because we find two issues to be dispositive of this appeal, we do not address the other issues raised by the minor.
The charges arose out of an incident in which the minor, a 13-year-old boy, was babysitting for two young children of another family, a seven-year-old girl and a three-year-old boy. The parents had planned to participate in a car show which required them to be at Reid Park in Tucson at 5:00 a.m. on October 8, 1988. They arranged for the minor to sit for the children and picked him up at approximately 4:30 a.m. The children’s grandmother, who lived nearby, had arranged for all three children to come to her home to go swimming after lunch. When they arrived, she observed that her grandson’s face appeared bruised and swollen. The granddaughter also had welts on her buttocks and legs. The girl also cried out in pain when she urinated.
The grandmother and mother took the children to the hospital to be examined. The girl testified that the minor had beaten both of them with belts. She also testified that he had made the children dress up in each other’s clothes and discussed sexual conduct with them. She further testified that he had blindfolded her and made her brother lie down on top of her. She then felt something painful in her vagina and heard the minor make a panting noise. Although the girl testified as to other conduct by the minor, in light of the juvenile court’s dismissal of the charges arising out of that alleged conduct, we need not address the remainder of her testimony.
At the hearing, the examining physician at the hospital testified that he had observed abrasions of the girl’s labia and had been unable to see the hymen, but could not state positively whether it was intact. Both the examining physician and another expert, who examined photographs of the children, testified that the injuries to the children’s buttocks and the boy’s face were consistent with being struck by a belt. They further testified to their opinion that the abrasions to the girl’s labia and vagina and the inability to see the hymen were the result of penetration by some object. The minor’s expert, who did not examine the girl but reviewed the same photograph of the child’s vaginal area, testified that the redness and swelling were not the result, of trauma, but were probably secondary to an infection.
On October 13, 1988, after she had interviewed the parents and grandmother of the victims, Deputy Sheriff Jolene Ross of the sex crimes unit went to the minor’s junior high school to interview him. Also present and participating in the interview was Detective Skip Woodward, a Tucson Police Department school resource officer. The interview, which was tape recorded, lasted approximately two hours. Although neither the tape nor a transcript was admitted into evidence, lengthy portions of the interview were read into evidence by Detective Ross.
The minor was given Miranda warnings, acknowledged that he understood them and agreed to answer questions. The minor testified that he was never told that he could have his parents present for the interview; Deputy Ross’s testimony on this point was equivocal. The minor testified that initially he denied hitting the children because he was afraid of the officers. He later admitted hitting the children with a belt but denied any sexual acts with them. After persistent questioning, however, he acknowledged that the children had taken off their clothes and that the boy had lain on top of the girl at his direction. At the hearing, the minor admitted hitting the children with a belt. However, he denied any sexual conduct with the minors and testified that he had made the statements regarding such conduct as a result of a “promise” from the officers during the interview. When asked, “What promise?” he testified:
That it was — like her promise. Skip Woodward, and we call him Skip, because he is the school thing — officer, because he said that this could be over in five minutes if you tell us so and so and we know that you did it and we can prove it to the court and so and so, and so I just told them, I got kind of confused, and I just told them what they wanted to hear, and then I though[t] about that, it was kind of stupid.
He further testified “she kept telling me that I did this and they knew I did this, so I told them what they wanted to hear in order to get out of there.”
During cross-examination of Deputy Ross, lengthy portions of the interview were read into the record. The minor was told by Officer Woodward that a doctor had done a “real thorough examination of [the girl]” and “somebody molested that little girl that day,” even though neither officer had spoken to the doctor or seen his reports. The following transpired:
Q. Did you feel that this was proper technique, to mix these representations and to lie to this boy in order to get a statement from him regarding this case?
A. It’s used sir. It’s used as part of our technique.
Q. So it’s part of your technique to tell stories and mistruths and half truths in order to elicit statements from a person who is suspected of a crime, is that you[r] statement?
A. It’s part of it sir.
Q. Did you ever think that a 13 year old boy might be believing everything that you said?
A. I don’t know sir. I don’t have any opinion on that question.
Q. Okay, you were just doing your job?
A. I was just doing my job.
Q. Page 17. You didn’t say this, but I assume that you were still in the room with Detective Woodward when he says, at the top of the page, I understand that you don’t want to say that you did, okay, but David, is what you need to understand is nothing more is going to happen to you whether you hit [the girl] once with the belt, or whether you hit her with the belt three or four or five times. Nothing more is going to happen to you if you slapped [the boy] in the face one or three or four times, or five times. That wasn’t truthful was it?
A. I have no idea what he was trying to get at with that sir. That was not proper questioning.
Q. That was not proper interrogation, because he was making a promise, and that is not appropriate is it?
A. That wasn’t my question.
Q. But you let it continue didn’t you? Even though you knew it was improper interrogation.
A. Well he kept on talking.
Q. You knew that something more was going on, and you knew something more was going to happen to David at this point, and you knew that you were going to arrest him for aggravated assault?
A. Yes.
******
Q. Detective Woodward continues on in the middle of this page in a rather lengthy statement starting about a third sentence down. Do you see there where it says, now the doctors have examined the kids, and they said these kind of things have happended [sic] or did happen, and they only could have happened in the time when you had the kids, so somebody had to do it. And what happens is when we go down to Juvenile Court they will have a court hearing in front of a Judge, and these two kids will have to come in and testify in front of the Judge, and they’ll have to go over all this and tell what happened, and then it will be your turn to get on the stand and tell your side of the story. And then the Judge will decide who he’s going to believe, and it’s best for you to tell us the truth right now, and get it over with rather than to prolong this or delay this any further. You’re already halfway there. Do you see that portion?
A. Yes.
******
Q. Okay. You didn’t stop him or clarify that did you?
A. No.
Q. You didn’t say, wait a second. Where did you get this information?
A. No.
Q. What about the business about Detective Woodward saying, you got to get up and tell your side of the story. Did you hear that when that was said, when he told [the minor] that he would have to tell his side of the story?
A. Yes.
Q. Did anybody advise [the minor] that they don’t have to get up on the stand in a criminal case and tell their side of the story if they don’t please to?
A. No sir.
(Emphasis added.) The minor was further told by Woodward:
[W]e know that you hit both of these kids with a belt. We know that you slapped [the boy] in the face several times with your hand, and we know that you, that you did have some kind of sexual contact with both of these kids, but we just don’t know why, and we honestly want to know your side of the story, and you will feel better if you tell us the truth, because you, your [sic] the only person who could have done this.
******
You probably didn’t do it exactly the way we are telling you it happened, but you did do the sexual stuff____ There’s no doubt that you did do it and we can prove that in Court without any problems, but right now we are giving you the chance to tell your side of the story, and it’s, I know you’re not going to enjoy telling us and it’s going to be embarass-ing for you, but you need to do it.
The minor was again asked if he had put his finger inside the girl, and again denied it. The minor was then questioned again about hitting the children, and Ross stated:
But you told me a couple different things now. First you’re saying you didn’t make um, then you said well, yeah, I, I, I made a couple of um, what is it ... ? The other marks didn’t automatically appear there. They’re very distinctive. The doctors can tell us exactly just about how many times those children were hit with the belt and hit with a hand. They can also tell me what belts were used. Now, how do I explain this, how do you explain it? I don’t have to explain anything, you have to. You need to tell the truth and you’re not doing that.
(Emphasis added.) Six pages later in the transcript, Detective Woodward states:
[W]e really truly want to help you, but we can’t help you if you don’t want to help yourself. The only way you can help yourself right now is to tell the truth then we’ll help you, but we can’t without you telling us the truth. The, the first step towards helping yourself is to tell the truth and nobody has ever been helped unless they wanted to help themselves first though. And so, we’re giving you one more chance to tell us the whole truth, and you can do it. You need to tell us that and get it over with, get it off your chest. Get it over with and I’ll tell you what, you are going to feel like you’re going to explode inside holding this kind of stuff in, because it’s not going to stop here, it’s just not going to go away. It’s going to go to the prosecutor’s office and [the children] are going to be interviewed some more, and more questions are going to be asked. Coming back and asking more questions, and you can get the whole thing out right now by, we. know what you did, but we just need you to tell us and it will be over in five minutes. You can just tell us and then we’ll get you some help and it will be done with.
(Emphasis added.)
Rule 18, Ariz.R.P.Juv.Ct., 17B A.R.S., provides:
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.
The minor argues that his subsequent incriminating statements during the interview were the result of the officers’ promise of leniency as demonstrated by the fore going excerpts and should have been suppressed. We agree.
The juvenile court’s admission of a minor’s confession will not be disturbed on appeal absent clear, manifest error. Appeal in Maricopa County Juvenile Action No. J-84357, 118 Ariz. 284, 576 P.2d 143 (1978). Under Rule 18, the voluntariness of a juvenile’s statement is judged according to the totality of the circumstances. Appeal in Maricopa County Juvenile Action No. J-88515, 139 Ariz. 260, 678 P.2d 445 (1984); State v. Jackson, 118 Ariz. 270, 576 P.2d 129 (1978).
In this case, a 13-year-old boy was subjected to a two-hour interrogation by two police officers in the absence of his parents. Although he was initially given Miranda warnings and told that he had the right to remain silent, he was subsequently told, to the contrary, that he would have to go to court and tell his story to a judge. When his answers did not satisfy the officers, he was again told that he would have to “explain” what happened. When the minor persisted in denying the accusations of sexual conduct, he was again told that he would have to .go to court but that the officers could “help” him if he told the truth and that it would be “over in five minutes. You can just tell us and then we’ll get you some help and it will be done with.” Fairly construed, the officers’ statements not only misrepresented to the juvenile his rights in a juvenile proceeding but also conveyed to him that if he gave answers satisfactory to them, they would help him and he wouldn’t face charges. Under the totality of the circumstances, the minor’s statements following upon the officers’ misrepresentations and promises were not voluntarily given and should have been suppressed.
In determining whether the error in admitting the minor’s statements requires reversal, the test in the context of a jury trial is “whether, absent the error, it is clear beyond a reasonable doubt that the jury would have returned a verdict of guilty.” State v. Hensley, 137 Ariz. 80, 88, 669 P.2d 58, 66 (1983). In a trial to the bench, however, the rule has been stated that “the appellate court will assume, unless it affirmatively appears to the contrary, that the trial judge only considered the competent evidence in arriving at the final judgment.” State v. Warren, 124 Ariz. 396, 402, 604 P.2d 660, 666 (App. 1979). In this regard, Judge Kaufman’s opinion in Hawkins v. LeFevre, 758 F.2d 866, 878 (2d Cir.1985), is instructive:
We pause to comment briefly upon the implications arising from the fact that the constitutional error occurred in the context of a bench trial. Our system of justice presumes that judges enjoy the capacity to consider only relevant evidence in determining an individual’s guilt or innocence. We vest judges with the authority to grant motions to suppress improperly seized evidence, while at the same time empowering them to pass on an individual’s guilt, confident that the inculpatory evidence will remain outside their decisional calculus. But there comes a point where we are unable to indulge in the comfortable fiction that judges can edit their thought processes to exclude that which is impermissible and include only that which is permissible---- Insofar as an efficacious harmless error standard evinces a sensitivity to the imprint a particular error leaves on the judicial process, the trial judge’s contravention of fundamental constitutional rights cannot be dismissed as harmless.
In the present case, the juvenile judge admitted the juvenile’s incriminating statements to the officers along with a great deal of other evidence, including expert testimony which was conflicting as to the cause of the abrasions on the girl’s vaginal area. On this record, we cannot say that the erroneously admitted statements were not relied upon by the juvenile court in adjudicating the minor on the sexual conduct and molestation charges. We therefore vacate the adjudication order as to those charges.
As to the charges of aggravated assault, the minor admitted on the stand that he had hit the children with a belt. Although, as noted above, the transcript of his statement was not admitted into evidence, it appears from the cross-examination of Deputy Ross that his admission of this conduct during the interview preceded the officers’ misrepresentations and promises to him. Under these circumstances, reversal of the adjudication on the aggravated assault charges is not required.
The minor contends, however, that the evidence is insufficient to support the adjudication on the aggravated assault charges. Specifically, he contends that there was no proof either that the children had suffered serious physical injury or that the belt constituted a deadly weapon or dangerous instrument. See A.R.S. § 13-1204(A)(1) and (2). Assuming, arguendo, that the evidence is insufficient under § 13-1204(A)(1), we believe that the evidence supported a finding that the belt was a dangerous instrument under § 13-1204(A)(2).
Under A.R.S. § 13-105(8), “dangerous instrument” is defined as “anything that under the circumstances in which it is used, attempted to be used or threatened to be used is readily capable of causing death or serious physical injury.” Dr. Jones, testifying for the state, testified that striking a three-year-old or a seven-year-old child with a belt could cause serious physical injury and possibly death. This was sufficient to support the juvenile court’s findings.
Because the minor’s remaining claims pertain to the charges of sexual conduct and molestation, we need not address them. The adjudication order is vacated as to the charges of child molestation ,and sexual conduct with a minor; the order is affirmed as to the charges of aggravated assault.
FERNANDEZ, C.J., and LACAGNINA, J., concur.
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ORDER OF REINSTATEMENT AND PROBATION
Pursuant to Rule 31(c), Rules of the Supreme Court,
IT IS ORDERED reinstating CHARLES R. HOOVER as a member of the State Bar of Arizona, authorized to practice law in this state, subject to the following terms of probation that shall be in effect for two years from the date of this order:
1. Respondent shall continue examination, treatment, and/or therapy for the entire period of probation with a psychiatrist, psychologist or other qualified mental health professional whose name, address and telephone number shall be furnished to the chief bar counsel of the State Bar of Arizona or his or her designate.
2. During his probation, respondent shall cause the mental health professional to furnish reports to chief bar counsel on a quarterly basis which should contain de tailed information regarding examinations, consultations, or therapy and describe the treatment or therapy prescribed or advised, the response thereto, and the expert’s evaluation of respondent’s condition and fitness for the practice of law.
3. Respondent shall advise the Disciplinary Clerk and Director of Membership Records of the State Bar, in writing, of any change of address or change of employment during the period of probation.
4. Respondent shall keep accurate and complete financial records of his professional financial affairs including, but not limited to, a client trust account.
5. A monitor shall be appointed to review respondent’s professional financial affairs during the period of probation. The monitor may be a State Bar employee, designated by chief bar counsel or other individual, as agreed upon by respondent and the State Bar. The monitor shall prepare quarterly reports based upon a review of respondent’s professional financial records, which reports shall be filed with chief bar counsel. Respondent shall pay reasonable costs and fees of said monitor.
6. So long as respondent is employed by a law firm he shall not be a signatory on the law firm’s trust account. In the event that the respondent becomes a sole practitioner, respondent shall direct the financial institution^) in which he maintains his trust account and operating account to notify chief bar counsel of any- checks returned for insufficient funds. Additionally, the financial monitor shall review the trust account records on a monthly basis and immediately report any irregularities to chief bar counsel.
7. In the event that respondent fails to comply with any of the foregoing conditions and information thereof is received by the State Bar, a notice of noncompliance shall be filed with the Disciplinary and Supreme Court Clerks. A hearing committee shall be appointed to conduct a hearing at the earliest practicable date, but in no event later than 30 days after receipt of said notice to determine whether a noncompliance has occurred. The committee shall prepare a report and the matter shall thereafter proceed as set forth in Rule 53(c) — 53(e), Rules of the Supreme Court.
8. At a non-compliance hearing, the burden of proof shall be upon the State Bar to prove non-compliance by a preponderance of the evidence.
|
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OPINION
HATHAWAY, Judge.
This is an appeal from a modification of a divorce decree reducing the amount to be paid by appellee/husband as child support. The parties were divorced in January 1980. The decree of dissolution provided, inter alia, that appellee pay $250 per month as child support for his daughter. At the time of the divorce, appellee was working for ASARCO earning approximately $19,500 net per year. Subsequently, the ASARCO mine closed and appellee was laid off. He is now employed by the Pinal County Sheriff’s Department and is paid approximately $9,800 net per year. The court found this to be a substantial change in circumstances and reduced the child support payment to $175 per month. We affirm.
Appellant first argues that the court misunderstood the evidence relevant to a determination of substantial change in circumstances and had no evidence of a continuing change. We disagree. The decision as to the sufficiency of changed circumstances to support a modification lies within the sound discretion of the trial court and will not be disturbed on appeal unless it is abused. Linton v. Linton, 17 Ariz.App. 560, 499 P.2d 174 (1972). The record clearly indicates that appellant’s income has been reduced by half and we do not believe it an abuse of discretion for the trial court to consider this a substantial change in circumstances. As to appellant’s contention that the court made no “finding” of a continuing change in circumstances, we believe appellant misconstrues the statute. A.R.S. § 25-327(A) requires a “showing of changed circumstances which are substantial and continuing.” There is no require ment that the court make any “findings.” Appellant argues that appellee is an experienced miner and that his new job may very well be temporary. While this may be true, it was uncontested that the reduction in wages was continuing at the time of the modification hearing and was not speculative or temporary. See Scott v. Scott, 121 Ariz. 492, 591 P.2d 980 (1979). If appellant resumes work as a miner and his salary is substantially increased, appellant can then request the court to restore the child support payments to the former level.
Appellant next argues that even though there has been a reduction in appellee’s income, that fact does not relieve him of his obligation to support his daughter. While this is a true statement of the law, we find all but one of the cases cited for this proposition to be readily distinguishable. In Hamann v. Hamann, 20 Ariz.App. 234, 511 P.2d 678 (1973), the husband’s income had increased from the time of the original decree. In Ruppel v. Ruppel, 103 Ariz. 545, 447 P.2d 237 (1968), the reduction in income was less than 20% and the reduced income was balanced entirely by a reduction in child support. In Watson v. Watson, 29 Colo.App. 449, 485 P.2d 919 (1971), there was no reduction in the husband’s income. In State of Minnesota, County of Clay v. Doty, 326 N.W.2d 74 (N.D.1982), the husband had ignored a court order to pay child support and argued that he should not have to pay anything to support the child. In State of Oregon ex rel. Krueger v. Krueger, 292 N.W.2d 60 (N.D.1980), the husband was also arguing that he should not have to pay anything as child support even though the record indicated that he could afford, as the court stated, “at least nominal monthly support payments.” 292 N.W.2d at 62. In Germer v. Germer, 17 Utah 2d 393, 412 P.2d 922 (1966), there was no reduction in income and the husband had been in arrears on child support since the divorce. In Shaffer v. Shaffer, 16 Ariz.App. 530, 494 P.2d 730 (1972), the husband’s income had increased just prior to the time of the modification hearing and he merely anticipated a reduction in the future. In Patterson v. Patterson, 102 Ariz. 410, 432 P.2d 143 (1967), the reduction in the husband’s income was found by the court to be the result of his choosing not to work as industriously at his medical practice. Hoffman v. Hoffman, 4 Ariz.App. 83, 417 P.2d 717 (1966), dealt with a change in child custody. The only case cited bearing any resemblance to the case at hand is Edwards v. Edwards, 82 Nev. 392, 419 P.2d 637 (1966). The crucial difference between the two cases arises from the husband’s admission in Edwards that the increase in his expenses was frivolous and unwarranted. No such finding was made by the trial court here nor is it a factual issue which we can review given the absence of a transcript of record. In the absence of a transcript, we will presume that the evidence at trial was sufficient to sustain the trial court’s conclusion. Bryant v. Thunderbird Academy, 103 Ariz. 247, 439 P.2d 818 (1968).
Affirmed.
HOWARD, C.J., and BIRDSALL, J., concur.
|
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OPINION
EUBANK, Judge.
On the evening of September 16, 1978, the defendant-appellee, Grady C. Dawe, overturned his father’s 1965 Chevrolet pickup truck. One of the passengers therein, Joshua W. Petefish, was severely injured, and filed a claim in negligence against Grady Dawe for injuries he sustained. Since Grady Dawe was a minor, his parents were named as parties defendant on theories of derivative negligence (for the actions of their minor child), and negligent entrustment of an automobile to an unsafe driver.
The matter proceeded to a jury trial on all issues. Allegations of contributory negligence and assumption of risk were abandoned, with Dawes’ sole defense being that Grady was a skilled and competent driver who was not negligent on the night of-the accident. Following the trial, judgment for the appellees was entered, based on a jury verdict for the defense on both the negligent driving and negligent entrustment claims. Appellants have appealed from this judgment and the denial of their motions for judgment N.O.V. and for a new trial.
Although several legal issues were raised and argued at trial, appellants have raised only one issue for consideration by this Court: whether the giving of a “sudden emergency” instruction constituted reversible error under the facts of this case. Having reviewed the entire record, we conclude that the testimony warranted such an instruction, and that the instruction, as offered to the jury, correctly stated the law of Arizona. Thus, the judgment is affirmed.
At the time of the accident, Grady Dawe was 15 years old and was not yet licensed to drive a motor vehicle. Nevertheless, the evidence showed that he had extensive daytime and nighttime driving experience and was often allowed to drive his parents’ vehicle on the country roads surrounding his home in Cave Creek, Arizona. On the night in question, he had received permission to drive the family pickup to a desert party near his home. Grady attended the party, accompanied by three teenage friends, Jeffrey Wilms, Todd Davis, and Neil Cowie.
While attending the party, Grady Dawe was approached by an acquaintance, Chuck O’Connor. O’Connor was concerned over the rapid loss of air in one of his tires, and having no spare, he requested that Dawe follow him into town. Dawe agreed, and O’Connor drove off, accompanied by his brother, Paul O’Connor, Matt Parsons, and Joshua Petefish. Dawe followed, accompanied by his previously mentioned passengers, all of whom were seated in the cab of the pickup. Both vehicles proceeded south on Spur Cross Road, headed toward Cave Creek.
Approximately three-tenths of a mile from the site of the party, the O’Connor vehicle stopped. Dawe stopped alongside, and with minimal explanation, Joshua Pe-tefish got out of the O’Connor car and jumped into the bed of the Dawe pickup. O’Connor again drove off and Dawe followed. Later, it was learned that Petefish removed himself from the O’Connor vehicle because he did not trust the deflating tire.
O’Connor proceeded on, and shortly thereafter rounded a sharp right-hand curve on the winding Spur Cross Road. The deflating tire blew out entirely, causing the O’Connor vehicle to spin around in the road. The car was still in “drive,” and it began creeping back in the very direction from which it came. Meanwhile, the Dawe pickup was rapidly approaching, though still out of sight around the curve. Grady Dawe and all of his passengers testified that Dawe had the pickup in complete control and was rounding the curve in a safe and reasonable manner. Suddenly, they claimed, they were blinded by the bright headlights of the O’Connor vehicle, which seemed to be coming “right at” them. Dawe testified that a collision seemed inevitable, and in an act of desperation, he spun his wheel to the right. The pickup swerved to the right; it struck the right-hand embankment, rolled over and came to rest without ever touching the O’Connor vehicle. All passengers in the cab escaped through a window with minor injuries except Joshua Petefish. He was found underneath the truck, seriously injured. All of Dawe’s passengers testified that peril of collision with the O’Connor vehicle was imminent, and each would have taken evasive action to avoid an apparent head-on collision if they had been driving.
Realizing the seriousness of the accident, Chuck O’Connor attempted to return to the party to seek help in his disabled car. Unfortunately, once his car was moved, its location at the time of the rollover has never been precisely determined. Rather, the location has become an issue of dispute.
Appellants contended throughout the trial that Dawe had lost control of his vehicle before O’Connor’s car came into view, or that in any event, the O’Connor vehicle was so far away that it could not possibly have presented an appearance of imminent peril. To support their theory of the case, appellants presented a qualified accident recon-structionist, Mr. Paul Blubaum, who testified in substance that the O’Connor vehicle played no causal part in Dawe’s rollover. Rather, Mr. Blubaum concluded that Dawe’s negligent driving was the sole cause of the rollover. This evidence, of course, conflicted sharply with the testimony of Dawe and his passengers concerning a “sudden emergency,” and brings us to the central legal issue of whether the circumstances present herein warranted application of the “sudden emergency doctrine.”
It is well settled in Arizona law that an actor who is faced with sudden unexpected peril cannot be held to the standard of care of a reasonably prudent man who is not faced with such peril. See Sheehy v. Murphy, 93 Ariz. 297, 380 P.2d 152 (1963); Southwestern Freight Lines v. Floyd, 58 Ariz. 249, 119 P.2d 120 (1941); Stump v. Fitzgerald, 14 Ariz.App. 527, 484 P.2d 1056 (1971). In appropriate circumstances, a person charged with negligence is entitled to have the jury instructed on the sudden emergency doctrine. See Campbell v. Brinson, 89 Ariz. 197, 360 P.2d 211 (1961); Western Truck Lines v. Berry, 52 Ariz. 38, 78 P.2d 997 (1938). It should be noted, however, that the sudden emergency doctrine is not a departure from the reasonable man standard of care. Rather, it is merely an aid in determining negligence, informing the jury that the hypothetical reasoanble man may make unwise choices when faced with sudden peril. See Fulton v. Johannsen, 3 Ariz.App. 562, 416 P.2d 983 (1966); D. Wilson, Arizona Automobile Negligence, § 17 (1962).
Traditionally, Arizona has imposed three prerequisites to the giving of the sudden emergency instruction: (1) there must be a sudden or unexpected confrontation with imminent peril; and (2) the emergency must not be a result of the negligence of the person seeking the instruction; and (3) the party seeking the instruction must have had two or more alternative courses of conduct available. See Tansy v. Morgan, 124 Ariz. 362, 364, 604 P.2d 626, 628 (1979), citing authority for each of the prerequisites. Where any prerequisite is lacking, either as a matter of law or through a deficiency in the evidence, the giving of the instruction has been held to be reversible error. See Woods v. Harker, 22 Ariz.App. 83, 523 P.2d 1320 (1974) (no perception of an emergency situation); Livesay v. State, 126 Ariz. 345, 615 P.2d 642 (1980) (emergency caused by the actor’s own negligence); Dobbertin v. Johnson, 95 Ariz. 356, 390 P.2d 849 (1964) (no alternative courses of action).
Appellants contend that all prerequisites were lacking in the case at bar. Thus, they contend that the giving of the instruction was reversible error. Before proceeding to examine the prerequisites individually, however, we take notice of the general rules regarding jury instruction on sudden emergency. Our courts have held that the instruction is warranted where reasonably supported by the evidence, even though that evidence may be slight. Furthermore, when reviewing the giving of the instruction, we view the facts in a light most favorable to the party requesting the instruction. See, e.g., Tansy v. Morgan, 124 Ariz. 362, 604 P.2d 626 (1979); Johnson v. Orcutt, 92 Ariz. 295, 376 P.2d 557 (1962); Winchester v. Palko, 18 Ariz.App. 534, 504 P.2d 65 (1972); Worthington v. Funk, 7 Ariz.App. 595, 442 P.2d 153 (1968); Fulton v. Johannsen, 3 Ariz.App. 562, 416 P.2d 983 (1966). Bearing these rules in mind, we turn to the prerequisites.
I. IMMINENT PERIL
Appellants contend that no real or apparent emergency ever existed in the instant case. The argument is threefold: (1) that the O’Connor vehicle posed no real peril; (2) that the O’Connor vehicle was too far away to create an appearance of peril; and (3) that the trial judge was under the erroneous impression that any subjective apprehension of peril, no matter how unreasonable, would support the sudden emergency defense to negligence.
We may assume for purposes of this opinion that the O’Connor vehicle posed no real peril to Grady Dawe. We disagree, however, with the other conclusions drawn by appellants. First, we do not believe that the physical evidence was so conclusive as to require a ruling, as a matter of law, that no appearance of peril existed. As previously mentioned, the location of the O’Con-nor vehicle at the time of the rollover was an issue of considerable factual dispute in trial. Appellants attempted to prove its location through the use of their accident reconstructionist, the occupants of O’Con-nor’s car, and several exhibits. On appeal, they contend in substance that this evidence should be deemed conclusive on the issue of apparent peril. From a reading of the transcript, however, we cannot agree. The evidence conflicted with the perceptions of Dawe and his passengers and the occupants of the O’Connor vehicle. The conflict could be resolved only by the jury, weighing the credibility of the various witnesses’ perceptions. Such resolution of conflict was precisely within the province of the jury. As stated in Worthington v. Funk, 7 Ariz.App. 595, 598, 442 P.2d 153, 156 (1968):
These conflicts on significant facts only prove that it is a question for the jury to determine whom to believe and whether defendant acted reasonably under the circumstances. Defendant was entitled to go to the jury on these issues and the instruction was therefore proper.
Appellants argue, however, that the trial judge erred as a matter of law by allowing subjective evidence of imminent peril to go to the jury when he specifically stated that the imminent peril was unsupported by objective evidence. Appellants rely on the trial judge’s minute entry denying their motion for judgment N.O.V. and/or new trial, which we quote in relevant part:
The Defendant, Grady C. Dawe, and the other passengers in the cab of his pickup truck testified as to their subjective beliefs that they were in a situation of “imminent danger” of collision with the oncoming O’Connor vehicle. However, there was no objective evidence to support their beliefs.
* * * * * *
Leaving aside questions of credibility as to the truthfulness of the testimony of Defendant, Grady C. Dawe, and his passengers, the Court finds that there was no objective or actual presence of imminent danger to the Defendant, Dawe, or his passengers, and no evidence from which the jury could reasonably conclude that there was.
Having read this quoted portion in context, and in the context of the post-trial setting, we believe that the trial judge’s words have been unfairly characterized by appellants. Leaving aside the credibility of the witnesses, he states, there is no objective evidence to support a finding of imminent peril. This is quite true, but the testimony of three eyewitnesses plus the defendant cannot be discounted as a matter of law. When their credibility is taken into account (a matter solely within the province of the jury), it must be said that there is direct objective evidence to support a jury finding of imminent peril.
We are not persuaded that the trial judge was laboring under a mistake of law. Therefore, we hold that the evidence reasonably supported the prerequisite of “imminent peril.”
II. ALTERNATIVE COURSES OF ACTION
The essence of the sudden emergency doctrine is the making of an unwise choice in the face of imminent peril. Therefore, our courts have held that the doctrine is inapplicable where the person charged with negligence had no opportunity to choose between two or more alternative courses of action. Dobbertin v. Johnson, 95 Ariz. 356, 390 P.2d 849 (1964); Woods v. Harker, 22 Ariz.App. 83, 523 P.2d 1320 (1974). On the other hand, where alternative courses of action exist and the actor chooses one, this prerequisite is satisfied despite the fact that none of the alternatives were attractive. See Winchester v. Palko, 18 Ariz.App. 534, 504 P.2d 65 (1972); Worthington v. Funk, 7 Ariz.App. 595, 442 P.2d 153 (1968); Fulton v. Johannsen, 3 Ariz.App. 562, 416 P.2d 983 (1966); Serrano v. K.A. Ethridge Contracting Co., 2 Ariz.App. 473, 409 P.2d 757 (1966).
Appellants contend, however, that the prerequisite is not satisfied unless the actor is being specifically faulted for choosing the wrong alternative. We find no such requirement in the cases cited above. The sudden emergency doctrine is a matter of defense. If the actor can show that alternative courses of action existed and that he chose among them, the prerequisite is satisfied notwithstanding plaintiff’s theory of the case. Therefore, we turn to the evidence presented by the defense.
Grady Dawe and his passengers testified that, in the face of the imminent peril as they perceived it, evasive action was necessary. Grady testified that he locked his brakes and spun his steering wheel to the right, causing him to swerve right and strike the right-hand embankment and flip over. Appellants contended that this evasive action was unnecessary in that Grady would not have collided with O’Connor no matter what he did. If this is true, as appellants claim, it is clear that alternative courses of action existed, and Grady Dawe chose unwisely among them.
Appellants further contend that no evasive action was in fact taken, or, if it was, it played no causal role in the accident. This contention is contrary to the weight of evidence produced, and at best, it can only be said to represent a conflict in the evidence. Upon this state of facts, we hold that the evidence reasonably supported the prerequisite of alternative courses of action.
III. ANTECEDENT NEGLIGENCE
Another principle of the sudden emergency doctrine is that an actor cannot, through his own negligence, create an emergency situation, then use that emergency as an excuse for his subsequent negligence. See Livesay v. State, 126 Ariz. 345, 615 P.2d 642 (1980); Cano v. Neill, 12 Ariz.App. 562, 473 P.2d 487 (1970). Appellants contend that Grady Dawe was negligent in driving too fast to maintain control of his vehicle, and that he was negligent per se in driving over the imaginary center line of the roadway.
Addressing first the issue of speed, all witnesses agreed that Dawe’s pickup was going approximately 35 miles per hour when it rounded the curve. Evidence was admitted as to the critical speed of the curve in question, but the testimony, as a whole, was simply insufficient to rule as a matter of law that Dawe’s speed was unreasonable or imprudent. Under our case law, a party is entitled to go to the jury on the issue of antecedent negligence if a true factual dispute exists. Therefore, the issues raised by Dawe’s speed would not preclude the giving of a sudden emergency instruction. See Campbell v. Brinson, 89 Ariz. 197, 360 P.2d 211 (1961); Lowery v. Turner, 19 Ariz.App. 299, 506 P.2d 1084 (1973).
On the issue of driving over the imaginary center line, the physical evidence showed that Dawe was approximately three feet over the imaginary center line of a smooth gravel roadway 21 feet in width. This is a violation of statute. A.R.S. §§ 28-721, 28-726. Counsel for appellees conceded negligence per se in his closing argument, but argued that this violation of statute was not a causal factor in the acci dent or in the creation of the emergency situation.
In considering whether a person’s antecedent negligence created the sudden emergency, we are of the opinion that the issue must be addressed in terms of causation in fact. As the name implies, causation in fact is a question of fact for the jury in all but rare instances. Prosser on Torts, § 45 at 289 (4th ed. 1971). Viewing the facts in a light most favorable to support the verdict and judgment we are persuaded that reasonable men might differ as to whether Dawe’s driving over center was a factor in creating the sudden emergency. Again we emphasize that the location of the O’Connor vehicle was a matter of considerable dispute. Not only were questions raised as to the distance between the O’Connor vehicle and the point of rollover, but also as to the positioning of the O’Connor vehicle relative to the roadway and Dawe’s truck. We do not agree with appellants that Grady Dawe should have anticipated the location of the O’Connor vehicle, because we do not know the location of the O’Connor vehicle. Nor do we know where the jury placed the O’Connor vehicle. From the evidence presented, however, the jury could easily infer that the unusual maneuvering and position of the O’Connor vehicle was the sole cause in fact of the appearance of imminent peril and the accident.
We have previously noted that bona fide factual disputes regarding antecedent negligence do not preclude the giving of a sudden emergency instruction. Upon the facts present in the case at bar, we now hold that bona fide factual disputes regarding causation between antecedent negligence and the sudden emergency do not preclude the giving of the instruction. It is our conviction that the jury, when properly instructed, can determine whose fault the sudden emergency was. Cf. Lowery v. Turner, supra.
IV. INSTRUCTION
This brings us to the final issue on appeal: was the jury properly instructed? The instruction at issue herein has been quoted and approved by our appellate courts. See, e.g., Tansy v. Morgan, 124 Ariz. 362, 363-64, 604 P.2d 626, 627-28 (1979); Lowery v. Turner, supra. Appellants concede this, but argue that the instruction was nevertheless inappropriate under the instant facts.
As a sequel to the issue raised by our previous discussion on causation in fact, we note that the sudden emergency instruction was once specifically modified to stress the importance of antecedent negligence. See Gilbert v. Quinet, 91 Ariz. 29, 369 P.2d 267 (1962). We believe that the current instruction adequately addresses this problem by devoting an entire paragraph to antecedent negligence and creation of the emergency. We see no deficiency in this regard. See also Valentine v. Faulkner, 12 Ariz.App. 557, 473 P.2d 482 (1970).
Appellants argue that the instruction allows the erroneous impression that any apprehension of peril, no matter how unreasonable, will support the defense of sudden emergency. While it is true that the apprehension must be reasonable, we believe that the instruction adequately conveys this idea. The instruction merely places the hypothetical reasonable man in the same position as the person charged with negligence. If the jury is convinced that no appearance of peril existed, it seems only logical for them to conclude that the subsequent actions were unreasonable. At trial, appellants attempted to show that Grady Dawe’s apprehension of peril was unreasonable. The fact that the jury did not so conclude, we believe, was not due to a deficiency in the instruction but was due to the evidence.
Upon our review of the record, it is our opinion that appellants received a fair trial. Therefore, the judgment is affirmed.
HAIRE and FROEB, JJ., concur.
. The original complaint was filed by Jean Pe-tefish, as mother and guardian ad litem for Joshua. After Jean Petefish’s death, Kenneth P. Clancy continued the litigation as the duly appointed guardian ad litem. Joshua Petefish was rendered legally incompetent from his injuries, and has taken no active role in this action.
. This claim was based on A.R.S. § 28-420 (1976), which subjects those who permit the use of a motor vehicle by an unlicensed minor to liability for the minor’s driving torts.
. That speed at which the physical forces acting on the vehicle overpower the driver’s control.
. Appellants contend that Grady Dawe admitted his causal role in creating the emergency. The question and answer referred to, however, are not as significant as appellants contend. We view this admission as merely one piece of evidence to be considered by the jury. It is their function to weigh the evidence.
. The jury was instructed as follows:
A person who, without negligence on his part, is suddenly and unexpectedly confronted with peril arising from either the actual presence, or the appearance of imminent danger to himself or to others is not expected nor required to use the same judgment and prudence that is required of him in the exercise of ordinary care in calmer and more deliberate moments. His duty is to exercise only the care that an ordinarily prudent person would exercise in the same situation. If at the moment he does what appears to him to be the best thing to do and if his choice and manner of action are the same as might have been followed by an ordinarily prudent person, under the same conditions, he does all the law requires of him, although in the light of after events it should appear that a different course would have been better and safer.
If a motor vehicle driver himself created the sudden emergency or brought about the perilous situation through his own negligence, he cannot avoid liability for an injury, merely on the ground that his acts were done in the stress of a sudden emergency. He cannot shield him-. self behind an emergency created by his own negligence.
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OPINION
HAIRE, Judge.
This is an appeal from an order transferring the juvenile for prosecution as an adult on a charge of child molestation. The juvenile presents two grounds for his appeal:
(1) The juvenile court applied an improper standard to determine whether the juvenile is amenable to treatment or rehabilitation as a delinquent child through available facilities; and
(2) The juvenile court commented on the juvenile’s right to remain silent.
We proceed to discuss each ground.
After a hearing held pursuant to Rule 14, Rules of Procedure for the Juvenile Court, 17A A.R.S., the juvenile court made the requisite findings for transfer. Rule 14(b) reads as follows:
“(b) The court may transfer the action for criminal prosecution to the appropriate court having jurisdiction of the offense if the court finds probable cause and reasonable grounds to believe that:
“(1) The child is not amenable to treatment or rehabilitation as a delinquent child through available facilities; and
“(2) The child is not commitable to an institution for mentally deficient, mentally defective or mentally ill persons; and
“(3) The safety or interest of the public requires that the child be transferred for criminal prosecution.”
The juvenile contends that the juvenile court applied an improper standard to reach the finding required by Rule 14(b)(1) because the court considered the juvenile’s denial of the alleged acts and the difficulty in treating pedophilia.
The juvenile court should conduct a broad inquiry in making the requisite findings for transfer.
“[T]he court in order to adequately inform itself as to all aspects of the behavioral sciences as they specifically apply to a juvenile, should consider and be receptive to experts in this field.”
In the Matter of the Appeal in Maricopa County, Juvenile Action No. J-93117, 134 Ariz. 105, 654 P.2d 39, 44 (App.1982) (quoting In the Matter of the Appeal in Maricopa County, Juvenile Action No. J-72804, 18 Ariz.App. 560, 563, 504 P.2d 501, 504 (1972)). The statements of the juvenile court relating to the difficulty in treating pedophilia, based on expert testimony, are clearly relevant as “aspects of the behavioral sciences as they specifically apply to a juvenile.”
Furthermore, the juvenile court should consider factors in addition to opinion evidence.
“However, when we consider the nature of this testimony — the attempt to predict human behavior in a particular individual over a definite period of time — the juvenile court should not be limited solely to such opinion evidence. Rather, the juvenile judge should also properly consider the particular juvenile’s track record in the past and his amenability to the juvenile processes that this record discloses.”
In the Matter of the Appeal in the Marico-pa County, Juvenile Action No. J-93117, supra. The minute entry specifically refers to the difficulty in treating pedophilia and the juvenile’s denial under the heading “Amenable to Treatment.” Nevertheless, we find that the minute entry, read as a whole, reflects the court’s consideration of other appropriate factors. The juvenile court specifically noted the juvenile’s “track record” including the juvenile’s history of sexual offenses and lack of effective rehabilitation despite treatment in two hospital programs and a one year residential placement. The court also noted a program offered through available facilities, but recognized that its director had not interviewed the juvenile and that the six month old program had not established a performance record on which to base any prediction of possible success with this juvenile. Furthermore, testimony indicated that none of the participants in the program had been diagnosed as pedophiles. In light of these considerations, we find no abuse of discretion by the juvenile court in concluding that the juvenile was not amenable to treatment as a delinquent child, pursuant to Rule 14(b)(1).
The juvenile also contends that the juvenile court in effect commented on his right to remain silent. Specifically, the juvenile maintains that because the transfer was based in part on the juvenile’s denial of the offenses and denial of any sexual problems, there has been fundamental error requiring a reversal of the transfer order or alternatively a new transfer hearing. We disagree.
A transfer hearing consists of two parts: the probable cause stage at which the court determines whether an offense has been committed and whether probable cause exists to believe the juvenile committed the offense alleged, see Rule 14(a), Rules of Procedure for the Juvenile Court, 17A A.R.S.; and the transfer stage at which the court determines whether there are reasons to support transfer, see Rule 14(b). Testimony on the juvenile’s denial occurred during the transfer stage. The juvenile court did not use evidence of denial in considering whether the juvenile committed the offense alleged. Consequently, the court did not draw any adverse inference from the juvenile’s silence so as to infringe on the juvenile’s privilege against self-incrimination. Rather, the juvenile court noted the denial as particularly relevant to the difficulty of treating the juvenile in evaluating his amenability to treatment as a delinquent child through available facilities.
The transfer order of the juvenile court is affirmed.
BROOKS, P.J., and OGG, J., concur.
|
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] |
OPINION
OGG, Judge.
This is a special action review of an April 16, 1982 Industrial Commission award of workmen’s compensation benefits to respondent employee, Christopher Bagley (applicant). The issues presented are: (1) whether the applicant met his burden of proving that his physical injury was caused by unexpected, unusual, or extraordinary stress which was objective and work-related; (2) whether the administrative law judge (AU) failed to make the requisite finding that stress experienced by the applicant was objectively greater than that experienced by his co-workers, i.e., that it was unexpected, unusual or extraordinary; and (3) whether the ALJ erred in refusing to admit the testimony of the applicant’s supervisor and additional lay witnesses appearing on behalf of the petitioner employer, Pima Community College, and petitioner carrier, State Compensation Fund (petitioners). We affirm the award.
The applicant worked for the petitioner employer from September, 1971 until June, 1981 in the Pima Community College Library. The applicant was under the supervision of Shirley Wicklund. The applicant was the only male employee supervised by Ms. Wicklund and according to the applicant, he was singled out for abuse and harassment on the job because of his gender. Specifically, the applicant testified that his supervisor swore and threw things at him. He also testified that the supervisor required him to personally report illness, although she permitted spouses of other employees to report employee illness. Additionally, the applicant testified that he alone was criticized for requesting personal time, taking sick leave, and talking with co-workers.
In 1979, the library employed computerized systems for many jobs previously done manually. The applicant’s job as a bibliographical researcher was eliminated. While other jobs were also eliminated, the applicant was the only employee who was not given a specific area of responsibility. Instead, the applicant filled in for other employees on sick leave or vacation. The applicant testified that the continual switching of jobs within the library prevented him from becoming proficient at the computerized jobs and increased his frustration level. Eventually, the applicant was assigned the responsibility of tracking lost books. Under this new assignment, the applicant’s workload became unpredictable.
During his period of employment, the applicant suffered from heartburn and abdominal problems related to the heartburn. The applicant testified that the frequency and severity of the heartburn became progressively worse. On June 25, 1981, the applicant saw Frederick Allen Klein, M.D., a gastroenterologist. Dr. Klein found a significant esophageal reflux with esophageal spasm. Dr. Klein testified that in a patient with an esophageal reflux, the valve at the lower end of the esophagus malfunctions and allows concentrated hydrochloric acid from the stomach to back up and burn the esophageal lining.
Dr. Klein sent several letters to the applicant’s employer advising that the applicant should not return to work because stressful job conditions were aggravating his physical problems. At the time of the hearing, the applicant had not returned to work since the date of his initial examination by Dr. Klein. In September of 1981, the applicant filed a claim for workmen’s compensation benefits, alleging that work-related stress aggravated his esophageal condition. The AU issued an award granting the applicant benefits. The award was affirmed on administrative review and this special action followed.
The petitioners first argue that the award was erroneous because the ALJ failed to make a requisite finding that the applicant objectively experienced stress greater than that experienced by his coworkers. In particular, the petitioners point to finding number 11, in which the AU stated:
11. The quality of Ms. Wicklund’s supervision, e.g., whether said supervision was good or bad, is not per se at issue herein, and therefore need not and shall not, indirectly or otherwise, be addressed, explicitly or implicitly, herein. Nor does the case at bar, turn upon questions as to whether the applicant’s employment under Ms. Wicklund’s supervision should have substantially contributed to the applicant’s condition in issue, but turns upon questions as to whether said employment did so contribute, irrespective of intent, negligence, et cetera. (By analogy, the culpability of a machine is largely irrelevant to the assessment of the compensability of an injury sustained by an employee who bumps into or otherwise encounters said machine and thereby suffers. (Emphasis in original)
The petitioners argue that in making this finding, the ALJ ignored the issue of whether there was an objective basis for the applicant’s stress and merely considered whether the applicant “did” have a stress reaction.
We agree that an applicant who alleges that his preexisting physical condition was aggravated by industrially-related emotional stress must show that the work which he performed exposed him to stress which was not experienced by his co-workers. In other words, the stress must be “unexpected, unusual or extraordinary.” Sloss v. Industrial Commission, 121 Ariz. 10, 588 P.2d 303 (1978); Archer v. Industrial Commission, 127 Ariz. 199, 619 P.2d 27 (App.1980). Moreover, the test for determining the measure of emotional stress is an objective test and not a subjective one. Archer v. Industrial Commission, supra.
Finding number 11, standing alone, does suggest that the AU erroneously failed to consider whether the stress objectively resulted from the work environment or whether the emotional stress was created by the applicant’s subjective reaction to the job. However, in finding number 13, the ALJ determined:
13. It is found that stress at work experienced by the applicant and referred to hereinabove was unusual ...
We conclude that in finding number 13, the ALJ made an adequate determination that the applicant’s stress resulted from objectively measurable job conditions that exposed him to stress greater than that experienced by his co-workers. This court will sustain that finding if reasonably supported by the evidence. Greenlaw Jewelers v. Industrial Commission, 127 Ariz. 362, 621 P.2d 49 (App.1980).
The petitioners characterize the evidence as indicating that the applicant subjectively reacted to ordinary everyday stress and that his physical problems were not aggravated by unusual or extraordinary stress in his work environment. They suggest that the evidence reveals an employee who could not adapt to automation and therefore could not keep up with other employees; lacked a specific area of responsibility and maintained a light workload; and had a subjective personality conflict with his supervisor. According to the petitioners, the record is simply insufficient to find that the applicant experienced unusual stress which was externally generated.
The applicant testified that he was singled out for abuse and that there was “constant harassment on her part of doing things to me that she wasn’t doing to everybody else.” In contrast, the applicant’s supervisor testified at a continued hearing on March 23, 1982 that she had a “decent relationship” with the applicant; that they “seemed to communicate”; and that she did not believe she harassed the applicant.
As the trier of fact, the ALJ is the judge of witness credibility and has a duty to resolve all conflicts in the evidence and to draw warranted inferences. Royal Globe Insurance Co. v. Industrial Commission, 20 Ariz.App. 432, 513 P.2d 970 (1973). In determining that the applicant was under “unusual” stress, the AU clearly resolved any conflict concerning whether actual disparate treatment of the applicant occurred in favor of the applicant. This conclusion is reasonable under the evidence presented and will not be disturbed. Id.
Moreover, the evidence also supports a finding that the nature of the applicant’s job duties alone provided unusual and extraordinary stress which differed from that experienced by other employees. The applicant testified that he became increasingly frustrated as the only employee who did not have a specific area of responsibility. Because he “filled in” for other employees, the applicant testified that he was constantly forced to learn new jobs without time to become proficient at these jobs.
Ms. Wicklund’s testimony, even if considered by this court, corroborated the applicant’s testimony concerning the frustrating nature of his work. She testified that in addition to these duties, she assigned the applicant the “lost found withdrawn” activities in January of 1981. She further testified that those duties were frustrating and that there was “no control over the amount of that workload. Sometimes it’s heavy; sometimes it’s light. Sometimes it’s massive; and sometimes there is no report to deal with.” We find that the applicant presented sufficient evidence to support a conclusion that the applicant experienced unusual and extraordinary stress in comparison with his co-workers from the alleged disparate treatment or from the inherent nature of his assigned work duties. Finding number 13 is reasonably supported by the evidence.
Finally, the petitioners argue that the AU erred in refusing to admit the testimony of the applicant’s supervisor, Shirley Wicklund, and three additional witnesses, who voluntarily appeared at a further hearing held on March 23, 1982. We first consider whether the AU abused his discretion in excluding the supervisor’s testimony.
The supervisor was timely subpoenaed by the petitioners but failed to appear at the scheduled March 4, 1982 hearing. Counsel for the petitioner State Compensation Fund requested a further hearing due to his witness’ failure to appear. When queried concerning the reasons for her nonappearance, petitioners’ counsel stated his belief that the witness desired to have her attorney present and that the attorney was not available for the hearing. The applicant’s counsel objected to a continued hearing. The AU set a further hearing to clarify the reasons for the witness’ nonappearance and took the applicant’s objection under advisement.
At the March 23rd continued hearing, Ms. Wicklund testified that immediately prior to the hearing she was aware that she was required to attend the March 4th hearing and that she planned to attend. She further testified that on March 3rd, the day before the hearing, Dr. Art Evans of the Pima Community College Personnel Office, informed her that she did not have to appear at the hearing. As a result, Ms. Wick-lund testified, she did not attend the hearing.
After the initial inquiry into the reasons for her failure to appear at the March 4th hearing, the AU took the applicant’s objections under advisement and allowed the witness to testify. In his April 16th award granting benefits, the AU ruled on the objection to the testimony and found in pertinent part:
The reason(s) for the defendant employer’s aforesaid diversion of the witnesses concerned do not appear of record, either in the transcripts or in the defendants’ OFFER OF PROOF ____ It thus appears that “with the exercise of due diligence such ... witness (Ms. Wicklund) could have been produced” at the aforesaid initial hearing. (ICA Rule 56). This conclusion is inescapable vis-a-vis the defendants’ election, unexplained to date (the record is confused and contradictory on point), to prevent the timely appearance in question, notwithstanding ICA instructions contrariwise and defense counsel’s apparent efforts accordingly. (Note is taken that at the aforesaid initial hearing even defense counsel had a mistaken impression as to the aforesaid reasons .... Ergo, the defendants’ request for a continued hearing to hear Ms. Wick-lund’s testimony on the merits of the case at bar is hereby denied).
We find that the record amply supports the AU’s finding that the petitioners prevented the witness’ appearance. Administrative regulation A.C.R.R. R4 — 13-156 provides that the granting of a continued hearing is within the ALJ’s discretion and that a request for a continued hearing may be denied where a witness could have been produced with the exercise of due diligence. Where a party in a workmen’s compensation proceeding acts to divert his own witness without explanation, that party has not demonstrated due diligence in procuring the witness and the ALJ did not abuse his discretion in denying the petitioners’ motion for a continued hearing to take the witness’ testimony.
The petitioners argue that the aforementioned regulation is not applicable because they did not request a “further hearing” to present newly-discovered evidence but merely requested a continued hearing to present their case-in-chief. We find no merit in the distinction drawn by the petitioners. A.C.R.R. R4^13-156 refers to “continued hearing” and “further hearing” interchangeably. The clear import of the regulation is that whenever a party has been afforded an opportunity to present evidence, at a hearing, the holding of any additional hearings is well within the ALJ’s discretion. The petitioners were provided the opportunity of presenting Ms. Wick-lund’s testimony at the hearing. The ALJ was entitled to deny a motion for continued hearing pursuant to the regulation.
Moreover, even if the ALJ erred in denying the motion for continued hearing, the ALJ specifically found in his award that if Ms. Wicklund’s testimony were admitted on the merits, it would support rather than reverse the award. Therefore, any error in excluding the testimony was harmless because it could not have swayed the result. Cf. Gordon v. Industrial Commission, 23 Ariz.App. 457, 533 P.2d 1194 (1975). (This court will not presume the ALJ reached the right result where he erroneously excludes evidence which might have swayed the result.)
With respect to the three additional lay witnesses who appeared at the March 24th hearing, we find that the AU did not abuse his discretion in refusing to allow these witnesses to testify. Counsel for the petitioners argues that he understood that the hearing was to be continued and that he therefore deferred the presentation of his case-in-chief until the March 23rd hearing. The record reveals the petitioners’ position to be without merit.
At the March 4th hearing, the ALJ specifically stated that the only participant at the subsequent hearing would be Ms. Wick-lund. Petitioners’ counsel did not refer to these witnesses at any point in the March 4th hearing, although they were allegedly part of his case-in-chief. Counsel first alerted the ALJ of the possible presentation of additional lay witnesses in a March 16, 1982 letter to the ALJ. Counsel did not send a copy of this letter to the applicant or to the applicant’s counsel.
The record amply supports the AU's finding that the petitioners did not comply with A.C.R.R. R4-13-156. Counsel was required to specifically state the names and addresses of witnesses desired to be produced at a continued hearing pursuant to that regulation. Additionally, the record also supports a finding that the witnesses could have been produced at the initial hearing with the exercise of due diligence. The AU therefore did not abuse his discretion in refusing to permit these witnesses to testify.
The petitioners argue, however, that Garcia v. Industrial Commission, 20 Ariz.App. 243, 511 P.2d 687 (1973), allows the presen tation of witnesses at a hearing who are present and willing to testify. Cases such as E.S. Kelton Contracting Co. v. Industrial Commission, 123 Ariz. 485, 600 P.2d 1117 (App.1979), and Garcia, supra, do hold that a subpoena is not a prerequisite to allowing a voluntary witness to testify. Those cases, however, specifically found that the witnesses who appeared at a scheduled hearing were not “surprise” witnesses.
Here, the petitioners did not inform the ALJ of the additional lay witnesses until the March 16th letter. No copy of the letter was sent to the applicant’s counsel, in direct violation of A.C.R.R. R4 — 13-154, which requires that copies of correspondence directed to the ALJ “concerning a claim pending before him shall be sent contemporaneously to all other interested parties and authorized representatives by the party directing the correspondence” to the ALJ. These witnesses were clearly “surprise” witnesses. We therefore find the rule enunciated in Garcia v. Industrial Commission, supra, to be expressly inapplicable to the situation presented here.
The award is affirmed.
JACOBSON, P.J., and BROOKS, J., concur.
. The applicant contends that he suffered from a physical condition (the esophageal reflux) aggravated by emotional stress, and not from a mental injury, illness or condition. The applicant suggests, however, that A.R.S. § 23-1043.01(B) (Supp.1982) is applicable to his claim. That section provides:
B. A mental injury, illness or condition shall not be considered a personal injury by accident arising out of and in the course of employment and is not compensable pursuant to this chapter unless some unexpected, unusual or extraordinary stress related to the employment or some physical injury related to the employment was a substantial contributing cause of the mental injury, illness or condition.
We find that this section applies only to claims for benefits arising from a “mental injury, illness or condition.” Although the applicant’s condition is aggravated by emotional stress, the illness or condition for which he seeks benefits is physical in nature.
. This court in Bush v. Industrial Commission, 136 Ariz. 525, 667 P.2d 225 (App.1983), overruled Archer v. Industrial Commission to the extent that Archer applied the “unusual or extraordinary” stress criteria to (pre-§ 23-1043.-01) heart condition cases in light of the legislative intent expressed in § 23-1043.01 to preserve the criteria in stress-related mental illness cases and to eliminate the criteria in stress-related heart condition cases.
. Ms. Wicklund’s testimony was ultimately not admitted into evidence. The ALJ found, however, that her testimony, if admitted into evidence, would have supported the decision on the merits.
. A.C.R.R. R4-13-156 provides:
A. The granting of a continuance of a hearing shall be discretionary with the presiding hearing officer.
B. If at the conclusion of a hearing held by a hearing officer, any interested party desires a further hearing for the purpose of introducing further evidence, the party shall state specifically and in detail the nature and substance of the evidence desired to be produced, the names and addresses of the witnesses and the reason why the party was unable to produce such evidence and such witnesses at the time of the hearing. If it appears to the presiding hearing officer that with the exercise of due diligence, such evidence or witness could have been produced, or that such evidence or testimony should be cumulative, immaterial or unnecessary, he may deny the request for a continued hearing. He may, on his own motion, continue a hearing and order such further examinations or investigations, as, in his discretion, appear warranted.
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OPINION
BIRDSALL, Judge.
This case is before us for the second time. In Allen R. Krauss Co. v. Fox, 132 Ariz. 125, 126, 644 P.2d 279, 280 (App.1982), we “reversed and remanded with directions that judgment be entered on Fox’s motion for summary judgment”. After the filing of our mandate in the trial court, that court awarded attorney fees and costs to Fox for the prior trial court proceedings. The original summary judgment in favor of Krauss, which was reversed, included attorney fees and costs for Krauss.
This appeal by Krauss is from the award of attorney fees and costs to Fox. Krauss contends that such an award cannot be made following our mandate. We disagree and affirm. We hold that upon the reversal of a judgment when a mandate issues directing the entry of judgment in favor of the other party, attorney fees, if otherwise allowable by contract or statute, and costs, may be awarded in addition to or as part of the new judgment.
The appellee argues that we recently decided this question in Lang-Lechner Construction, Inc. v. Marshall Foundation, 133 Ariz. 587, 653 P.2d 44 (App.1982). Although we find the reasoning in that opinion controlling, there is a factual difference. The legal services for which those fees were awarded were for post-judgment proceedings prior to the filing of the notice of appeal. A motion for the allowance of those fees was filed, prior to the appeal notice, but since, as it correctly concluded, the trial court had no jurisdiction at that time, it declined to rule on the matter until after our mandate issued which then revest-ed its jurisdiction. The fees which became the subject of the appeal were then ordered.
In the instant case the services performed for which fees were eventually awarded were performed prior to the original judgment. Fox, the trial court defendant, prayed for the fees in her answer, pursuant to A.R.S. § 12-341.01, this being a case arising out of contract. She did not specifically ask for fees (or costs, for that matter) in her cross-motion for summary judgment which the trial court denied. Nevertheless, the trial court could have allowed the fees if it had granted her cross-motion. The only question presented here is whether this award can be made following the mandate.
We perceive no reason why the trial court would have jurisdiction in Lang-Lechner and not have jurisdiction here. Ordinarily, after remand, the trial court has the power to determine attorney fee questions. Acmer Corporation v. State Transport Company, 275 Or. 51, 549 P.2d 1114 (1976); Monroe v. Winn, 19 Wash.2d 462, 142 P.2d 1022 (1943).
We have examined the authorities cited by the appellant and find none of them exactly in point. See American Inv. Co. v. Goodson, 152 Okl. 1267, 4 P.2d 692 (1931) which seems to turn on the question of whether the trial court could award attorney fees as a penalty where not so determined by the appellate court. As the appel-lee argues, if Oklahoma was a jurisdiction which supports the appellant by virtue of that decision, this is no longer true. See Federal Nat. Bank & Trust Co. of Shawnee v. Ryan, 588 P.2d 592 (Okl.App.1978). Another of the appellant’s authorities, Papin v. Papin, 475 S.W.2d 73 (Mo.1972) presented a much different posture — the original judgment was affirmed on appeal. It provided for distribution of trust properties. After the mandate issued the trial court ordered that attorney fees be paid out of that trust corpus, an order clearly in violation of the mandate.
Closest in point is City of St. Charles v. Schroeder, 510 S.W.2d 202 (Mo.App.1974) where intervenors in the trial court proceedings who were successful on appeal in obtaining a reversal of the trial court judgment, moved, after the mandate, for attorney fees for services in the trial court and on appeal. The opinion affirms the trial court’s denial of fees for lack of jurisdiction “because the motion was filed in the trial court after outright reversal by this court.” The opinion seems to require an express direction in the mandate before the trial court on reversal can tax costs or attorney fees. As authority the opinion cites only Papin, supra, and other Missouri decisions. We do not agree that awards of attorney fees or costs in the trial court must depend on express direction therefor in the mandate.
We hold that it was the duty of the trial court on request, properly assumed in this case, to consider whether the appellee was entitled to attorney fees and to include in the judgment such fees and all costs to which she was entitled as the successful party. A.R.S. § 12-341.
Affirmed.
HOWARD, C.J., and HATHAWAY, J., concur.
|
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OPINION
JACOBSON, Chief Judge.
In this consolidated appeal, the court is faced with the proper resolution of an order of this court allowing the appellant to attempt a correction of the record on appeal.
In the appeal entitled Todd v. Todd, 1 CA-CIV 6326, the appellant, Horace E. Todd, Jr., sought to appeal a judgment of the Maricopa County Superior Court entered on October 15,1981, determining that Mr. Todd was in arrearage for the payment to appellee, Frances P. Todd, of her entitlement to a percentage of Mr. Todd’s military retirement pay, which had been awarded to Mrs. Todd under a previous decree of divorce.
The staff of this court, in conducting a jurisdictional check of this appeal, See 1 Arizona Appellate Handbook, § 9.2.4.2 (1983), determined that the last date for filing an appeal from this judgment was November 16, 1981, and that the notice of appeal was stamped as having been filed in the Maricopa County Superior Court on November 17, 1981. Pursuant to court policy, a letter was written to counsel for both parties pointing out the apparent lack of jurisdiction in this court to entertain the appeal in 1 CA-CIV 6326, because of the untimely filing of the notice of appeal. See Rule 9, Arizona Rules of Civil Appellate Procedure; Arizona Department of Economic Security v. Hall, 120 Ariz. 514, 586 P.2d 1326 (App.1978).
The appellant then filed a motion in this court seeking permission to allow the appeal to proceed on the grounds that the stamped filing date on the notice of appeal was in error and that in fact, the notice of appeal had been timely filed in the Marico-pa County Superior Court. By order of this court the motion to permit the appeal to proceed was denied without prejudice. In addition, the appellate proceedings in 1 CA-CIV 6326 were stayed and jurisdiction was revested in the superior court to entertain a motion by the appellant to correct the record on appeal, that is, to determine the correct date of the filing of the notice of appeal. The order authorized the superior court to conduct a factual hearing to determine whether the stamped filing date appearing on the notice of appeal was in error and if the notice of appeal had been timely filed. It further provided for revesting of jurisdiction of the appeal in this court on a date certain, provided for the eventuality of the record on appeal being corrected and further provided that in the event the trial court determined that the notice of appeal was deemed untimely by the trial court, that the appeal in 1 CA-CIV 6326 would be dismissed.
Pursuant to this order, the appellant duly moved the trial court for an order correcting the record on appeal. This matter was heard by the trial court, basically by way of affidavits. The affidavits showed: that the notice of appeal was sent by first class postage by appellant’s counsel in Tucson, Arizona, to the Maricopa County Superior Court in Phoenix, Arizona, on November 6, 1981; that a copy of that notice was sent to appellee’s counsel on the same day and that opposing counsel received his copy on November 9, 1981 (three days after mailing and seven days prior to the expiration of the time to file an appeal); and that accompanying the notice of appeal was a procedural motion which was not ruled on until November 25, 1981. The trial judge who ruled on the procedural motion (a judge other than the one who ruled on the motion to correct the record) was of the opinion, based upon his knowledge of the internal workings of the Maricopa County Superior Court Clerk’s office, that in order for him to rule on the procedural motion on November 25, 1981, that motion would normally have to be filed in the clerk’s office not later than November 14, 1981. In fact, the procedural motion shows a filing date of November 25, 1981, the same date the motion was denied. Based upon this record, the trial judge who heard the motion to correct the record on appeal denied the motion.
Appellant’s response to this denial was twofold. First, he filed a notice of appeal from the denial of his motion to correct the record which subsequently became this court’s cause No. 1 CA-CIV 6589, and, second, he moved to continue the stay in 1 CA-CIV 6326, pending the outcome of the appeal in 1 CA-CIV 6589. Appellant further requested that appeals Nos. 6589 and 6326 be consolidated. There being no response to the motion to stay, this court granted a continued stay of proceedings in 1 CA-CIV 6326, but denied without prejudice the motion to consolidate on the grounds that the appeal in 1 CA-CIV 6589, at the time of the motion, was not at issue, and granted leave to renew the motion to consolidate when both appeals became ripe for disposition. No new motion to consolidate was filed.
In due course, the appeal in 1 CA-CIV 6589 came before the court for disposition without oral argument. The sole issue raised in that appeal was the propriety of the trial court’s denial of appellant’s motion to correct the record on appeal in 1 CA-CIV 6326. In the meantime, because of the court’s previous stay order, the appeal in 1 CA-CIV 6326 has languished. Neither party has taken any further action in connection with either appeal.
Nevertheless, it is the obligation of this court to dispose of the appeals filed in this court, and because the procedural order in question is frequently utilized by this court, the matter may have interest to the bar in general.
1 CA-CIV 6589
The order sought to be appealed in this cause number is an order denying appellant’s motion to correct the record on appeal. In the first instance, the court is required to ascertain its own jurisdiction. In re McCabe’s Estate, 11 Ariz.App. 555, 466 P.2d 774 (1970). Such an inquiry in this case requires a determination of whether the order sought to be appealed is appeala-ble under A.R.S. § 12-2101, the right to appeal being strictly statutory. Sarwark v. Thorneycroft, 123 Ariz. 1, 596 P.2d 1173 (App.1979), approved 123 Ariz. 23, 597 P.2d 9 (1979).
A.R.S. § 12-2101 provides, in the only sections conceivably applicable to the type of order involved here, that an appeal may be taken:
C. From any special order made after final judgment
* * * Sft * *
E. From a final order ... upon a summary application in an action after judgment.
In our opinion, these subsections do not make the order sought to be reviewed here appealable. Both subsections C and E deal with after judgment action by the trial court acting as a trial court. Both subsections affect rights of parties before the trial court, prior to appellate intervention. The order sought to be reviewed is not an order by the trial court acting as a superior court, but rather is merely a procedural device to determine whether an appeal will lie in the appellate court. While the motion is designated as one to correct the record on appeal, it is in actuality a motion to ascertain the jurisdiction of this appellate court. Since the appellate court must determine its own jurisdiction, the superior court, in this instance, acting as a fact finding body, is merely assisting the appellate court in making that factual determination. In this sense, the superior court acts as an arm of the appellate court for the limited purposes of acting as a trier of fact for the appellate court which lacks the facilities to conduct such an evidentiary inquiry. It follows that an order entered by the trial court, when acting in this limited capacity, is, in essence, in the nature of an appellate master’s report and therefore is not “appealable” under A.R.S. § 12-2101 as an order of the superior court.
Hence, the appeal in 1 CA-CIV 6589 must be dismissed for lack of an appealable order.
1 CA-CIV 6326
What we have said concerning the function of the superior court in assisting the appellate court in ascertaining its own jurisdiction under this type of procedural order, does not mean that the “master’s findings” are not reviewable. While the appellate court must have inherent power to call upon other judicial bodies to assist it in its appellate function, the final authority to determine its own jurisdiction rests with the appellate court itself. See In Re Maricopa County Juvenile Action No. J-84536-S, 126 Ariz. 546, 617 P.2d 54 (App.1979). In exercising that authority, the appellate court must of necessity, when called upon to do so, review the decisions of those upon whom it relied in making that determination.
The proper procedure to invoke such a review is to request the appellate court in the form of a motion in that appeal to review the sufficiency or propriety of the fact finding body’s determination. Such a procedure allows the appellate court to resolve all issues dealing with its jurisdiction within the framework of the appeal which triggered the problem.
Since the problem presented here has not been ruled on before and the procedures adopted are newly fashioned to deal with this matter, in the interest of justice we will consider the issues raised in 1 CA-CIV 6589, as being presented to the court in 1 CA-CIV 6326. We therefore reach the merits of whether the trial court’s factual determination that the notice of appeal was untimely filed is supported by the evidence.
While the evidence would support a prima facie showing that the notice of appeal was timely mailed from Tucson, Arizona, there is no evidence to indicate that this mailing was timely received in the Maricopa County Superior Court. The notice of appeal was sent along with a procedural motion which required action by the Maricopa County Superior Court. That procedural order was stamped as having been filed on November 25, 1981, the same date it was ruled upon. Moreover, that procedural motion requested that the time for taking appeal be enlarged (that is, extended beyond the statutory time limits), on the ground that appellant desired to take a special action to the supreme court and wanted the trial court to “stay further appellate pro ceedings.” Under these circumstances, the trial court was left with the dilemma of determining whether the untimely filing (the notice of appeal having been stamped as received by the Maricopa County Superi- or Court Clerk’s office on November 17, 1981), was the result of the inefficiency of the United States mail or the inefficiency of the clerk’s office. There being no evidence either way, the trial court properly determined that the appellant had not sustained his burden of proof that the notice of appeal had been timely received by the clerk’s office in view of positive evidence to the contrary.
This determination is supported by the evidence. Since the timely filing of a notice of appeal is a prerequisite to the exercise of this court’s appellate jurisdiction, Patterson v. Patterson, 102 Ariz. 410, 432 P.2d 143 (1967), we lack jurisdiction in 1 CA-CIV 6326, and the appeal must be dismissed.
In summary, 1 CA-CIV 6589 is dismissed for lack of an appealable order; 1 CA-CIV 6326 is dismissed for lack of jurisdiction.
KLEINSCHMIDT, P.J., and YALE McFATE, Judge, (retired).
Note: The Honorable YALE McFATE, a retired judge of a court of record, was authorized to participate by the Chief Justice of the Arizona Supreme Court pursuant to Ariz. Const, art. VI, § 20.
. The inactivity by the parties in connection with either appeal is understandable in view of the issues raised in the primary appeal, 1 CA-CIV 6326. In that appeal, the husband seeks to overturn a prior divorce granting his former wife a community interest in his military retirement pay, under the authority of McCarty v. McCarty, 453 U.S. 210, 101 S.Ct. 2728, 69 L.Ed.2d 589 (1981). This issue has subsequently been determined adversely to appellant’s position in Rodriguez v. Rodriguez, 133 Ariz. 88, 649 P.2d 291 (App.), aff'd, 133 Ariz. 87, 649 P.2d 290 (1982). Being a loser in that appeal, the issue of whether the record in 1 CA-CIV 6326 is correct, is somewhat academic.
|
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OPINION
JACOBSON, Chief Judge.
The sole issue raised by this review of an award of the Industrial Commission for a noncompensable claim in five consolidated cases is whether five workers injured while going to work in their own transportation were nevertheless in the course and scope of their employment because they were excluded from transportation supplied by the employer.
The claimants in this case were all employed as farm workers by Bruce Church, Inc., and all resided in the area of San Luis, Arizona/Mexico. At the time pertinent here, the claimants were working at a location known as Gila Ranch, a distance of approximately 7 miles from San Luis. At the time of their accident, the claimants and their employer were operating under an expired collective bargaining agreement which all parties agree determines their contractual rights in this dispute. This agreement did not require the employer to furnish transportation to farm workers or to pay travel allowances unless the commute to the initial job site was over forty miles. We therefore reject claimants’ contentions that they were contractually entitled to employer supplied transportation for the commute from San Luis to Gila Farms, a distance of approximately 7 miles.
However, Bruce Church Farms had customarily provided free transportation to all its employees residing in the San Luis area regardless of their ultimate job site destination. As to these claimants there was testimony that they were refused the right to use this customarily provided transportation because of their union activities on behalf of the Farm Workers’ Union. While the administrative law judge notes this testimony, which was contradicted by a representative of the employer, he failed to resolve whether in fact there was a refusal to use the company bus or if so the reasons for the refusal.
In any event, on March 7, Í981, the claimants while commuting from San Luis to the Gila Ranch job site in a car owned and driven by one of them, were injured when hit by another car. While all five claimants filed workers’ compensation claims, Jesus Flores, being uninjured in the accident withdrew his claim.
Both before the Commission and this court the claimants contend that the coming and going rule (which would preclude compensation) is inapplicable to trips to and from the work site in a company supplied conveyance and that although the claimants were injured in a private conveyance they are still within the “employer’s conveyance” exception to the coming and going rule because they were arbitrarily excluded from the customary company supplied bus transportation.
The administrative law judge resolved these issues by finding that under the union contract between the parties, the claimants were not entitled to travel allowances; that the “range of dangers” associated with the employer’s premises were not applicable under these facts; and that no exception to the “coming and going” rule applied in this case and therefore the accident occurring while the claimants were travelling to their work place was not an industrial responsibility.
The general “coming and going” rule is articulated in Butler v. Industrial Commission, 50 Ariz. 516, 73 P.2d 703 (1937):
It is of course the general rule in compensation cases, subject to a few exceptions, that a man does not enter an employment until he reaches the place where the work of his employer is to be carried on, and similarly, when he has finished all the work required by his duties and leaves the place of business of his employer to go to his own home, he has left the employment, and that an accident which may occur to him on his way to or from his work is not in the due course of his employment.
50 Ariz. at 521, 522, 73 P.2d at 705. However, as Butler points out, this rule is subject to exceptions. See 1 A. Larson, The Law of Workmen’s Compensation, §§ 15.-00-17.50 (1982). Each exception has its specific elements and distinct rationale. The elements and rationale of one must not be confused with those of another.
One exception applies to injuries on the employer’s premises. See Pauley v. Industrial Commission, 109 Ariz. 298, 508 P.2d 1160 (1973); 1 A. Larson, supra, at § 15.10. The rationale for this exception is that because the employee is on the employer’s premises, the course of employment includes these employment related risks even though the employee is going to or coming from work. See Pauley v. Industrial Commission, supra; 1 A. Larson, supra, at § 15.15.
The administrative law judge correctly determined that this exception was inapplicable to the present case. It does not follow, as the administrative law judge apparently concluded, that other exceptions depend on the nexus between the employer’s premises and the injury. They do not. For example, if the employer compensates the employee for the time spent traveling to and from work, the employer thereby impliedly agrees that the employment continues while the employee is going and coming. See Serrano v. Industrial Commission, 75 Ariz. 326, 256 P.2d 709 (1953); 1 A. Larson, supra, at § 16.20. Also, if the employer pays a travel allowance or supplies the employee with a vehicle, and if under the totality of the circumstances of the employment the travel to and from work is a substantial part of the service performed, going and coming is within the course of employment. See Strauss v. Industrial Commission, 73 Ariz. 285, 240 P.2d 550 (1952); Fisher Contracting Co. v. Industrial Commission, 27 Ariz.App. 397, 555 P.2d 366 (1976); 1 A. Larson, supra, at § 16.30; but see Brooks v. Industrial Commission, 136 Ariz. 146, 664 P.2d 690 (App.1983).
The employer and carrier deny that an exception to the general rule applies simply because the employer pays a travel allowance or supplies a vehicle to the employee for transportation. This argument again confuses the elements and rationales of different exceptions to the general rule. One exception applies to travel allowances or vehicles supplied to an employee. Its rationale is that under the totality of circumstances the travel to and from work is a substantial part of the service performed. The travel allowance or vehicle is merely evidence of the importance of the travel as part of the service performed. See 1 A. Larson, supra, at § 17.10, at 4-187.
Again we agree that under the circumstances here, the administrative law judge correctly determined that this exception does not apply.
The claimants, however, contend that a separate exception applies to going and coming in a vehicle under the employer’s control. The distinct rationale for this rule is that by taking control of the trip to and from work, the employer has extended the risks of employment and therefore has extended the course of employment. Id., at 4-180, 14-187. Because the employer’s actual control over the employee’s going and coming justifies this exception, it applies both to transportation required by contract and to transportation supplied by custom or usage. Id., § 17.30, at 4-194, 4-199 to -200.
We have discovered no Arizona authority that unequivocally applies the employer’s conveyance exception. One case relies in part on authority recognizing this exception. See J.D. Dutton, Inc. v. Industrial Commission, 120 Ariz. 199, 584 P.2d 1190 (App.1978) (citing 1 A. Larson, supra §§ 17.10, 17.30). But it also relies on and applies the totality of circumstances exception applicable to vehicles supplied to employees. Id., (citing Strauss v. Industrial Commission, supra, and Fisher Contracting Co. v. Industrial Commission, supra.) A separate exception to the general rule for going and coming in a conveyance under the employee’s control is widely recognized. See 1 A. Larson, supra, at § 17.10. We conclude that this exception should apply in Arizona.
Up to this point we have discussed the employer’s conveyance exceptions as if the injuries occurred while using that conveyance, and agree that under these circumstances the exception applies regardless of whether the conveyance is supplied as the result of a contractual obligation of the employment or whether the conveyance is supplied simply as a convenience to the employer or the worker.
. However, in this case the claimants’ injuries occurred not in a conveyance over which the employer exercised control, but rather in a private vehicle over which the claimants exercised control. Nevertheless, the claimants argue that because the employer arbitrarily denied them transportation customarily supplied to other farm workers they were required to use private transportation and the employer should not be relieved from liability because of its arbitrary action. In making this argument, the claimants rely primarily on Wert v. Tropicana Pools, Inc., 286 So.2d 1 (Fla.1973). In that case, the employer was contractually required to provide the employee transportation, but failed to do so. The employee accepted alternative private transportation and was injured. Compensation was allowed for the following reasons:
[WJhile we agree with the finding of the Commission that the ride home accepted by Wert during which the accident occurred was not the actual transportation provided by his employer, we cannot agree with the Commission that the claimant’s injuries did not arise out of and in the course of his employment. Were we to deny compensation for injury under such circumstances, we would be encouraging an employer to deny the responsibility to provide his employees the transportation he has promised them and then be rewarding him by rejecting his liability for injuries arising out of his denial in a situation where the employee reasonably turns to in lieu transportation because of failure of the usual transportation agreed to be provided by the employer.
Wert v. Tropicana Pools, Inc., 286 So.2d at 4.
We have not been directed to, nor has our independent research found, any other case which has applied the employer’s conveyance exception where the injuries were received when not using the employer supplied transportation. However, the rationale of Wert is compelling where the agreement of the employer to supply transportation is a matter of contract between the worker and the employer. By such contractual obligation the employer has agreed to take control of the coming and going to the work site and its breach of that contractual obligation cannot diminish what it contractually agreed would be part of the work environment.
Where the supplying of transportation is not contractually required, but is merely supplied by the employer as a regular practice for its or its employees’ convenience, the rationale of Wert breaks down. Under these circumstances, the employer has not agreed that it will take control (and thus extend its liability) under all circumstances for getting the employees to and from the work site, but rather that it impliedly agrees if the company transportation is utilized that employer control will extend to the use of that means of transportation. While this may necessarily become an implied part of the employment contract, see California Casualty Indem. Exch. v. Industrial Acc. Com., 21 Cal.2d 461, 132 P.2d 815 (1942) such an implied condition of employment may be terminated at will. As stated in Indem. Exch., when the employer supplied transportation to its employees as a convenience to them,
The employer’s right to withdraw the privilege of using the car was merely a right to terminate the contract at will, and was not inconsistent with the existence of the agreement.
21 Cal.2d at 464, 132 P.2d at 817.
Here, there is no contention that Bruce Church’s refusal to allow the claimants to use the company bus was a breach of the contractual agreement between Bruce Church and the farm union. Rather it appears that Bruce Church could withdraw the privilege of allowing workers to use its transportation at will. As to these claimants, that privilege was withdrawn some time prior to the accident for which claimants seek compensation. Since the privilege was withdrawn, the control the employer exercises over the coming and going which is the rationale of the employer conveyance exception, is likewise withdrawn.
We therefore hold that the employer conveyance exception adopted here does not apply to these claimants under the circumstances presented.
Award affirmed.
BROOKS and OGG, JJ., concur.
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OPINION
HOWARD, Chief Judge.
This is an appeal from a defense verdict in a personal injury action in which appellant Joe Blankinship alleged he was assaulted by Gilbert Duarte while Duarte was employed by and acting for and on behalf of Southwest Gas Corporation (Southwest). Appellants contend the trial court erred in the admission of certain evidence and in instructing the jury. We agree and reverse.
Appellants and their family owned a trailer park in Tucson. Pursuant to a request by the Pima County Health Department, Southwest checked the gas lines in the park and found several leaks. Pima County ordered Southwest to disconnect service to the park until appellants had repaired the leaks and had the repairs inspected and approved by the proper authorities.
Appellants subsequently informed Southwest the repairs had been accomplished, inspected and approved by the City of Tucson. Southwest then turned the gas back on. When Southwest found that these representations were untrue it offered to reinspect for leaks and if none were found, permit the system to continue until the appropriate permits and inspections had been obtained from the city. When this offer was refused, Manuel Nagore, superintendent of customer service, together with three other employees of Southwest, including Gilbert Duarte, went to the park to turn off the gas. They were met by a hostile crowd of partially intoxicated and unruly park residents, including Joe Blan-kinship and his brother Bill. Because of the hostility of the crowd from which emanated threats of violence, Nagore called for police assistance. After the police arrived, attempts were made by Duarte to turn off the gas but they failed due to the actions of the crowd. When Duarte made a second attempt to turn off the meter an altercation between him and Joe Blankinship occurred. As a result of the altercation Joe Blankinship claimed that he suffered personal injuries and filed this lawsuit alleging assault and battery by Duarte and negligence on the part of Southwest.
Prior to the commencement of the trial appellants filed a motion in limine requesting the court to preclude appellees from using, for impeachment purposes, the fact that Joe Blankinship had a previous felony conviction for obstructing justice, assault and inciting a riot and a previous misdemeanor conviction for tax evasion (failure to pay city sales taxes). The trial court, after a hearing, denied the motion and the convictions were used at trial.
Appellants contend the trial court erred in allowing the use of the misdemean- or conviction because the probative value was far outweighed by the danger of unfair prejudice. We do not agree. Rule 609(a)(2), Arizona Rules of Evidence, 17A A.R.S., authorizes the admission, for impeachment purposes, of a misdemeanor conviction which involves dishonesty and false statement. A conviction for tax evasion involves dishonesty and false statement. See United States v. Gellman, 677 F.2d 65 (11th Cir.1982); United States v. Klein, 438 F.Supp. 485 (S.D.N.Y.1977). The decision on whether to admit evidence of a prior conviction for impeachment purposes is left to the sound discretion of the trial judge. State v. Noble, 126 Ariz. 41, 612 P.2d 497 (1980). The trial court has wide discretion in deciding whether to exclude evidence of prior convictions because its prejudicial effect is greater than the probativeness on lack of credibility, 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). The trial court did not abuse its discretion in admitting the evidence.
The evidence of the felony conviction presents other problems. Rule 609(b) provides, inter alia:
“Evidence of a conviction under this rule is not admissible if a period of more than ten years has elapsed since the date of the conviction or of the release of the witness from the confinement imposed for that conviction, whichever is the later date, 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.... ” (Emphasis added.)
Rule 609(c) is also relevant to this issue. It provides:
“Evidence of a conviction is not admissible under this rule if (1) the conviction has been the subject of a pardon, annulment, certificate of rehabilitation, or other equivalent procedure based on a finding of the rehabilitation of the person convicted and that person has not been convicted of a subsequent crime which was punishable by death or imprisonment in excess of one year, or (2) the conviction has been the subject of a pardon, annulment, or other equivalent procedure based on a finding of innocence.” (Emphasis added.)
On January 14, 1973, an order was entered by a superior court judge in the felony case pursuant to A.R.S. § 13-1744 (now A.R.S. § 13-907), setting aside Joe Blankinship’s conviction for obstructing jus tice, assault and riot, dismissing the information which had been filed, releasing appellant from all “penalties and disabilities” resulting from the conviction and restoring his civil rights. Appellants contend that this brought into operation Rule 609(c) and that the conviction could not be used against him. We do not agree. Evidence of conviction is inadmissible only if the order was based on a finding of rehabilitation or a finding of innocence. No evidence was introduced to show the basis of the order here. Neither the statute, nor Rule 29.1, Arizona Rules of Criminal Procedure, 17 A.R.S., requires a finding of rehabilitation or innocence as a prerequisite to an order of expungement, so we cannot say that such a finding is necessarily implied in the trial court’s order. Presumably a judge could enter the order as an aid to rehabilitation, which falls short of a finding that rehabilitation has already been accomplished. See United States v. DiNapoli, 557 F.2d 962 (2nd Cir.1977), cert. den. 434 U.S. 858, 98 S.Ct. 181, 54 L.Ed.2d 130.
We do find, however, that the time limits in Rule 609(b) prevented the use of this conviction. The rule puts a ten-year limitation on the use of a conviction unless the court determines in the interest of justice “... that the probative value of the conviction supported by specific facts and circumstances substantially outweighs its prejudicial effect.” Our rules of evidence were adopted from the federal rules. In United States v. Shapiro, 565 F.2d 479 (7th Cir.1977) the court reversed a conviction because of the admission into evidence of a conviction more than ten years old when there were no “exceptional circumstances” which would justify the admission of the convictions. In so doing, it referred to the legislative history of Rule 609(b), observing that the House Committee on the Judiciary made impeachment by evidence of convictions totally inadmissible if more than ten years had elapsed since the date of the conviction or release from confinement. The Senate committee disagreed with this approach and suggested that there might be “exceptional circumstances” under which the conviction might substantially bear on the credibility of the witness. The Senate committee did note, however, that “[i]t is intended that convictions over 10 years old will be admitted very rarely and only in exceptional circumstances.” Notes of the Committee on the Judiciary, Sen.Rep. No. 93-1277, U.S.Code Cong. & Admin.News 1974, pp. 7051, 7062. The Senate version was essentially the version that was eventually adopted.
Not only does the record here not disclose any exceptional circumstances, it shows that the trial court applied improper considerations in deciding the conviction’s admissibility. At the hearing, the attorney for appellees told the court that the conviction should be admitted because one of the major issues was going to be whether Mr. Blankinship was assaulted or whether he was the assailant and that there were going to be police officers who were going to testify that they saw Mr. Blankinship assault Mr. Duarte. Indeed, the evidence at trial disclosed that two police officers and Mr. Nagore saw Mr. Blankinship assault Mr. Duarte. On the other side, Mr. Blankinship introduced several witnesses who testified that they saw Mr. Duarte make an unprovoked attack with a pipe wrench or crescent wrench on Mr. Blankinship. Neither the credibility of Mr. Blankinship nor the credibility of Mr. Duarte was crucial to this case since there were eyewitnesses on both sides. What is worse is that the court, in denying the motion in limine, stated:
“I think, although your point is well taken, I think that because of the similarity of the crime that he was convicted of what is alleged in this case, there has some probative value, and that the probative value outweighs the prejudice to the defendant.”
It is evident that the trial court lost sight of the purpose for admitting a conviction under Rule 609. If admissible it was not admissible substantively to prove that he was the assailant in this case, but was admissible on the issue of his truthfulness. As observed by the court in United States v. Shapiro, supra:
“In exercising his discretion on admission of such evidence, the trial judge must consider several factors, most importantly the danger of unfair prejudice. When the prior conviction and the charged act are of a similar nature, the danger increases. The jury is more likely to misuse the evidence for purposes other than impeachment, that is, to regard the prior convictions as evidence of a propensity to commit crime or of guilt, despite instructions to the contrary, [citations omitted.]” 565 F.2d at 481.
Not only did the trial court misconceive the basis for the introduction of such evidence, but the attorney for appellees, without objection on appellants’ part, misused this evidence in his closing argument when he said:
“But the fact of the matter is he’s a convicted felon and he was convicted for inciting a riot. And the particular incident that we’re discussion [sic] in this case is a situation that’s very close to a riot.
And I don’t say that that means automatically he’s guilty and that if a man admits a felony act that he should be branded for his whole life.
But I suggest to you it is something that you have a right to consider and it is something you should consider and it’s something you have an obligation to consider and it’s something that has a place in this case.”
There can be no doubt that the admission of this felony conviction was reversible error in this case. Appellees argue that this error was waived because appellants did not object to the testimony when it was offered at trial. We do not agree. A properly made motion in limine will preserve appellants’ objection on appeal without need for further objection if it contains specific grounds for the objection. State v. Briggs, 112 Ariz. 379, 542 P.2d 804 (1975). The motion in limine here was properly made and specific in its grounds for objection. But this was not the only error in the case.
During the trial appellants moved in limine to exclude evidence that Gilbert Duarte was a peaceful man. Appellees convinced the trial court that since there was a question as to who was the aggressor in this case, such evidence was admissible. While such evidence was once admissible in Arizona in a civil case, see Mong Ming Club v. Tang, 77 Ariz. 63, 266 P.2d 1091 (1954), it is not now.
Our Rule 404(a), Arizona Rules of Evidence, 17A A.R.S., states:
“Character evidence generally. Evidence of a person’s character or a trait of his character is not admissible for the purpose of proving that he acted in conformity therewith on a particular occasion, except:
(1) Character of accused. Evidence of a pertinent trait of his character offered by an accused, or by the prosecution to rebut the same;
(2) Character of victim. Evidence of a pertinent trait of character of the victim of the crime offered by an accused, or by the prosecution to rebut the same, or evidence of a character trait of peacefulness of the victim offered by the prosecution in a homicide case to rebut evidence that the victim was the first aggressor;
As can be seen from the language itself, the rule only applies in criminal cases. This was observed in M. Udall & J. Livermore, Law of Evidence § 83, at 170 (2d ed. 1982): “With the exception of credibility rules discussed elsewhere, Rule 404 makes clear that circumstantial use of character is permissible only in criminal cases.... ” (Footnotes omitted.) And in footnote 6 at 170 the authors state: "... The rule of Mong Ming Club v. Tang [citation omitted], allowing proof of the character of the victim in a civil assault suit in support of a self-defense claim apparently does not survive the enactment of the rules of evidence.... ” See also, 2 Weinstein’s Evidence ¶404[03], at 404-20.
The trial court erred in denying the motion in limine and allowing evidence from three witnesses as to Mr. Duarte’s peaceful nature. Appellees argue that the error was waived because Blankinship introduced evidence of his own peaceful character. We do not agree. He only did so after the trial court denied his motion in limine. Appel-lees also make the same argument as they did before that the error was not preserved because no objection was made when the evidence was offered. For the reasons we gave previously, there was no waiver of the error.
The next error that occurred in this case was in instructing the jury on assumption of risk over appellant’s objection. Generally, assumption of risk is not a defense to the intentional tort of assault and battery. Navarre v. Ostdiek, 518 P.2d 1362 (Colo.App.1973). The doctrine has been applied in rare situations, for example, in Burrows v. Hawaiian Trust Co., 49 Haw. 351, 417 P.2d 816 (1966) where a private duty registered nurse sued an alcoholic patient who, during a bout of delirium tremens, hit her on the head with a lamp, and in Longo v. Tabasso, 62 Abs. 199, 106 N.E.2d 587 (Ohio App.1951), where the plaintiff had voluntarily tried to break up a fight.
Here, Blankinship’s witnesses, who were either his friends or tenants of the trailer park, testified that Duarte for no reason whatsoever attacked Blankinship. Appellees’ witnesses, including two policemen, testified that when Duarte went to turn off the gas he was attacked by Blankinship. The defense of assumption of risk presumes that Duarte was the aggressor, thus cloaking Blankinship with the privilege of self-defense. Therefore, the contention that Blankinship assumed the consequences of the battle is nonsense. See Jelly v. Dabney, 581 P.2d 622 (Wyo.1978). Appellees argue that Blankinship assumed the risk because the situation was so volatile and the scene so charged with emotion that he should have known violence would erupt. We do not agree. A general knowledge of the “danger” is not sufficient, but rather, the plaintiff must have actual knowledge of the specific risk which injured him and appreciate its magnitude. Garcia v. City of South Tucson, 131 Ariz. 315, 640 P.2d 1117 (App.1981). The specific risk here was the risk of Duarte attacking Blankinship. There was absolutely no evidence that Blankinship knew that Duarte might attack him.
Appellees contend that appellants waived the right of appellate review of the instruction on assumption of risk because they failed to move for a new trial. We do not agree. An appellant who desires a review of the legality of the instructions given need not move for a new trial. Lewis v. Southern Pacific Co., 105 Ariz. 582, 469 P.2d 67 (1970).
Appellants contend the trial court erred in allowing, over their objection, evidence of Duarte’s truthful character. We do not agree. Rule 608, Arizona Rules of Evidence, 17A A.R.S., permits the introduction of such testimony after the character of the witness for truthfulness has been attacked by opinion or reputation evidence or otherwise. The record shows that appellants attacked Duarte’s character during Duarte’s cross-examination.
Appellants also contend that the trial court placed undue emphasis on the credibility of the witnesses when it gave eight instructions concerning the credibility of witnesses. We need not decide this issue in view of our disposition of this case but only point out that one instruction on the credibility of the witnesses would have been enough.
Reversed.
HATHAWAY and BIRDSALL, JJ., concur.
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OPINION
GRANT, Judge.
This is an appeal from a sentence on a conviction for three counts of aggravated assault. We find that the trial court properly imposed restitution to the Yavapai County Sheriff’s Office for appellant’s medical bills as a condition of probation and therefore affirm the sentence.
On August 4, 1981, appellant’s girl friend attempted to remove her belongings from their trailer. Initially appellant did not allow her to remove her possessions. When she later returned to the trailer with a police officer, appellant refused to admit them. Appellant threatened to commit suicide, as well as physical injury to anyone who attempted to enter the trailer.
The County Sheriff was dispatched to the scene. Officer Garrison attempted to talk to appellant through a window of the trailer. Appellant became very agitated and kicked out the window. Throughout the day, appellant made several telephone calls indicating that he would attempt suicide. At approximately eight o’clock that evening, Officers Smith and Villareal, believing that appellant was about to commit suicide, entered the trailer through the back door.
Appellant heard the officers enter and charged at them with hunting knives in each hand. Officer Smith ducked into the bathroom and closed the door. Appellant struck the bathroom door with one of the hunting knives, and then turned and rushed at Officer Villareal. The officer shot appellant three times in the stomach. One of the' bullets exited appellant’s body, went through the bathroom door and struck Officer Smith.
Appellant was rushed to Yavapai Community Hospital where he was treated for gunshot wounds. Because appellant was in the custody of the Sheriff’s Office while receiving medical treatment, the Sheriff’s Office assumed responsibility for paying his medical bills.
Appellant recovered and entered into a plea agreement in which he pled no contest to three counts of aggravated assault, class 6 nondangerous felonies. Appellant was placed on probation for a period of three years. As one of the conditions for probation, appellant was ordered to pay restitution in the amount of $10,649.92, payable in 30 months. This amount covered damage to the trailer, medical expenses of the police officer, and appellant’s medical expenses which were paid for by Yavapai County.
On appeal, appellant argues that the trial court improperly imposed as a condition of probation that he be required to reimburse the Yavapai County Sheriff’s Office for his medical bills. Appellant argues that he never admitted liability for those expenses and that Yavapai County was not a “victim” of the crime within the meaning of A.R.S. § 13-901(A).
Before considering the merits of appellant’s argument, we will first address the state’s argument that appellant has waived his right to challenge the imposition of the condition by failing to raise this issue when sentence was imposed. The state points out that appellant did not object at the time of sentencing to the imposition of this condition, that appellant signed the terms and conditions of probation on February 1,1982, and that not until February 25, 1982, when he filed a motion for modification of conditions of probation did appellant challenge the trial court’s authority to impose the contested condition. The state argues that the appropriate time to consider any objections which a defendant might have to the terms of his probation is the time of imposition of those terms. State v. Mears, 134 Ariz. 95, 654 P.2d 29 (App.1982); State v. Smith, 129 Ariz. 28, 628 P.2d 65 (App.1981).
The case at bar is distinguishable from those cited by the state, however, in that here appellant filed a timely motion for modification of conditions of probation pursuant to rule 27.2, Arizona Rules of Criminal Procedure. Thus, the trial court was given “an opportunity to consider alternatives in the sentencing” as well as to correct any alleged errors. State v. Mears, supra, 134 Ariz. at 97, 654 P.2d at 31. See State v. Smith, supra. We find that appellant has not waived his objection to the terms of probation. We will therefore discuss the merits of his objection.
A.R.S. § 13-901(A) requires the sentencing court to “order restitution pursuant to § 13-603, subsection C where there is a victim who has suffered economic loss.” A.R.S. § 13-603(C) provides as follows:
If the court imposes probation it may also impose a fine as authorized by Chapter 8 of this title and shall require the convicted person to make restitution to the victim of the crime in such amount and manner as the court may order, after consideration of the economic loss to the victim and economic circumstances of the convicted person.
The term “victim” is defined by A.R.S. § 13^4201(4) as follows:
“Victim” means any person, including the surviving dependent of a person, who has suffered physical injury or pecuniary loss resulting from the crime of the accused.
“Person” is defined in A.R.S. § 13-105(21) as follows:
“Person” means a human being and, as the context requires, an enterprise, a pub- lie or private corporation, an unincorporated association, a partnership, a firm, a society, a government or a governmental authority.
Appellant admits that A.R.S. § 13-603(C) is susceptible to a broad interpretation pursuant to which any amount could be ordered to be paid as restitution. He urges, however, that a narrow interpretation of the statute would be more appropriate under the existing Arizona case law. Appellant argues that the issue of whether he owes payment for the medical bills is entirely separate from the issue of whether he is guilty of aggravated assault. He argues that the Sheriff’s Office may have a civil claim to recover the medical bills but that the bills should not be considered in the criminal setting. Appellant asserts that he has lost several of the due process rights which would have been available to him in a civil trial. To allow the trial courts to impose restitution for civil matters, argues appellant, would make the court a collection agency in violation of State v. Garner, 115 Ariz. 579, 566 P.2d 1055 (App.1977).
In support of a narrow interpretation of our statute, appellant cites Oregon case law interpreting a similar Oregon statute. In State v. Stalheim, 275 Or. 683, 552 P.2d 829 (1976), the court narrowly construed the term “aggrieved party” to be the direct victim of a crime and not other persons who suffer losses because of the victim’s death or injury. State v. Dillon, 51 Or.App. 729, 626 P.2d 959 (1980) modified on appeal, 292 Or. 172, 637 P.2d 602 (1981), is a case which is factually similar to the case at bar in that the defendant was ordered to reimburse a state agency for his own hospital bills arising out of his criminal activity as a condition of probation. The Oregon Court of Appeals found the condition to be improper, stating:
The requisite relationship between the numerous crimes for which defendant was convicted and his liability for the medical expenses incurred because of his injury is missing. Defendant would have been convicted had he not been shot. The fact that he was shot does not increase his liability for his criminal conduct. It would be quite possible for defendant to be guilty of these crimes, and yet not be liable for the medical expenses. In a civil trial he could very well have defenses available to him which would have been irrelevant to the criminal charges.
51 Or.App. at 733, 626 P.2d at 963.
In contrast to the narrow interpretation given by the Oregon courts to its restitution statute, the courts in this state have given a broad interpretation to our restitution statutes. See State v. Merrill, 136 Ariz. 300, 665 P.2d 1022 (App.1983); State v. Balsam, 130 Ariz. 452, 636 P.2d 1234 (App.1981); State v. Smith, supra. Appellate courts will not interfere with the trial court’s exercise of discretion in the formulation of the terms and conditions of probation unless they violate fundamental rights or bear no reasonable relationship to the purposes of probation. State v. Cummings, 120 Ariz. 69, 583 P.2d 1389 (App.1978); State v. Smith, supra.
In State v. Merrill, supra, this court examined A.R.S. § 13-603(C) to determine if “victim” within the meaning of the statute included an insurance company. We determined that the legislature intended that the statute be given a broad interpretation so as to enhance the rehabilitation purposes of probation. See Shenah v. Henderson, 106 Ariz. 399, 476 P.2d 854 (1970) (upholding restitution to a third party as a condition of probation before enactment of the restitution statute). Thus, restitution to an insurance company as a condition of probation was held to be proper.
In the case at bar, the trial court’s order of restitution to Yavapai County for expenses incurred for appellant’s own medical expenses will promote the rehabilitation purposes of probation by impressing upon appellant the specific consequences of his criminal activity and force him to accept responsibility for these consequences. See State v. Merrill.
Appellant’s reliance upon State v. Mon-ick, 125 Ariz. 593, 611 P.2d 946 (App.1980) and State v. Reese, 124 Ariz. 212, 603 P.2d 104 (App.1979) is misplaced. In those cases, orders of restitution to victims of unrelated crimes to which the defendants had not admitted guilt, been adjudged guilty, nor agreed to pay such restitution, were determined to be improper. The condition imposed in the present case was based upon an adjudication of guilt.
For the foregoing reasons, the sentence is affirmed.
GREER and JACOBSON, JJ., concur.
. Or.Rev.Stat. § 137.540(10) authorizes a sentencing court to require as a condition of probation that the defendant shall:
Make reparation or restitution to the aggrieved party for the damage or loss caused by [the] offense, in an amount to be determined by the court.
|
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OPINION
HOWARD, Chief Judge.
This is an appeal from a dissolution of marriage. The wife, Lynn Rubenstein, is a United States citizen and the husband, Amit Sela, is an Israeli. They met in Israel when Lynn was in that country as a student. Amit accompanied Lynn when she returned to the United States and they were married in Minneapolis in December 1978.
The parties bought a house in Tucson in August 1979, taking title as joint tenants. In August 1980 they contacted an attorney, Harold Metcalf, to prepare papers for Lynn to transfer to Amit all her interest in their house and an extensive list of personal property. Lynn testified that this decision was prompted by marital difficulties. Amit had told her he would feel more secure if he had control of the property. She also testified that he had said he would leave her if she did not give him the property.
Mr. Metcalf agreed to represent Lynn, and suggested that Amit obtain a separate attorney. He testified at the hearing below that his first concern was to ascertain that Lynn was not being coerced. After determining to his own satisfaction that she understood the nature and consequences of her decision and was not under duress, his next concern was to accomplish what she had requested. Because he thought the transfer might not be valid for want of consideration, he suggested that the parties execute mutual wills.
On September 12, 1980, Amit and Lynn each executed a will naming the other as sole beneficiary. Amit’s will provided that he would not amend or revoke it. They also executed an agreement in which Lynn agreed to convey to Amit all her right, title and interest in their house and in certain personal property, the list of which was attached to the agreement. The agreement also provided that Amit agreed not to revoke his will leaving the conveyed property to Lynn. In addition, Lynn signed a quitclaim deed for their house.
On May 15,1981, Lynn filed a petition for dissolution of the marriage. After a hearing, the court commissioner ruled that the agreement and the quitclaim deed were null and void because the consideration was illusory. He ordered that the house be sold and the proceeds divided between the parties and granted Lynn a $20,808 lien on Amit’s interest in the house, to compensate her for the unequal division of personal property.
The court below erred in declaring the agreement and the quitclaim deed null and void. While lack of consideration is a valid defense in an action to enforce a contract, the courts will not undo a contract that has already been performed. As the court stated in Charles F. Curry and Co. v. Hedrick, 378 S.W.2d 522 (Mo.1964):
“ ‘If one makes an executory contract which lacks a consideration, he may avoid it when called upon for performance. But if he chooses to execute the contract by performance, there is nothing to hinder his doing so, and he cannot turn around and seek to undo his voluntary act.’ ” 378 S.W.2d at 533, quoting Sooy v. Winter, 188 Mo.App. 150, 175 S.W. 132, 134 (1915).
See also, Oehler v. Hoffman, 253 Iowa 631, 113 N.W.2d 254 (1962); Dale System, Inc. v. American Fixture, Inc., 40 Misc.2d 844, 243 N.Y.S.2d 753 (Civ.Ct.N.Y.1963).
This rule has been applied in Arizona to deeds. In re McDonnell’s Estate, 65 Ariz. 248, 179 P.2d 238 (1947) provides: “Being a validly drawn and acknowledged deed and being duly delivered, we hold that want of consideration by itself is not enough to make it inoperative.” 65 Ariz. at 251, 179 P.2d 238.
Lynn testified that she did not intend to give the property to Amit permanently, but had expected him to return her share after he felt more secure. While the recitals in a deed do not preclude a court from looking behind the deed to determine true ownership, Bourne v. Lord, 19 Ariz. App. 228, 506 P.2d 268 (1973), here, Lynn not only signed the deed, but also signed the agreement clearly stating her intent to transfer her interest in the property to Amit. Any parol evidence that she did not in fact intend such a transfer is inadmissible to contradict the unambiguous language of the agreement. Pinnacle Peak Developers v. TRW Investment Corp., 129 Ariz. 385, 631 P.2d 540 (App.1980).
Lynn also contends that the agreement was void because of duress. The portions of her testimony she cites to support this argument all concern her fear, and Amit’s threat, that he would leave her if she did not give him the property. This is not the sort of conduct that constitutes duress so as to render a contract void.
In Dunbar v. Dunbar, 102 Ariz. 352, 429 P.2d 949 (1967), the court upheld a reconciliation agreement between a husband and wife wherein all the property of the parties was agreed to be community property and the parties agreed to resume marital relations. The court stated:
“The test of what act or threat constitutes duress is determined by considering whether the threat placed the party entering into the transaction in such fear as to preclude the exercise by him of free will and judgment.... By definition, an act or threat to constitute duress must be ‘wrongful’.” 102 Ariz. at 355-356, 429 P.2d 949.
The court found that the only basis for the husband’s claim of duress was that he did not want a broken home. Since the wife had a right to leave the marriage, there were no wrongful threats or actions.
The facts here are nearly identical. Amit was not acting wrongfully in threatening to leave the marriage. If Lynn felt compelled to accede to his wishes, it shows she had a motive to execute the agreement and deed willingly. While the result in this case is harsh, the courts cannot protect a party from the consequences of his own voluntary and informed actions.
Amit raises other issues in his appeal: That the court erred in valuing the personal property awarded to each party; that he was not credited with payments made on behalf of the community; and that the decree failed to equitably divide the parties’ continuing debts. In light of our decision on the first issue, the remaining issues are now moot.
It is necessary to remand this case for a determination of the parties’ rights under the agreement. We note that Lynn may be entitled to reimbursement for payments made out of the community property or her separate property for the benefit of Amit’s separate property. Tester v. Tester, 123 Ariz. 41, 597 P.2d 194 (App.1979).
Reversed and remanded.
HATHAWAY and BIRDSALL, JJ., concur.
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GORDON, Chief Justice.
Defendant, Stella Garza Rodriguez, petitions for review of the court of appeals decision affirming her conviction for armed robbery pursuant to A.R.S. § 13-1904. We have jurisdiction under Ariz. Const, art. 6, § 5(3) and A.R.S. § 12-120.24. We granted review to consider whether, under A.R.S. § 13-1904, an armed robbery conviction may be sustained if one committing a robbery threatens to use a weapon but no evidence is offered that a deadly weapon, dangerous instrument, or simulated deadly weapon was present. We conclude that such a conviction may not be sustained.
FACTS AND PROCEDURAL HISTORY
Defendant was charged by indictment with two counts of armed robbery. Each count alleged that defendant committed the robberies while armed with a simulated deadly weapon, in violation of A.R.S. § 13-1904(A), the armed robbery statute.
The evidence adduced at trial showed that in the early morning hours of February 23, 1988, defendant and two others drove to a self-service gas station in Tucson. Defendant exited the automobile and walked to the cashier’s booth. Defendant approached the counter and, keeping her right hand out of sight, told the cashier to give her all of his money. Initially, the cashier smiled in disbelief but, after defendant said she was serious and would “shoot the smile off” his face, he gave her about $40 and ten cartons of cigarettes. Defendant instructed the cashier to lie down and then fled. The cashier testified that, although defendant implied she had a gun, he never saw her right hand nor did she make any movements indicating she had a gun.
Defendant and her two friends then proceeded to an all-night convenience store a short distance from the gas station. Defendant approached the clerk and told him to give her his money. After the clerk challenged defendant’s authority to take the money, defendant stated she had a gun. The clerk then said: “I don’t see a gun. If you’ve got one, show the darn thing.” The clerk testified that defendant began moving her hands back and forth under the serape she was wearing. The clerk then said: “Well, never mind, don’t get excited before you start shooting.” The clerk then placed about $30 on the counter; defendant walked forward, scooped up the money and left. The clerk could not recall if he saw both hands at the same time.
At the close of the State’s case-in-chief, defendant moved for a directed verdict of acquittal on the armed robbery charges pursuant to Rule 20, Arizona Rules of Criminal Procedure. Defendant argued that the State failed to produce substantial evidence to warrant a conviction under the indicted charges. According to defendant, the armed robbery statute requires at least some simulation of a deadly weapon; use of mere words, such as “I have a gun,” or shuffling hands under a serape, is insufficient simulation. The State argued that the armed robbery statute only requires a threat to use a deadly weapon. The State asserted that the statutory requirements were met in the first incident when defendant stated she would “shoot the smile off” the clerk’s face and in the second incident when she told the victim she had a gun while moving her hands under the serape.
The trial court denied the Rule 20 motion and submitted both counts to the jury. The jury found defendant guilty of armed robbery of the first victim, but guilty of only simple robbery of the second victim.
Defendant filed a timely appeal, contending insufficient evidence was presented to sustain the conviction for armed robbery. The court of appeals disagreed and af firmed, stating that a plain reading of the statute leads to the conclusion that “[t]here is no requirement that a weapon or simulated weapon be actually present at the time of the offense.” 162 Ariz. 606, 785 P.2d 126 (App.1989). The court of appeals found that defendant’s threat to shoot the victim satisfied the elements of armed robbery set forth in A.R.S. § 13-1904(A), which reads:
A person commits armed robbery if, in the course of committing robbery as defined in § 13-1902, such person or an accomplice:
1. Is armed with a deadly weapon or a simulated deadly weapon; or
2. Uses or threatens to use a deadly weapon or dangerous instrument or a simulated deadly weapon.
Defendant petitioned for review from the court of appeals decision. We granted review pursuant to Rule 31.19, Arizona Rules of Criminal Procedure.
DISCUSSION
This case requires us to interpret the meaning of the phrase “threatens to use” within the context of the armed robbery statute. The court of appeals affirmed the conviction in this case based on its interpretation of the “plain meaning” of the statute. We do not think this statute is so easily interpreted.
In prior decisions, this Court and the court of appeals interpreted an earlier version of the armed robbery statute to require the actual presence of a weapon. See State v. Franklin, 130 Ariz. 291, 635 P.2d 1213 (1981) (concurring with the court of appeals interpretation in State v. Laughter, 128 Ariz. 264, 625 P.2d 327 (App.1981)). In 1983, however, the legislature modified the armed robbery statute. The basic question before us then is what effect the 1983 statutory modification had on the required elements of the crime of armed robbery. To answer this question, we must once again examine the history of the robbery statute and determine whether the legislature, in fact, changed the meaning of the phrase “threatens to use” when it modified the statute in 1983.
1977 Robbery Statute
In 1975, the Arizona Criminal Code Commission filed a report in which it proposed a three-tiered classification for robbery. The legislature subsequently enacted this proposed code with some modification in 1977. One of the modifications, the legislature’s decision to not enact the recommended elements for aggravated robbery in their entirety, affects the interpretation of legislative intent with respect to the armed robbery statute.
As first enacted in 1977, the armed robbery classification provided:
A. A person commits armed robbery if in the course of committing robbery as defined in section 13 — 190[1], such person or an accomplice:
1. is armed with a deadly weapon; or
2. uses or threatens to use a deadly weapon or dangerous instrument.
B. For the purposes of this chapter, exhibition in the course of committing armed robbery of an article fashioned or used in a manner to lead any reasonable person to believe it to be deadly or dangerous is presumed evidence of its deadly or dangerous character.
Added by Laws 1977, ch. 142, § 73, eff. Oct. 1, 1978. The comments to this section explain that the actual presence of either a deadly weapon or dangerous instrument was a necessary element of the crime of armed robbery.
The report distinguished the various acts or circumstances comprising the armed robbery classification. In addition, the comments explained the term “threatens to use” within the context of the revised code. By way of illustration, the comments clarified that the threat to use a nonexistent pocketknife (a dangerous instrument under the term’s definition) fell under aggravated robbery. The threat to use a concealed, present pocketknife, on the other hand, fell under armed robbery because the knife’s actual presence gave rise to the greater penalty. Arizona Criminal Code Commission, Comment to Proposed Arizona Revised Criminal Code 189 (1975) (hereafter Code Commission Report).
In addition to the aggravated robbery element of commission of the robbery with the aid of an accomplice, the Commission recommended a second aggravating circumstance when the robbery was committed by a person representing “by word or gesture that he or she or an accomplice is armed with a deadly weapon or dangerous instrument.” Code Commission Report at 186. The Commission noted:
The second aggravating circumstance ... covers two forms of dangerous conduct: the representation of a nonpresent deadly weapon or instrument, ... or the exhibition of a dummy weapon. Both merit more severe treatment because of the greater recourse to violence.
Id. at 188 (emphasis added). Robberies involving asserted but nonpresent weapons, therefore, were relegated to the lesser offense of aggravated robbery.
In adopting the statute in 1977, however, the legislature deleted the second aggravating circumstance. R. Gerber, Criminal Law of Arizona 273 (1978). Given the legislative record and the rationale behind the separate categories of the crime of robbery, this Court and the court of appeals interpreted the legislature’s decision as one indicating that verbal threats to use nonpresent deadly weapons and the use of present “dummy” or simulated weapons fell under the simple robbery statute. State v. Franklin, 130 Ariz. 291, 292, 635 P.2d 1213, 1214 (1981); State v. Laughter, 128 Ariz. 264, 267, 625 P.2d 327, 330 (App. 1981).
In State v. Laughter, the court of appeals interpreted the former version of the armed robbery statute as requiring the actual presence of a deadly weapon or dangerous instrument. The court found that the crime of armed robbery “is not satisfied by the defendant pretending to have a gun or even using a fake gun.” 128 Ariz. at 267, 625 P.2d at 330. The court also noted that culpability was not based on the victim’s belief, reasonable or otherwise, that a weapon was present. Id.
This Court agreed with the court of appeals’ interpretation of the statute in State v. Franklin, 130 Ariz. at 292, 635 P.2d at 1214. Examining the rationale underlying the gradation of the crime, we said that where no weapon is actually present, the reason for the classification as armed robbery no longer exists; “the robber with the ... toy gun [or with the hand in the pocket simulating a gun] is not nice ... but he is not the dangerous type for whom the greater penalty is reserved.” Id. at 293, 635 P.2d at 1215 (quoting W. LaFave and A. Scott, Handbook on Criminal Law, § 94, at 703 n. 67 (1972)).
1983 Statutory Modification
In 1983, the legislature amended the armed robbery statute, adding the words “or simulated deadly weapon” to A.R.S. § 13-1904(A)(1), (2). In addition, the legislature deleted the evidentiary presumption created by former A.R.S. § 13-1904(B), which treated any article fashioned or used in a deadly or dangerous manner as deadly or dangerous until proven otherwise. See State v. Franklin, 130 Ariz. 291, 293, 635 P.2d 1213, 1215 (1981); see also Code Commission Report at 186 (comments to proposed sub-section B). In this case, the State argues that the legislature also intended to modify the law, which previously required the actual presence of a weapon, to include verbal representation of the presence of a weapon within the scope of the phrase “or a simulated deadly weapon.” Based on our review of the original enactment and the policies underlying gra dation of the crime of robbery, we must disagree with the State’s interpretation.
We presume that the legislature knows the existing laws when it enacts or modifies a statute. Daou v. Harris, 139 Ariz. 353, 357, 678 P.2d 934, 938 (1984). Additionally, we presume that by amending a statute, the legislature intends to change the existing law. McCleod v. Chilton, 132 Ariz. 9, 16, 643 P.2d 712, 719 (App.1981). Applying these principles and comparing the former and modified statutory language leads us to conclude that the 1983 statutory modification, at a minimum, changed the armed robbery statute by elevating the former evidentiary presumption regarding articles fashioned or used like deadly weapons to an element of the crime of armed robbery. A person charged with armed robbery, therefore, can no longer overcome the presumption in favor of the State with proof that the article involved in the robbery was unloaded, unworkable, or a fake.
We must next determine whether, in addition to elevating the former presumption, the legislature also intended to change the requirement that the robbery be committed with an actually present weapon. To assist in this determination, we consider the policies underlying the armed robbery statute as originally enacted and the entire system of related statutes. See, e.g., State v. Sweet, 143 Ariz. 266, 270, 693 P.2d 921, 925 (1985) (when determining legislative intent, court may consider both prior and subsequent statutes in pari materia).
Unless some physical act, including a verbal threat, was used to coerce the surrender of property, a person can only be found guilty of theft. See State v. Bishop, 144 Ariz. 521, 524, 698 P.2d 1240, 1243 (1985). Once force or a threat of imminent physical injury sufficient to overpower the party robbed is used, the crime becomes simple robbery. A.R.S. §§ 13-1901(4) and -1902(A); see Bishop, 144 Ariz. at 524, 698 P.2d at 1243; State v. Yarbrough, 131 Ariz. 70, 73, 638 P.2d 737, 740 (App.1981). Something even more in the way of dangerousness is needed to elevate the crime from simple robbery to a greater felony. 2 W.
LaPave and A. Scott, Substantive Criminal Law, § 8.11, at 456 (1986). For example, aggravated robbery, one committed with the aid of an accomplice, is deemed an intermediate offense because it “reflects greater planning and a greater readiness for violence than appears in a solo performance.” R. Gerber, Criminal Law of Arizona 274 (1978).
Within the armed robbery statute, several variable elements call for heightened punishment if the circumstances exist at the time of the robbery. The element of “uses a deadly weapon or dangerous instrument” in A.R.S. § 13-1904(A)(2), for example, is self-defining and reflects the legislature’s determination that those who use deadly weapons or dangerous instruments deserve a greater punishment.
The A.R.S. § 13-1904(A)(1) elements of “armed with a deadly weapon” or “armed with a simulated weapon” are satisfied if the State establishes that such an instrument was within the immediate possession or available for use of the accused. See State v. Barnett, 111 Ariz. 391, 393, 531 P.2d 148,150 (1975). Both elements reflect the policy that the greater punishment is reserved to deter the dangerous person actually capable of inflicting death or serious bodily harm or intending to create a life endangering environment by carrying a deadly or simulated deadly weapon. See Gerber, supra, at 275 (armed robbery classified as the most severe because the presence of a weapon reflects “a premeditated readiness for violence and possible injury or death”). The weapon, therefore, need not be displayed by the accused nor seen by the victim to satisfy these elements of the armed robbery statute.
The final element of the armed robbery statute, “threatens to use a deadly weapon or a dangerous instrument or simulated deadly weapon,” is not as easily interpreted. Through the enactment of the original statute in 1977, the legislature advanced the policy that greater punishment is reserved for the person who creates the potential for increased danger to, or sudden and violent reaction by, the victim or bystanders. See Code Commission Report at 188. Thus, threatening to use an actually present deadly weapon or dangerous instrument was incorporated as one of the original elements of armed robbery because such a threat creates a more dangerous situation. The type of threat calling for heightened punishment, however, was more than the threat necessary to overpower the victim as in a simple robbery; it was one that increased danger to others.
Because mere words qualify as force sufficient to coerce the surrender of property for the lesser crime of simple robbery, the legislature must have intended to include some element other than mere words in the 1983 statutory modification. We read legislative enactments in such a way as to give the statute a fair and sensible meaning. City of Phoenix v. Superior Court In and For Maricopa County, 139 Ariz. 175, 178, 677 P.2d 1283, 1286 (1984). We must, if possible, give meaning to each clause and consider the effects and consequences as well as the spirit and purpose of the law. Frye v. South Phoenix Volunteer Fire Co., 71 Ariz. 163, 167-68, 224 P.2d 651, 654 (1950).
In this instance, therefore, we interpret the effect of the added language “or a simulated deadly weapon” as indicating that a simulated deadly weapon is an alternative to a deadly weapon. In other words, the “simulation” is not that a robber feigns or pretends to have a weapon on their person but rather that the person commits the robbery with a pretend deadly weapon. See State v. Felix, 153 Ariz. 417, 419, 737 P.2d 393, 395 (App.1986) (defendant’s use of a nasal inhaler to simulate the barrel of a gun pressed against the victim’s body constitutes “simulated deadly weapon” within the meaning of the revised armed robbery statute).
We conclude that a weapon, whether it be an actual deadly weapon, a dangerous instrument, or a simulated deadly weapon, must actually be present and used in a threatening manner to satisfy the “threatens to use” element of the armed robbery statute. Accord State v. Moriarty, 107 Wis.2d 622, 321 N.W.2d 324, 329 (App.1982) (the phrase “use or threat of use” contained in Wisconsin’s armed robbery statute requires proof that the defendant was armed with a deadly weapon or an article fashioned to resemble a deadly weapon and that defendant used or threatened to use such an article during the commission of the robbery).
In reaching this conclusion, we admittedly are influenced by the policy implication of holding otherwise. If it makes no difference whether a weapon is present, and an unarmed person faces the same penalty as a person actually armed with a weapon, use of weapons, by implication, is encouraged or at least not discouraged. We do not believe the legislature could have intended such a result. If we are wrong, however, the legislature may certainly correct our interpretation by clarifying the statutory language.
CONCLUSION AND DISPOSITION
Based on our review of the policies underlying the armed robbery statute and the logical effect of the 1983 statutory modification, we hold that a mere verbal threat to use a deadly weapon, unaccompanied by the actual presence of a deadly weapon, dangerous instrument or simulated deadly weapon, does not satisfy the statutory requirement for a charge of armed robbery.
In the present case, both victims testified that they never saw a gun or any other article fashioned to resemble a deadly weapon. Two witnesses, the driver and occupant of the automobile used the evening of the robberies, both testified that defendant did not have a gun. Although the first victim testified that defendant implied the existence of a gun by saying she would “shoot the smile off his face,” he never saw a weapon.
The jury found defendant guilty of armed robbery on the above evidence. These facts are insufficient to support a charge of armed robbery and the trial court, therefore, erred in denying defendant’s motion for acquittal on the armed robbery charge. The record only permits conviction and sentencing for robbery under A.R.S. § 13-1902. Accordingly, the judgment is ordered revised to reflect convictions for simple robbery on both counts. The matter is remanded to the trial court for re-sentencing in accordance with this decision.
FELDMAN, V.C.J., and CAMERON, MOELLER and CORCORAN, JJ., concur.
. The comments to the Commission’s proposed code explain:
Section 190[4], new to existing law, reserves greatest severity for a robbery, as defined in § 190[2], effected by the presence of either a deadly weapon or dangerous instrument____ By virtue of its manifestly deadly design, a deadly weapon falls into this statute by its mere presence on the robber’s person. Since a dangerous instrument has an apparent legitimate, nondeadly use, such an item falls under this statute only when (1) it is actually on the person of the assailant and (2) is used or threatened to be used aggressively in the course of theft.
Arizona Criminal Code Commission, Proposed Arizona Revised Criminal Code 189 (1975).
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OPINION
GERBER, Judge.
Appellant, Richard L. Webb, was indicted on January 14, 1987, on one count of first-degree murder in violation of A.R.S. § 13-1105. Prior to trial, the state filed an allegation that the crime was of a dangerous nature. On September 8, 1987, a jury found appellant guilty under A.R.S. § 13-1104 of the lesser included offense of second-degree murder, a class one felony. The trial judge sentenced appellant to an aggravated term of seventeen years imprisonment with appropriate pre-sentence incarceration credit. Appellant filed a timely notice of appeal and raises the following issues:
(1) Was the appellant denied his right to effective assistance of counsel?
(2) Did the trial judge abuse his discretion by failing to limit the introduction of inadmissible evidence?
(3) Did the trial judge abuse his discretion by imposing an aggravated sentence?
(4) Did the jury instruction on self-defense impermissibly shift the burden of proof?
(5) Did the trial judge coerce a deadlocked jury into reaching a verdict?
FACTS
The facts taken in a light most favorable to sustaining the verdict are as follows. Appellant is the oldest son of Beverly (“Shelley”) Weitzel. In 1986, Shelley married the victim, Frank Weitzel. Shelley and Frank lived with their son Ryan and two of Shelley’s children by a previous marriage, Jacob and Rochelle Webb.
On January 1, 1987, appellant traveled to his mother’s home and received $300 cash as a late Christmas gift. That same day, he used the money to purchase a 9 mm. handgun. He then returned to his mother’s home. Shelley and Frank Weitzel had been arguing. As appellant went to speak with his mother, Frank Weitzel left the house. Appellant spoke to both Shelley and his brother Jacob.
Later that evening, Frank Weitzel returned home. He encountered Webb outside the front door, and the two men argued. A struggle ensued during which appellant shot Weitzel four times, killing him almost instantly.
After the shooting, appellant entered the house and spoke briefly with Shelley and Jacob. He then drove away in his truck on a four-day trip to California. Approximately two hours after the shooting, Shelley called the 911 emergency number to report that her husband was lying in the yard. When police questioned Shelley, Jacob, and Rochelle concerning the incident, they initially claimed to have heard nothing nor to have even seen appellant that day. After further questioning, however, they acknowledged that they did see the appellant before and after the shooting.
Appellant disposed of the gun before he returned from California. It was not introduced as evidence at trial. At trial, appellant acknowledged that he shot Frank Weitzel but claimed that the shooting was an accident while they struggled over the weapon. Appellant also claimed that before the struggle, Weitzel had threatened to take his gun and kill him and his mother.
A. INEFFECTIVE ASSISTANCE OF COUNSEL •
Appellant first claims that his attorney was ineffective for (1) failing to object or objecting on improper bases to the admission of certain testimony and evidence; (2) for misunderstanding the Arizona rule on motions for judgment of acquittal; (3) for failing to object during closing argument; and (4) for failing personally to appear at the sentencing hearing.
To demonstrate ineffective assistance of counsel, appellant must satisfy a two-prong test. First, he must show that, under the circumstances, his counsel’s actions were unreasonable under prevailing professional norms. State v. Nash, 143 Ariz. 392, 397, 694 P.2d 222, 227, cert. denied, 471 U.S. 1143, 105 S.Ct. 2689, 86 L.Ed.2d 706 (1985). Second, there must be a reasonable probability that, absent counsel’s unprofessional errors, the result of the proceedings would have been different. Id. at 398, 694 P.2d at 228; State v. Lee, 142 Ariz. 210, 219, 689 P.2d 153, 162 (1984). The court need not approach the inquiry in a specific order or address both prongs of the inquiry if the defendant makes an insufficient showing on either one. State v. Salazar, 146 Ariz. 540, 541, 707 P.2d 944, 945 (1985).
Actions of defense counsel which appear to be trial tactics will not support an allegation of ineffective assistance of counsel. State v. Espinosa-Gamez, 139 Ariz. 415, 417, 678 P.2d 1379, 1381 (1984). Courts presume that counsel’s conduct is trial strategy. State v. Fisher, 152 Ariz. 116, 118, 730 P.2d 825, 827 (1986), citing Strickland v. Washington, 466 U.S. 668, 689, 104 S.Ct. 2052, 2065, 80 L.Ed.2d 674, 694-95 (1984). In the instant case, we do not have the benefit of a Rule 32 post-conviction hearing as to the effectiveness of defense counsel. Therefore, counsel’s effectiveness must be judged solely from the record before us. State v. Bush, 148 Ariz. 325, 328, 714 P.2d 818, 821 (1986). In such a situation, appellant has a greater burden to overcome because the record seldom shows reasons for the attorney’s decisions. The “strong presumption” is that counsel’s actions were made for strategic or tactical reasons. State v. Santanna, 153 Ariz. 147, 150, 735 P.2d 757, 760 (1987), citing Strickland v. Washington, 466 U.S. at 688, 104 S.Ct. at 2066, 80 L.Ed.2d at 693-95.
1. Counsel’s Failure to Object to Admission of Certain Testimony and Evidence
Appellant first claims that counsel failed to object on hearsay grounds to admission of a tape recording of Shelley’s phone call to the 911 emergency department made two hours after the shooting. However, the trial transcript shows that defense counsel did object to admission of the tape. He argued precisely that it was inadmissi ble unless the state could establish a factual basis by showing that it was inconsistent with Shelley’s trial testimony. Although defense counsel did not specifically use the word “hearsay”, his statements show that he objected on the basis of hearsay and argued that the testimony did not fall within the “prior inconsistent statement” exception to the hearsay rule.
The trial court properly admitted the tape recording. It did not constitute hearsay. In her telephone call, Shelley stated that her husband was “laying out in the front yard” and she had no idea what was wrong with him. The state posited at trial that Shelley knew that Frank Weitzel had been shot by appellant and was trying to conceal her knowledge of that fact. The state did not offer the. tape recording to establish the truth of the matter asserted (that her husband was lying in the front yard) but rather to show that she was concealing the crime with the claim she did not know what was wrong with him. See Rule 801(c), Arizona Rules of Evidence; State v. Rivera, 139 Ariz. 409, 413, 678 P.2d 1373, 1377 (1984).
Appellant also maintains that defense counsel failed to object to the admission of testimony concerning the family’s activity between the time of the shooting and the arrival of the police. Appellant asserts that such testimony was irrelevant and therefore improperly admitted.
There is no merit to appellant’s position. The evidence was relevant and admissible because part of the state’s theory of the case was that the agreement among Shelley Weitzel, Jacob Webb, and appellant after the shooting to say nothing to the police was inconsistent with appellant’s defense that the shooting was an accident. Rochelle’s testimony that her mother and brother spoke to appellant after the crime was relevant to the state’s theory that Shelley and Jacob agreed with appellant to conceal the crime. Likewise, any testimony by the police officers regarding what Shelley, Jacob, and Rochelle said to them was admissible to show that Shelley and Jacob planned to mislead the police. See Rule 803(3), Arizona Rules of Evidence.
Appellant also claims that defense counsel failed to object to the admission of two photographs of the appellant taken shortly after he killed the victim. According to appellant, defense counsel should have objected on the basis that the photographs were irrelevant and grossly prejudicial. Contrary to appellant’s assertion, however, the photographs, which showed appellant apparently enjoying his California trip, were relevant to rebut appellant’s testimony that the shooting was an accident and that he was worried about the shooting.
Appellant also contends that defense counsel failed to object to the impeachment of witness Martin Jiunta. At trial, Jiunta maintained that in a conversation which occurred before the shooting, appellant said that he was not interested in a .22 caliber weapon. Jiunta testified that appellant did not give any reason as to his lack of interest. A police officer then testified about a prior statement Jiunta had made to him in which, according to Jiunta, appellant said he was not interested in a .22 caliber weapon because it was not large enough and because a person would have to shoot someone with a .22 more than once. Since this statement was inconsistent with Jiunta’s testimony at trial, it qualified as a prior inconsistent statement. See Rule 801(d)(1), Arizona Rules of Evidence.
Appellant asserts, however, that defense counsel should have objected to this testimony because it was inadmissible under State v. Cruz, 128 Ariz. 538, 627 P.2d 689 (1981). In Cruz, the Arizona Supreme Court noted that prior inconsistent statements are admissible under the hearsay rules. However, the court stated that if a statement contains a dual purpose of casting doubt on a witness’s credibility and proving a defendant’s guilt, and the statement is prejudicial, it should not be admitted. Id. at 540, 627 P.2d at 691. Jiunta’s statement arguably violated the first prong of Cruz because it showed evidence of premeditation which could prove guilt for first-degree murder. The statement may also have facilitated the jury’s determina tion that the defendant committed intentional but unpremeditated murder rather than reckless manslaughter or an act of self-defense. Because we cannot determine from the record that this claim of ineffective assistance is meritless, we cannot consider it on appeal, but leave it to be developed in a Rule 32 proceeding. State v. Carver, supra.
Appellant also contends that defense counsel failed to object to the admission in evidence of a 9 mm. handgun. The state established that the handgun was identical to the gun appellant used to shoot Weitzel. Appellant asserts that the gun introduced in evidence was not relevant to any issue in the case. We disagree. The state’s ballistics expert and the person who sold the handgun to appellant testified that such a gun operates only in double-action mode and has a particularly heavy trigger pull. This testimony indicates that it was highly unlikely that such a weapon would have accidentally fired four times. Such testimony is relevant to the state’s theory that the shooting was intentional and also rebuts defendant’s claim that it was accidental.
Finally, appellant argues that defense counsel failed to object properly to the admission in evidence of live ammunition. Defense counsel objected on the basis of relevancy; appellant argues that the proper objection was lack of foundation. Appellant is incorrect. The unspent ammunition had little probative value to the central issues in the case, and therefore defense counsel’s objection was proper. In any case, admission of the ammunition did not prejudice the appellant in view of his •admission that he shot the victim.
2. Defense Counsel’s Lack of Familiarity with the Motion for Judgment of Acquittal
Appellant claims that he was denied effective assistance of counsel due to defense counsel’s unfamiliarity with Arizona law. At the close of the state’s case, defense counsel, a member of the State Bar of Missouri, and not a member of the State Bar of Arizona, asked the trial judge to confirm his understanding that he could then bring a motion for judgment of acquittal. The trial judge indicated that counsel’s understanding of the rule was correct. The motion was made and denied.
Appellant fails to show how such conduct was ineffective. Defense counsel inquired when he had questions as to Arizona procedure and made the appropriate motion at the appropriate time. No ineffective assistance of counsel lies in such candid inquiries to the court.
3. Defense Counsel’s Failure to Object to Prosecutor’s Closing Arguments
During closing arguments, the prosecutor made comments about the prevalence of violence and crime in society. Appellant claims that by these statements the prosecution argued facts not in evidence. Appellant maintains that he received ineffective assistance of counsel because defense counsel failed to object to these statements.
Attorneys are given wide latitude in their jury arguments. State v. Zaragoza, 135 Ariz. 63, 68, 659 P.2d 22, 27 (1983), cert. denied, 462 U.S. 1124, 103 S.Ct. 3097, 77 L.Ed.2d 1356 (1983). Arguments referring to the prevalence of crime, the duty of the jury, and the efforts of the police in combatting crime are not improper. State v. Sullivan, 130 Ariz. 213, 219, 635 P.2d 501, 507 (1981); State v. Williams, 107 Ariz. 262, 264, 485 P.2d 832, 834 (1971). The Arizona Supreme Court has stated:
... in the closing argument excessive and emotional language is the bread and butter weapon of counsel’s forensic arsenal, limited by the principle that attorneys are not permitted to introduce or comment upon evidence which has not previously been offered and placed before the jury.
State v. Gonzales, 105 Ariz. 434, 437, 466 P.2d 388, 391 (1970). Thus, any objection by defense counsel would have been overruled.
In any event, counsel’s failure to object appears to be a matter of trial tactics. He did object to other portions of the prosecutor’s arguments, suggesting a tacti cal decision not to object here. He also made tactical use of the prosecutor’s characterization of the world as violent by agreeing with the prosecutor’s statements and attempting to color them as factors favoring appellant.
4. Defense Counsel’s Failure to Appear at Sentencing Hearing
Appellant next claims that he received ineffective assistance of counsel at the sentencing hearing. Appellant’s lead trial counsel did not appear at sentencing. In his place appeared another attorney, Charles Atwell of Kansas City, Missouri. During his remarks, Mr. Atwell noted that this was his first appearance in an Arizona court and referred to his unfamiliarity with Arizona law. Counsel’s reference to his inexperience came at the end of a lengthy and well-versed argument as to why the appellant should receive a mitigated sentence. In his argument, counsel noted that it would be unfair to use elements of the crime as aggravating factors and that the appellant’s youth and immaturity were mitigating factors. Counsel also showed familiarity with the pre-sentence recommendation and sought to diminish its unfavorable details.
While appellant is entitled to an attorney who is more than a neutral observer at sentencing, State v. Carriger, 132 Ariz. 301, 304, 645 P.2d 816, 819 (1982), appellant is not entitled to any particular attorney. State v. Hein, 138 Ariz. 360, 369, 674 P.2d 1358, 1367 (1983). Employment of one member of a law firm is employment of all attorneys in the firm. The client does not have the right to demand that any particular member of the firm conduct the litigation. Id. at 370, 674 P.2d at 1368.
In summary, on this record, we find that defense counsel’s actions during trial were not unreasonable under prevailing professional norms, nor would the result of the proceedings have changed if counsel had acted as appellant now wishes he had. Appellant’s ineffective assistance of counsel claim fails both parts of the two prong test of State v. Nash, supra.
B. ABUSE OF DISCRETION BY FAILING TO LIMIT INTRODUCTION OF INADMISSIBLE EVIDENCE
Appellant contends that the trial judge generally erred in admitting the evidence that is the subject of appellant’s ineffective assistance of counsel claim. As part A of this decision notes, each item of evidence was either admissible or not prejudicial to appellant. Therefore, appellant’s broad claim in this regard fails.
C. ABUSE OF DISCRETION BY IMPOSING AN AGGRAVATED SENTENCE
At sentencing, the trial judge imposed án aggravated sentence. The aggravating circumstances found by the judge were appellant’s disregard for whether the victim lived or died, the suffering of the victim’s family, and that appellant premeditated the murder.
Appellant first contends that the judge could not utilize evidence of premeditation to support an aggravated sentence when premeditation was “rejected” by the jury’s second-degree murder verdict. However, in finding aggravating circumstances, the trial judge may consider all evidence presented at all stages of the trial. State v. Meador, 132 Ariz. 343, 346, 645 P.2d 1257, 1260 (App.1982). Given the differences between the jury’s function at trial and the judge’s function at sentencing, the jury’s verdict does not require a sentencing judge to ignore sentencing factors supported by evidence at trial. Id. An appellate court is hesitant to interfere with a trial court’s discretion in sentencing as long as there is reasonable evidence in the record to substantiate its finding of aggravating circumstances. Id. at 348, 645 P.2d at 1262. Even though the jury verdict rejected the first-degree murder option, there is evidence in the record to support the trial judge’s finding of some premedita tion, and this may be considered an aggravating factor pursuant to A.R.S. § 13-702(D)(13).
Appellant also claims that the other aggravating factors found by the judge — a disregard for life, leaving the scene, and leaving the victim to die — are elements defining the offense and therefore cannot be separately taken into account for sentencing purposes. To the contrary, none of these items is an element of second-degree murder under A.R.S. § 13-1104. Leaving the scene and leaving the victim to die are unnecessary to complete the elements of second-degree murder. The finding as to appellant’s disregard for life refers to appellant’s callous departure to California after the shooting. See Meador, supra, (using, as an aggravating circumstance, the fact that the defendant did not seek assistance for the helpless victim but instead, abandoned him to die).
Appellant also claims that the trial court’s consideration of the impact of the crime to the victim’s family (“victim impact statement”) as an aggravating circumstance pursuant to A.R.S. § 13-702(D)(9) violates Booth v. Maryland, 482 U.S. 496, 107 S.Ct. 2529, 96 L.Ed.2d 440 (1987). Booth held only that the Eighth Amendment prohibits a jury from considering victim impact statements in the sentencing phase of a capital murder case. The Court stated that it implied no opinion as to the use of victim impact statements in non-capital cases. Id. at 509 n. 12, 107 S.Ct. at 2536, n. 12, 96 L.Ed.2d at 452 n. 12. Furthermore, the Arizona Supreme Court has recently held that Booth does not apply even in a capital case when a trial court (as opposed to a jury) imposes sentence upon a defendant. State v. Beaty, 158 Ariz. 232, 244, 762 P.2d 519, 531 (1988). That court reasoned that, unlike a jury, a judge is presumed able to focus on the relevant sentencing factors and to set aside irrelevant, inflammatory, and emotional facts. Thus, because in the instant case a judge rather than a jury imposed sentence and also because this was not a capital case, the concerns expressed in Booth do not apply.
Appellant next claims as error that the trial judge ignored appellant’s lack of a criminal history as a mitigating factor. The consideration of mitigating circumstances is solely within the discretion of the court. State v. Bly, 127 Ariz. 370, 372, 621 P.2d 279, 281 (1980). A sentencing judge is not required to consider a defendant’s lack of a prior criminal record as a mitigating factor. Rather, it is only one of the many traditional mitigating circumstances a judge may consider in determining punishment under the “catch-all” provision of § 13-702(E)(5). State v. Thurlow, 148 Ariz. 16, 20, 712 P.2d 929, 933 (1986). Thus, it was not error for the trial judge to ignore defendant’s lack of a criminal record as a mitigating circumstance.
Appellant finally contends that the sentence should be reduced because it is excessive. A sentence within the statutory limits will not be modified, however, unless the trial court is arbitrary, capricious, or fails to conduct an adequate investigation of the facts. State v. Fatty, 150 Ariz. 587, 592, 724 P.2d 1256, 1261 (App.1986). In this case, the sentence is within the sentencing limits provided by A.R.S. §§ 13-710 and -702. In addition, the court stated the aggravating factors upon which it relied and fully considered all of the stated factors. No arbitrary, capricious or unsupported factors appear in the sentence.
D. SELF-DEFENSE INSTRUCTION
Appellant contends that the trial court improperly instructed the jurors on the issue of self-defense. Specifically, appellant maintains that the trial court committed fundamental error by impermissibly shifting the burden of proof from the state to appellant. Appellant’s contention on this score is incorrect.
In State v. Hunter, 142 Ariz. 88, 90, 688 P.2d 980, 982 (1984), the Arizona Supreme Court held that it was fundamental error to fail to instruct the jury (a) that a defendant only needs to present evidence sufficient to raise a reasonable doubt about whether he acted in self-defense, and (b) once defendant presents such evidence, the burden shifts to the state to prove beyond a reasonable doubt that the conduct was not justified. See also Everett v. State, 88 Ariz. 293, 297, 356 P.2d 394, 398 (1960). The Hunter court noted the importance of correctly informing the jury about this burden of proof:
“The very purpose of a jury charge is to flag the jurors’ attention to concepts that must not be misunderstood, such as reasonable doubt and burden of proof.” Lakeside v. Oregon, 435 U.S. 333, 340, 98 S.Ct. 1091, 1095, 55 L.Ed.2d 319 (1978). It is vital that the jury not misunderstand the concept of the defendant’s burden of proof on self-defense; the jury must be instructed with great care to prevent the misunderstanding of this concept.
Hunter 142 Ariz. at 90, 688 P.2d at 982, quoting State v. Denny, 119 Ariz. 131, 134, 579 P.2d 1101,1104 (1978). Hunter sought to avoid the risk of jury confusion with respect to the burden of proof. The court determined that a general instruction providing that the state must prove all of its case against the defendant and must prove the defendant guilty beyond a reasonable doubt, coupled with an instruction given several pages later which provided “[i]f you find the defendant’s conduct justified, you must find the defendant not guilty,” did not make clear to the jury the shifting nature of the burden of proof. Id.
The Hunter ruling was subsequently applied in State v. Cannon, 157 Ariz. 107, 755 P.2d 412 (1988). In that case, the jury was instructed (a) on the elements of self-defense, and (b) that the prosecution must prove all of its case beyond a reasonable doubt. The Cannon court noted that unlike Hunter, the instructions given did not state “[i]f you find the defendant’s conduct justified, you must find the defendant not guilty.” The court held that these instructions did not create a risk of jury confusion and therefore did not violate Hunter.
The jury in the present case was adequately instructed as to the burden of proof regarding self-defense. The trial court instructed the jury that the state must prove every element of the offense beyond a reasonable doubt. The elements of a self-defense claim were clearly delineated. The jury was specifically instructed:
When some evidence of self-defense is offered by the defendant, the prosecution must then prove beyond a reasonable doubt that the defendant did not act in self-defense.
The defendant does not have the burden to prove that he acted in self-defense.
It is true that the court included the statement “[i]f you decide that the defendant’s conduct was justified, you must find the defendant not guilty.” Appellant, citing Hunter, asserts that inclusion of this statement automatically constitutes fundamental error. Appellant misreads Hunter. As we noted above, Hunter was concerned solely with the risk of jury confusion:
In the present case the instructions did not carefully instruct the jury such that it would not misunderstand. The instructions did not make it clear that appellant’s burden as to self-defense was limited to raising a reasonable doubt and that the burden on the state was then to disprove beyond a reasonable doubt that appellant acted in self-defense. Rather, because the instructions provided that the state must prove all of its case against the defendant and must prove the defendant guilty beyond a reasonable doubt, and then several pages later provided that “[i]f you find the defendant’s conduct justified, you must find the defendant not guilty,” the jury might have approached the situation in one or more of three ways: it might have thought, as the state asserts, that the “beyond a reasonable doubt” instruction applied to all issues, including the self-defense issue. It might also have thought, however, that the self-defense instruction seemed to place on appellant the burden of proving self-defense and that therefore the specific instruction concerning self-defense was an exception to the general beyond-a-reasonable-doubt instruction. Or the jury might have thought that the beyond-a-reasonable-doubt instruction applied only to the state’s “case against the defendant” and that the wording of the self-defense issue was simply not part of the state’s case that the state had to prove.
(emphasis added.)
The concerns of the Hunter court do not apply here. This jury was specifically informed as to the general burden of proof requirement as well as the shifting burden of proof regarding self-defense. The jury was told that the state’s burden of proof regarding a self-defense claim consisted of disproving beyond a reasonable doubt that the defendant did not act in self-defense (once defendant raised some evidence of self-defense). The jury was told that “[t]he defendant does not have the burden to prove that he acted in self-defense.” These instructions informed the jury of the proper burden of proof. It is difficult to see how this jury could have thought that the self-defense instruction placed on appellant the burden of proving self-defense. The first concern of the Hunter court does not apply.
Hunter’s second concern is that the jury might have thought that the beyond a reasonable doubt standard applied only to the state’s “case against the defendant” and not to defenses raised by defendant. In our case, the jury was instructed in clear language that the reasonable doubt standard applied to the self-defense issue: “When some evidence of self-defense is offered by the defendant, the prosecution must then prove beyond a reasonable doubt that the defendant did not act in self-defense.” Thus, the second concern noted in Hunter does not apply to the case at hand.
Contrary to the dissent’s suggestion, the Hunter court did not say that inclusion of the sentence “if you find the defendant’s conduct justified, you must find the defendant not guilty” automatically constitutes fundamental error. Rather, the Hunter court said that fundamental error occurs when that sentence is included in instructions that do not make clear to the jury the shifting burden of proof regarding self-defense. We do not encourage the use of instructions which contain the sentence in question: “if you find the defendant’s conduct justified, you must find the defendant not guilty.” However, challenged instructions must always be read in the context of the entire collection of instructions. State v. Platt, 130 Ariz. 570, 575, 637 P.2d 1073, 1078 (App.1981). Read together, the instructions were not ambiguous nor did they provide any reason for the jury to misunderstand the burden of proof requirements.
E. JURY COERCION
Finally, appellant asserts that the trial court committed reversible error by not discharging the jury after receiving notice of possible deadlock, thereby coercing the jurors into reaching a verdict.
The guidelines for determining when a judge may discharge a jury are set forth in Rule 22.4(b) of the Arizona Rules of Criminal Procedure:
The court shall discharge the jurors when ...
(b) Upon expiration of such time as the court deems proper, it appears that there is no reasonable probability that the jurors can agree upon a verdict ...
A decision on whether to discharge a jury on the ground that there exists no reasonable probability that the jurors can agree on a verdict is within the sound discretion of the trial court. State v. Villafuerte, 142 Ariz. 323, 330, 690 P.2d 42, 49 (1984), cert. denied, 469 U.S. 1230, 105 S.Ct. 1234, 84 L.Ed.2d 371 (1985); State v. Moore, 108 Ariz. 532, 535, 502 P.2d 1351 (1972), cert. denied, 412 U.S. 906, 93 S.Ct. 2292, 36 L.Ed.2d 971 (1973). The test of coerciveness is whether the trial court’s actions, viewed in the totality of the circumstances, displaced the independent judgment of the jurors. State v. McCutcheon, 150 Ariz. 317, 320, 723 P.2d 666, 669 (1986).
Here, we find that the trial judge did not coerce the jury into reaching a verdict. After a two week trial, the jury submitted a note to the judge on the second day of deliberations stating that they could not reach unanimous agreement. The trial judge had the jurors recess for the weekend and resume deliberations that next Tuesday. On the third day of delibera tions, the jury again relayed to the judge that they could not reach a verdict. While the court attempted to contact defense counsel, the jury on its own initiative informed the court that it would continue deliberations. Soon after, the jury reached a verdict.
Merely advising a deadlocked jury to continue deliberations does not, standing alone, constitute coercion or improper conduct on the part of the trial court. See State v. Campbell, 146 Ariz. 415, 418, 706 P.2d 741, 744 (App.1985) (no mistrial when jurors twice advised trial court that they were deadlocked and were advised to continue their deliberations). The trial court did not instruct the jurors that they had to reach a verdict, or indicate to the jurors that they abandon their conscientious convictions in order to reach agreement. See State v. McCutcheon, 150 Ariz. 317, 320, 723 P.2d 666 (1986) (trial court’s repeated inquiry of whether jurors could reach a verdict on one count against one defendant, when the trial court knew they were split ten to two in favor of conviction found to be coercive).
Under the totality of the circumstances, the trial court did not coerce the jurors into reaching a unanimous verdict.
For the foregoing reasons, the conviction and sentence are affirmed.
GRANT, C.J., concurs.
. The Arizona Supreme Court has recently recommended that when a defendant wishes to raise the question of ineffective assistance during the pending of his appeal, he should file the proper petition under Rule 32, Arizona Rules of Criminal Procedure. State v. Valdez, 160 Ariz. 9, 770 P.2d 313 (1989). Accord State v. Carver, 160 Ariz. 167, 771 P.2d 1382, 1390 (1989).
. According to Martindale-Hubbell's 1989 Law Directory, Mr. Wyrsch and Mr. Atwell are partners at the firm of Koenigdorf, Wyrsch and Ramsey of Kansas City, Missouri.
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OPINION
SHELLEY, Judge.
Appellant Michael Patrick Lammie (defendant) was charged with four counts óf sexual assault. He later pled guilty to two amended counts of attempted sexual assault, class 3 felonies, pursuant to a plea agreement which advised him that he would be required to register as a sex offender. At sentencing, defendant for the first time stated “that on an attempted crime, that it is inappropriate to require the registration as a sex offender.” The trial court ordered him to register as a sex offender. Defendant appealed only from the requirement that he register as a sex offender, pursuant to A.R.S. § 13-3821.
DO THE REGISTRATION REQUIREMENTS OF A.R.S. § 13-3821 ENCOMPASS DEFENDANTS CONVICTED OF “ATTEMPTS”?
Defendant initially argues that the legislative history of A.R.S. § 13-3821 demonstrates that the statute was not intended to include “attempted” sexual offenses. Prior to 1977, the requirement for registration of sex offenders was contained in A.R.S. § 13-1271. In 1977, the legislature renumbered the section as 13-3821. Sections 13-1271 and 13-3821 listed the sexual offenses requiring registration. The list included attempted sexual offenses. Section 13-3821 was repealed in 1978.
In 1983, A.R.S. § 13-3821 was enacted. Section 13-3821 does not list any offenses by name. It requires registration of “[a] person who has been convicted of a violation of chapter 14 or 35.1 of this title.” Juxtaposing the language of former A.R.S. § 13-3821 with the current version, defendant concludes that the legislature’s failure to specifically name “attempt” as subject to registration in the current statute “must be considered intentional and the new statute must not be read to cover that which has been deleted from the old one.” Defendant points out that as a matter of statutory construction, when a statute is reenacted with material changes, it is presumed that the amendment or reenactment was intended to make those material changes. See generally 73 Am.Jur.2d Statutes § 324 (1974).
Generally, the court will not resort to rules of statutory interpretation unless the meaning of the language of the statute is unclear or ambiguous. State v. Sweet, 143 Ariz. 266, 269, 693 P.2d 921, 924 (1985). In addition, the legislature has abrogated the common law rule that penal statutes are to be strictly construed. State v. Perkins, 144 Ariz. 591, 594, 699 P.2d 364, 367 (1985). Rather, statutes should be in terpreted according to the fair meaning of their terms and in furtherance of the policies underlying them. Id. While it is true that when the legislature amends statutory language, it is presumed that it intends to make a change in existing law, Pace v. Hanson, 6 Ariz.App. 88, 92, 430 P.2d 434, 438 (1967), a statutory amendment ought not to be interpreted so broadly as to destroy the entire objective of the statutory scheme. Radish v. Arizona State Land Dep’t, 155 Ariz. 484, 491, 747 P.2d 1183, 1190 (1987). The cases relied on by defendant to support his statutory construction argument are cases which discuss the effect of amendments to existing statutes. However, a court will not treat as amend-atory an act which does not purport to be amendatory. 1A Sutherland Statutory Construction § 22.01 (4th ed. 1985) (“[t]he test to determine whether an act is original or amendatory in form is whether it purports to be independent of existing statutory provisions”) (emphasis in original). A.R.S. § 13-3821 was simply not an amendatory statute. It was adopted in 1983, following a hiatus of more than five years in which no sex offender registration statute existed in Arizona.
Defendant asserts that an attempted offense is only a preparatory offense in violation of A.R.S. § 13-1001. Therefore, he posits it differs from the substantive offenses set forth in chapter 14 (A.R.S. §§ 13-1401 to 1416). The case law and statutory history with regard to the offense of attempt in Arizona demonstrate the contrary. It is in this context that the court must interpret the legislative intention in passing A.R.S. § 13-3821.
The legislative history with respect to the enactment of A.R.S. § 13-3821 in 1983 is helpful. The minutes of the Committee on Human Resources working on H.B. 2147 state: “Mr. Richard D. Nichols, Deputy County Attorney, Pima County, explained that the bill provided definitions and classifications of certain sexual offenses and required that anyone convicted of any sex-related offense register with the county sheriff.” Sexual Offenses: Hearings on H.B. 2147 Before the Subcomm. on Human Resources, 36th Leg., 1st Sess. 3 (March 8, 1983) (emphasis added).
In former A.R.S. § 13-3821, the legislature expressly listed every sex crime requiring registration. In adopting A.R.S. § 13-3821 in 1983, the legislature did not list any specific crime or crimes. We conclude that the legislature, by adopting the broad language of A.R.S. § 13-3821, did not intend to exclude attempted sexual offenses.
Defendant posits that the plain language of A.R.S. § 13-3821 demonstrates its inapplicability to preparatory offenses, such as attempts. This argument has been expressly rejected. See State v. Cory, 156 Ariz. 27, 749 P.2d 936 (App.1988). See also State v. Bouchier, 159 Ariz. 346, 767 P.2d 233 (App.1989); cf. State v. Tellez, 49 Ariz. Adv.Rep. 36 (Dec. 7, 1989). Defendant recognizes the adverse holdings in these cases and asserts that they should be overruled. We decline to do so.
In the case of State v. Cory, Division Two of the Court of Appeals stated:
However, appellant overlooks the fact that he was convicted of a violation of Chapter 14. Pursuant to the plea agreement, appellant agreed to plead guilty to a violation of A.R.S. § 13-1001, as well as §§ 13-1406, 13-1401, 13-3821, 13-701, 13-801 and 13-808. It would have been impossible for appellant to plead guilty to solely a violation of A.R.S. § 13-1001 since that chapter must always be viewed together with a substantive offense. In this case, the Chapter 10 violation must be viewed in conjunction with the Chapter 14 violation. The purpose of the registration requirement for defendants convicted of the substantive offenses certainly is served by the registration of persons convicted of preparatory offenses.
Id., 156 Ariz. at 28, 749 P.2d at 937.
An “attempt” is generally recognized as being part of a completed offense. State v. McCurdy, 15 Ariz.App. 227, 228, 487 P.2d 764, 765 (1971). A.R.S. § 13-110 reads:
A person may be convicted of an attempt to commit a crime, although it appears upon the trial that the crime intended or attempted was perpetrated by the person in pursuance of such an attempt, unless the court, in its discretion, discharges the jury and directs the person to be tried for the crime.
An attempted offense cannot be committed in isolation of the substantive offense.
In the case of State v. Tellez, this court, upon concluding that the crimes of conspiracy and solicitation are separate from the substantive offense, stated:
[T]he state’s reliance on Bouchier and Cory, supra, is misplaced. Both those cases dealt with sentencing a defendant for attempting the underlying offense. Attempt differs from solicitation in that attempt retains the same mental state and elements as the underlying offense. Solicitation, however, remains a completely separate crime from the offense solicited.
Id. (emphasis added) (footnote omitted).
Defendant relies on the case of State v. Herrera, 131 Ariz. 59, 638 P.2d 726 (App. 1981). In Herrera, the issue was whether a defendant must be sentenced for attempted escape consecutively to any sentence of imprisonment for which defendant was confined at the time of the escape. Herrera is factually inapposite. In that case, the original statute expressly named and provided for mandatory consecutive sentences for both second-degree escape and attempted second-degree escape. When the current criminal code was adopted in 1978, the previous statute was repealed. The new statute retained the mandatory consecutive requirement for second-degree escape by name but omitted attempted second-degree escape therefrom. This deletion indicated an intent of the legislature not to require mandatory consecutive sentences for that offense. Unlike the statute involved in Herrera, A.R.S. § 13-3821 enacted in 1983 did not mention any offense by name.
Even so, this court in Herrera found the statute in question to be susceptible of more than one interpretation. It therefore concluded that it had to construe that penal statute in favor of defendant to the extent necessary to eliminate the ambiguity. This rule of construction was overruled in State v. Rodriguez, 153 Ariz. 182, 186, 735 P.2d 792, 796 (1987), where our supreme court stated:
Traditionally, if a criminal statute was susceptible of different interpretations, we adopted the construction most favorable to the defendant. See, e.g., City of Phoenix v. Lane, 76 Ariz. 240, 243, 263 P.2d 302, 303 (1953), overruled on other grounds, Lindsey v. Duncan, 88 Ariz. 289, 356 P.2d 392 (1960). Now, however, courts are to construe criminal statutes according to ‘the fair meaning of their terms to promote justice and effect the objects of the law.’ A.R.S. § 13-104; State v. Tramble, 144 Ariz. 48, 51, 695 P.2d 737, 740 (1985).
When a statute is unclear or ambiguous, we must determine and give effect to legislative objects and intent. Calvert v. Farmers Insurance Co., 144 Ariz. 291, 294, 697 P.2d 684, 687 (1985). We determine this by examining the language used, the context of the statute, the subject matter, the historical background, the effects and consequences, and the spirit and purpose of the law. [.Arizona Newspapers Ass’n Inc. v. Superior Court, 143 Ariz. 560, 694 P.2d 1174 (1985).]
Thus a basic premise in Herrera has been overruled by the subsequent case of Rodriguez. We decline to follow Herrera to the extent, if any, that it may be contrary to our ruling in this case.
In the case of State v. Verive, 128 Ariz. 570, 627 P.2d 721 (App.1981), we stated:
The primary focus of the crime of conspiracy is the agreement itself, the collusion, the secrecy and the resulting threat to society that such criminal liaisons create. The act is required as a method of showing that some step has been taken toward executing the illicit agreement. Any action sufficient to corroborate the existence of the agreement and to show that it is being put into effect is suffi cient to support the conspiracy. In contrast, the crime of attempt focuses more directly upon the unequivocal nature of the steps taken toward consummating the intended crime. In attempt, the act for which the defendant is held criminally responsible, must be more than preparatory. Perkins, in his treatise on criminal law, concludes that the ‘overt act’ in a conspiracy ‘need not amount to an attempt to commit the crime which is the object of the combination.’ Perkins, Criminal Law, 618 (2d ed. 1968).
That the overt act required for a conspiracy is different than that required for an attempt has been recognized in Arizona. In State v. Celaya, 27 Ariz. App. 564, 556 P.2d 1167 (1976), the court stated:
Care must be taken not to equate the overt act required by conspiracy with the overt act required in the crime of attempt. Whereas under the crime of attempt, mere preparation does not constitute an overt act, this is not true when dealing with the overt act required by conspiracy. The overt act may be merely a part of preliminary arrangements for commission of the ultimate crime. People v. Buono, 191 Cal.App.2d 203, 12 Cal.Rptr. 604 (1961). It need amount to no more than an act showing that the conspiracy has gone beyond a mere meeting of the minds upon the attainment of an unlawful object and that action between conspirators as such has begun. 27 Ariz.App. at 569, 556 P.2d at 1172.
Perkins explains further:
The function of the ‘overt act’ is quite different in the two offenses. In the case of attempt the act must go beyond preparation became the attempt is deemed a punishable segment of the crime intended.
Id. at 581, 627 P.2d at 732 (emphasis added) (citations omitted). An attempt to commit an offense is more than preparatory. It is “a punishable segment of the crime intended.” Id. Defendant was not convicted of committing an attempt. He was convicted of attempting to commit the substantive offense of sexual assault.
The unambiguous meaning of A.R.S. § 13-3821, interpreted in light of the historical and legal precedents relating to the offense of “attempt,” requires that it be read to include substantive sex offenses and attempts to commit those offenses. The requirement to register as a sex offender applies to attempted sexual offenses.
IS A.R.S. § 13-3821 VAGUE IN ITS APPLICATION TO ATTEMPTS? IF SO, DOES ITS APPLICATION TO ATTEMPTS VIOLATE DUE PROCESS?
Defendant asserts that there is nothing in the language of A.R.S. § 13-3821 which reasonably advises a person that an attempt to commit a sexual offense will require registration as a sex offender. We disagree. Both case and statutory law have recognized that an attempt to commit an offense is a lesser-included offense within the completed offense, be it a sexual offense or otherwise. This premise was established long before the offense was committed by defendant. This is sufficient to reasonably advise defendant that an attempt to commit a sexual offense would require registration as a sex offender.
The Cory opinion was published January 20,1988, and Lammie committed the crimes on August 27, 1988. The holding in Cory, 156 Ariz. 27, 749 P.2d 936, provides due process notice and precludes an attack on the basis of vagueness. This premise is clearly set forth in State v. Pickett, 121 Ariz. 142, 145, 589 P.2d 16, 19 (1978), wherein the Arizona Supreme Court stated:
The basic rule in reviewing a statute for vagueness is to determine whether the offense is defined in terms that people of average intelligence can understand. State v. Varela, 120 Ariz. 596, 587 P.2d 1173 (1978). However, when a statute has been judicially applied to a set of facts, such application provides due process notice and precludes an attack on the basis of vagueness. Wainwright v. Stone, 414 U.S. 21, 94 S.Ct. 190, 38 L.Ed.2d 179 (1973).
Cory clearly held that the sex offender registration requirements of A.R.S. § 13-3821 apply to an attempt to commit sex offenses.
DOES REGISTRATION AS A SEX OFFENDER FOR AN ATTEMPTED SEXUAL OFFENSE CONSTITUTE CRUEL AND UNUSUAL PUNISHMENT IN VIOLATION OF THE EIGHTH AMENDMENT TO THE U.S. CONSTITUTION AND ART. 2, § 15 OF THE ARIZONA CONSTITUTION?
In his opening brief, defendant states that “defendant does not question the legislative power to oblige sex registration.” Defendant goes on to state: “Imposition of registration for an attempt is cruel and unusual punishment____” We disagree. An attempt to commit a sexual offense requires the same mental state and elements as the underlying offense. For example, attempted sexual assault is a lesser-included offense of sexual assault. It requires an overt act toward the completion of that offense. The intent is the same in both instances. The requirement of lifetime registration as a sex offender for an attempt to commit sexual assault does not constitute cruel and unusual punishment. This is especially true when applied to the facts in this case. The record made at the time of the change of plea clearly indicates: (1) that defendant confessed to the crimes of sexual assault on a mother and her 17-year-old daughter; that these acts occurred after he had used a knife to gain entry into their home; and (2) that he pled guilty to lesser-included offenses pursuant to a plea bargain.
Defendant relies on the case of In re Reed, 33 Cal.3d 914, 191 Cal.Rptr. 658, 663 P.2d 216 (1983). In that case defendant was convicted of soliciting lewd or dissolute contact from an undercover vice officer in a public rest room. Pursuant to the California penal code, he was required to register as a sex offender. The court stated: “Petitioner is not the prototype of one who poses a grave threat to society; nor does his relatively simple sexual indiscretion place him in the ranks of those who commit more heinous registrable sex offenses.” Id. at 924, 191 Cal.Rptr. at 663, 663 P.2d at 221. The court then held by a 5 to 2 majority that to require Reed to register as a sex offender constituted cruel and unusual punishment.
An attempt to commit sexual assault is far more egregious than soliciting lewd or dissolute conduct in a public rest room. It most certainly cannot be characterized as “simple sexual indiscretion.” Further, Reed, which we are not bound to follow, of course, did not hold that the statutory requirement to register as a sex offender upon conviction of felony sex offenses constitutes cruel and unusual punishment. Attempted sexual assault is a class 3 felony-
18] In determining whether punishment is excessive, the United States Supreme Court has applied a proportionality rule which considers three objective criteria: (1) the gravity of the offense and the harshness of the penalty; (2) the sentences imposed on other criminals in the same jurisdiction; and (3) the sentences imposed for commission of the same crime in other jurisdictions. Solemn v. Helm, 463 U.S. 277, 290-92, 103 S.Ct. 3001, 3010-11, 77 L.Ed.2d 637, 649-50 (1983).
1. Gravity of the Offense and the Harshness of the Penalty. In this case, a mother and her 17-year-old daughter were sexually assaulted within their own home after defendant had gained entry by the use of a knife. Even if the offenses had not been completed, an attempt to commit such crimes, under the circumstances of this case, is an egregious offense. An increasing number of sexual crimes are committed within this state. A substantial portion thereof is committed by persons with a record of previous sexual crimes. Registration for lifetime places a defendant on notice that when subsequent sexual crimes are committed in the area where he lives, he will be subject to investigation. This may well have a prophylactic effect, deterring him from future sexual crimes. Furthermore, it is a proper tool to be given to police officers for use in investigating crim inal offenses. Lifetime registration is not unduly harsh.
2. Other Crimes in This Jurisdiction. A.R.S. § 13-3821 requires all defendants convicted of sex-related crimes proscribed in A.R.S. §§ 13-1401 to 1416 to register as lifetime sex offenders. The sentence is not disproportionate to other sentences imposed in Arizona.
3. The Sentences Imposed for the Same Crimes in Other Jurisdictions. In Reed, the California Supreme Court noted that in 1976, California and Nevada required sex offender registration. In Reed, the court did not nullify the California sex offender registration statute with regard to felony offenses. The California statute is similar to Arizona statutes as it relates to felony offenses. Nevada’s sex offender statute is similar to Arizona’s except that it applies only to felony offenses.
In the case of State v. Smith, 156 Ariz. 518, 753 P.2d 1174 (1987), Division Two of this court stated:
Appellant has shown us the range of sentences imposed by comparable statutes from other states. Although Arizona’s statute ranks among the harshest in terms of punishment for these crimes, that fact alone is insufficient for us to find the statute unconstitutional. As the Supreme Court observed in Rummel v. Estelle, supra, one state mil always bear the distinction of punishing particular offenders more severely than any other state.
Id. at 526, 753 P.2d at 1182 (emphasis added).
It appears that at least two states have similar sex offender registration statutes. This is sufficient to fulfill the third criterion set forth in Solem v. Helm, 463 U.S. 277, 103 S.Ct. 3001. Assuming arguendo that no other state required lifetime registration for sex offenses, this alone would not be sufficient to make the law unconstitutional. To hold otherwise would make it virtually impossible for a state to be on the leading edge in passing laws increasing punishment for criminal offenses. Such a holding would require simultaneous passage of similar laws in more than one state.
This would be improbable. This problem was duly noted in the above quotation from Smith.
The requirement of lifetime registration for attempted sexual offenses, especially felony offenses, does not constitute cruel and unusual punishment under either the Eighth Amendment to the United States Constitution or Art. 2 § 15 of the Arizona Constitution.
Judgment and sentence affirmed.
CONTRERAS, P.J., concurs.
. A.R.S. §§ 13-1401 to 1416 or §§ 13-3551 to 3556.
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OPINION
ROLL, Judge.
Dr. Richard Peairs appeals from the trial court’s granting of a preliminary injunction enforcing the terms of a restrictive covenant in an employment contract between Dr. Peairs and Phoenix Orthopaedic Surgery, Ltd. (POS). The restrictive covenant prohibits him from practicing orthopaedic medicine and orthopaedic surgery within a five-mile radius of the offices of POS. For the reasons set forth below, we affirm.
FACTS
POS is a professional corporation of or-thopaedic surgeons. The four shareholders are four physicians who practice out of three offices in northwest Phoenix. °
In 1984, POS placed an advertisement in a publication of the American Academy of Orthopaedic Surgeons offering employment for a physician with the specialty of sports medicine. Dr. Peairs answered the advertisement and was furnished with a written agreement in May 1985. This proposed agreement contained a covenant not to compete, which provided as follows:
11. Practice of Medicine by Peairs Upon Termination of this Agreement. In the event of the termination of this agreement, Peairs agrees he will not practice orthopedic medicine and surgery within a five (5) mile radius of each office of Phoenix from which it is then practicing medicine for a period of three (3) years from (i) the date of termination or (ii) the last day of the current term of this agreement should it not be extended for an additional term. Should Pearis [sic] violate his agreement not to practice within the defined area for the expressed time, he shall pay Phoenix Two Hundred Fifty Dollars ($250.) for each and every day of his violation, not as a penalty, but as agreed liquidated damages to Phoenix for the injury to Phoenix’s practice.
Dr. Peairs promptly indicated his concern regarding this provision. However, because he and his wife had already committed themselves to moving to Phoenix from Houston, and because Dr. Peairs believed that the contract was generally advantageous, he signed the contract. Dr. Peairs did have a relative, who was a San Francisco attorney, review the contract. The contract was to commence August 15, 1985, for a one-year term, to be renewable in writing at the option of the parties. Although the contract was not renewed in writing in August 1986, Dr. Peairs continued his employment with POS, albeit with negotiated modifications as to compensation and advancement provisions. On August 27, 1987, Dr. Peairs notified POS in writing that he was resigning, “to be effective in sixty days as required by our contract.” POS notified Dr. Peairs of its intent to enforce the covenant not to compete. After Dr. Peairs left POS, he performed approximately 80 percent of his orthopaedic surgery within the restricted area.
PROCEDURAL HISTORY
On January 11,1988, POS filed a declaratory judgment action seeking damages and injunctive relief based upon Dr. Peairs’ alleged breach of the terms of the restrictive covenant in his employment contract by practicing orthopaedic medicine and ortho-paedic surgery within a five-mile radius of POS offices. A preliminary injunction was issued June 16, 1988. The trial court ruled that the restrictive covenant in the employment contract was enforceable. The court restrained Dr. Peairs from performing emergency room duties as an on-call physician and from performing surgery at Thunderbird Samaritan Hospital, Maryvale Samaritan Hospital, and Glendale Surgicen-ter. The injunction did not restrain Dr. Peairs from engaging in these activities at John C. Lincoln Hospital (which is beyond the five-mile radius), from conducting classes or seminars, or from serving as the team ..physician for Deer Valley High School.
Dr. Peairs appeals from the issuance of the preliminary injunction. His motion to suspend the injunction pending this appeal was denied by a different superior court judge. That judge did modify the injunction to allow Dr. Peairs to treat his patients seeking emergency room treatment at hospitals within the five-mile radius of POS offices.
ISSUES ON APPEAL
Dr. Peairs contends that the trial court erred in issuing the preliminary injunction because (1) the employment agreement had expired, (2) the employment agreement is ambiguous and should be construed against POS, (3) POS suffered no irreparable harm and has an adequate remedy at law, (4) POS is barred from obtaining equitable relief, (5) the restrictive covenant is overbroad and therefore unenforceable, and (6) the restrictive covenant violates the public policy of Arizona.
STANDARD OF REVIEW
Granting a preliminary injunction is within the sound discretion of the trial court. The order will not be reversed unless there is a clear abuse of discretion. Financial Associates, Inc. v. Hub Properties, Inc., 143 Ariz. 543, 545, 694 P.2d 831, 833 (App.1984). A restrictive covenant in an employment agreement is valid and enforceable by injunction when the restraint does not exceed that reasonably necessary to protect the employer’s business, is not unreasonably restrictive of the rights of the employee, does not contravene public policy, and is reasonable as to time and space. American Credit Bureau, Inc. v. Carter, 11 Ariz.App. 145, 147, 462 P.2d 838, 840 (1969). However, this court is not bound by the trial court’s construction of an employment contract. Rogers v. Hecla Mining Co., 120 Ariz. 612, 613, 587 P.2d 1189, 1190 (App.1978).
The Employment Contract
1. Expiration Date
A restrictive covenant in an employment agreement must “fall within the requirements of a valid contract, and it must be incidental or ancillary to an otherwise legally enforceable contract.” American Credit Bureau, 11 Ariz.App. at 147, 462 P.2d at 840. Dr. Peairs claims that the employment contract expired under its own terms and is not a legally enforceable contract.
The contract was effective August 15, 1985, to August 14, 1986. By its terms it was subject to modification or extension “by written mutual agreement.” Dr. Peairs and POS orally negotiated his second year of employment. Dr. Peairs requested and received increased compensation and modified partnership terms so as to allow him full partnership three years following his original employment. On August 27, 1987, Dr. Peairs gave 60 days’ written notice of his. intent to leave POS “as required by our contract.”
Parties to a written contract can orally modify the contract by mutual agreement supported by consideration. Coronado Co., Inc. v. Jacome’s Dept. Store, Inc., 129 Ariz. 137, 139, 629 P.2d 553, 555 (App. 1981); Barrett v. Duzan, 114 Ariz. 137, 139-40, 559 P.2d 693, 695-96 (App.1977). There can be a modification of a written agreement without further writing. Arizona Feeds v. A & R Argo, Inc., 136 Ariz. 420, 423, 666 P.2d 520, 523 (App.1983). “The general rule in most jurisdictions is that parties to a written contract may alter or modify its terms by a subsequent oral agreement even though the contract precludes oral modification.” Park v. Dealers Transit, Inc., 596 F.2d 203, 204 (7th Cir. 1979).
Sufficient evidence exists to support the trial court’s conclusion that Dr. Peairs and POS orally modified the terms of the employment contract, therefore, the contract was still in effect on August 27,1987, when Dr. Peairs sent a letter terminating the contract on 60 days’ notice.
2. Ambiguity of Restrictive Covenant
Dr. Peairs argues that the restrictive covenant is not enforceable because it is ambiguous. “An agreement is ambiguous if the language used by the parties can reasonably be construed in more than one sense, and such construction cannot be determined within the four corners of the instrument.” Cecil Lawter Real Estate School, Inc. v. Town & Country Shopping Center Co., Ltd., 143 Ariz. 527, 533, 694 P.2d 815, 821 (App.1984). The trial court enumerated activities it considered to be the practice of surgery and medicine. The court did not state whether the agreement was ambiguous. However, the court heard evidence on the meaning of the agreement, and the intent of the parties, then apparently resolved any ambiguities. “[A]ny ambiguity in the documents is subject to a factual determination concerning the intent of the parties and is to be resolved conclusively by the ... trial court.” United California Bank v. Prudential Ins. Co. of America, 140 Ariz. 238, 260, 681 P.2d 390, 412 (App.1983).
Dr. Peairs argues that the word “practice” as used in the restrictive covenant is ambiguous and that he understood the word to mean only that his office could not be located within a five-mile radius of any POS office. The trial court heard evidence that Dr. Peairs performs procedures which constitute orthopaedic surgery and that virtually all orthopaedic surgery is performed in hospitals or outpatient surgical centers. The trial court found that performing on-call physician duty at the emergency room of hospitals or serving as assistant surgeon at a hospital within a five-mile radius of POS is the practice of orthopaedic medicine. The court excluded teaching classes and seminars as not constituting the practice of medicine. The court also ruled that Dr. Peairs could serve as a volunteer team physician at Deer Valley High School because of the harm to the high school if Dr. Peairs were to be barred from his duties as volunteer team physician. The injunction was further modified to allow Dr. Peairs to treat his patients seeking emergency care at hospitals within the restricted area. The trial court did not abuse its discretion in so interpreting the restrictions.
Injunctive Relief is Appropriate
Dr. Peairs argues that POS suffered no irreparable harm and has an adequate remedy at law because of a liquidated damages clause in the contract.
A preliminary injunction will not be issued when the plaintiff has an adequate remedy at law, Santa Cruz County v. Burgoon, 12 Ariz. 295,100 P. 792 (1906), or when the plaintiff will not suffer irreparable harm. Justice v. National Collegiate Athletic Ass’n, 577 F.Supp. 356 (D.Ariz. 1983). The traditional equitable criteria for granting preliminary injunctive relief are: (1) a strong likelihood of success on the merits, (2) the possibility of irreparable harm to the plaintiff if relief is not granted, (3) a balance of hardships favoring the plaintiff, and (4) in certain cases, advancement of the public interest. Los Angeles Memorial Coliseum Comm’n v. National Football League, 634 F.2d 1197, 1200 (9th Cir.1980). Because Dr. Peairs raises only the issue of irreparable harm, we will not discuss the other factors.
The contract contains a liquidated damages clause:
[Sjhould Peairs violate his agreement not to practice within the defined area and for the expressed time, he shall pay [POS] Two Hundred Fifty Dollars ($250.) for each and every day of his violation, not as a penalty, but as agreed liquidated damages to Phoenix for the injury to Phoenix’s practice.
The fact that a restrictive covenant provides for liquidated damages does not bar injunctive relief. Karpinski v. Ingrasci, 28 N.Y.2d 45, 52, 320 N.Y.S.2d 1, 7, 268 N.E.2d 751 (1971); McRand, Inc. v. Beclan, 138 Ill.App.3d 1045, 1052, 93 Ill.Dec. 471, 478, 486 N.E.2d 1306, 1313 (1985). The Restatement (Second) of Contracts § 361 (1982) states:
Specific performance or an injunction may be granted to enforce a duty even though there is a provision for liquidated damages for breach of that duty.
Comment a explains:
A contract provision for payment of a sum of money as damages may not afford an adequate remedy even though it is valid as one for liquidated damages and not a penalty. Merely by providing for liquidated damages, the parties are not taken to have fixed a price to be paid for the privilege not to perform. The same uncertainty as to the loss caused that argues for the enforceability of the provision may also argue for the inadequacy of the remedy that it provides. Such a provision does not, therefore, preclude the granting of specific performance or an injunction if that relief would otherwise be granted____ If equitable relief is granted, damages for such breach as has already occurred may also be awarded____
“Once a protectable interest is established, irreparable injury is presumed to follow if the interest is not protected.” McRand, 138 Ill.App.3d at 1052, 486 N.E.2d at 1313.
Because the trial court found that POS had a protectable interest, irreparable injury can be presumed. The liquidated damage provision of the contract does not preclude POS from seeking injunctive relief to prevent Dr. Peairs from competing with POS in violation of the agreement.
Clean Hands Doctrine
Dr. Peairs next argues that POS did not come into court with clean hands, and therefore the trial court should have refused to award POS a remedy. In order for the doctrine of clean hands to bar a claim for equitable relief, any acts of bad faith or unconscionable conduct by POS must relate to the same activity that is the basis of their claim. Barr v. Petzhold, 77 Ariz. 399, 407, 273 P.2d 161, 166 (1954). This court has expressly denied injunctive relief to enforce a restrictive covenant in an employment contract because the employer was found to have unclean hands. American Credit Bureau, Inc. v. Carter, supra.
Dr. Peairs argues that the restrictive covenant was forced upon him and that POS refused to respond to emergency situations at hospitals within the five-mile radius. These arguments are without merit.
There was evidence that Dr. Peairs had an attorney review the employment contract prior to acceptance. While Dr. Peairs had taken some steps toward moving to Arizona based on the oral negotiations, he received the contract in adequate time to reject POS’s offer. He also testified that he accepted the agreement because “the whole offering, taken as a package, was attractive.” When Dr. Peairs renewed the agreement for his second year with POS, he negotiated salary and partnership terms. He did not discuss the restrictive covenant.
POS’s response to emergency situations is not relevant to the restrictive covenant. If POS’s conduct has been equitable toward the defendant, its hands are as clean as the court can require. American Credit Bureau, 11 Ariz.App. at 148, 462 P.2d at 841. We find no error on this ground.
Scope of the Covenant
Dr. Peairs argues that the restrictive covenant is unenforceable because it is overbroad in terms of the restricted area. A restrictive covenant in an employment agreement is valid and enforceable by injunction when the restraint does not exceed that reasonably necessary to protect the employer’s business, is not unreasonably restrictive of the rights of the employee, does not contravene public poliey, and is reasonable as to time and space. American Credit Bureau, Inc., 11 Ariz.App. at 147, 462 P.2d at 840. Enforcement of covenants is limited to the extent reasonably necessary to protect the employer’s business interests. Olliver/Pilcher Ins., Inc. v. Daniels, 148 Ariz. 530, 532, 715 P.2d 1218, 1220 (1986).
In Bryceland v. Northey, 160 Ariz. 213, 217, 772 P.2d 36, 40 (App.1989), Division One of this court stated:
An employer does have a protectable interest in maintaining customer relationships when an employee leaves. The law will guard this interest by means of á covenant not to compete for as long as may be necessary to replace the employee and give the replacement a chance to show he can do the job.
The validity of a restrictive covenant is determined by its reasonableness. In Ol-liver/Pilcher, the supreme court stated:
The test of validity of restrictive covenants is one of reasonableness. What is reasonable depends on the whole subject matter of the contract, the kind, character and location of the business ... the purpose to be accomplished by the restriction, and [the totality of] circumstances which show the intention of the parties.
The scope of this covenant is five miles from any of the three POS offices, which are clustered in northwest Phoenix. The trial court heard evidence that at least eight other hospitals and outpatient surgical facilities are located in the metropolitan area outside the restricted radius. No evidence indicated that these facilities were in any way inferior, rather, Dr. Peairs was “just not interested in these facilities.” Dr. Peairs chose to locate his office just beyond the restricted area despite the fact that he could have chosen a site near one of the other hospitals.
Dr. Peairs is not restricted from his right to work in his chosen occupation. The trial court did not abuse its discretion by finding the scope of the covenant to be reasonable.
Public Policy
Dr. Peairs argues that because the restrictive covenant involves medical professionals it contravenes public policy and should not be enforced.
When an employee agrees, by contract, that he will not engage in a competitive business following termination of employment and that agreement is reasonable, it is enforceable unless it contravenes public-policy. Truly Nolen Exterminating, Inc. v. Blackwell, 125 Ariz. 481, 610 P.2d 483 (App.1980). Dr. Peairs argues that because the restrictive covenant involves the medical profession it should be per se unenforceable. Dr. Peairs cites a 1985 opinion of the Council on Ethical and Judicial Affairs of the American Medical Association (AMA). This opinion discourages any agreement between physicians which restricts the right of a physician to practice medicine in a particular area or for a specific time as not in the public interest.
Dr. Peairs also relies upon Ladd v. Hikes, 55 Or.App. 801, 639 P.2d 1307 (App. 1985) and Dick v. Geist, 107 Idaho 931, 693 P.2d 1133 (App.1985). These cases are in-apposite. In Ladd, the court held that a restrictive covenant between a medical partnership and an opthalmologist was not contrary to public policy even though the Oregon Medical Association had adopted a resolution similar to the opinion issued by the AMA. 55 Or.App. at 804, 639 P.2d at 1310. In Dick, the court refused to enforce a restrictive covenant preventing two doctors from practicing pediatrics and neo-natology, respectively, because to do so created serious impairment to the welfare of the public in the enjoined area. 107 Idaho at 935, 693 P.2d at 1137.
We agree that employment covenants restricting physicians in the practice of medicine involve public policy implications and should therefore be closely scrutized. We reject, however, Dr. Peairs’ suggestion that all such covenants not to compete are unenforceable as against public policy. We also decline to rule that Dr. Peairs’ covenant is totally unenforceable as against public policy. The evidence at the hearing does not support a finding that the northwest area of Phoenix will be without adequate orthopaedic coverage because Dr. Peairs has been enjoined from practicing in that area. Dr. Rosen testified that, besides the doctors of POS, there are several ortho-paedic surgeons on staff at the hospitals in the restricted area. Dr. Peairs acknowledged that at least one other orthopaedic surgeon in the area is competent in the sports medicine specialty.
Dr. Peairs seeks modification of the covenant so as to allow him to (1) practice at those hospitals in the restricted area at which POS practices little or no medicine, (2) respond to requests from those hospitals contacting Dr. Peairs to render treatment after POS has declined, and (3) render treatment to those patients who have insurance with companies with which POS declines to transact.
Generally, restrictive covenants regarding competition of former employees are either reasonable and enforceable or unreasonable and unenforceable. Arizona courts have rejected requests that such agreements be modified. Olliver/Pilcher, 148 Ariz. at 532-33, 715 P.2d at 1220-21.
Significantly, the covenant has already been modified in two respects. The trial court permitted Dr. Peairs to continue as team physician to Deer Valley High School and to treat his patients who seek emergency treatment in the emergency room of a hospital within the restricted area.
At first blush, the modification of the covenant in these two respects would appear to be contrary to the principles announced in Olliver/Pilcher. There the supreme court followed the “blue pencil” approach to restrictive covenants:
If it is clear from its terms that a contract was intended to be severable, the court can enforce the lawful part and ignore the unlawful part. Where the severability of the agreement is not evident from the contract itself, the court cannot create a new agreement for the parties to uphold the contract.
148 Ariz. at 533, 715 P.2d at 1221 (citations omitted). See also Corbin on Contracts § 1390 (1951).
However, Olliver/Pilcher is distinguishable for two reasons. First, the employment contract in the matter before us states, “should any provision of this Agreement be, or become, unenforceable, the remaining provisions shall nevertheless be carried into effect.” In Olliver/Pilcher, there was nothing in the employment contract to indicate severability. 148 Ariz. at 533, 715 P.2d at 1221. Second, while Olliver/Pilcher involved an employment contract of an insurance salesman, the contract before us is between medical professionals whose services are necessary for the welfare of the public. While we decline to declare that the covenant between these professionals is per se unenforceable, we affirm the trial court’s action in modifying the terms of the covenant.
For the reasons set forth above, we affirm.
ATTORNEYS’ FEES
We decline to award attorneys’ fees, each side to bear its own costs.
HOWARD and HATHAWAY, JJ., concur.
. Paragraph 12 of the employment agreement states in part: "This agreement shall terminate ... [a]fter sixty (60) days written notice by either Phoenix [POS] or Peairs to the other."
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OPINION
BROOKS, Judge.
Westmoor Electric, Inc. (Westmoor), an account debtor, appeals from the trial court’s entry of summary judgment in favor of Independent National Bank (the bank), an assignee of the account. Westmoor made payments to the bank’s assignor, Western Communications, Inc. (WCI), after it received notice of the assignment and directions to pay the bank. We must determine whether the trial court correctly found that Westmoor is liable to the bank for these payments.
We find that the bank’s wrongful payment claim against Westmoor is subject to claims and defenses arising from Westmoor’s contract with the bank’s assignor, WCI, that Westmoor could have asserted against WCI. We further find that genuine issues of material fact exist as to whether Westmoor has valid claims and defenses against WCI that would result in its owing nothing to the bank despite its failure to comply with the payment directions. We therefore reverse the trial court’s entry of summary judgment in the bank’s favor and remand.
We are mindful that summary judgment is only appropriate where the record demonstrates that there is no dispute as to any material fact, that only one inference can be drawn from the undisputed material facts, and that based upon those facts, the moving party is entitled to judgment as a matter of law. Haralambie v. Pima County, 137 Ariz. 207, 669 P.2d 984 (App.1983). In reviewing the trial court’s grant of summary judgment for the bank, we must view the facts and all inferences that reasonably arise from them in the light most favorable to Westmoor, the nonmoving party. Farmers Ins. Co. v. Vagnozzi, 138 Ariz. 443, 675 P.2d 703 (1983).
FACTS
Westmoor was the successful bidder on a subcontract for the complete installation of all electrical equipment at the Yuma County Sheriff’s Office and Detention Center in Yuma, Arizona. Part of the subcontract required Westmoor to design and install seven separate electrical systems for the detention center. In November of 1984, Westmoor subcontracted this portion of its subcontract to WCI for a total price of $480,000. Within three months, Westmoor discovered that WCI was having financial difficulties. It received a notice which stated that the Internal Revenue Service had filed a tax lien against WCI. In addition, some of the manufacturers who were supplying WCI with the required electrical system equipment and material told Westmoor that WCI was not paying them. They therefore refused to deliver any more equipment or materials unless they were paid directly or by joint checks.
Westmoor realized that any failure of performance on WCI’s part would probably subject Westmoor to the penalty provisions of its own subcontract with the prime contractor. It therefore met with WCI in May of 1985 and modified the contract to provide for the orderly payment of the material suppliers, the disposition of the Internal Revenue Service lien, and WCI’s work on the job. The material modifications of the contract were as follows:
1. By the end of July, August and September, 1985 Westmoor Electric, Inc. would pay to Internal Revenue Service $10,000 each month and by the end of October, 1985 the balance of $9,642.77 to satisfy the Tax Lien filed against Westmoor Electric, Inc. for Western Communications, Inc. tax obligation.
2. Joint checks made to Western Communications, Inc. and its suppliers would be issued each month for materials and equipment furnished to the project, less a 10 percent retainage.
3. $3,500.00 each month would' be issued to Western Communications, Inc.
4. Within 30 days after completion and final acceptance of the project Westmoor Electric, Inc, would issue a check to Western Communications, Inc., less all previously paid amounts to the Internal Revenue Service, the joint checks as stated above and to Western Communications, Inc.
According to Westmoor’s president, the $3,500 monthly payment to WCI represented the amount necessary to keep WCI’s office running so that it could remain on the project.
Despite the new arrangements, WCI’s failure to comply with its agreement with Westmoor continued. WCI cashed checks that Westmoor made out to it and to certain suppliers jointly, without paying the suppliers the amounts that they were owed. It also failed to pay other suppliers. Westmoor tried to keep the work going by modifying the agreement again. The February 12, 1986, modification provided, among other things, that Westmoor would make payments directly to WCI’s employees and suppliers. WCI eventually walked off the job and refused to perform. On May 5, 1986, Westmoor formally terminated WCI’s work on the project. Westmoor finished the work itself at a cost that exceeded the original contract price by $93,-060.58.
While some of these events were taking place, WCI borrowed $10,778.04 from the bank. It executed a promissory note for that amount on August 2, 1985. The note was secured by an agreement that granted the bank a security interest in WCI’s inventory, equipment, accounts and other rights to payment, and general intangibles. WCI’s president, James H. Clark, also executed a guarantee of WCI’s obligations. WCI defaulted in the payment of its indebt-, edness to the bank, leaving the principal balance of $10,778.04 owing.
On November 5, 1985, after WCI defaulted on the note, the bank notified Westmoor by letter that WCI had specifically assigned its right to payments from the Yuma County jail project to the bank and that it had also provided the bank with a general assignment of its rights pursuant to the security agreement. The letter directed Westmoor to make all future payments stemming from its obligations to WCI directly to the bank. On December 5, 1985, WCI’s president also notified Westmoor by letter that until further notice, Westmoor was to make all future payments directly to the bank.
Despite receiving these notices, Westmoor continued to pay WCI for the work done on the construction project. Payments that Westmoor made directly to WCI between November 20, 1985, and April 24, 1986, totalled $22,557.80. Payments that Westmoor made jointly to WCI and various suppliers during November and December of 1985 totalled $32,894.31. Westmoor made no payments to the bank and refused the bank’s subsequent demands for payment.
On March 28, 1986, the bank filed suit against WCI, Clark, and Westmoor. It charged WCI and Clark with default under the promissory note and guarantee agreement. It charged Westmoor with making wrongful payment to WCI after receiving notice of the bank’s assignment of WCI's rights to payment. The trial court granted the bank’s motion for summary judgment against Westmoor. It entered judgment in the amount of $10,778 plus interest, costs, and attorney’s fees in the bank’s favor. Westmoor appeals from this judgment.
DISCUSSION
Westmoor does not deny that it was an “account debtor” as that term is used both in case law and in Arizona’s version of the Uniform Commercial Code. See A.R.S. § 47-1101 et seq. It also does not deny that it received notification that WCI had assigned its rights to receive payments under the construction contract to the bank. Finally, it does not deny that both the bank and WCI’s president directed it to make all future payments stemming from its obligations to WCI directly to the bank.
It is well settled that when an account debtor receives notice of a valid assignment and directions to pay to the assignee, the account debtor becomes liable to pay the assignee. Valley Nat’l Bank v. Flagstaff Dairy, 116 Ariz. 513, 570 P.2d 200 (App.1977); Bank of Yuma v. Arrow Constr. Co., 106 Ariz. 582, 480 P.2d 338 (1971); Greene v. Reed, 15 Ariz.App. 110, 486 P.2d 222 (1971). Generally, an account debtor who disregards directions to pay the assignee and instead pays the assignor remains liable to the assignee. Van Waters and Rogers, Inc. v. Interchange Resources, Inc., 14 Ariz.App. 414, 484 P.2d 26 (1971). The bank argues that since Westmoor made $22,557.80 in payments to WCI after it received notice of the assignment and directions to pay the bank, the trial court correctly granted summary judgment to the bank against Westmoor for WCI’s $10,778 debt to the bank.
In response, Westmoor argues that the aforementioned principles of law are not applicable to the extent that the account debtor has defenses or claims that arise from the preexisting contract between it and the assignor. Westmoor urges us to find that summary judgment was improper in this case because the record demonstrates that material issues of fact exist as to whether it had any claims or defenses under the construction contract that would absolve it from liability to the bank.
Westmoor is correct in arguing that as an account debtor, it is entitled to assert against the assignee any claims and defenses arising out of its contract with the assignor that it would have been able to assert against the assignor itself. This principle is well established both by statute and by case law. See A.R.S. § 47-9318(A). As we stated in Business Financial Services v. Butler and Booth Development Co., 147 Ariz. 510, 512, 711 P.2d 649, 651 (App.1985):
[A]n assignee, cannot stand in any better position than its assignor, ... Farmers Acceptance Corp. v. DeLozier, 178 Colo. 291, 496 P.2d 1016 (1972). This position is made clear by the Restatement (Second) of Contracts, § 336, comment b (1981):
[T]he assignment of a non-negotiable contractual right ordinarily transfers what the assignor has but only what he has. The assignee’s right depends on the validity and enforceability of the contract creating the right, and is subject to limitations imposed by the terms of that contract and to defenses which would have been available against the obligee had there been no assignment.
In Butler, we concluded that an assignee was not entitled to money that he claimed was owed to him under a construction contract because a defense to the contract existed in that the assignor had failed to perform and therefore would not itself have been entitled to payment from the account debtor.
Similarly, in Business Financial Services v. AGN Development Corp., 143 Ariz. 603, 607, 694 P.2d 1217, 1221 (App.1984), we quoted from the Superior Court of New Mexico, which made the following statement in Associates Loan Co. v. Walker, 76 N.M. 520, 523, 416 P.2d 529, 531 (1966):
The fundamental rule of law, unchanged by the quoted section of the Uniform Commercial Code, is that an as-signee of a chose in action acquires by virtue of his assignment nothing more than the assignor had and all equities and defenses which could have been raised by the debtor against the assignor are available to the debtor against the assignee.
In the AGN Development case, we found that an account debtor was not liable to the assignee for payments that it made in the form of joint checks to the assignor and to third parties who had supplied labor and materials under a construction subcontract. In making our finding, we noted that the account debtor had reserved the right in its contract with the assignor to pay material-men and laborers directly and to deduct such payments from the amount that it owed the assignor. We concluded that the assignee’s claim for payment was subject to the defense created by the account debt- or’s reservation of rights in its preexisting contract with the assignor.
In the case now before us, the bank has not claimed that the $32,894.31 in checks made out jointly to WCI and its various suppliers was improperly paid. The bank presumably recognizes that as WCI’s as-signee, its right to receive payments under the construction contract was subject to the modification that the contracting parties made before the assignment took place. This modification provided that Westmoor could issue joint checks to pay WCI’s suppliers. The bank only complains of the $22,557.80 that Westmoor paid to WCI alone.
In urging us to affirm the judgment entered in its favor, the bank appears to take the position that the rule which provides that an assignee’s rights are subject to the claims and defenses arising under the contract applies only where the account debtor has not yet made the payments or has made payments only to persons other than the assignor. It contends that the rule has no application when the assignee has made payments directly to the assignor after receiving notice of the assignment and directions to pay the assignee. The bank cites the following passage in support of its argument:
After notice to the owner of an assignment of the proceeds, he is not warranted in making payments directly to the contractor. If he does so, such payments are at his peril, and the assignee may recover the amount of his assignment even though there is not a sufficient sum remaining in the owner’s hands out of the contract price to meet the assignment.
13 Am.Jur.2d Building and Construction Contracts § 92, at 91-92 (1964).
We do not agree with the bank’s assertion that an account debtor who pays the assignor after being instructed to pay the assignee is precluded from raising defenses and claims arising from his contract with the assignor in an action for wrongful payment filed by the assignee. The bank has cited nothing that so holds. The American Jurisprudence passage that it relies upon only states that if the account debtor makes payments to the assignor after receiving notice of the assignment, he makes those payments “at his peril.” In other words, he will be liable to the assignee for the payments in the absence of claims or defenses that he could have asserted against the assignor. In addition, a number of Arizona cases have recognized the account debtor’s right to raise defenses in wrongful payment actions. See Valley Nat’l Bank v. Flagstaff Dairy, 116 Ariz. 513, 570 P.2d 200 (App.1977); Van Waters and Rogers, Inc. v. Interchange Resources, Inc., 14 Ariz.App. 414, 484 P.2d 26 (1971); United Bank v. Romanoski Glass and Mirror, 14 Ariz.App. 90, 480 P.2d 1007 (1971). We therefore conclude that the issue for determination in this case is whether Westmoor presented evidence of a possible claim or defense arising under the construction contract that would prevent it from being liable to the bank for the payments that it made to WCI after it received notice of the assignment and directions to pay the bank.
Some of Westmoor’s contentions regarding its possible claims or defenses have no merit and are disposed of easily. For example, Westmoor seems to argue that it was entitled to make payments directly to WCI if WCI used the money solely for overhead and labor. It maintains that WCI agreed to do so. An issue of fact may exist as to whether WCI used the money in this way. However, we do not agree that WCI’s use of the money in accordance with this agreement could give rise to a defense that would absolve Westmoor from liability for paying WCI after being directed to pay the bank. It is irrelevant how WCI planned to use the money; it only matters that Westmoor made payments to WCI knowing that WCI had assigned its rights to all payments due it under the contract to the bank.
Westmoor also seems to suggest that WCI was already in default before the assignment took place and that, as a result, it was not indebted to WCI under the contract for the sums that it paid to it follow ing the assignment. The gist of this argument is that if WCI was not entitled to the funds, then the bank as WCI’s assignee was not entitled to them either] However, while WCI may have been in breach at one time, we note that Westmoor and WCI modified their agreement to allow performance to continue. Generally, when a party to a contract permits the breaching party to perform, he waives the breach. Frei v. Hamilton, 123 Ariz. 544, 601 P.2d 307 (App.1979).
Westmoor primarily relies on the fact that WCI eventually walked off the job, leaving Westmoor to complete it at a cost overrun of $93,060.58. Westmoor contends that it would have had a set-off right for this amount against WCI for its failure to complete the work. We agree that Westmoor has presented a fact issue as to whether it would have been entitled to a set-off under its contract with WCI for WCI’s failure to finish its performance. We also agree that the question of Westmoor’s liability for the payments that it made to WCI after being directed to pay the bank must abide trial of this fact issue. Depending on the amount of the set-off that Westmoor may establish, it may not have owed WCI the sum that it paid WCI after being directed to pay the bank. Westmoor cannot be liable for making payments to WCI that it did not actually owe under the contract.
WCI’s breach that gave rise to the possible set-off against it under the contract did not occur until after Westmoor had notice of the assignment. However, that does not prevent Westmoor from asserting this claim or defense. Arizona Revised Statute section 47-9318(A) provides:
A. Unless an account debtor has made an enforceable agreement not to assert defenses or claims arising out of a sale as provided in section § 47-9206 the rights of an assignee are subject to:
(1) All the terms of the contract between the account debtor and the assignor and any defense or claim arising therefrom; and
(2) Any other defense or claim of the account debtor against the assignor which accrues before the account debtor receives notification of the assignment.
Comment 1 to section 9-318 of the Uniform Commercial Code, from which A.R.S. section 47-9318(A)(l) and (2) are taken, points out the distinction between these two subsections of the statute. Claims and defenses arising independently of the contract may be asserted by the account debtor only if they arise before notice of assignment. However, claims or defenses arising out of the contract may be asserted by the account debtor whether the breach giving rise to such claims or defenses arises before or after notification of assignment.
In oral argument in this court, counsel for the bank noted that Westmoor did not cite section 47-9318(A)(l) in the trial court. However, Westmoor did argue in the trial court that the bank was subject to claims and defenses that arose from the contract between Westmoor and WCI. In support of this argument, Westmoor cited Business Financial Services v. Butler and Booth Development Co., 147 Ariz. 510, 711 P.2d 649 (App.1985) and Business Financial Services v. AGN Development Corp., 143 Ariz. 603, 694 P.2d 1217 (App. 1984), both of which discuss section 47-9318(A)(1). We believe that this sufficiently preserved Westmoor’s argument for appeal.
The bank has not addressed the question of whether Westmoor’s set-off claim is a “claim” within the meaning of A.R.S. section 47-9318(A). From our research, we find that courts have consistently treated a set-off as such a “claim”. See, e.g., Butler, 147 Ariz. at 512-13, 711 P.2d at 651-52; Farmers Acceptance Corp. v. DeLozier, 178 Colo. 291, 496 P.2d 1016 (1972); Seattle-First Nat’l Bank v. Oregon Pac. Indus., Inc., 262 Or. 578, 500 P.2d 1033 (1972). Where the claimed set-off arises from the contract that was entered into by the account debtor and the assign- or, the account debtor is entitled to assert the set-off even though the breach giving rise to the set-off claim occurred after notice of assignment was given. See Ertel v. Radio Corp. of America, 261 Ind. 573, 307 N.E.2d 471 (1974); James Talcott, Inc. v. H. Corenzwit and Co., 76 N.J. 305, 387 A.2d 350 (1978).
CONCLUSION
We are satisfied that Westmoor is entitled to trial on the issue of whether WCI’s contractual liability to Westmoor was such that Westmoor did not actually owe WCI the payments that it made to it after receiving notice of the assignment. For this reason, we reverse the trial court’s judgment and remand for further proceedings consistent with this decision.
ATTORNEY’S FEES ON APPEAL
Westmoor requests its attorney’s fees on appeal pursuant to A.R.S. § 12-341.01(A). We deny this request without prejudice to the right of the trial court, in its discretion, to award Westmoor attorney’s fees for this appeal should Westmoor ultimately prevail on the merits.
Reversed and remanded.
CLABORNE, P.J., and MEYERSON, J., retired, concur.
NOTE: The Honorable Bruce E. Meyerson, retired, was authorized to participate in this appeal by the Chief Justice of the Arizona Supreme Court pursuant to Ariz. Const, art. 6, § 20, and A.R.S. § 38-813.
. A.R.S. section 47 — 9105(A)( 1) defines an “account debtor" as a person “who is obligated on an account, chattel paper or general intangible."
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LACAGNINA, Judge.
John Flynn’s personal injury action was dismissed for lack of prosecution after the trial court denied his motion to continue the • case on the court’s inactive calendar under Uniform Rule V(e), Ariz.Uni.R.P.Super.Ct., 17B A.R.S. Additionally, the trial court denied his request for relief under Ariz.R. Civ.P. 60(c), 16 A.R.S., and A.R.S. § 12-504, this state’s savings statute, and the court of appeals affirmed. Flynn v. Comoyer-Hedrick Architects & Planners, Inc., 160 Ariz. 187, 772 P.2d 10 (App.1989).
Timothy and Deborah Jepson’s personal injury action was also dismissed for lack of prosecution pursuant to Rule V(e). The trial court denied their motion for relief under Rule 60(c) and, alternatively, under the savings statute. The court of appeals affirmed the trial court’s denial of Rule 60(c) relief but reversed the denial of relief under A.R.S. § 12-504. Jepson v. New, 160 Ariz. 193, 772 P.2d 16 (App.1989).
Flynn and Jepson were decided by different departments of the same division of the court of appeals, each prescribing a different test for granting relief under the savings statute. Because of the conflict within the appellate court and the uncertainty and confusion among trial courts and practitioners, we consolidated these cases and granted review. We adopt the test applied by the court of appeals in Flynn and reject the tests applied in Jep-son. However, we find that the trial court abused its discretion in denying the Jep-sons relief under Rule 60(c). We have jurisdiction pursuant to Ariz. Const, art. 6, § 5(3) and A.R.S. § 12-120.24.
FACTS AND PROCEDURAL HISTORY
A. Flynn v. Cornoyer-Hedrick
On December 17, 1983, John Flynn fell on a stairway of an office building. In September 1985, his trial counsel sent letters to the liability carriers of potential defendants, outlining Flynn’s damages and making a settlement offer. On December 17, 1985, Flynn filed a complaint against the owner, designer, builder and manager of the building. The defendants’ liability carriers were not advised that a lawsuit was filed until June 1986.
On August 22, 1986, the court administrator issued a standard Rule V(e) notice placing the case on the inactive calendar on September 22, 1986, for dismissal on November 24, 1986. On September 17 Flynn served the defendants and on November 20, he filed a motion to continue the case on the inactive calendar with oral argument set for January 1987. The defendants opposed the motion and filed a motion to dismiss for lack of prosecution. In the meantime, the case was automatically dismissed for failure to comply with Rule Y. Flynn moved to set aside the dismissal under Rule 60(c). The trial court granted the defendants’ motion to dismiss, ruled the 60(c) motion was moot, and denied Flynn’s subsequent motion for relief under A.R.S. § 12-504. Flynn appealed.
The court of appeals agreed with the trial court that Flynn failed to establish good cause to justify a continuance of the case on the inactive calendar, rejecting Flynn’s argument that the trial court abused its discretion under Gorman v. City of Phoenix, 152 Ariz. 179, 731 P.2d 74 (1987). After comparing the facts in Gor-man to those in Flynn’s case, the court of appeals further concluded that Flynn was neither entitled to a continuance of the case on the inactive calendar nor relief from the judgment of dismissal under Rule 60(c). Additionally, the court of appeals found that the trial court correctly denied Flynn’s request for relief under A.R.S. § 12-504, applying a test derived from Gorman, which balances the prejudice to the respective parties while considering whether the plaintiff acted reasonably and in good faith and prosecuted the case diligently and vigorously, and whether a procedural impediment affected the plaintiff’s ability to file a second action.
Flynn petitioned this court for review, contending that the court of appeals test for granting relief under § 12-504(A) is the equivalent of the standard used under Rule 60(c), rendering the savings statute superfluous, and that the test should instead balance the prejudice to the parties, and that the trial court did not give ongoing settlement negotiations sufficient weight.
B. Jepson v. New
On December 18, 1983, a collision occurred between two vehicles, one driven by Irene Hasal (owned by Stephen and Harriet Brown) and one driven by Cynthia New (owned by James and Jane Doe New). The Jepsons, passengers in the Hasal vehicle, were injured; on October 1,1985, they filed a complaint against the drivers and owners of both vehicles. In July 1986, a Rule V notice was issued that the case would be placed on the court’s inactive calendar on August 1, 1986, for dismissal on October 1. The Jepsons obtained an ex parte continuance of the dismissal date to December 1.
In July, August and September of 1986, the Jepsons served the defendants with summonses, complaints and discovery and responded to discovery. On December 1, 1986, the case was automatically dismissed for lack of prosecution, unbeknownst to the parties who continued to engage in discovery. The Jepsons filed their list of witnesses and exhibits in accordance with Rule V(a). After receiving the judgment of dismissal dated December 17, 1986, the Jepsons moved to set aside the judgment under Rule 60(c) and for alternative relief under A.R.S. § 12-504. The motion was denied, and the Jepsons appealed.
The court of appeals found the trial court did not abuse its discretion in denying the Jepsons relief under Rule 60(c)(6) but reversed the court’s denial of relief under the savings statute. It found that the trial court erroneously applied the same standard for granting relief under Rule 60(c)(6), a standard emphasizing the plaintiff’s diligence in prosecuting the action, to its determination of whether relief was warranted under the savings statute. Rejecting this standard, the standard applied in Flynn, the court of appeals held that trial courts must compare the prejudice to the parties while considering the litigants’ reasonable and good faith conduct. Applying that standard, the court concluded the Jep-sons were entitled to relief under the savings statute.
The defendants petitioned this court for review, contending that the court of appeals applied the wrong standard and that the standard articulated in Flynn should have been adopted. Under that standard, they argue, relief under A.R.S. § 12-504 must be denied and the trial court affirmed. The Jepsons cross-petitioned, claiming that, based on Gorman, the trial court abused its discretion in denying relief under Rule 60(c)(6).
DISCUSSION
A. Flynn v. Comoyer-Hedrick
1. ' Motion to Continue on Inactive Calendar, Dismissal and Rule 60(c)
We first consider whether the trial court abused its discretion in denying Flynn’s motion to continue the ease on the inactive calendar, dismissing the case for lack of prosecution and denying his motion for Rule 60(c) relief.
Rule V(e) provides in part as follows:
(e) Inactive Calendar. The clerk of the court or court administrator shall place on the Inactive Calendar every case in which a Motion to Set and Certificate of Readiness has not been filed within nine months after the commencement thereof,____ All cases remaining on the Inactive Calendar for two months shall be dismissed without prejudice for lack of prosecution, and the court shall make an appropriate order as to any bond or other security filed therein, unless prior to the expiration of such two months period:
(1) A proper Motion to Set and Certificate of Readiness is filed; or
(2) The court, on motion for good cause shown, orders the case to be continued on the Inactive Calendar for a specified period of time without dismissal.
In exercising its discretion to grant a continuance, the trial court considers the same conditions that permit relief under Rule 60(c), provided that the good cause required by Rule V(e)(2) is shown. Campbell v. Deddens, 93 Ariz. 247, 251, 379 P.2d 963, 965 (1963); Hyman v. Arden-May Fair, Inc., 150 Ariz. 444, 448, 724 P.2d 63, 67 (App.1986). Thus, the litigant must first establish any of the Rule 60(c) bases for relief and, where the basis is under Rule 60(c)(6), the litigant must show extraordinary circumstances of hardship or injustice justifying relief. Davis v. Davis, 143 Ariz. 54, 57, 691 P.2d 1082, 1085 (1985). Where the case will be dismissed for lack of prosecution under Rule V(e), the court also considers the factors set forth in Gorman: (1) vigorous pursuit of the case, (2) steps taken to inform the court of the case’s status, and (3) prejudice to the moving party, such as the running of the statute of limitations. 152 Ariz. at 183, 731 P.2d at 78. The movant must also show that he acted promptly in seeking the continuance and that his claim is meritorious. Id.
Whether the facts establish good cause under Rule V(e)(2) is a matter left to the sound discretion of the trial court. Walker v. Kendig, 107 Ariz. 510, 489 P.2d 849 (1971). Applying the Gorman test, the court of appeals concluded that Flynn had failed to demonstrate good cause to continue the case on the inactive calendar and, therefore, did not demonstrate that he was entitled to relief. We agree.
The record reveals that Flynn's trial counsel communicated with the defendants’ insurance carriers in September 1985, almost two years after the accident and approximately three months before the complaint was filed. Flynn contends there were settlement discussions with the defendants’ carriers, although the record fails to reveal the extent of these negotiations; the last discussion was apparently in mid-August 1986. Flynn did not serve the defendants until he received the Rule Y notice; he never served the defendants with discovery. He did not file a motion to continue the case on the inactive calendar until four days before the dismissal date. Additionally, Flynn did not ask for accelerated oral argument on his motion and the case was automatically dismissed with prejudice for lack of prosecution on December 2.
Additionally, where the sole reason given for the failure to prosecute a case is that the parties were engaging in settlement negotiations, good cause has not been shown. Settlement negotiations may be considered by the trial court in exercising its discretion, but the trial court decides how much weight that factor should be given. A “desultory exchange of settlement letters ... may count for very little.” Gorman, 152 Ariz. at 183, 731 P.2d at 78. Flynn argues that the trial court did not give sufficient weight to the settlement negotiations here. Based upon our review of the record, there is very little evidence regarding the extent of such negotiations. Even assuming they were extensive and in earnest, Flynn is not excused from complying with applicable rules of practice or from pursuing his case diligently. Granting the trial court the broad discretion to which it is entitled, see Bickerstaff v. Denny’s Restaurant, Inc., 141 Ariz. 629, 688 P.2d 637 (1984), we cannot say the denial of the continuance on the inactive calendar was an abuse of that discretion.
There are also insufficient grounds for setting aside the dismissal. The only basis set forth in Flynn’s Rule 60(c) motion was that he had filed a motion to continue the case on the inactive calendar. Flynn did not vigorously pursue his case and was seriously remiss in advising the court of its status. Although the running of the statute of limitations presents an extraordinary hardship to Flynn, this fact alone does not constitute grounds for relief under Rule 60(c)(6). Bickerstaff, supra.
2. Savings Statute
Our discussion of the trial court’s denial of relief under § 12-504 requires an overview of the history of the provision and its underlying purposes.
A.R.S. § 12-504(A) provides as follows:
A. If an action is commenced within the time limited for the action, and the action is terminated in any manner other than by abatement, voluntary dismissal, dismissal for lack of prosecution or a final judgment on the merits, the plaintiff, or a successor or personal representative, may commence a new action for the same cause after the expiration of the time so limited and within six months after such termination. If an action timely commenced is terminated by abatement, voluntary dismissal by order of the court or dismissal for lack of prosecution, the court in its discretion may provide a period for commencement of a new action for the same cause, although the time otherwise limited for commencement has expired. Such period shall not exceed six months from the date of termination.
This provision was enacted in response to our call to the legislature in Hosogai v. Kadota, 145 Ariz. 227, 700 P.2d 1327 (1985), to enact a general savings statute. In Hosogai, the plaintiff filed a timely wrongful death action and obtained a jury verdict in her favor. That judgment was overturned on grounds of defective service of process and failure to obtain personal jurisdiction over the defendant, a resident of Japan. The plaintiff filed a second lawsuit which was dismissed because the statute of limitations had run. We reversed the dismissal and, in the absence of a savings statute, found that the statute of limitations equitably tolled.
Hosogai is instructive because it discusses the equitable tolling doctrine from which the savings statute evolved. However, the statute goes further than Hosogai, providing automatic relief in cases like Hosogai, as well as discretionary relief where an action is terminated by abatement, voluntary dismissal by order of the court or dismissal for lack of prosecution. Neither the statute nor the legislative record relating to the provision, however, indicate what factors should be considered by trial courts in exercising that discretion. The conflicting tests adopted by different departments of the court of appeals reflect the need for articulating such a standard.
We note initially that the very nature of the discretionary portion of the provision requires a case-by-case application and evaluation. Any standard, therefore, must be flexible. Moreover, the standard must ensure that the statute is not misused as a safe haven for the dilatory and a loophole through which parties may avoid the applicable rules of practice and procedure. Additionally, the standard must serve the policies underlying the equitable tolling doctrine. Courts should consider whether the purposes of the statute of limitations are being served, even where a savings statute has been enacted. Professor William D. Ferguson, The Statutes of Limitation: Saving Statutes 58 (1978).
In Hosogai, we noted that the primary policy underlying the statute of limitations is the protection of defendants and courts “from litigation of stale claims where plaintiffs have slept on their rights and evidence may have been lost or witnesses’ memories faded.” 145 Ariz. at 232, 700 P.2d at 1332 (iquoting Brooks v. Southern Pacific Company, 105 Ariz. 442, 444, 466 P.2d 736, 738 (1970)). We found that the purposes of the statute of limitations are furthered where the statute is equitably tolled after consideration of the following criteria:
(1) timely notice to the defendant in filing the first claim;
(2) lack of prejudice to the defendant in gathering evidence to defend against the second claim;
(3) reasonable and good faith conduct by the plaintiff in prosecuting the first action and diligence in filing the second action.
145 Ariz. at 233, 700 P.2d at 1333.
We consider the plaintiff's diligence important. The test applied by the court of appeals in Flynn accomplishes the purposes and promotes the policies of statutes of limitations by including diligence among the factors considered in determining whether to grant relief. Moreover, the Flynn test serves what we believe is the legislative purpose of the savings statute: to provide a “limited extension to prevent injustice.” Flynn, supra, 160 Ariz. at 192, 772 P.2d at 15 (emphasis in original).
We quote with approval the standard adopted by the court in Flynn:
A mere balancing of prejudice to each party should not constitute the sole factor considered by the trial court. Several factors must be considered in determining whether to permit a plaintiff to refile. The court should ascertain whether the plaintiff acted reasonably and in good faith, whether he prosecuted his case diligently and vigorously, whether a procedural impediment exists which affects his ability to file a second action, and whether either party will be substantially prejudiced.
The burden is on the plaintiff to present the particular circumstances that justify relief under § 12-50%
160 Ariz. at 192, 772 P.2d at 15 (emphasis added; citations omitted).
In adopting the Flynn standard, we necessarily reject the standard utilized in Jep-son. The Jepson court, in rejecting Flynn, noted that “diligence is no longer the hallmark” when relief is sought under the savings statute as opposed to Rule 60(c)(6). 160 Ariz. at 201, 772 P.2d at 24. “Rather, the focus shifts from diligence to good faith and comparison of prejudice when a party already denied 60(c)(6) reinstatement seeks permission for refiling under § 12-504.” Id. (emphasis in original). In granting relief on the facts in Jepson, the court of appeals focused primarily on the balancing of prejudice to the parties, and concluded that the defendants had shown no prejudice while the Jepsons showed the prejudice to them, the loss of their personal injury action, was great. In criticizing the standard articulated in Flynn, the Jepson court stated that “[b]y conditioning savings statute relief upon a showing of diligent prosecution, they have blurred the issue of refiling under § 12-504 with the issue of reinstatement under Rule 60(c)(6).” Id. Specifically, the court pointed out that if the plaintiff showed such diligence under the standard set forth in Gorman, Rule 60(c)(6) relief would be available; thus, where the plaintiff could not show sufficient diligence for Rule 60(c)(6) relief, the court stated, relief under A.R.S. § 12-504 would also be unavailable.
We disagree. First, where the statute of limitations has run and the test focuses primarily upon a balancing of prejudices, there would be an automatic exercise of discretion in favor of the plaintiff. There can hardly be any prejudice greater than the complete loss of a cause of action. Even where the defendant would be greatly prejudiced, such as where evidence has been lost or witnesses are no longer available, the defendant may not have the opportunity to demonstrate the prejudice because the relief is often sought ex parte. Regardless of the reason for the termination of the action, therefore, relief would almost always be granted, rendering meaningless the legislature’s distinction between the first sentence of paragraph A of § 12-504, and the second sentence of the paragraph.
Second, the Flynn test does not blur the distinction between relief under Rule 60(c)(6) and relief under the savings statute, nor does our interpretation of the statute render it superfluous, redundant or trivial. The distinction between Rule 60(c)(6) and A.R.S. § 12-504 is readily discernible. The relief sought under the two provisions is entirely different. Under Rule 60(c), the litigant is seeking reinstatement of the prior lawsuit; the savings statute, however, allows commencement of an entirely new action.
Also, 60(c) relief requires satisfaction of certain criteria that the statute does not. The provisions of Rule 60(c)(1) through (5) specify that the request for relief may be based on mistake, inadvertence, surprise or excusable neglect; newly discovered evidence which by due diligence could not have been discovered in time to move for a new trial; fraud, misrepresentation or oth er misconduct of an adverse party; a void judgment; and, the fact that the judgment has been satisfied, released or discharged, or a prior judgment on which it is based has been reversed or otherwise vacated, or when it is no longer equitable to apply the judgment prospectively. Rule 60(c)(6) is a catchall, providing relief for “any other reason justifying relief from the operation of the judgment.” As we have stated, in order to obtain relief under Rule 60(c)(6), a party must show extraordinary circumstances of hardship or injustice. Davis v. Davis, supra. Where Rule 60(c)(6) relief is sought from a Rule V dismissal for lack of prosecution, the litigant must show that the cause was prosecuted vigorously and diligently, that reasonable steps were taken to inform the court of the status of the case, and that substantial prejudice will result unless relief is granted. Gorman, supra, 152 Ariz. at 183, 731 P.2d at 78. Where relief is sought under any of the provisions of Rule 60(c), the litigant must also establish that relief was sought promptly and that a meritorious claim or defense existed. Id.
It is evident that the diligence necessary to obtain relief under Rule 60(c) should also be part of the standard for relief under the savings statute. First, as discussed above, it furthers the purposes of the statute of limitations and ensures that the savings statute is not abused by dilatory litigants. Second, we believe that a finding of diligence is implicit in the statute itself.
The fact that discretionary as opposed to automatic relief is available where an action is terminated by abatement, voluntary dismissal or lack of prosecution is significant. To avoid each type of termination requires some measure of diligence. The legislature did not intend the savings statute to be used as a respite for the litigant whose neglect resulted in one of these specific kinds of terminations in the first place. Their distinctive feature is even more clearly illustrated by comparing them to other kinds of dismissals, such as those listed under Ariz.R.Civ.P. 12(b), 16 A.R.S., for which automatic relief is available. Dismissals as discovery sanctions under Ariz. R.Civ.P. 37, 16 A.R.S., are another example. Diligence is simply not a necessary component in a case where automatic relief is granted under A.R.S. § 12-504. For example, no amount of diligence would have prevented the plaintiff from losing her claim in Hosogai where an appellate court determined that the trial court lacked personal jurisdiction over the defendant because of insufficient service of process.
The savings statute recognizes that a litigant may sometimes be entitled to relief, despite facts that suggest a lack of diligence. For example, an action abates unless service is effected within one year of the filing of a complaint or that abatement period is enlarged. Ariz.R.Civ.P. 6(f), 16 A.R.S. To obtain relief under the savings statute where the action has abated and been terminated, the plaintiff must show that despite diligent efforts, he was unable to effect service. Perhaps plaintiffs request for an enlargement of the abatement period under Rule 6(f) was denied. Perhaps, too, the plaintiff diligently tried to serve the defendant but neglected to seek an enlargement of the abatement period, after which the case was terminated. Although the litigant’s error may not be legally excusable under Rule 60(c), the circumstances may nevertheless justify relief under the savings statute.
With regard to a voluntary dismissal by order of the court, Ariz.R.Civ.P. 41(a)(2), 16 A.R.S., requires that the trial court consider the circumstances before dismissing a case. Whether to allow the dismissal is within the trial court’s discretion. State ex rel. Corbin v. Portland Cement Ass’n, 142 Ariz. 421, 690 P.2d 140 (App.1984). In exercising that discretion, the trial court must determine whether the dismissal would result in a violation of the defendant’s substantial legal rights. Schoolhouse Educational Aids, Inc. v. Haag, 145 Ariz. 87, 699 P.2d 1318 (App.1985). Where, for example, a plaintiff reasonably believes after diligent investigation that the complaint named the wrong individuals as defendants and obtains a dismissal by order of the court, only to discover after the statute of limitations had run that the correct parties had been named, relief under § 12-504 may be appropriate. The trial court’s discretion was required in determining whether dismissal was appropriate in the first place; it is only logical that its discretion also be required in determining whether a new action should be allowed. However, the savings statute was not intended to provide relief for those who dismiss an action because of their own folly in failing to ascertain the facts necessary for deciding whether to do so, or for those who have failed to diligently pursue their cases and want to file a new action so that they may start the “Rule V clock” running again.
Where an action is terminated for lack of prosecution, relief under the savings statute should only be granted where the plaintiff demonstrates that despite diligent pursuit of the case, it was dismissed. To hold otherwise would undermine the policies the savings statute was intended to serve and emasculate Rule V by providing an out for litigants who, for no good reason, fail to comply with the rule. Where the dismissal date passes unnoticed as a result of an error which may or may not amount to a legal excuse under Rule 60(c), and the case is dismissed for lack of prosecution, there still may be sufficient grounds for relief under the savings statute particularly where the parties are engaged in active litigation. Perhaps a defendant was served but disappeared after answering the complaint, making discovery impossible. Or perhaps the plaintiff’s medical status was unstable throughout the majority of the time the action was pending, seriously impeding vigorous prosecution of the case. Assuming the plaintiff demonstrates diligent efforts under the circumstances, relief under the savings statute may be warranted.
To a large extent the test articulated in Flynn is derived from the test in Gorman. Recognizing the similarities and the differences between Rule 60(c) and the savings statute, however, both in terms of the relief available and the factors justifying relief under each, we conclude that while a litigant may be entitled to relief under both provisions under certain circumstances, the two are significantly distinct. The savings statute coexists with and is not superfluous to the rule.
We now turn to the question of whether the trial court correctly denied Flynn leave to file a new complaint under A.R.S. § 12-504. The trial court must be granted broad discretion in determining whether to grant relief under the savings statute and, absent an abuse of that discretion, we will not disturb its decision on appeal. The court of appeals, in applying the correct test, found that because the record demonstrated Flynn’s substantial lack of diligence in pursuing the claim, the trial court did not abuse its discretion in denying his claim. We agree. Flynn’s conduct was not reasonable. Defendants’ carriers with whom his trial counsel had been in contact were not notified that litigation had been commenced until six months after the complaint was filed. The complaint was not served until nine months after it was filed. Flynn granted some of the defendants an open extension of the time for filing their answers even though he knew the case had been placed on the inactive calendar and that the dismissal date of November 24, 1986, was fast approaching. He did not initiate any discovery, failed to respond to the discovery propounded by defendants, and waited until just four days before the dismissal date before seeking a continuance on the inactive calendar. Even then, he did not seek accelerated oral argument on his motion and simply allowed the dismissal date to come and go.
We have already found that Flynn failed to diligently and vigorously prosecute the case, the second prong of the test. The lawsuit was filed and permitted to languish. Even assuming he was engaging in vigorous settlement negotiations, as Flynn contends, it does not change the fact that Flynn was dilatory in the prosecution of his claim.
Finally, although the case is now barred by the statute of limitations and in balancing the prejudice in that regard it appears that the hardship is greatest upon Flynn, all factors must be considered together. Under the circumstances, we con- elude that Flynn failed to sustain his burden of establishing circumstances justifying relief under A.R.S. § 12-504.
3. Additional Issues
Flynn raises two additional issues, neither of which merit reversal. First, he claims that because the trial court, in its April 7, 1987 minute entry, did not expressly state that it considered his reply memo-randa to the defendants’ response to Flynn’s motion for reconsideration, filed on April 3, 1987, the court must not have considered it, and therefore, the formal order which provided that the court considered all memoranda was erroneous. There is nothing in the record to support this argument. Even assuming the trial court did not consider the reply before entering the minute entry, Flynn brought the matter to the trial court’s attention in his objections to the form of order. Additionally, the terms of the judgment are controlling. See McFadden v. McFadden, 22 Ariz. 246, 196 P. 452 (1921). These factors support the inference that the trial court did consider the reply and rejected Flynn’s arguments. Assuming the trial court failed to consider Flynn's reply memorandum, Flynn has the burden of establishing prejudice, Gutierrez v. Gutierrez, 20 Ariz. App. 388, 513 P.2d 677 (1973), which will not be presumed but must appear affirmatively from the record, Rimondi v. Briggs, 124 Ariz. 561, 606 P.2d 412 (1980); prejudice has not been established here.
Second, Flynn argues Rule Y is discriminatory and constitutionally infirm as applied to residents of Maricopa and Pima counties. Flynn fails to specify how the administrative rule, designed to promote judicial expediency and efficiency, is constitutionally flawed. Moreover, we find the rule provides ample safeguards against unfairness, anticipating that continuances of cases on the inactive calendar may be justi-fled under the circumstances. This argument is meritless.
B. Jepson v. New
We first address the question of whether the trial court abused its discretion in denying the Jepsons’ motion to set aside the dismissal of the lawsuit under Rule 60(c)(6), which requires that we revisit our decision in Gorman. Citing Davis v. Davis, supra, we stated that “to obtain relief under Rule 60(c)(6), Gorman must show ‘extraordinary circumstances of hardship or injustice’ other than or in addition to those circumstances set out in clauses (1) through (5).” 152 Ariz. at 182, 731 P.2d at 77. We distinguished Gorman from Bickerstaff, noting that the record revealed the parties were actively involved in the prosecution of the case.
Uniform Rule V should be used to dispose of abandoned cases and to encourage litigants to resolve their disputes quickly. It should not be used to trap the unwary or the momentarily neg-ligent____ Uniform Rule V(e) should not be used to win a case by avoiding trial on the merits, unless the case, in fact, is not being prosecuted vigorously____ Bick-erstaff is not a weapon to be used to deny relief to those who are pursuing their claims and seeking their day in court.
152 Ariz. at 183, 731 P.2d at 78.
We went on to caution that where Rule V transforms a dismissal without prejudice into one with prejudice because the statute of limitations has run, trial courts should take “an especially hard look at the actual circumstances of the case before it.” Id.
We are not saying that relief under Rule 60(c)(6) is always available if the parties have not abandoned the case. Lawyers who fail to comply with Uniform Rule V(e) do so at their peril. Bickerstaff, supra. However, trial courts should consider carefully a Rule 60 motion to set aside a Uniform Rule V(e) dismissal when, as here, there is evidence that (1) the parties were vigorously pursuing the case, (2) the parties were taking reasonable steps to inform the court of the case’s status, and (3) the moving party will be substantially prejudiced by, for example, the running of the limitations period if the dismissal is not set aside. If all these factors are present, even doubtful cases should be resolved in favor of the party moving to set aside the dismissal. Walker [v. Kendig], 107 Ariz. [510] at 513, 489 P.2d [849] at 852. [1971].
152 Ariz. at 183-184, 731 P.2d at 78-79.
In Jepson, the court of appeals analyzed Rule 60(c) by focusing on Bickerstaff and Gorman and found that the facts fell within “a large intermediate area of cases neither vigorously prosecuted nor practically abandoned,” where “the trial court’s discretion counts for much.” Jepson, 160 Ariz. at 198, 772 P.2d at 21. The court could not conclude the trial court had abused that discretion in finding that the Jepsons’ discovery initiative was minor and that they were not “actively pursuing the ease.” Id.
The facts in Gorman and those in Jep-son are strikingly similar. In both cases, there was little activity for nearly a year after the complaints were filed. Thereafter, the parties engaged in active discovery, even after the dismissal date passed, and filed their list of witnesses and exhibits, clearly believing the case to be very much alive. To the surprise of all parties in both cases, judgments of dismissal for lack of prosecution were entered in the midst of active litigation.
In determining whether a case is being diligently and vigorously prosecuted, as contemplated by the Gorman test, trial courts should look at the activities of all parties involved, not just the plaintiff's. Although the record must show that the plaintiff is actively pursuing the case, it may be that discovery initiated by other parties benefits the plaintiff as well. Additionally, discovery need not be formal to evince vigorous prosecution. As in Jepson, where authorizations are provided for the release of medical information, discovery may be conducted by informal means.
Courts should also consider factors which may inhibit vigorous prosecution, notwithstanding diligence, such as impediments to serving defendants, a party’s unstable medical condition and difficulties locating witnesses for either investigatory or formal discovery purposes. Based upon the totality of the circumstances, we find that the Jepsons were prosecuting their case with sufficient diligence and vigor.
In addition, we find that the parties were taking reasonable steps to inform the court of the status of their case. This, too, will depend on the circumstances of each case. Courts may consider discovery notices, correspondence, motions and any other documents which provide the court with notice that a case is being pursued. For example, where parties are engaged in informal discovery, what will be considered reasonable steps to inform the court of the case’s status will be different than where they are engaging in formal discovery because there is no requirement that the court be apprised of such discovery. Unless the court sets a status conference, it may be unaware of the progress in such litigation. In Jepson, the record reveals that the case was formally and informally active both before and after the dismissal date. The trial court was apprised of the status of the litigation by the pleadings and other documents filed such as discovery notices and the list of witnesses and exhibits. We found similar steps to be reasonable in Gorman, and we find them reasonable here.
Finally, in Jepson as in Gorman, extraordinary circumstances justify granting relief. Both actions were dismissed in the midst of active litigation, and the Rule V dismissal came after the statute of limitations had run. The Jepsons, like Gorman, lost their claims despite diligent prosecution only because of a rule of practice designed to promote expediency and efficiency but which resulted in injustice.
A party seeking relief under Rule 60(c)(6) must also establish that he acted promptly in seeking relief and that he had a meritorious claim. Gorman, supra, 152 Ariz. at 183, 731 P.2d at 78; Bickerstaff 141 Ariz. at 631, 688 P.2d at 639. Although neither the trial court nor the court of appeals reached these issues, the record before us clearly establishes the satisfaction of both requirements. In concluding, we note Rule 60(c)(6) “vests power in courts adequate to enable them to vacate judgments whenever such action is appropriate to accomplish justice.” Webb v. Erickson, 134 Ariz. 182, 186, 655 P.2d 6, 10 (1982) (quoting Klap-prott v. United States, 335 U.S. 601, 615, 69 S.Ct. 384, 390, 93 L.Ed. 266 (1949)). Here, the denial of relief from the judgment of dismissal, entered in the midst of active litigation, undermines rather than accomplishes justice. We find that the Jep-sons satisfied their burden of establishing grounds for relief under Rule 60(c)(6), and the trial court abused its discretion in denying relief. In light of this determination, we do not address the question of whether the Jepsons are entitled to relief under the savings statute.
That portion of the court of appeals decision in Jepson affirming the denial of relief under Rule 60(c) is vacated and we remand the case to the trial court with instructions to set aside the judgment of dismissal and to enter reasonable deadlines for compliance with Rule V. The decisions of the court of appeals and the trial court in Flynn are affirmed.
GORDON, C.J., and CAMERON and MOELLER, JJ., concur.
. See "Minutes of the House Judiciary Committee" February 24, 1986, and "Minutes of the Senate Judiciary Committee” April 7, 1986.
. See also W. Ferguson, supra, at 58-59. As Professor Ferguson points out, "where the jurisdiction considers the diligence of the plaintiff to be an important facet of the statutes of limitation, this could be considered to prevent misuse of the savings statute.”
. Indeed, the state bar committee note to the 1983 amendment of Rule V provides in part: "Where a party has not had a reasonable opportunity to undertake discovery essential for trial preparation, or there are good reasons for not being able to list trial witnesses and exhibits at the time provided in Section (a) of this rule, or the filing of a motion to set and certificate of readiness is premature or otherwise improper, the case should not be set for trial. These new provisions are intended to permit full and timely preparation for trial by all parties. The mere fact that the rule was designed to expedite litigation does not render it unconstitutional.”
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OPINION
HOWARD, Judge.
This is an appeal from the granting of a summary judgment. The sole issue is whether a release signed by appellants precluded them from subsequently suing the bank.
We consider the facts in the light most favorable to appellants. Matter of Estate of Kerr, 137 Ariz. 25, 667 P.2d 1351 (App. 1983). In February 1984, appellants (Parrish) approached appellee (bank) for a loan to develop Gardner Mobile Home Estates. The bank’s assistant vice-president, George Rex, advised Parrish that the bank would not consider the loan because he had no experience as a contractor and suggested that W.A. Mutterer, dba Mutterer Construction Company, would make a good contractor and partner for the business. When this recommendation was made, the bank failed to disclose to Parrish that Mutterer was experiencing financial difficulty and was behind on his loans with the bank.
Parrish followed the recommendation of the bank, took on Mutterer as a partner, and the loan was made in the sum of $868,-000. Shortly after the loan was made, Mutterer became insolvent and failed to pay subcontractors on the mobile home park. Liens were placed on the park by the subcontractors and Parrish was unable to sell lots in the park. Mutterer filed for protection under Chapter 11 of the United States Bankruptcy Code on May 5, 1985.
The loan became delinquent and Parrish attempted a workout. On November 20, 1985, Parrish, Mutterer and other entities entered into an agreement to release Mutterer from the United Bank obligation. The Mutterer release was conditioned upon the bank agreeing to release Mutterer from liability on the $868,000 loan. Mutterer was in fact released from the bank obligation and Parrish entered into a second loan agreement for $187,000 with the bank. This loan agreement required Parrish to release the bank from any and all claims Parrish might have against the bank as of the date of the loan agreement. Specifically, the loan agreement provided in part:
Borrowers shall ... and hereby releases Lender from all claims, demands, liabilities and causes of action which Borrower may have against Lender as of the date hereof.
This attempt to salvage the project did not succeed. Parrish was personally responsible to the creditors of the venture and in 1987 was forced to file for bankruptcy.
According to an affidavit filed by Parrish in opposition to the motion for summary judgment, in 1987 Parrish met George Rex at a restaurant in Tucson and for the first time discovered that the bank knew that Mutterer or the entities that he was a part of were having financial difficulties and were not current on bank loans at the time the bank recommended him as a partner.
Parrish filed this action against the bank alleging fraud, negligent misrepresentation, breach of fiduciary duty, bad faith breach of contract, breach of contract, and violation of A.R.S. § 47-1203. The bank moved for summary judgment on the basis of the language in the release in the 1985 loan agreement, which the trial court granted.
CONTENTIONS OF THE PARTIES
Parrish’s theory of recovery is based on the failure of the bank to inform them of the financial condition of Mutterer when it recommended that Parrish take Mutterer as a partner. Appellant Parrish claims the release was not effective to release this claim against the bank because: (1) the claim was unknown to Parrish at the time the release was executed; (2) the release was obtained by fraud; (3) the release was “buried” in a paragraph entitled “INDEMNITY” and is therefore ambiguous, justifying relief on the basis of unilateral mistake.
The bank contends that Parrish presented no evidence as to the financial condition of Mutterer at the time the release was executed and no evidence that the release was obtained by fraud. It further contends that the terms of the contract are plain and unambiguous and that if there was any mistake it was unilateral.
DISCUSSION
I. The Release of Unknown Claims
The rule in Arizona is that a general release can be avoided on the ground of mutual mistake. Dansby v. Buck, 92 Ariz. 1, 373 P.2d 1 (1962). Arizona also recognizes that a unilateral mistake induced by misrepresentations or contractual ambiguities may constitute grounds for avoiding a release. Hendricks v. Simper, 24 Ariz.App. 415, 539 P.2d 529 (1975); Balmer v. Gagnon, 19 Ariz.App. 55, 504 P.2d 1278 (1973). Parrish was represented by counsel at all times when the loan agreement containing the release was negotiated, although counsel may not have been present when Parrish actually signed the agreement, and, contrary to Parrish’s assertions, the release is plain, evident and unambiguous.
The record does disclose a unilateral mistake. A unilateral mistake can be grounds for avoiding a release if at the time the release was entered into the other party knows or should have known of the mistake. See Basin Paving, Inc. v. Port of Moses Lake, 48 Wash.App. 180, 737 P.2d 1312 (1987). And see also Georgia-Pacific Corp. v. Levitz, 149 Ariz. 120, 716 P.2d 1057 (App.1986); 3 A. Corbin, Contracts § 610 (I960).3 While the record discloses that (1) Parrish knew Mutterer and Mutterer Construction Company had filed bankruptcy; (2) Parrish and Mutterer were joint venturers; (3) Parrish was negotiating with the bank because of the financial difficulties encountered by Parrish and Mutterer; and (4) Parrish had sued Mutterer and Parrish knew what his damages were, there is no evidence that Parrish knew or should have known of the bank’s concealment of Mutterer’s financial condition when the loan was originally made. Here there is a factual issue as to whether the bank knew or should have known that Parrish was mistaken as to the facts surrounding his damages and this unilateral mistake may be a basis for avoiding the release.
In view of our disposition of this issue, we need not discuss any other contentions asserted by Parrish.
The appellants have asked for and are entitled to their attorney’s fees on appeal which shall be awarded upon their compliance with 17B A.R.S. Civil Appellate Proc. Rules, Rule 21(c).
Reversed and remanded.
ROLL, P.J., and HATHAWAY, J., concur.
. No motion to strike or objection was made to this affidavit in the trial court and we express no opinion as to its use by the trial court.
. But see Witt v. Watkins, 579 P.2d 1065 (Alaska 1978), wherein the Alaska court disavows the mutual mistake/unilateral mistake dichotomy and instead states the test should be
whether, at the time of signing the release, the releasor intended to discharge the disability which was subsequently discovered. Relevant to the determination of this question are all of the facts and circumstances surrounding execution of the release. Also relevant to the determination is whether a reasonable person in the position of the releasor under the circumstances then existing would have had such an intent. 579 P.2d at 1068-69.
3. A release is a contract. Maxwell’s Electric, Inc. v. Hegeman-Harris Co., 18 Wash.App. 358, 567 P.2d 1149 (1977); Restatement (Second) of Contracts § 284(1) and introductory note to §§ 283-285 (1987).
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OPINION
HATHAWAY, Judge.
This appeal arises out of the execution of an installment purchase and security agreement and promissory note between the seller, Lasma Arabians, Ltd., an Arizona corporation, (Lasma) and the appellee buyers, James C. and Grace R. Wilson, Colorado residents (Wilson), which was subsequently assigned by Lasma to the appellant, Morgan Bank, a Delaware corporation (Morgan Bank). When Wilson defaulted on the note, Morgan Bank brought suit in Arizona and the trial court granted Wilson’s motion to dismiss for lack of personal jurisdiction with prejudice. Morgan Bank appeals the dismissal and we reverse.
FACTS
Lasma is a Florida limited partnership which owns and operates an Arabian horse farm in Oldham County, Kentucky, and whose general partner is an Arizona corporation. On October 24, 1985, Lasma and Wilson negotiated and executed an agreement and promissory note for the purchase of two Arabian horses in Kentucky.
The Installment Purchase and Security Agreement at paragraph 4 noted that the unpaid balance of the cash price was evi denced by the promissory note executed on that same date. The promissory note contains the following language: “This is the Note referred to in the Installment Purchase and Security Agreement between the same parties of even date herewith, and is secured according to the Security Agreement contained therein.” The purchase price was $1,125,000. Wilson paid $225,000 upon execution. The balance of $900,000 plus interest was due in installments as evidenced by the promissory note executed contemporaneously with the purchase and security agreement. The note provided that payment was to be made to Lasma Arabians, Ltd., in Scottsdale, Arizona. Lasma subsequently assigned its interest in the purchase agreement and note to Morgan Bank. Wilson was notified of the assignment in a June 3, 1986, letter received from Morgan Bank. The letter stated:
Please forward all future payments directly to the following:
Morgan Bank (Delaware) c/o Lasma Arabians, Ltd.,
Collection Agent 3116 E. Shea, Suite ’ 215 Phoenix, Arizona 85028
The installment purchase agreement included the following provision:
16. APPLICABLE LAW, JURISDICTION, VENUE AND ATTORNEYS’ FEES:
This contract shall be construed and governed by the laws of the state indicated above the signature lines. At the option of Seller, jurisdiction and venue for any dispute arising under or in relation to this contract shall be only in the Seller’s state and county, as set forth in paragraph 1 above. In the event lawsuit is brought with respect to this contract (or seller reposseses), the prevailing party shall be entitled to reasonable attorneys’ fees.
Typed into the blanks above the signature lines designating city, county and state, was: LaGrange, Oldham, Kentucky. These were also the lines which designated the place where the agreement was executed. Paragraph 1 contained the seller’s state and county: Arizona, Maricopa County-
PROCEDURE
Following the June 3, 1986, notification of assignment, Wilson sent payments to Morgan Bank’s collection agent Lasma in Arizona. On May 4, 1987, Wilson filed suit in Kentucky against Lasma alleging violations of the express warranties in the agreement regarding the health, soundness and fertility of one of the horses purchased, and demanding complete or partial rescission. Wilson defaulted on the note in July 1987. Standing in the shoes of the seller/assignor, Morgan Bank filed suit against Wilson in Arizona on April 8, 1988. Wilson filed a second suit in Kentucky for a declaratory judgment regarding its obligations under the assigned agreement and note on May 13, 1988. There is no further evidence in the record regarding the Kentucky actions except that they are pending. On May 16, 1988, Wilson filed a motion to dismiss Morgan Bank’s claim in Arizona for lack of personal jurisdiction. Morgan Bank responded that, pursuant to the forum selection clause, jurisdiction was proper in Arizona. Without explanation, the trial court granted the motion. Morgan Bank raises the following issues: (1) the trial court erred in granting the motion to dismiss because personal jurisdiction was proper under the forum selection clause; and (2) even if the dismissal was appropriate, the trial court erred by dismissing the claims with prejudice.
STANDARD OF REVIEW
The trial court granted Wilson’s motion to dismiss for lack of personal jurisdiction; there were no factual findings. The relevant facts appear to be undisputed. A “determination that personal jurisdiction can be properly exercised is a question of law, reviewable de novo when the underlying facts are undisputed.” Haisten v. Grass Valley Medical Reimbursement Fund, Ltd., 784 F.2d 1392, 1396 (9th Cir. 1986). See also, Tovrea Land & Cattle Co. v. Linsenmeyer, 100 Ariz. 107, 412 P.2d 47 (1966); City of Scottsdale v. Thomas, 156 Ariz. 551, 753 P.2d 1207 (App.1988).
PERSONAL JURISDICTION
There are three types of activities by a defendant which may allow a court to assert personal jurisdiction over that defendant: (1) consent; (2) presence in the forum; (3) causing effects in the forum. Ruggieri v. General Well Serv., Inc., 535 F.Supp. 525 (D.Colo.1982).
Personal jurisdiction is a right which may be waived. A litigant may enter into a variety of legal arrangements in which express or implied consent to the personal jurisdiction of the court is given. Insurance Corp. of Ireland, Ltd. v. Compagnie des Bauxites de Guinee, 456 U.S. 694, 703, 102 S.Ct. 2099, 2105, 72 L.Ed.2d 492, 502 (1982). In view of present-day commercial realities, most courts recognize that parties may include contractual provisions for resolving controversies in a particular jurisdiction. National Equip. Rental, Ltd. v. Szukhent, 375 U.S. 311, 84 S.Ct. 411, 11 L.Ed.2d 354 (1964); Pelleport Investors v. Budco Quality Theatres, Inc., 741 F.2d 273, 280 (9th Cir.1984); Chase Third Century Leasing Co. v. Williams, 782 S.W.2d 408 (Mo.App.1989).
The United States Supreme Court has held that enforcement of such forum selection provisions does not offend due process where they have been fully negotiated and are not unreasonable and unjust. Burger King Corp. v. Rudzewicz, 471 U.S. 462, 472, n. 14, 105 S.Ct. 2174, 2182, n. 14, 85 L.Ed.2d 528, 540 n. 14 (1985). That specific test, adopted in M/S Bremen v. Zappata Off-Shore Co., 407 U.S. 1, 92 S.Ct. 1907, 32 L.Ed.2d 513 (1972), has been embraced by some state courts, Societe Jean Nicolas Et Fils v. Mousseux, 123 Ariz. 59, 597 P.2d 541 (1979), Inti Collection Serv., Inc. v. Gibbs, 147 Vt. 105, 510 A.2d 1325 (1986); and it has been modified by some, Prudential Resources Corp. v. Plunkett, 583 S.W.2d 97 (Ky.App.1979). Where a forum selection clause is held enforceable, the necessity for a due process analysis of the type and extent of the defendant’s contacts with the forum, Burger King Corp. v. Rudzewicz, supra; Batton v. Tennessee Farmers Mut. Ins. Co., 153 Ariz. 268, 736 P.2d 2 (1987); Taylor v. Fireman’s Fund Ins. Co. of Canada, 161 Ariz. 432, 778 P.2d 1328 (App.1989), is obviated. National Equip. Rental, Ltd. v. Polyphasic Health Sys’s, Inc., 141 Ill.App.3d 343, 95 Ill.Dec. 569, 490 N.E.2d 42 (1986) (upholding consent to jurisdiction clause does not violate due process even though no minimum contacts existed between defendants and State of New York); Int’l Collection Serv., Inc. v. Gibbs, supra, (due process analysis of minimum contacts unnecessary as long as forum selection clause is enforceable). Thus, assuming that the forum selection clause is enforceable, Wilson consented to jurisdiction in Arizona.
ENFORCEABILITY OF FORUM SELECTION CLAUSE
Morgan Bank argues that Arizona law should be applied in determining the enforceability of the forum selection clause of this agreement. Our supreme court has held that:
[A] forum selection clause that is fairly bargained for and not the result of fraud will be enforced so long as to do so is reasonable at the time of litigation and does not deprive a litigant of his day in court. The burden of so showing falls upon the party challenging the validity of the clause.
Societe Jean Nicolas Et Fils v. Mousseux, 123 Ariz. at 61, 597 P.2d at 543.
Wilson contends that Kentucky law should govern because of the choice of law provision set forth in the agreement. Prudential Resources Corp. v. Plunkett, supra, discusses the enforceability of forum selection clauses under Kentucky law. The Prudential court held that if suit in the selected forum would be unfair Or unreasonable, it would not be enforced. In analyzing what would be reasonable and fair, the court looked at whether the clause was freely negotiated, whether the selected forum was a seriously inconvenient place for trial, and whether Kentucky had more than a minimal interest in the lawsuit.
The distinction between application of Arizona and Kentucky law is that Kentucky law looks to convenience and the state’s interest in the lawsuit, and Arizona does not weigh such factors. However, we believe that under either Arizona or Kentucky law, the result is the same in the present case, and therefore do not decide which law applies.
Under either Arizona or Kentucky law, one factor to be analyzed is whether the agreement was freely negotiated. Wilson argues that the forum selection clause was the result of overreaching by Lasma. There is no indication that this argument was presented to the trial court. We will not consider issues not raised below for the first time on appeal. Sahfv. Lake Havasu City Ass’n for the Retarded and Handicapped, 150 Ariz. 50, 721 P.2d 1177 (App. 1986).
The reasonableness factor under Arizona law requires analysis of whether enforcing the forum selection clause would deprive Wilson of his day in court. Under Kentucky law, the critical factor is whether requiring Wilson to litigate in the selected forum would be seriously inconvenient. Wilson contends that the court must determine the result of inconvenience with respect to what inconvenience was in the minds of the parties when entering the contract. Restatement (Second) of Conflict of Laws, § 80, comment c (1971). Wilson further argues the transfer from Lasma, the seller, to Morgan Bank, created an ambiguity in the contract. The agreement provides that jurisdiction and venue “shall be only in the Seller’s state and county as set forth in paragraph 1.” Paragraph 1 references Maricopa County, Arizona. Wilson argues that once Lasma’s interest was transferred to Morgan Bank, it became the seller, and arguably it became unclear whether Arizona or Delaware was the chosen forum. Morgan Bank responds as as-signee of Lasma that the assignee steps into the shoes of the assignor acquiring the benefits as well as the burden of the contract assigned. Wylie v. Douglas Lumber Co., 39 Ariz. 511, 8 P.2d 256 (1932); Whayne Supply Co. v. Morgan Const. Co., 440 S.W.2d 779 (Ky.1969). In this instance, the burden upon the assignee was that pursuant to the assigned contract, Morgan Bank had to sue or be prepared to defend suit in Arizona. Wilson agreed to be sued in Arizona at the seller’s option and was sued in Arizona by Morgan Bank standing in Lasma’s shoes. Wilson’s argument is meritless.
Next Wilson argues that to expect them to defend this action in Arizona with Arizona counsel while having to turn to Kentucky law for their defenses, is both unfair and seriously inconvenient. Wilson’s answering brief asserts that the “best way to assure that the governing Kentucky law will be applied, and applied correctly, is to have the action brought in the state where this law is in force.” Wilson cites no authority in support of this argument, and we reject it. Ariz.R.Civ.App.P. 13(a)(6), 17B A.R.S.
Finally, Wilson contends that Arizona has no appreciable relationship to this transaction nor interest to protect which would support enforcement of the forum selection clause. In support of this, Wilson cites the fact that the agreement and note were executed in Kentucky, Kentucky law governs any dispute, and there are two actions pending in Kentucky courts. The record reveals no basis for the conclusion that the pending Kentucky actions are there because of the convenience of developing proof in that forum. There is no information in the record except copies of the two complaints filed. Wilson states that the significant relationship argument inferentially requires an analysis of jurisdictional contacts with Arizona and that lack of such contacts renders the forum selection clause unenforceable. Homing v. Sycom, 556 F.Supp. 819 (E.D.Ky.1983) (Wisconsin forum selection clause unenforceable because of the significant contacts between Kentucky forum where suit was brought and the parties.) We believe Homing is distinguishable. In Homing, the court ruled that Kentucky had a substantial interest because its public policy was that its “consumers [should] have a local forum to redress grievances against non-resident sellers of products.” 556 F.Supp. at 821. The plaintiff in Homing was a solo dental practitioner who was a Kentucky domiciliary operating his business in the State of Kentucky. He had purchased equipment for use in his Kentucky business from a foreign vendor. In the present case, Colorado residents purchased Arabian horses in Kentucky and removed them from that state. They agreed to pay and did pay installments to an Arizona corporate general partner and subsequently to its assignee in Arizona. There are no other Kentucky contacts. We cannot agree that Kentucky has a more significant relationship than Arizona to this transaction.
Wilson argues that because the parties chose by their agreement to apply Kentucky law to all disputes and because suits have been filed in Kentucky, the forum selection clause should be rendered unenforceable. Morgan Bank responds that to do so would render the forum selection clause meaningless. We agree. “It is a well established principle of contract construction that clauses which ... are knowingly incorporated into a contract should not be treated as meaningless.” Sterling Forest Assoc’s, Ltd. v. Barnett-Range Corp., 840 F.2d 249, 251 (4th Cir.1988). And see, Bense v. Interstate Battery Sys. of America, Inc., 683 F.2d 718 (2nd Cir. 1982).
We find that these were sophisticated parties executing a business transaction for in excess of a million dollars, parties who could and did consent to jurisdiction and venue in Arizona pursuant to an enforceable forum selection clause. Accordingly, we reverse. Based upon our disposition of this issue, we find it unnecessary to address Morgan Bank’s second issue.
Morgan Bank is awarded costs and attorneys’ fees on appeal upon compliance with Ariz.R.Civ.App.P. 21(c), 17B A.R.S.
Reversed.
ROLL, P.J., and HOWARD, J., concur.
. Wilson contends that when reviewing enforceability of forum selection clauses, the proper standard of review is abuse of discretion, citing Pelleport Investors v. Budco Quality Theatres, Inc., supra. Although the forum selection provision of the agreement in this case was before the trial court, the basis for the court’s ruling was lack of personal jurisdiction as evidenced by the minute entry, not enforceability of the forum selection clause. However, under either standard of review, we would reach the same result.
|
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OPINION
FELDMAN, Vice Chief Justice.
This case comes to us for review of a court of appeals opinion reversing a trial court’s order dismissing a personal injury action. The trial court dismissed pursuant to A.R.S. § 4-312(A), which modifies the common law liability of tavernkeepers. The issues presented illustrate the tension between legislative attempts to suppress or control the assertion of damage claims and Arizona’s constitutional provisions protecting such claims.
We have jurisdiction under Ariz.Const. art. 6, § 5(3) and A.R.S. § 12-120.24. We granted review to determine the constitutionality of the statute in question. See Rule 23, Ariz.R.Civ.App.P., 17B A.R.S. .
FACTS AND PROCEDURAL BACKGROUND
Plaintiff Lloyd Schwab (Schwab) and Earl Barnaby (Barnaby) entered a tavern owned by defendant, Therese Matley (Mat- ley), in Yavapai County on September 23, 1985. Schwab alleges that Matley was negligent in serving the two men and in allowing them to remain on the premises. He claims because he and Barnaby became intoxicated, they argued, and, while standing in the parking lot, Barnaby shot and injured Schwab, who was standing near the front door of the tavern.
The shooting occurred on September 23, 1985, and Schwab sued Matley almost one year later. In the interim, the legislature enacted A.R.S. § 4-312(A), which, in pertinent part, provides that a liquor licensee who negligently furnished liquor to a customer “is not liable” for injuries sustained by either the customer or anyone accompanying the customer “who knew of the impaired condition of the person [served].”
The statute became effective August 13, 1986, approximately eleven months after Schwab was injured and almost thirty days before he filed the negligence action. Mat-ley moved to dismiss Schwab’s claim, asserting the protection of the statute. Schwab argued that the law prohibited such a retroactive application of the statute. See A.R.S. § 1-244. Disagreeing, the trial court granted Matley’s motion to dismiss. Schwab appealed. After first rejecting Schwab’s arguments, the court of appeals concluded that because a referendum petition had been filed to challenge A.R.S. § 4-312, the effective date of the statute had been delayed until September 12, 1986, the day bn which the referendum petition was invalidated by the secretary of state. Schwab v. Matley, 162 Ariz. 46, 47, 780 P.2d 1387, 1388 (1988) (opinion on motion for reconsideration). The court of appeals thus reversed the trial court’s judgment, concluding that the statute declaring Mat-ley “not liable” was not in effect when the tort action was filed, even though the referendum petition was subsequently found void for lack of sufficient valid signatures. Id.
Matley petitioned this court to review the court of appeals’ opinion, and Schwab timely filed a cross-petition challenging the statute under Ariz.Const. art. 18, § 6 and art. 2, § 31. See Rule 23(a), Ariz.R.Civ.App.P., 17B A.R.S. We granted review; believing that the statute in question also implicated the protections guaranteed under article 18, § 5, we ordered supplemental briefing and heard oral argument. Because of our disposition of this case, we need not address the other challenges.
DISCUSSION
A. Dram Shop Liability
Prior to 1983, an Arizona seller of alcoholic beverages who negligently furnished alcohol to a customer was not liable for resulting “dram shop” type injury. See, e.g., Collier v. Stamatis, 63 Ariz. 285, 162 P.2d 125 (1945); Pratt v. Daly, 55 Ariz. 535, 104 P.2d 147 (1940).
The rule of tavernkeepers’ nonliability was based on concepts of foreseeability and proximate cause. In first holding tavern-keepers not liable for injuries that resulted from their negligence in serving impaired or underage patrons, we stated:
[I]t has been held by all the courts and by every commentator that the proximate cause, as the expression is understood in the law of torts, of the resultant effects arising from voluntary intoxication is the act of the drinker, and not the seller of the beverage.
Collier, 63 Ariz. at 290, 162 P.2d at 127 (emphasis added).
In 1983, we disapproved of Collier and Pratt, holding that the “common law doctrine of tavern owner non-liability is abolished in Arizona.” Ontiveros v. Borak, 136 Ariz. 500, 513, 521, 667 P.2d 200, 213, 221 (1983); Brannigan v. Raybuck, 136 Ariz. 513, 521, 667 P.2d 213, 221 (1983). We held that the rule in Arizona was that
[t]avern owners and other licensed sellers in Arizona will be under a duty of care and may be held liable when they sell liquor to an intoxicated patron ... under circumstances where the licensee ... know[s] or should know that such conduct creates an unreasonable risk of harm to others who may be injured either on or off the premises. [Footnote omitted.] If the duty of care is breached, the seller will be liable for the damage caused by his negligence.
Ontiveros, 136 Ariz. at 513, 667 P.2d at 213.
Our holdings in Ontiveros and Branni-gan simply abolished the judicially created doctrine that as a matter of law principles of causation prohibited imposing liability on a negligent seller of alcoholic beverages. Indeed, the former rule had never been uniformly applied. Even before Ontiveros and Brannigan, it had been the common law rule in Arizona that a tavernkeeper could be liable if his negligence in operating his establishment led to one of his patrons injuring another. See, e.g., McFar-lin v. Hall, 127 Ariz. 220, 619 P.2d 729 (1980).
Section 4-312 partially overturns both Ontiveros and McFarlin by declaring that the licensee cannot be held liable for his or her negligence in furnishing alcohol to any customer who was served or to any person who was present when the customer was served and who knew of the customer’s impaired condition. The statute, in effect, declares that because the person injured had engaged in certain conduct — drinking or being present with one who drank — the person injured may not recover.
Thus, the challenge to the statute raises an issue not considered in either Ontiveros or Brannigan, nor, for that matter, in McFarlin or any previous case. May the legislature enact a statute declaring that the conduct of a particular category of persons injured by the negligence of another shall be a bar to recovery of damages?
Schwab claims the statute violates article 18, § 5 of the Arizona Constitution, which provides as follows:
The defense of contributory negligence or of assumption of risk shall, in all cases whatsoever, be a question of fact and shall, at all times, be left to the jury.
This court has previously considered the purpose and intent of the framers in enacting article 18, § 5. We have stated that:
Prior to the Constitutional Convention, the status of contributory negligence under the common law was, in Arizona as elsewhere, that if it affirmatively appeared in the case, irrespective of the degree of negligence of the plaintiff and of the magnitude of the risk to which defendant exposed him, the court directed the verdict of the jury against the plaintiff. Only if the evidence of the plaintiff’s concurrent negligence was substantially conflicting would the contributory negligence fact be left for resolution to the jury, and then with an instruction that if the jury found contributory negligence it was its duty — it must — return a verdict for the defendant. [Citations omitted.]
Under the language of Article 18, § 5, that the defense of contributory negligence shall at all times be left to the jury, the trial court cannot direct a verdict even though the plaintiff’s negligence is undisputed, and the trial court must not, directly or indirectly, tell the jury that it shall return a verdict compatible with the law of contributory negligence as declared by the court. While the jury should be instructed as to the law of contributory negligence, so that it may apply the defense if it sees fit, the court cannot peremptorily require the jury to follow such instructions in arriving at a verdict in the case.
Heimke v. Munoz, 106 Ariz. 26, 29-30, 470 P.2d 107,110-11 (1970); see also Layton v. Rocha, 90 Ariz. 369, 368 P.2d 444 (1962).
Thus, we have held that an instruction telling the jury that the defendant is not liable if the facts establish contributory negligence contravenes the state constitution. Gosewisch v. American Honda Motor Co., Inc., 153 Ariz. 400, 406, 737 P.2d 376, 382 (1987). If A.R.S. § 4-312(A) deals with contributory negligence or assumption of the risk, it has an even more serious effect on constitutional rights than a judge’s peremptory instruction to the jury. The statute is in effect a peremptory instruction to the judge that the case must be dismissed if the facts establish the defense of contributory negligence — that the plaintiff was drinking or knowingly accompanied one who had been drinking.
We note, of course, that article 18, § 5 is not addressed just to trial judges. The framers’ language is, instead, quite broad and phrased in mandatory terms. The “defense ... shall in all cases whatsoever, be a question of fact and shall, at all times, be left to the jury.” As we have previously held, this means that the jury, and only the jury, is given the duty and privilege to determine whether the facts establish contributory negligence and whether, if they do, the defense should be applied. Layton, 90 Ariz. at 370-71, 368 P.2d at 445.
Matley argues, however, that the statute does not deal with contributory negligence or assumption of the risk. Instead, she contends, the statute deals with the question of duty and simply declares that the tavernkeeper has no duty toward one who knowingly accompanies the patron. We disagree. First, the statute clearly deals with the antecedent conduct of the person injured, providing that the one who causes the injury “shall not be liable.” If there is a difference between this and contributory negligence, we are unable to perceive it, nor can Matley articulate it. The reason is apparent: “Contributory negligence is conduct on the part of the plaintiff, contributing as a legal cause to the harm he has suffered,.... ” PROSSER AND KEETON ON THE LAW OF TORTS § 65, at 451 (5th ed. 1984). Of course, the common law defense was a complete defense, barring any recovery by a plaintiff who had been contributor ily negligent. Id. at 452-53. The doctrine arose, as perhaps did the statute, from “distrust of the [supposedly] plaintiff-minded jury.” Id. at 452.
Matley’s argument fares no better if we analyze the common law defense of assumption of the risk, which also barred recovery. Again, Matley claims the statute deals with duty, not assumption of the risk. Assumption of the risk as a defense, however, always “rest[ed] upon the idea that the defendant [was] relieved of any duty toward the plaintiff.” Id. at 451. The very basis of the doctrine was that the plaintiff had expressly or impliedly consented to the defendant’s negligent conduct, “the legal result [being] that the defendant is simply relieved of the duty which would otherwise exist.” Id. § 68, at 481.
We conclude, therefore, that what Mat-ley describes as a legislative rule that no duty exists toward those who overindulge or accompany those who overindulge is simply a shorthand method of describing the traditional common law defenses of contributory negligence and assumption of the risk. Any lawyer defending the tav-ernkeeper and wishing to plead that the action must fail because the plaintiff consumed too much alcohol or remained in the zone of danger of one who had done so, would plead the defense 'under the rubric of contributory negligence or assumption of the risk. Id. § 65, at 451-52.
Such defenses, “in all cases,” are questions of fact for the jury (article 18, § 5), and we have held that the trial judge is forbidden, therefore, to dismiss on the grounds that contributory negligence or assumption of the risk exists as a matter of law. See Layton. Certainly, if such issues must always be left to the jury so litigants will be protected from actions of the judiciary, the constitutional provisions must also apply to legislative enactment requiring such dismissal, or the protections provided by the constitution would be meaningless.
Thus, while the argument that the legislature has simply abolished the tavernkeeper’s duty has an ingenious ring to it, it too fails to withstand scrutiny. If the legislature could abolish the recognized common law duties of care, the provisions of article 18, § 5 would have no meaning at all.
CONCLUSION
The statute constitutes nothing more than a legislative codification of the doctrine of contributory negligence and assumption of the risk. We hold that it therefore violates article 18, § 5 and is void.
The opinion of the court of appeals is vacated. The judgment of the trial court is reversed. The cause is remanded for further proceedings consistent with this opinion.
GORDON, C.J., and MOELLER, J., concur.
CAMERON, J., recused himself and did not participate in the determination of this matter.
. The relevant portion of the statute reads as follows:
§ 4-312. Liability limitation
A. A licensee is not liable in damages to any consumer or purchaser of spirituous liquor over the legal drinking age who is injured or whose property is damaged, or to survivors of such a person, if the injury or damage is alleged to have been caused in whole or in part by reason of the sale, furnishing or serving of spirituous liquor to that , person. A licensee is not liable in damages to any other adult person who is injured or whose property is damaged, or to the survivors of such a person, who was present with the person who consumed the spirituous liquor at the time the spirituous liquor was consumed and who knew of the impaired condition of the person, if the injury or damage is alleged to have been caused in whole or in part by reason of the sale, furnishing or serving of spirituous liquor.
. The constitutional issue on which we decide the case was squarely presented by the facts and is a recurring issue in other, similar cases. It was specially briefed, argued, and thoroughly explored. Resolving the non-constitutional issues might enable us to avoid reaching the constitutional issues, but would leave us with those same issues to be decided in other pending cases. Principles of judicial economy, therefore, dictate that we consider and decide this case on the issue specially briefed and argued.
In so doing, we do not create "potential confusion about the resolution” of the non-constitutional issues. See concurrence at 164 Ariz. at 425, 793 P.2d 1092. Our conclusion that disposition under article 18, § 5 makes resolution of the other issues unnecessary means only that those issues are not decided.
|
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' HAYS, Justice.
This is an appeal from the convictions and sentences arising from a prison “shank-ing.” Appellant Dominguez was convicted of count I, dangerous or deadly assault by a prisoner, A.R.S. § 13-1206; count II, assault, A.R.S. § 13-1203; counts III and IV, promoting prison contraband, A.R.S. § 13-2505; and count V, possession of a deadly weapon, A.R.S. § 31-232. Dominguez was sentenced to two life terms without possibility of parole for twenty-five years on counts I and II; two years each on counts III and IV; and four years on count V, all sentences to run concurrently. Appellant Sisneros was convicted of counts I and II, dangerous or deadly assault by a prisoner, A.R.S. § 13-1206; and counts III and IV, promoting prison contraband, A.R.S. § 13-2505, with a prior conviction. Sisneros was sentenced to life imprisonment without possibility of parole for twenty-five years on counts I and II, and three years each on counts III and IV, all concurrent sentences. We have jurisdiction pursuant to A.R.S. §§ 13-4031 and 13-4035.
On July 13,1981, the victim, Eloy Lerma, was stabbed numerous times in an exercise pen at the Arizona State Prison in Florence where appellants are inmates. Dominguez and Sisneros were playing basketball in the exercise pen with Lerma and a fourth inmate, Frank Morales. A fight ensued and Lerma was stabbed with a “shank,” a prison-made knife. Sisneros parted from the group and walked to the weight machines in the corner of the exercise pen. When Lerma approached him, Sisneros took a handlebar off a weight machine and swung it at Lerma, hitting him in the arm and leg.
Morales, serving a life term, pled guilty to all charges and testified at the trial. Also testifying were the exercise-pen officer, the warden, the prison investigator, two correctional service officers, an inmate (who testified that he witnessed the shank-ing from his cell window), and Sisneros. Sisneros and Dominguez both claimed limited involvement in the incident. Sisneros claimed he hit Lerma with the handlebar in self-defense. The prison investigator testified that there was blood on the shoes of all three suspects and blood on the pants of Sisneros and Dominguez. The exercise-pen officer testified that Sisneros, Dominguez and Morales jumped Lerma and that Dominguez stabbed him while Sisneros and Morales held him down.
PRIOR CONVICTIONS
Appellants contend the trial court erred in ruling that evidence of their prior convictions was admissible for impeachment purposes under 17A A.R.S., Arizona Rules of Evidence, rule 609. Prior to trial, counsel for Sisneros and Dominguez made a motion to determine the admissibility of the prior conviction. The record reveals that the import of this motion was to limit the use of the prior convictions rather than prohibit their introduction altogether. At the hearing, counsel for Sisneros said:
“Judge, I am going to object to the prosecutor going over and over these things for the purpose of proving prior convictions by these [defendants’] testimony.... Certainly the prosecutor can bring up the subject of their prior convictions, but I don’t want him to sit there and ask five questions about when, and where, and what judge it was, and so on and so forth, just to draw emphasis to it under the excuse that he is trying to make a good record on the prior convictions.”
The trial judge ruled that the prior convictions were admissible for impeachment purposes and instructed that:
“[T]he prosecutor may only ask about matters specifically related to date of conviction, crime convicted of ... and county of conviction, without going into any other things such as the sentence .... So that they do not get highlighted to any degree, and counsel may object, defense counsel may object in the event that the prosecutor gets carried away.”
Dominguez did not testify at trial. When Sisneros took the stand, the prosecutor asked him the charge, the date and the county of his prior felony conviction; Sisne- ros’ attorney made no objection to this testimony.
A motion in limine is generally sufficient to preserve the question of admissibility for appeal, regardless of whether the defendant subsequently testifies. State v. Ellerson, 125 Ariz. 249, 251, 609 P.2d 64, 66 (1980). We conclude, however, that there is no basis in the record to support appellants’ contention that the court erred in admitting the evidence of the prior felony conviction for the purpose of impeachment. Appellants were in effect granted the relief they asked for when the judge instructed the parties on the limited use of the prior convictions. The prosecutor complied with those instructions and no objection was made to the testimony. The trial court fully discussed the merits of admitting the prior convictions and specifically determined that the probative value outweighed any possible prejudicial effect of the evidence. The court properly applied the balancing test of State v. Ellerson, supra, and we find no abuse of discretion, see State v. McElyea, 130 Ariz. 185, 188, 635 P.2d 170, 173 (1981).
POST-INDICTMENT PRELIMINARY HEARING
Article 2, section 30 of the Arizona Constitution provides: “No person shall be prosecuted criminally in any court of record for felony or misdemeanor, otherwise than by information or indictment; no person shall be prosecuted for felony by information without having had a preliminary examination before a magistrate or having waived such preliminary examination.”
Appellants were indicted by a grand jury. Prior to trial, appellants made a motion for post-indictment preliminary hearing or, in the alternative, a motion to dismiss. The motion was denied. Appellants argue that the denial of a post-indictment preliminary hearing deprived them of equal protection under the fourteenth amendment to the United States Constitution because, whereas an individual charged by information has the statutory right to request a preliminary hearing, a person charged by grand jury indictment has no such right. Appellants cite Hawkins v. Superior Court, 22 Cal.3d 584, 150 Cal.Rptr. 435, 586 P.2d 916 (1978), in support of this contention.
The Hawkins court held that the equal protection clause of the California Constitution, article I, section 7, requires that a defendant charged by grand jury indictment be afforded a preliminary hearing equally with a defendant charged by information. The court reasoned that an indicted defendant is deprived of the fundamental right of counsel, the right of confrontation, the right to appear personally, the right to a hearing before a judicial officer, and the right to be free from unwarranted prosecution, all of which rights are guaranteed a defendant accused by information. The court found no compelling state interest to justify the disparity in procedural rights between the two methods of initiating a felony prosecution.
Appellants’ having cited no United States Supreme Court case, we consider their equal protection argument under article 2, section 13 of the Arizona Constitution which provides:
“No law shall be enacted granting to any citizen, class of citizens, or corporation other-than municipal, privileges or immunities which, upon the same terms, shall not equally belong to all citizens or corporations.”
Appellants’ argument is directed at the coexistence of the two methods set forth in article 2, section 30 of the Arizona Constitution for initiating a felony prosecution; appellants do not contend that they have been singled out for discriminatory treatment.
The decision to proceed by information or indictment is the state’s choice. Although there is some indication that the constitutional delegation intended the preliminary hearing to be of great significance to an accused, see Bakken “The Arizona Constitutional Convention of 1910”, 1978 Ariz.St.L.J. 1 (1978), the 1973 revision of the Arizona Rules of Criminal Procedure strictly limited the hearing to a determination whether there is probable cause that defendant committed the offense, 17 A.R.S. Rules of Criminal Procedure, rule 5.3. A preliminary hearing arguably offers advantages over prosecution upon an indictment.
In State v. Clark, 291 Or. 231, 630 P.2d 810, cert. denied, 454 U.S. 1084, 102 S.Ct. 640, 70 L.Ed.2d 619 (1981), Justice Linde thoroughly analyzed and rejected the Hawkins decision. The justice pointed out that defining as two classes those indicted and those charged by information is a circular use of the legal concept of “class” because these defendants do not exist as classes with distinguishing characteristics before and apart from a prosecutor’s decision how to charge them. “Aside from the manner in which the decision is made ... defendants charged under either procedure are ‘classes’ only as an effect of the dual procedural scheme itself.” Id. 291 Or. at 239, 630 P.2d at 818. The court explained that there is a distinction between a “class” created by the law in question and a “class” created by a law’s disparate treatment of persons by virtue of characteristics which they have apart from the law itself. A constitutional attack on the former “class” is circular and seldom successful.
We find the reasoning of State v. Clark, supra, most persuasive and decline to adopt the Hawkins rationale. The two procedures, indictment and information, are expressly authorized in the Arizona Constitution and neither denies a defendant due process. State v. Ferguson, 120 Ariz. 345, 586 P.2d 190 (1978). The trial court did not err in denying appellants’ motion for a post-indictment preliminary hearing.
PROMOTING PRISON CONTRABAND
Appellants next contend that the trial court erred in denying the motion for directed verdict of acquittal on count IV of the indictment which alleged a violation of A.R.S. § 13-2505, promoting prison contraband, to wit: a handlebar. On review of a denial of a motion for directed verdict, we must view the facts most strongly in favor of upholding the jury verdict. State v. Printz, 125 Ariz. 300, 304, 609 P.2d 570, 574 (1980).
Immediately after the stabbing, appellant Sisneros walked to the corner of the exercise pen and took a handlebar off a weight machine. When the victim approached him, Sisneros swung the handle and hit Lerma. The state charged both Sisneros and Dominguez with promoting prison contraband on the theory that Dominguez and Morales cornered the victim so he could not escape Sisneros’ blows. Both Sisneros and Dominguez were found guilty on this charge.
Arizona Revised Statutes section 13-2505 provides: “A person, not otherwise authorized by law, commits promoting prison contraband ... [b]y knowingly making, obtaining or possessing contraband while being confined in a correctional facility.” Appellants assert that they were “otherwise authorized by law” to possess the handlebar from the weight machine by virtue of A.R.S. § 31-232(B), possession of a deadly weapon. Part (B) of A.R.S. § 31-232 provides: “This section shall not apply to a prisoner who possesses or carries any tool, instrument or implement used by him at the direction or with the permission of prison officials.”
We do not agree with appellants’ contention that A.R.S. § 31-232(B) specifically removes a handlebar from the class of items possession of which is punishable under A.R.S. § 13-2505. The exception clause of A.R.S. § 31-232 explicitly applies only to that section and does not apply to A.R.S. § 13-2505. Furthermore, using a handlebar to injure another is not using it “at the direction or with the permission of prison officials.” The trial court correctly denied this motion.
SENTENCE
The final issue raised by appellants is that Dominguez was incorrectly sentenced for his conviction of assault under A.R.S. § 13-1203. With this we agree. The trial court sentenced Dominguez to life imprisonment without possibility of parole for twenty-five years, clearly an error which the state concedes. The verdict of guilty of assault does not indicate which of the three varieties of assault was found by the jury. For these reasons, we reverse Dominguez’ conviction of assault under A.R.S. § 13-1203.
We have searched the record for fundamental error pursuant to A.R.S. § 13-4035 and have found none.
Appellant Dominguez’ conviction of assault under A.R.S. § 13-1203 and the sentence imposed thereon are reversed. Dominguez’ convictions and sentences on all other counts are affirmed. Appellant Sisneros’ convictions and sentences on all counts are affirmed.
HOLOHAN, C.J., GORDON, V.C.J., and CAMERON and FELDMAN, JJ., concur.
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OPINION
BIRDSALL, Judge.
This appeal is from a judgment in favor of John S. Davis and against the appellant, Tucson Arizona Boys Choir Society, a nonprofit corporation (Chorus). The judgment was in the amount of $23,000, $16,500 as damages, apparently under a contract provision for liquidated damages in the event of wrongful discharge, and $6,500 for attorney fees. Davis was employed as the Director of the Chorus.
The case was tried to the court sitting without a jury and no findings of fact were requested or made. Consequently, we must attempt to determine why the trial court reached its decision. We must view the evidence in the manner most favorable to sustaining the judgment. If, in so doing, it is necessary to resolve conflicts in the evidence, we must accept as fact that evidence which supports the judgment. Jerger v. Rubin, 106 Ariz. 114, 471 P.2d 726 (1970); O’Hern v. Bowling, 109 Ariz. 90, 505 P.2d 550 (1973).
The facts necessary to an understanding of the issues include the following. Additional facts are discussed in connection with the issues presented. In June 1975 Dr. Davis, then living in North Carolina where he was an Associate Professor of Music at a small college, received a telephone call from the president of the Board of Directors of the Chorus offering him the job as Director. After coming to Tucson for an interview, Davis decided to take the job, and moved his family here that summer of 1975.
The Tucson Boys Choir Society is a nonprofit corporation with the objective of de veloping the personal character and musical skills of talented Tucson boys. It was founded in 1945. The operation of the Society is governed by its by-laws, as amended in 1980, which provide for a Board of Directors, Officers, and a Musical Director. Those by-laws state that l/z of the members of the Board constitute a quorum, and that a vote of the majority of a quorum constitutes the act of the Board for the purpose of conducting business. The meaning and effect of this provision was one of the matters disputed by the parties.
Between 1975 and 1980, Davis served as Musical Director of the Chorus, and also handled certain business matters. He took care of booking the concert tours that were taken by the Chorus each year, ordering the trees for the annual Christmas tree sale, and assisted in the preparation of the yearly budget. He also handled the arrangements for the yearly summer camp attended by the boys in the Chorus.
Davis’ first contract with the Board was for a two-year probationary term of employment. This term lasted from the summer of 1975 until the summer of 1977. For the years 1977, 1978 and 1979, Davis entered into written contracts of employment which all had essentially the same terms, except for the amount of salary and the date of commencement. The contract did not expressly provide that it had a certain period of duration or would terminate on a certain date.
The material paragraphs of the contract, using the 1979 agreement, were:
“WHEREAS, the Society is desirous of continuing the employment of the Director for the purpose of teaching and directing certain boy choir groups; and
WHEREAS, the Director is desirous of rendering his continued service as a teacher and director of those certain boy choir groups;
NOW, THEREFORE, in consideration of the mutual covenants and agreements contained herein, the parties hereto agree as follows:
1. TERM: This contract shall commence on the 1st day of July, 1979. If either party wishes to terminate this contract, termination notice must be received no later than the 1st day of May, any year, to be effective on the last day of June.
2. COMPENSATION: The Director shall receive as compensation for the term of this contract:
A. The sum of Twenty-Four Thousand Two Hundred ($24,200.00) Dollars per year. The Director shall receive Twenty-Two Thousand ($22,000.00) Dollars in salary payable on a bi-weekly basis during the term of this contract subject, however, to all terms of this contract.
B. In addition to the salary, the Society will pay Two Thousand Two Hundred ($2,200.00) Dollars to the Teachers Insurance and Annuity Association for retirement ....
3. NEGOTIATION FOR CHANGES IN CONTRACT: It is mutually agreed between the parties hereto that any negotiations for increases in compensation or other changes in contract will begin on or about the 1st day of April.
8. TERMINATION OF CONTRACT: The Society shall have the right by and through the action of the Board of Directors to remove the Director for neglect of duties or inappropriate behavior.
9. WRONGFUL DISCHARGE: In the event the Society shall wrongfully discharge the Director for any reason, then and in that event, the Society shall pay to the Director all compensation which would have been earned by the Director from the time of wrongful discharge until the last day of the following June.
10. ENFORCEMENT OF CONTRACT: In the event of suit, the prevailing party shall be entitled to all costs expended as well as reasonable attorney’s fees incurred as a result thereof.”
The last contract commenced July 1, 1979. During its budget planning in the fall of that year the Board included an increase in salary for Davis for the year 1980. This was the same procedure that had been followed every year. The salary increase was then incorporated in his “new” contract signed sometime after July 1 of each year. In fact he would commence drawing this new salary on July 1 even though the new contract had not yet been approved, prepared and signed. This same procedure was not followed in 1980. In June, Davis discussed a “new” contract with the executive committee. On July 28th he met with the Board. He had been presented with a proposed new contract containing a salary increase and additional compensation in the form of a bonus. The increase and bonus approximated the amount included in the budget. However, the payment of the bonus was subject to the discretion of the Board based upon performance criteria to be established. He was dissatisfied with these provisions and voiced his objections. He was temporarily excused while the Board ostensibly discussed the matter further. Instead of standing by the changes discussed or making an offer, the Board voted to terminate Davis and he was so notified. The vote was 11 to 4,15 out of 28 directors (a quorum) were present.
This action followed, with Davis claiming that he was still employed under the agreement commencing July 1, 1979, and that since the Board wrongfully discharged him, he was entitled to the liquidated damages.
The issues are presented in the appellant’s brief as:
1) Was John Davis, in the summer of 1980, operating under the 1979 contract on a continuing basis, or had the 1979 contract been waived or abandoned, making Davis an employee at will?
2) Should Davis be allowed to assert the continuing existence of the 1979 contract subsequent to June 30, 1980, or is he es-topped by his own statements and conduct?
3) Assuming arguendo that Davis was operating, in the summer of 1980, under the 1979 contract on a continuing basis, was the action of the Board of Directors on July 28, 1980 a valid, good faith termination for cause under the terms of the 1979 contract?
4) Was the vote of the Board of Directors on July 28, 1980 a valid act under the provisions of the By-Laws?
5) Assuming that Davis was wrongfully discharged, is the liquidated damages clause in the 1979 contract lawful and applicable, or is it void as a penalty?
Waiver
We believe that the trial court must have concluded that the appellee was working beyond June 30,1980 under the 1979-80 contract. We believe such a conclusion is warranted from the language of the contract, the conduct of the parties and the circumstances. Although the contract does not expressly provide that it is to “continue”, there are several provisions which lend credence to that construction. Foremost is the sentence in paragraph 1, “Term”, requiring either party to give notice before May 1st of any year if the contract is to be terminated. Also we note paragraph 3 that “negotiations for increases in compensation or other changes in contract will begin on or about the 1st day of April”. These provisions contemplate a continuing relationship between the Chorus and the Director.
The circumstances of the parties when Davis was first employed support an inference that more than one year’s employment was intended. The appellant argues that the parties mutually waived the contract provision for termination notice prior to May 1st and therefore the contract was terminated each year by mutual assent. In fact it argues that on June 2, 1980, Davis “submitted a termination notice”. That is a possible inference from the testimony; however, the trial court believed that Davis was merely “negotiating” for better terms of employment as he had in the past. Davis testified that all he wanted was more mon ey; that he believed his contracts were continuing. The evidence which might establish waiver by conduct, i.e., the relinquishment of a known right, see City of Tucson v. Koerber, 82 Ariz. 347, 313 P.2d 411 (1957), was in conflict. The trial court must have believed that the 1980 conduct was no different than the previous years. Such a belief is logical under all the evidence. The appellant’s argument that because neither party ever gave a termination notice by May 1st the contract necessarily terminated every year escapes us. This evidence supports a finding that the contract was never terminated.
The appellant contends that the result reached by the trial court is absurd since the appellee is permitted to reject a raise and then fall back on a contract without such salary increase. This contention necessarily rests upon a finding that the appel-lee did, in fact, reject the new contract. Competent evidence leads to a different conclusion. The appellee testified he did not tell the Board he would not accept the new contract, he only said he would like to see it changed (“I never told them I wouldn’t accept anything.”). The trial court not only found by implication that the new contract was not rejected, it commented in ruling on an objection near the close of evidence that the contract was never offered to the appellee. Obviously if it was not offered it could not be rejected.
The appellant places great reliance on the following evidence admitted from the ap-pellee’s deposition, arguing it shows a rejection of the “new” contract:
“Q. What discussions were had between you and the board while you were in attendance relating to the contract?
A. (by Davis) I expressed I (sic) concern about the amount, years. I believe it was a four percent raise and I thought it was inadequate and objected to the paragraph which— where was it, the one about the bonus. The society may pay the director a bonus which should be based upon performance criteria established by the society. And I said I would object to signing a contract where a bonus would be based on unspecified criteria at this point.”
However, the trial court apparently believed this was just “negotiation talk.” We cannot fault such a conclusion.
The appellant also argues that since the contract contained no “term” the appellee was employed “at will” after June 30. From this it contends that he could be discharged without cause. Rogers v. Hecla Mining Company, 120 Ariz. 612, 587 P.2d 1189 (App.1978). This conclusion would depend on a finding that the contract was not continuing. As we have discussed, the trial court implicitly found the opposite, and this finding is amply supported by the evidence.
Estoppel
This argument rests on the proposition that the appellee took the position that he was not under contract after June 30th when bargaining for more compensation and then abandoned this position after his discharge. Since the appellant relied on this, the argument goes, the appellee is estopped to change his position. City of Tucson v. Koerber, supra. The problem with this argument is the evidence supports a finding that the parties were only bargaining as in the past, and the contract was still extant.
Abandonment
The appellant also argues that the parties abandoned their written contract. This is a matter of intention. Diamos v. Hirsch, 91 Ariz. 304, 372 P.2d 76 (1962). The evidence supports a finding that no abandonment was intended and once again we are not free to second guess the trial judge.
Discharge for Cause
The contract provided that the appellee could be discharged for neglect of duty or inappropriate behavior. There was evidence of discipline problems, some poor musical performances, poor business judgment, etc. However, as could be expected, there was a conflict in this evidence. Whether the Board had cause is a question of fact, and the trial court implicitly found it did not. The appellant contends that as long as it acts in good faith it does not matter whether the appellee had neglected his duties or been guilty of inappropriate behavior. The appellant is wrong. The appellant relies on Bentson Contracting Company v. Lewis, 83 Ariz. 110, 317 P.2d 545 (1957). In that case the employment was found to be at will, thus the holding that the employer only act honestly and in good faith. Likewise, Moore v. Home Ins. Co., 601 F.2d 1072 (9th Cir.1979) (interpreting Arizona law) involves an “at will” employment situation.
The Director’s Vote
We are at a loss to understand the significance of this issue. It involves an interpretation of Sections 4 and 7 of the appellant’s by-laws.
Section 4 provides:
“Section 4, Removal of Director. The President with the consent of two-thirds (%) of the Board of Directors shall have the right to remove the Director for neglect of duties or disrespectful behavior at any time.”
and Section 7 reads:
“Section 7, Quorum. One-third (l/z) of the members of the Board of Directors shall be required to constitute a quorum for the transaction of business at any meeting and the act of the majority of the directors present at any meeting at which a quorum is present shall be the act of the Board of Directors.”
The act of the Board was in accordance with its by-law provisions. It was nevertheless “wrongful” since no cause existed.
Liquidated Damages
The appellant argues that the trial court should not have awarded liquidated damages pursuant to the contract provision since the actual damages were neither uncertain nor difficult to prove. See Dobbs, Remedies, Sec. 12.5 (1973). It also contends that the award of damages constituted a penalty. See Babbitt Ford, Inc. v. Navajo Indian Tribe, 519 F.Supp. 418 (1981 D.Ariz.). The trial court’s award was determined by calculating the balance remaining on the appellee’s salary to June 30,1981, exactly as set forth in the contract. He was immediately employed as a music teacher at a local high school where he was paid almost $19,000 annually, almost as much as with the Chorus. The appellant argues that the amount of his damages is easily determined to be the difference in the salaries to June 30, 1981. It relies on Perry v. Apache Junction Elementary Sch. Dist. # 43 Bd. of Trustees, 20 Ariz.App. 561, 514 P.2d 514 (1973); Chapin v. Klein, 128 Ariz. 94, 623 P.2d 1250 (App.1981); Fogleman v. Peruvian Associates, 127 Ariz. 504, 622 P.2d 63 (App.1980). These cases did not involve provisions for liquidated damages and are therefore inapposite.
Our court has consistently held that where a contract contains a provision for liquidated damages the contract will control. Roy H. Long Realty Company, Inc. v. Vanderkolk, 26 Ariz.App. 226, 547 P.2d 497 (1976); Miller v. Crouse, 19 Ariz.App. 268, 506 P.2d 659 (App.1973). This general rule is properly qualified by adding “provided the amount of the damages is reasonable.” 25 C.J.S. Damages, See. 113(6). The liquidated damages arising out of employment must bear some proportion to the breach. Ibid. Where the damages are graduated in accordance with the time remaining on the contract they are more readily upheld. Anderson v. Cactus Heights Country Club, 80 S.D. 417, 125 N.W.2d 491 (1963). A contract calling for one year’s salary was upheld as liquidated damages in Zeppenfeld v. Morgan, 185 S.W.2d 898 (Mo.App.1945). Although the appellant’s argument here is appealing since it does appear that the appellee will not be required to mitigate his actual damages and may profit from the incident, this is not necessarily so. It must be remembered that the appellee gave up another position and moved with his family across the country. The other position was teaching on a college level. These facts may well have been in the parties’ minds when the contract was made. See Zeppenfeld, ibid.
The provision here is a reasonable endeavor to ascertain in advance what the damages would be from a wrongful discharge. This is a factor to be considered. McCarthy v. Tally, 46 Cal.2d 577, 297 P.2d 981 (1956). See also Dobbs, Remedies, Sec. 13.5 (1973). The damages are not penal, they are reasonably proportionate to the loss, and the trial court was correct in holding the parties to their bargain.
Affirmed.
HOWARD, C.J., and HATHAWAY, J., concur.
. The new contract also contained an express
“Term of Contract” provision:
“This is for the period July 1, 1980 through June 30, 1981. The parties agree that no re-
newals nor extensions are granted by this contract. Any renewal or extension must be made in writing by the parties.”
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OPINION
HATHAWAY, Judge.
Petitioners invoke the special action jurisdiction of this court to review an order of the respondent court denying their motions for summary judgment. The denial of such motions is not appealable, and we think relief by way of special action is appropriate in this case where our decision will effectively terminate the litigation. Trujillo v. Brasfield, 119 Ariz. 8, 579 P.2d 46 (App.1978). We therefore assume jurisdiction.
Petitioners are defendants in a pending Pima County Superior Court action for personal injuries filed by the real parties in interest, plaintiffs below. The undisputed facts are as follows. The accident which gave rise to this lawsuit occurred on October 20, 1980. Since the plaintiff/husband was injured in the course of his employment, he applied for and received workmen’s compensation benefits. This lawsuit was filed on November 26, 1981, approximately 13 months after the cause of action accrued. On November 12, 1982, plaintiffs obtained a reassignment of the claim from INA, the compensation carrier.
Petitioners’ motion for summary judgment was based on the fact that the two-year statute of limitations barred the action, that is, since the reassignment occurred after expiration of the limitations period, that date controlled as to whether the lawsuit was barred since the plaintiffs had no claim when they filed the lawsuit on November 26, 1981.
Plaintiffs, in opposition to the motions for summary judgment, took the position that A.R.S. § 23-1023(B) does not specify when the reassignment must be obtained in order to be valid. Therefore, they argue that since the lawsuit was commenced prior to expiration of the statute of limitations, the reassignment was retroactive to the date of filing their complaint.
A. R.S. § 23-1023 provides m pertinent part:
“A. If an employee entitled to compensation under this chapter is injured or killed by the negligence or wrong of another not in the same employ, such injured employee, or in event of death his dependents, may pursue his remedy against such other person.
B. If the employee entitled to compensation under this chapter, or his dependents, does not pursue his or their remedy against such other person by instituting an action within one year after the cause of action accrues, the claim against such other person shall be deemed assigned to the insurance carrier, or to the person liable for the payment thereof. Such a claim so assigned may be prosecuted or compromised by the insurance carrier or the person liable for the payment thereof, or may be reassigned in its entirety to the employee or his dependents. After the reassignment, the employee entitled to compensation, or his dependents, shall have the same rights to pursue the claim as if it had been filed within the first year.” (Emphasis added).
This statute was amended by Laws 1981, Chapter 226, § 1, and became effective April 27, 1981. In Chevron Chemical Company v. Superior Court, 131 Ariz. 431, 641 P.2d 1275 (1982), our supreme court pointed out that the amendment of the statute to allow reassignment to the employee was apparently a legislative response to its decision in Ross v. Superior Court, 128 Ariz. 301, 625 P.2d 890 (1981), holding that once the claim has been assigned to the employer or the employer’s insurance carrier, it could not be reassigned.
In Stephens v. Textron, Inc., 127 Ariz. 227, 619 P.2d 736 (1980), our supreme court held that the compensation fund’s reassignment of a claim after the two-year statute of limitation for bringing an action for wrongful death had expired did not preserve the action. In Stephens, as here, the lawsuit was filed prior to the running of the limitations period but the assignment by the fund occurred after expiration of the limitations period. The parties had included an addendum which provided that it was their mutual intention to have the assignment retroactive to the date of the filing of the complaint. The court pointed out that when the appellant filed her complaint, she lacked any interest in the cause of action as the compensation fund had become the owner. It rejected appellant’s argument that her lack of interest was cured by the fund’s reassignment of the claim to her six months later, stating:
“As an assignee, appellant can stand in no better position than the assignor, [citation omitted] And since the Fund was barred by the statute of limitations, so was appellant. Their attempt to make the assignment retroactive to the date the complaint was filed may have some meaning between them, but it is meaningless as to third parties.” 127 Ariz. at 230, 619 P.2d 736.
The court did not pass upon the question of whether a claim may be reassigned and it was not until Ross that the question was answered. Contrary to plaintiffs’ argument, the very language of A.R.S. § 23-1023(B) militates against their retroactivity argument. It is not until after the reassignment that the employee’s rights to pursue the claim as if it had been filed within the first year are restored.
We hold that the plaintiffs had no interest in the cause of action when they filed their lawsuit and the subsequent reassignment to them after the limitations period had run did not preclude the petitioners from raising the statute of limitations as a bar. We find no merit in plaintiffs’ argument that petitioners, by failing to plead the statute of limitations, thereby waived it. Trujillo v. Brasfield, supra. The defense of the statute of limitations may be raised by a motion for summary judgment. Weller v. Weller, 14 Ariz.App. 42, 480 P.2d 379 (1971). Although plaintiffs suggest that petitioners may be estopped from asserting the statute of limitations, the affidavit in support of their opposition to the motion for summary judgment contains no facts which, if proven, would raise an estop-pel issue.
Since there are no material factual issues and petitioners are entitled to judgment as a matter of law, the respondent court should have granted their motions for summary judgment. We therefore vacate the order denying petitioners’ motions and direct the respondent court to enter an appropriate order in conformity with this opinion.
HOWARD, C.J., and BIRDSALL, J., concur.
|
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OPINION
CONTRERAS, Judge.
Following a trial by jury, appellant was convicted of one count of fraudulent scheme and artifice in violation of A.R.S. § 13-2310. The trial court suspended imposition of sentence and placed appellant on probation for a term of five years, and as conditions of probation, ordered that appellant serve a year in the county jail and pay restitution in the amount of $6,000. He timely filed a notice of appeal and raises nine issues for our consideration:
1. Whether the indictment is void for duplicity;
2. Whether the trial court erred in denying his motion for a directed verdict of acquittal as to a portion of the indictment;
3. Whether the trial court properly instructed the jury;
4. Whether the State of Arizona had jurisdiction over the offense charged;
5. Whether the prosecutor commented on the appellant’s right to remain silent at trial;
6. Whether the evidence is sufficient to support the conviction;
7. Whether appellant’s right to a speedy trial was violated;
8. Whether the citing of an erroneous statute in the indictment renders the indictment void; and
9. Whether appellant received effective representation by trial counsel.
The evidence introduced at trial revealed that appellant was the finance director of Lake Havasu City until his resignation in December, 1980. His successor in office discovered irregularities in certain checks drawn on the Lake Havasu City account, and signed by appellant. She reported the irregularities to her supervisor, and an investigation ensued. The investigation revealed that a Mr. O’Leary, an employee of the Burroughs Corporation in Las Vegas, Nevada, had dealt with appellant in his capacity as finance director concerning the purchase of a computer system for Lake Havasu City. Following the installation of the computer, O’Leary told appellant he would provide the city with five free computer discs which had a value of approximately $100 each. In March or April, 1980, O’Leary brought two or three discs to Lake Havasu City with the understanding that he would bring the balance of the free discs on his next visit. When O’Leary delivered the discs to appellant, appellant proposed that he write out a city check to O’Leary for $400, and that O’Leary return half of the amount of the check, $200, to appellant personally. The city check was written to a fictitious corporation, Nevada Computer Supply or Mark O’Leary. O’Leary deposited the check in his personal checking account and gave appellant a check for half the amount. O’Leary testified that from March through September or October of 1980, he conducted anywhere from seven to ten such transactions with appellant. O’Leary estimated that he gave appellant 30 to 40 discs which resulted in a “kickback” to appellant during this time. He also testified that all but one of the exchanges occurred in Arizona. The state introduced into evidence checks representing five of the transactions between O’Leary and appellant.
The evidence produced at trial also revealed that appellant was engaged in somewhat similar conduct with another employee of Burroughs Corporation, Lawrence Tapper. Tapper was a programmer for Burroughs, and was engaged in “moonlighting” activities from time to time. If a party needed a computer program changed, Tapper would, upon occasion, change the program during his spare time and charge the party personally for his work. Tapper testified that moonlighting activities were against company rules at Burroughs. He stated that at the end of 1979, Lake Havasu City purchased a new system from Burroughs, and at that point, Tapper did his work and his dealings with appellant primarily in Las Vegas. Appellant told Tapper that the city would not authorize his (appellant’s) expenses to come to Las Vegas, and proposed a plan with Tapper to cover his expenses. Pursuant to this plan, appellant would pay Tapper for his moonlighting by check issued on the city account, and Tapper would reimburse appellant for half the amount of the check. Tapper testified that appellant’s proposal occurred either at the end of 1979 or the beginning of 1980.
The evidence also disclosed that in approximately September, 1980, Tapper started selling discs to appellant. He testified that the majority of the discs were ones which he had picked up from other customers who had Burroughs equipment and no longer needed the discs. Tapper would service the discs and resell them. In September, appellant called Tapper and indicated that he needed some discs, and that he needed to purchase them for $82.50. Appellant had been buying discs from O’Leary for $80 per disc. He indicated to Tapper that he wanted to buy the discs at the same price and he added $2.50 to indicate an appearance of sales tax. Tapper estimated that he sold appellant 50 discs. Appellant paid for the discs with checks drawn on the Lake Havasu City account. The checks, for the most part, were made payable to Nevada Computer Supply or Larry Tapper, although Tapper did have appellant make out three checks to another party. Tapper would cash the checks and give half of the face value of the check back to appellant. Tapper also testified that he gave to appellant half of the value of the moonlighting checks.
Both O’Leary and appellant’s replacement as finance director in Lake Havasu City testified that the city had procured many more discs than were needed by the city.
Based on the evidence presented, the jury found appellant guilty of fraudulent scheme and artifice.
DUPLICITOUS INDICTMENT
For his first issue on appeal, appellant asserts that the indictment is void for duplicity. He contends that the state charged 24 separate offenses in one count.
Appellant was charged by indictment as follows:
On or about January 1, 1980 through January 1, 1981, at 1795 Civic Center Blvd., Lake Havasu City, Mohave County, Arizona, the defendant, ROBERTO SUAREZ, pursuant to a scheme or artifice to defraud, knowingly obtained a benefit to wit: approximately $6000 by means of false pretenses, representations, promises or material omission, all in violation of A.R.S. §§ 13-701, 13-801, 13-2301 and 13-2310.
At no time prior to trial did appellant file a motion to dismiss the indictment on grounds of duplicity or for any other reason.
Appellant asserts that pretrial discovery revealed 24 transactions between appellant and O’Leary or Tapper. He argues, therefore, that the indictment included in one count 24 distinct and separate offenses. He also argues that he was prejudiced because the state introduced evidence on only five of the transactions to prove a scheme consisting of 24 incidents.
A.R.S. § 13-2310(A) provides:
Any person who, pursuant to a scheme or artifice to defraud, knowingly obtains any benefit by means of false or fraudulent pretenses, representations, promises or material omissions is guilty of a class 2 felony.
Appellant cites State v. Kuhnley, 74 Ariz. 10, 242 P.2d 843 (1952) in support of his proposition that an information or indictment which charges two or more distinct and separate offenses in one count is void for duplicity. As a general proposition of law, appellant’s assertion is correct. However, State v. Kuhnley and the other cases relied upon by appellant are distinguishable from the instant case by virtue of the nature of the offense charged. In State v. Kuhnley, the defendant was charged with one count of receiving stolen property. The indictment alleged six specific items of stolen personal property received. The supreme court pointed out that there was no evidence that two of the articles were received by the defendant at the same time, but that the thefts occurred at various times, and that the stolen item was delivered to the defendant at his home immediately after the theft. The supreme court held that there was a fatal variance between the information and the proof in that case because the trial court treated the separate offenses as one offense and instructed the jury that the elements of the crime were established if the jury found the defendant guilty of receiving any or all of the articles enumerated in the information.
In the present case, however, appellant was charged with fraudulent schemes and artifices. “A ‘scheme or artifice to defraud’ consists of forming a plan or devising some trick to perpetrate a fraud upon another.” State v. Smith, 121 Ariz. 106, 588 P.2d 848 (App.1978). A scheme to defraud thus implies a plan, and numerous acts may be committed in furtherance of that plan. In this case, it is apparent that appellant had a plan to defraud Lake Havasu City. His plan was manifested in a course of conduct involving numerous transactions between appellant and O’Leary or Tapper. It is also apparent that appellant did not formulate 24 separate schemes to defraud, but rather, formulated one scheme to defraud and implemented the scheme through the subsequent series of transactions. A charge of fraudulent schemes and artifices is, therefore, distinguishable from a charge of receiving stolen property precisely because “scheme” implies a plan in furtherance of which numerous acts may be committed. “The words of [a] statute should be given their plain and ordinary meaning, unless it appears from the context that a different meaning should control.” State v. Fendler, 127 Ariz. 464, 473, 622 P.2d 23, 32 (App.1980). We conclude that the indictment charging fraudulent schemes and artifices is not void for duplicity.
DIRECTED VERDICT
For his next issue on appeal, appellant argues that the trial court erred in failing to grant his motion for a directed verdict of acquittal at the close of the state’s case. He contends that since the state proved only %4ths of the indictment, he was convicted of only 5/24ths of a count. He argues that the state did not prove each element of the offense beyond a reasonable doubt. This argument has no merit.
Appellant appears to be arguing that because the state disclosed 24 separate incidents in its pretrial disclosure, it was required to present proof of each of the 24 incidents in order to prove appellant guilty of fraudulent schemes and artifices beyond a reasonable doubt. However, there is no existing authority for the proposition that the state must present proof of every item indicated in its pretrial disclosure.
In this case the state was required to prove that appellant, pursuant to a scheme or artifice to defraud, knowingly obtained a benefit by means of a false or fraudulent pretense, representation, promise or material omission. To that end, the state presented proof through the testimony of O’Leary and Tapper that appellant, during 1980, obtained the money from the city by purchasing discs and services with checks written on the Lake Havasu City account made out to a fictitious corporation and then received a “kickback” from O’Leary and Tapper. In order to prove fraudulent schemes and artifices, the state presented the testimony of O’Leary and Tapper as to the general course of fraudulent conduct between themselves and appellant during the year 1980. The state also introduced docu mentary evidence of five specific transactions. The state also introduced testimony that city checks in the amount of $12,069 had been written by appellant on the Lake Havasu City account pursuant to the scheme. Appellant seems to assert that only the documentary evidence was sufficient to establish proof beyond a reasonable doubt; however, the testimonial evidence was certainly as probative as the documentary evidence. As a matter of strategy, the state chose not to present proof of every single transaction committed between appellant and Tapper or. O’Leary. A.R.S. § 13-2310 defining fraudulent schemes and artifices does not require that the state prove every transaction which is part of the scheme or artifice. We find, therefore, that the trial court did not err in denying appellant’s motion for a directed verdict of acquittal.
JURY INSTRUCTIONS
Appellant next argues that the trial court erred in failing to instruct the jury that the state was required to prove either the entire indictment alleging a fraud in the amount of $6,000 or 24 separate transactions. Appellant did not request such an instruction, and has therefore waived error for purposes of appeal in the absence of fundamental error. State v. Evans, 125 Ariz. 140, 608 P.2d 77 (App.1980).
The trial court instructed the jury with regard to fraudulent schemes and artifices as follows:
The crime of fraudulent schemes and artifices has four elements. In order to find that the defendant committed the crime of fraudulent schemes and artifices, you must find that: (1) the defendant obtained some benefit; and (2) the defendant must do so knowingly; and (3) the defendant must do so by means of false or fraudulent pretenses, representations, promises or material omissions; (4) the defendant must do so pursuant to a scheme or artifice to defraud.
Appellant’s apparent contention is two-fold: (1) that because the state presented proof of only 5 of 24 possible fraudulent transactions between appellant, Tapper, and O’Leary, and because the state presented proof of some transactions that were not fraudulent, the state did not prove the indictment. The second portion of his contention is apparently because the state alleged a $6,000 benefit to the appellant in the indictment, the state was required to prove separate transactions amounting to a $6,000 benefit. Therefore, he contends he was entitled to have the jury instructed that the state had to prove each element of fraudulent scheme and artifice as to each incident.
Our discussions of the previous two issues indicate our conclusion that a scheme inherently involves a plan pursuant to which there may be many transactions. The elements of fraudulent schemes and artifices have been discussed above. The trial court properly instructed the jury as to those elements. The language in the indictment alleging a $6,000 benefit flowing to defendant-appellant pursuant to the scheme and artifice was surplusage inasmuch as the dollar value of the benefit obtained pursuant to a fraudulent scheme or artifice is irrelevant for purposes of determining whether a fraudulent scheme or artifice has occurred. A.R.S. § 13-2310(A). All that is required is that the defendant obtain “any benefit”. The trial court instructed the jury that “ ‘benefit’ means anything of value or advantage.” The trial court also correctly instructed the jury “proof of the offense of fraudulent schemes and artifices does not require a showing that the benefit obtained by the defendant was of a certain value or was greater than a certain value.”
Although the state did not present documentary evidence to prove that appellant had received a benefit of $6,000, it presented testimonial evidence to the effect that appellant had written checks in the amount of $12,069, and testimonial evidence that appellant received half of the value of the checks he wrote as a “kick-back”. Thus, there was testimonial evidence tending to establish that appellant had received a benefit of $6,000 as alleged in the indictment. Moreover, the charging document is automatically amended to conform to the evidence produced at trial. Rule 13.5(b), Rules of Criminal Procedure, 17 A.R.S. In this case, the jury was properly instructed concerning the elements of fraudulent scheme and artifice, and the state presented evidence establishing those elements. The state was not required to prove by the introduction of documentary evidence every single transaction committed by appellant in furtherance of the fraudulent scheme and artifice; nor was appellant entitled to an instruction to the effect that the state’s failure to prove by documentary evidence each specific transaction resulted in a failure of proof of the offense charged. We find no error in the instructions given.
JURISDICTION
For his next issue on appeal, appellant contends that Arizona lacked jurisdiction to prosecute him as to the incidents involving Tapper because, he alleges, most of the Tapper transactions occurred entirely in Nevada. He concludes that the trial court should have directed a verdict on the portion of the count relating to the Tapper incidents, and that “since it is impossible to convict on less than 100% of a charge, [appellant] should have received a directed verdict.”
If conduct constituting any element of the offense or a result of that conduct occurs within the state, Arizona has jurisdiction over the offense. A.R.S. § 13-108(A)(1). The question is whether “any element of the offense” occurred in Arizona. State v. Bussdieker, 127 Ariz. 339, 621 P.2d 26 (1980).
It is apparent that one or more elements of the instant offense were committed in Arizona. All but one of the O’Leary transactions occurred in Arizona. As to the Tapper incidents, the evidence reveals that while the actual exchange of money occurred in Nevada in all but one of the incidents, the evidence also reveals that appellant phoned Tapper numerous times, ostensibly from appellant’s office telephone in Lake Havasu City. The evidence also reveals that appellant paid Tapper with checks drawn on the Lake Havasu bank account located in Arizona. It is apparent that the scheme was planned by appellant in Arizona, and that appellant knowingly formulated the scheme in Arizona. The state also established that appellant deposited checks from O’Leary to him in his account in Arizona. Therefore, while several of the transactions with Tapper may have been executed in Las Vegas, numerous elements of the offense were committed in Arizona, and Arizona had jurisdiction to try the offense. State v. Bussdieker.
PROSECUTORIAL MISCONDUCT
For his next issue, appellant asserts that the prosecutor, in closing argument, improperly commented on his right not to present a case on behalf of the defense and his right not to testify. Appellant contends that error occurred in the following statements:
Ladies and gentlemen, it is insurmountable. You look at the data up there, look at the transactions. Ask yourselves how would he disprove it if, in fact, he did it, and the figures make it very clear; the fact is it’s an impossible thing to do. He cannot disprove it because in fact the defendant did what he’s charged with having done.
Appellant’s counsel argued in several places during his closing argument that the crime with which he was accused was incapable of being disproved. He argued that the defendant did not take kick-backs, that he told the arresting officer that he did not take kick-backs, but that he could not prove “something that didn’t exist”. In other words, he could not prove “negative evidence.” The above referenced comment was a proper response to appellant’s argument that he could not disprove the crime charged. The prosecutor was referring to an evidentiary chart detailing the transactions between appellant, O’Leary, and Tapper, and pointing to the evidence stating simply in response to appellant’s argument that the evidence showed that appellant did what he was charged with having done. This comment thus did not constitute a comment on appellant’s right to remain silent or to present no evidence, but a clear comment in response to appellant’s closing argument.
Similarly, one of the arguments made by appellant’s counsel was that appellant was not so stupid as to commit the offense with which he was charged. In response to this argument, the prosecutor stated:
After a prosecutor has tried a few cases — and I’m not suggesting that I’m the most experienced prosecutor in the world — but after you’ve tried a few cases, you tend to almost cringe when you hear defense attorneys making the same argument over and over again. I’m sure that every time they make it they think it’s an original argument. I’m almost getting sick of hearing defense attorneys stand up and say how could my client be so stupid as to do what he’s charged with doing.
This comment by the prosecutor does not constitute a comment either directly or inferentially on appellant’s right to remain silent. We also note that the comment was invited by defense counsel’s closing argument. We find no error. See State v. Bowie, 119 Ariz. 336, 580 P.2d 1190 (1978).
Appellant also argued that the state failed to subpoena numerous witnesses that it could have subpoenaed and that the state had awesome subpoena power as compared to the defendant. Specifically, appellant’s counsel argued that the state should have subpoenaed two city officials, Mr. Klotz-bach and Mr. Smith. Appellant argued that the state failed to subpoena the testimony of the persons from whom Tapper, specifically, acquired the discs. Appellant also argued that the state failed to subpoena Dave Larson, the Burroughs supervisor of both O’Leary and Tapper. In the context of all of these arguments, appellant argued that the state failed to prove its case. In response to this argument, the prosecutor stated:
If there are people here that I did not subpoena, you can assume that, for whatever reasons, I felt that I did not need their testimony. If Mr. Jackson failed to subpoena those same people — and he’s a competent attorney — you can certainly be sure that he did not subpoena those people for the same reason: because they have absolutely no light to shed upon this case.
4: 4: 4: 4: 4: 4;
Any evidence which existed in this case was certainly subject to a subpoena and, in fact, I think its been very obvious to you during the proceedings that Mr. Jackson has had complete access to anything that was in our files. If he had wanted to have it marked, wanted to have it introduced in evidence, he could have done so.
He chose not to do so, and being a competent attorney, you can assume that he didn’t do that either because it would have damaged his client or at least that it would not have helped his case to any extent.
The prosecutor did not mention appellant’s failure to subpoena the witnesses in his initial closing argument, but only in rebuttal argument in response to the defense attorney’s remarks. In State v. Filipov, 118 Ariz. 319, 324, 576 P.2d 507, 512 (App.1977), we wrote:
We believe that the state or the defense may properly comment upon the failure of the other party to produce a witness in appropriate circumstances. Such circumstances exist when the witness not produced allegedly would give testimony favorable to the party who fails to call the witness.
On the basis of the record before us, it is apparent that appellant’s counsel properly commented upon the failure of the state to produce witnesses and evidence which would be favorable to the state. Presumably, Klotzbach, Smith, Larson, and Lowell would have corroborated the testimony of the state’s witnesses. Therefore, appellant’s argument commenting on the state’s failure to produce those witnesses was a proper argument on the state’s failure to prove its case. Consequently, the prosecutor’s rebuttal argument was not invited by error of appellant’s counsel; nor did it constitute a proper comment on appellant’s failure to call a witness within his control because the testimony of those witnesses would not apparently assist the defense. Thus, the state’s argument was error.
Nevertheless, we must determine whether the error was prejudicial. In Sullivan v. State, 47 Ariz. 224, 55 P.2d 312 (1936), the supreme court set forth the criteria for determining if improper argument is unduly prejudicial:
The best rule for determining whether remarks made by counsel in criminal cases are so objectionable as to cause a reversal of the case is, Do the remarks call to the attention of the jurors matters which they would not be justified in considering in determining their verdict, and were they, under the circumstances of the particular case, probably influenced by those remarks.
47 Ariz. at 238, 55 P.2d at 317. See also State v. Filipov. We believe that under the circumstances of this case, the jurors were probably not influenced by the remarks of the prosecutor in his rebuttal argument. Although appellant- argues to the contrary, the proof in this case was overwhelming. The state presented the testimony both of Tapper and O’Leary that appellant wrote each of them checks on the Lake Havasu City account, and they each paid him personally half the face value of the checks. The state introduced the testimony of appellant’s successor in office to the effect that she had discovered the checks and believed them to be irregular. The parties stipulated that appellant deposited checks written from O’Leary to him in his personal bank account. Given the overwhelming proof against appellant, we find that the jury was probably not influenced by the improper remarks of the prosecutor.
Appellant also contends that the prosecutor improperly commented on the state’s burden of proof by asserting that he was not required to prove the indictment, but was required to prove the crime of fraudulent schemes and artifices. In context, those comments by the prosecutor were not error. We have already held that the $6,000 figure in the indictment was surplusage, that the state was not required to prove every single transaction which formed the basis of the fraudulent schemes and artifices count, and that appellant was not entitled to an instruction to the effect that the state must prove every transaction which formed the basis of the count. The prosecutor’s argument was not error.
Appellant also contends the prosecutor erred in making the following argument:
Why do you suppose Mr. Jackson feels that the only way he can defend this client is to strike out at everybody involved in this case? To talk about the, I believe it was the crude O’Leary and Tapper? To engage in this smear campaign with Dixie Williams? I won’t even mention the smear campaign with the people who weren’t ever here.
This argument was clearly in response to appellant’s closing argument. Appellant’s counsel had characterized O’Leary and Tapper as crude, and implied that Dixie Williams, appellant’s successor in office, was motivated by her desire to take over appellant’s job. The prosecutor’s argument in this regard was therefore invited by appellant’s argument.
Appellant also contends that the prosecutor commented on his right to remain silent when the prosecutor stated:
You have an unsworn statement by the defendant out in California somewhere to the investigating officer in this case that he didn’t do anything.
This comment did not constitute a comment on appellant’s right to remain silent. When appellant was arrested, he spoke to the arresting officers and did deny the charge. Therefore, the comment constituted a proper comment on something appellant had stated, and not on appellant’s right to remain silent.
Therefore, taken as a whole, we find that the prosecutor’s argument did not improperly influence the jury.
SUFFICIENCY OF THE EVIDENCE
Appellant also contends that the evidence was insufficient to support the jury verdict. He asserts that O’Leary and Tapper both testified that they were not acting in concert with each other, but that their dealings with Suarez were separate and apart from each other. He also argues that Lake Ha-vasu City was not defrauded because the city paid less for the discs than it would have paid had they been sold at their fair market value of $110 per disc.
While it is clear that Tapper and O’Leary did not act in concert with each other, and each acted separately with appellant, it is not necessary, in order to show fraudulent schemes and artifices that all parties to the scheme must act in concert. A.R.S. § 13-2310(A), defining fraudulent schemes and artifices refers only to the intent and actions of the person who obtains a benefit by means of the fraudulent scheme or artifice. Presumably a person could formulate a fraudulent scheme and artifice, and pursuant thereto involve numerous innocent people in furtherance of the scheme, none of whom knew about the involvement of any other innocent party. It is the formulation of the scheme by the person alleged to have committed the offense which is required by the statute. In this case, it is evident that appellant formulated the scheme to obtain money from Lake Havasu City, and independently approached Tapper and O’Leary on separate occasions suggesting the scheme. While it is clear that Tapper and O’Leary may have had an idea that the other party was participating in a scheme with appellant, nothing in the statute requires that they act in concert.
Appellant’s argument that the evidence is insufficient to support the verdict because the city paid less for the discs than their fair market value is ludicrous. If this logic was followed, it would constitute an open invitation for public officials to defraud the people whom they serve under the guise of saving them money. This is not the law. A.R.S. § 13-2310(A) requires simply that the party allegedly committing the fraudulent scheme and artifice obtain a benefit by means of a false or fraudulent pretense, representation, promise or material omission. In this case, appellant obtained money from the city to which he was not entitled by writing checks on the city’s bank account for purchases of discs the city did not need. The representation on the face of the checks was clearly that the sales price of the discs was $80 per disc when, in fact, both Tapper and O’Leary were selling the discs for $40, and giving appellant $40. Moreover, O’Leary had intended to give the city the first five discs at no cost to the city. Nevertheless, the city paid $400 for the discs, $200 to O’Leary and $200 to appellant. It is utterly irrelevant that the city paid less for the discs than the market price.
SPEEDY TRIAL
For his seventh issue, appellant contends that his right to a speedy trial was violated because the last continuance violated his right to a speedy trial.
Appellant was arraigned May 15, 1981. Trial date was set for July 28,1981, and the trial setting was continued by the court to August 19,1981 due to a conflict in the trial court’s calendar. The state moved for a continuance due to a conflict in its calendar, and trial was set for September 9, 1981. The trial setting of September 9, 1981 was continued to October 7, 1981 by stipulation of the parties. The state then moved for a continuance on the grounds that the investigating officer would be out of the state and was unavailable to be served with a subpoena until October 19, 1981. Counsel argued the motion October 6, 1981, but the transcription of that argument was not made part of the record for purposes of this appeal. The minute entry following the argument indicates that the trial court granted the motion and continued the trial to November 3, 1981 at 9:30 a.m. The minute entry also indicates as follows: “if any party feels the state violates any trial limits, the Court will entertain a motion to accelerate the trial on the calendar.” Appellant did not file or argue a motion to accelerate the trial on the calendar. Appellant opposed the state’s motion to continue on the grounds that the unavailability of the investigating officer was not an extraordinary circumstance requiring delay.
Since we do not have a copy of the transcript of the argument concerning the state’s last motion for a continuance, we must presume that the record would support the action of the trial court. We must thus conclude that the state made a showing that extraordinary circumstances existed and that delay was indispensable to the interests of justice in accordance with the provisions of Rule 8.5(b), Rules of Criminal Procedure, 17 A.R.S. Appellant was required to be tried within 90 days from the date of his arraignment pursuant to Rule 8.2(c). He was arraigned on May 15, 1981, and was thus required to be tried August 13,1981, in the absence of Rule 8.4 excluded time periods. Rule 8.4(c) excludes from the computation of time limits delays necessitated by congestion of the trial calendar, “when the congestion is attributable to extraordinary circumstances, in which case the presiding judge shall promptly apply to the Chief Justice of the Arizona Supreme Court for suspension of any of the Rules of Criminal Procedure.” In the instant case, the first trial setting was continued by the court due to the conflict in the court’s calendar. Because the record is silent concerning whether the trial court complied with the provisions of Rule 8.4(c), we must conclude that the trial court’s action was proper. Therefore, the first continuance of 22 days was properly excluded pursuant to Rule 8.4. Appellant concedes that the stipulated 30 day continuance was properly excluded pursuant to Rule 8.4. The state’s first motion to continue, to which appellant did not object, was granted upon a finding of good cause pursuant to Rule 8.5(b) for 21 days. This time was properly excluded pursuant to Rule 8.4(d). We have already found that in the absence of a record indicating that the trial court abused its discretion in granting the state’s last motion to continue, that the motion was properly granted pursuant to Rule 8.5(b), and that 27 days were excluded pursuant to Rule 8.4(d). Therefore, the date for trial was extended pursuant to Rule 8.4 by 100 days of excluded time. Appellant’s trial commenced November 3, 1981, which was 80 days from August 13, 1981. We find that appellant’s right to a speedy trial pursuant to Rule 8 was not violated.
STATUTE CITED IN INDICTMENT
The indictment in this case alleged violations of A.R.S. §§ 13-701, 13-801, 13-2301 and 13-2310. A.R.S. § 13-2301 is a definitional section, but no part of A.R.S. § 13-2301 applies to A.R.S. § 13-2310. Therefore, A.R.S. § 13-2301 was not properly alleged in the indictment. Appellant argues that the indictment was therefore void.
He contends further that any definitions pertaining to A.R.S. § 13-2310 would necessarily come from prior cases or other rules of statutory construction. He argues that the predecessors to A.R.S. § 13-2301, which were A.R.S. §§ 320.01, 312, and 661 require that there must be a victim who is defraud ed in order to prove fraudulent scheme or artifice. We have already concluded that the city was defrauded in this case, because it paid $400 for five discs, which would otherwise have been free, and paid $80 each for discs for which half the sales price was returned to appellant.
Although, given the issues raised on appeal, it is apparent that the indictment was drawn inartfully in this case, we find that appellant has neither alleged nor shown how he was prejudiced by the inclusion of the reference to A.R.S. § 13-2301 in the indictment. The reference to the statute was mere surplusage in the indictment, was not objected to by appellant at trial, and the indictment was thus deemed to be amended to conform to the proof. Rule 13.5(b), Rules of Criminal Procedure, 17 A.R.S. It is clear that the reference to A.R.S. § 13-2301 was merely a technical defect in the indictment because it did not change either the nature of the offense charged nor did it prejudice appellant in any way. State v. Bruce, 125 Ariz. 421, 610 P.2d 55 (1980). Any issue concerning a defect in the charging document must be raised by motion filed in accordance with Rule 16.1, no later than 20 days prior to trial. Rule 13.5(c); State v. Sustaita, 119 Ariz. 583, 583 P.2d 239 (1978). Appellant did not timely raise the issue prior to trial. We find that he is precluded from raising the issue on appeal and even if by stretch of the judicial imagination he is not precluded, there is no merit to his argument on the issue.
EFFECTIVE ASSISTANCE OF COUNSEL
Counsel on appeal asserts that if he was in error at trial on the issue concerning duplicity of the indictment, then he was ineffective as counsel. For the following reasons, we decline to consider the ineffective assistance of counsel argument presented in this appeal.
Since State v. Watson, 134 Ariz. 1, 653 P.2d 351 (1982), the standard for effective assistance of counsel in Arizona has been whether counsel showed at least minimal competence in representing the criminal defendant. In making this determination, the reviewing court should focus on “the quality of counsel’s performance, rather than on the effect of that performance on the outcome of the proceeding.” Id. at 4, 653 P.2d at 354. Furthermore, as noted in both State v. Watson and State v. Thomas, 133 Ariz. 533, 652 P.2d 1380 (1982), disagreements as to trial strategy or errors in trial tactics will not support an ineffectiveness claim, as long as the challenged conduct could have had some reasoned basis. State v. Watson. As noted in State v. McDaniel, 136 Ariz. 188, 665 P.2d 70, 80 (1983), “proof of ineffectiveness must be a demonstrable reality rather than a matter of speculation.”
The burden of establishing ineffectiveness of trial counsel is on the defendant. State v. Tison, 129 Ariz. 546, 633 P.2d 355 (1981). Procedurally, such issue can be presented either on direct appeal or in a collateral proceeding pursuant to Rule 32 of the Arizona Rules of Criminal Procedure. However, if this issue is presented on appeal, it is improper for appellate counsel to argue his own ineffectiveness at trial because, as a matter of policy, it is difficult for counsel to objectively review his own performance and zealously argue any inadequacies in that performance on behalf of his client. In addition, one can easily perceive the potential for abuse if appellate counsel is permitted to raise, evaluate and advocate his ineffectiveness as trial counsel. If counsel honestly believes he was ineffective at trial or that such issue exists, he should so advise his client, seek leave to withdraw and have new counsel appointed to raise the issue on appeal, or pursue the matter under Rule 32, Arizona Rules of Criminal Procedure.
In this appeal and for the reasons stated, we decline to consider the issue of ineffective assistance of counsel on appeal. This determination is without prejudice to appel lant presenting the issue to the trial court through the medium of a Rule 32 proceeding by counsel other than his present counsel.
The conviction and judgment are affirmed.
CORCORAN and KLEIN SCHMIDT, JJ., concur.
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OPINION
BIRDSALL, Judge.
We must set aside the appellant’s conviction of attempted theft of a pick-up truck because his peremptory change of judge request was not honored.
Judge Michael J. Brown was permanently assigned to appellant’s case by minute entry dated March 16, 1982. Appellant filed a motion for change of judge pursuant to Rule 10.2, Arizona Rules of Criminal Procedure, 17 A.R.S., on March 30, 1982, but this motion was denied by Judge Druke, the Presiding Judge, as untimely.
The rule governing the time for filing a motion for change of judge reads, in pertinent part, as follows:
“A notice of change of judge shall be filed, ... within 10 days after any of the following:
(3) In all other cases, actual notice to the requesting party of the assignment of the case to a judge.” Rule 10.2(e) Arizona Rules of Criminal Procedure, 17 A.R.S.
Rule 1.3, Arizona Rules of Criminal Procedure, 17 A.R.S. allows five days to be added to any prescribed time period whenever service of a notice or other paper is allowed and made by mail. The five day mail rule applies specifically to notices sent informing the parties of the permanent assignment of a judge. Duran v. State, 113 Ariz. 135, 547 P.2d 1049 (1976); Piller v. State, Superior Court of Cochise, 126 Ariz. 10, 612 P.2d 61 (App.1980). Assuming the minute entry was sent on the day it was filed, appellant had fifteen days from that date within which to file his notice of change of judge. In the instant case, appellant had until March 31, 1982, to file his notice. Therefore, the notice filed by defense counsel on March 30, 1982, was timely.
In State v. Williams, 123 Ariz. 112, 597 P.2d 1015 (App.1979) the court noted that Rule 1.3, Arizona Rules of Criminal Procedure, 17 A.R.S., applies to assignment of judge notices where such notice is made by minute entry. Notice was made by minute entry in the instant case and the reasoning of Williams applies adding five days to the ten day requirement of Rule 10.2, Arizona Rules of Criminal Procedure, 17 A.R.S. See also State v. Savage, 117 Ariz. 535, 573 P.2d 1388 (1978) (applying five day mail rule to notices left in box in Superior Court Clerk’s Office).
The appellee admits that it was error to deny the change of judge but contends it was not reversible error. We disagree. The appellee’s contentions are threefold:
1) The error is not properly reviewable on appeal,
2) The record does not show Judge Brown had notice of the request, and
3) No prejudice has been shown.
We will consider these in order.
The appellee contends the error should have been questioned by special action rather than on appeal. Not having sought such extraordinary relief, the argument continues, the appellant is precluded from raising the error now after conviction.
Although relief could have been granted by special action, see Hickox v. Superior Court, 19 Ariz.App. 195, 505 P.2d 1086 (1973) we do not believe it was required that the appellant take that route. State v. Neese, 126 Ariz. 499, 616 P.2d 959 (App.1980) and State v. Verive, 128 Ariz. 570, 627 P.2d 721 (App.1981) are inapposite since they involved challenges to grand jury proceedings. The claimed errors in those proceedings could not have affected the subsequent trials. In the instant case the appellant was forced to proceed to trial before a judge he had sought to remove. We do not mean to infer this was prejudicial. The rule does not require a showing of prejudice. The appellant was entitled to a different judge, and we believe that ends the matter.
Having suffered a final judgment of conviction, appellant may appeal. A.R.S. § 13-4033. See also State v. Watkins, 125 Ariz. 570, 611 P.2d 923 (1980); State v. Myers, 117 Ariz. 79, 570 P.2d 1252 (1977), cert. denied, 435 U.S. 928, 98 S.Ct. 1498, 55 L.Ed.2d 524 (1978); State v. Tatkenhorst, 103 Ariz. 156, 437 P.2d 948 (1968); State v. Reid, 114 Ariz. 16, 559 P.2d 136 (1976), cert. denied, 431 U.S. 921, 97 S.Ct. 2191, 53 L.Ed.2d 234 (1977).
The appellee next argues there is no showing that Judge Brown, the trial judge who was challenged, ever had notice of the change of judge notice. All that appears in the record is the notice of change of judge and the minute entry ruling. The appel- lee’s only authorities for this proposition are cases requiring that the trial court must be advised of objections, including those going to the disqualification of a judge, so that the objection may be considered first at that level. See Conkling v. Crosby, 29 Ariz. 60, 239 P. 506 (1925); Pintek v. Superior Court, 78 Ariz. 179, 277 P.2d 265 (1954). Unquestionably, this abstract legal proposition is correct, but it has little applicability here. Those cases concern disqualification for cause — the present case does not. Additionally, the notice to one trial judge, i.e., the presiding judge, who then undertakes to rule, is sufficient under the circumstances. See State v. DeVote, 87 Ariz. 179, 349 P.2d 189 (1960).
Finally the appellee argues no prejudice. Since the rule itself does not require a showing of prejudice, we cannot agree that we should require such a showing now. The appellee argues that since “substantial justice has been done”, Ariz. Const, art. 6, Sec. 27, the cause should not now be reversed. This argument makes sense, but it could be made in almost every case where the trial court has failed to honor a peremptory change of judge upon request. See State v. Shields, 26 Ariz.App. 121, 546 P.2d 846 (1976); State v. Shahan, 17 Ariz.App. 148, 495 P.2d 1355 (1972). And see the recent opinion of our supreme court in Cain v. City Court, 135 Ariz. 96, 659 P.2d 649 (1983). The right of a criminal defendant to a change of judge without cause is zealously protected and on the basis of fairness extended beyond the superior court.
The appellant presented one other issue on appeal which, since it may arise again, we must discuss. He requested an instruction on trespass — not as a lesser included offense, but as his “theory of the case”. He claimed he had gotten in the truck he was charged with attempting to steal intending only to sleep. The trial court initially refused the requested instruction, but later, after closing arguments, decided to and did give it. Appellant’s trial counsel was permitted to and did argue his theory even though the court had refused the instruction.
The issue presented on appeal is one of timing. The appellant contends it was error to refuse the instruction, and this error was not corrected by giving it later since his closing argument, given before the trial judge changed his mind, would have been more persuasive.
The trial court was correct in the first instance; the instruction should not have been given. Unlike the crimes of receiving stolen property and theft, attempted theft and trespass are not mutually exclusive. See State v. Reynolds, 11 Ariz.App. 532, 466 P.2d 405 (1970). A finding that the appellant was guilty of trespass would not mean he could not be guilty of attempted theft. See State v. Teran, 130 Ariz. 277, 635 P.2d 870 (App.1981); State v. Politte and Zucker, 136 Ariz. 117, 664 P.2d 661 (1982). For that reason we need not consider this “issue” further.
Reversed and remanded for new trial.
HOWARD, C.J., and HATHAWAY, J., concur.
|
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HOLOHAN, Chief Justice.
Appellant Jerry Michael Conn was convicted of three counts of sexual assault, one count of second degree burglary and one count of theft of property valued over $100.00. He was given an aggravated sentence of 20 years on the burglary, 28 years on each of the assaults to run concurrently with each other but consecutively to the burglary sentence, and 12 years on the theft to be served consecutively to the assault and burglary sentences. The trial judge found as aggravating circumstances that the appellant inflicted severe emotional harm on the victim, threatened her with bodily harm, had a long criminal record, admitted previous sexual assaults and was on parole at the time of the offense.
The defendant appealed the convictions and sentences raising a number of issues. The Court of Appeals affirmed the judgment of the trial court. State v. Conn, 137 Ariz. 152, 669 P.2d 585 (App.1982).
We have reviewed the record and arguments of counsel on the other issues raised by appellant, and we are satisfied with the resolution of those issues by the court of appeals. The opinion of the court of appeals on all issues except those concerning the sentence is approved, and the judgment of conviction is affirmed.
We granted the appellant’s petition for review to reexamine the issue of whether an involuntary confession can be used by the trial court in determining an appropriate sentence.
SENTENCE
Appellant contends that he was denied due process when an unconstitutionally obtained confession was part of the information used by the court in determining the severity of the sentences to be imposed.
Approximately two years prior to his trial on the instant charges, the appellant was arrested for another, unrelated offense. While in custody on that charge, he “cleared” five other sexual assault cases for a Tucson police detective. The appellant was promised immunity from prosecution for those cases he cleared. He admitted each of the five offenses, giving the detective sufficient details to convince him that the appellant was the assailant in each case. No charges were filed as to these crimes.
These five offenses were the subject of a pretrial motion in limine in the instant case. The court found the confessions to be involuntary and prohibited their admission in evidence at trial.
At appellant’s aggravation hearing, however, the Tucson detective was allowed to testify that the appellant had, under a promise of immunity, admitted to five sexual assaults. The court expressly relied upon this testimony and used the admitted sexual assaults as an aggravating circumstance in imposing sentence.
The trial court found that the confessions were not voluntary under the rule of State v. McFall, 103 Ariz. 234, 439 P.2d 805 (1968). The rule enunciated in McFall states that a confession to be free and voluntary within the meaning of the fifth amendment must not have been obtained by any direct or implied promises, however slight. Id. at 236, 439 P.2d at 807, citing Malloy v. Hogan, 378 U.S. 1 at 7, 84 S.Ct. 1489 at 1493, 12 L.Ed.2d 653 (1964).
The trial court was correct in the finding of involuntariness. In the instant case, it is undisputed that the State made an agreement with the appellant. In exchange for the defendant’s surrender of his right to silence and providing information allowing clearance of five sexual assaults, the State promised the appellant he would not be prosecuted for those cases. All of the appellant’s statements regarding the five sexual assaults were induced by a promise of leniency and hence involuntary under McFall.
Appellant argues that the sentencing judge’s consideration of his involuntary confession denied him due process of law. The State, on the other hand, contends that a confession which is inadmissible as trial evidence can be considered for the limited purpose of determining an appropriate sentence citing State v. Benge, 110 Ariz. 473, 520 P.2d 843 (1974), and State v. Jones, 110 Ariz. 546, 521 P.2d 978, cert. denied 419 U.S. 1004, 95 S.Ct. 324, 42 L.Ed.2d 280 (1974).
The case presents a difficult question. The question relates to the constitutional limits on the scope of judicial inquiry at sentencing. As a general rule, the sentencing judge has wide discretion to consider information in imposing sentence. The rules governing the admissibility of evidence at trial do not apply at a hearing in aggravation. State v. Thomas, 110 Ariz. 106, 515 P.2d 851 (1973). Any reliable, relevant evidence, including hearsay, may be introduced at the sentencing hearing to show aggravating or mitigating circumstances. Rule 26.7(b), Arizona Rules of Criminal Procedure, 17 A.R.S.
The rationale for different evidentiary rules governing trial and sentencing procedures has been discussed by the U.S. Supreme Court:
Rules of evidence have been fashioned for criminal trials which narrowly confine the trial contest to evidence that is strictly relevant to the particular offense charged. These rules rest in part on a necessity to prevent a time consuming and confusing trial of collateral issues. They were also designed to prevent tribunals concerned solely with the issue of guilt of a particular offense from being influenced to convict for that offense by evidence that the defendant had habitually engaged in other misconduct. A sentencing judge, however, is not confined to the narrow issue of guilt. His task within fixed statutory or constitutional limits is to determine the type and extent of punishment after the issue of guilt has been determined. Highly relevant — if not essential — to his selection of an appropriate sentence is the possession of the fullest information possible concerning the defendant’s life and characteristics. And modern concepts individualizing punishment have made it all the more necessary that a sentencing judge not be denied an opportunity to obtain pertinent information by a requirement of rigid adherence to restrictive rules of evidence properly applicable to the trial. Williams v. People of State of New York, 337 U.S. 241, 246-47, 69 S.Ct. 1079, 1083, 93 L.Ed. 1337 (1949) (footnote omitted).
However, the relaxation in the traditional evidentiary rules and procedures applicable to the guilt-determining stage during the penalty-determining stage is not unlimited. The sentencing process, as well as the trial itself, must satisfy the requirements of the Due Process Clause. Gardner v. Florida, 430 U.S. 349, 97 S.Ct. 1197, 51 L.Ed.2d 393 (1977). The defendant has a legitimate interest in the character of the procedure which leads to the imposition of sentence even if he may have no right to object to a particular result of the sentencing process. Id. 430 U.S. at 358, 97 S.Ct. at 1205.
The question presented is whether the sentencing procedure in the instant case satisfied due process requirements. In State v. Jones, supra, we held that it was not error for a court to utilize an unconstitutionally obtained confession as a basis for sentencing. On petition for habeas corpus, however, the District Court granted relief and ordered resentencing. The Ninth Circuit affirmed holding:
“A sentencing judge’s broad discretion to consider information in imposing sentence does not extend to consideration of information obtained in violation of a defendant’s privilege against self-incrimination.
... Because the state was aggressive in extracting a confession from appellee without warning him of the consequences, we hold that appellee’s confession, in the setting in which it occurred, was involuntary. Consideration of this involuntary confession by the sentencing judge violated appellee’s Fifth Amendment rights.” Jones v. Cardwell, 686 F.2d 754, 756-57 (9th Cir.1982). (Footnote omitted).
The conflict between our ruling and that of the Ninth Circuit has caused us to reexamine this issue. Absent a clear decision by the United States Supreme Court on the subject, the present conflict in rulings should be resolved so that there may be some uniformity in the application of the law to the problem. We believe that the Ninth Circuit has a sound basis for its ruling on the issue, and in the interest of uniformity we defer to their decision. Accordingly, we overrule State v. Jones, supra, and hold that an involuntary confession may not be considered at sentencing. See United States ex rel. Brown v. Rundle, 417 F.2d 282 (3rd Cir.1969); United States ex rel. Rivers v. Myers, 384 F.2d 737 (3rd Cir.1967) (sentencing procedure did not satisfy due process requirements when a confession, constitutionally inadmissible in evidence, was part of the data used by the court in determining the severity of the sentence). Cf. United States v. Tucker, 404 U.S. 443, 92 S.Ct. 589, 30 L.Ed.2d 592 (1972) (convictions obtained in violation of a defendant’s Sixth Amendment rights may not be considered in imposing sentence).
Notwithstanding defense counsel’s failure to object to the admission of the confession at sentencing, we find that the court’s utilization of an involuntary confession to enhance punishment constituted fundamental error. We therefore, remand to the trial court for resentencing without consideration of the matters set forth in the involuntary confession.
GORDON, V.C.J., and HAYS, CAMERON and FELDMAN, JJ., concur.
. The Supreme Court in Gardner noted that the fact that due process applies does not implicate the entire panoply of criminal trial procedural rights. “Once it is determined that due process applies, the question remains what process is due. It has been said so often by this court and others as not to require citation of authority that due process is flexible and calls for such procedural protections as the particular situation demands.” Gardner v. Florida, supra, footnote 9 quoting Morrissey v. Brewer, 408 U.S. 471, 481, 92 S.Ct. 2593, 2600, 33 L.Ed.2d 484 (1972).
. Defendant Jones was interviewed by a state probation officer who was in the process of preparing a pre-sentence report. Before the interview, the defendant was instructed, “you are here under court order and it is imperative that you follow all instructions.” The probation officer questioned the defendant about the crime of which he had been convicted as well as any additional criminal activity for which he was responsible. The defendant confessed to numerous other crimes. The confession was reported to the trial judge who relied upon it in imposing a sentence. See Jones v. Cardwell, 686 F.2d 754 (9th Cir.1982).
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OPINION
JACOBSON, Chief Judge.
In this special action — Industrial Commission review of an award dismissing a request for hearing pursuant to A.R.S. § 23-941(C), we are asked to determine whether the claimant’s allegations of invalidity of his waiver of right to protest and appeal required further action by the commission.
The petitioner-claimant, Gary Field, sustained an industrial injury on December 19, 1978, while employed by respondent, Olsten Temporary Services, and his claim was accepted by the employer’s carrier, Continental Insurance Company. Benefits were paid until June 1979 when the claim was closed. The claim was then reopened in June of 1980. On July 22, 1981, the carrier issued a notice of claim status closing the reopened case with no earning capacity disability. However, the carrier did indicate on a notice of permanent disability, also issued on July 22, 1981, that the claimant had sustained unscheduled permanent physical impairment.
The Industrial Commission entered a loss of earning capacity award for unscheduled permanent partial disability on August 27, 1981. In that award, the Industrial Commission found that the claimant had sustained a ten percent scheduled general physical impairment related to the industrial injury and, as a result, had sustained a loss in earning capacity of 56.69% which entitled the claimant to $165.00 per month for unscheduled permanent partial disability benefits.
The carrier protested the Industrial Commission award contending that the claimant had sustained no loss of earning capacity as a result of his physical impairment. Concurrently, the claimant requested the Industrial Commission to commute his permanent disability benefits to a lump sum.
Thus, the carrier had challenged the Industrial Commission’s determination that petitioner had a significant loss of earning capacity; and, at the same time, the claimant desired to receive a lump sum payment for his loss of earning capacity. During this period, the claimant and the carrier entered into an agreement whereby the claimant would receive $5,000.00 and the carrier would drop its challenge to the August 27, 1981, award of the Industrial Commission. In return, the claimant agreed to stipulate that he had no loss of earning capacity as a result of the injury. Based on the agreement of the parties, the Industrial Commission entered an amended award on November 25, 1981 which found no loss of earning capacity. On that date, the claimant executed a waiver of his right to protest or appeal from the amended award which found no loss of earning capacity.
The claimant, who had been representing himself in these proceedings, obtained the services of an attorney during what would have been the ninety day protest period pertinent to the amended award. On claimant’s behalf, counsel filed a request for hearing against the amended award.
The carrier filed a motion to dismiss based on the claimant’s waiver of any protest to the amended award.
In the response to the motion to dismiss, the claimant alleged that if allowed to testify he could show that he signed the waiver under duress and also while under the influence of medication which affected his judgment. He asserted that he would not have signed the waiver except for extreme circumstances, including the fact that he was living in the desert in a broken down automobile, and that he executed the waiver in an effort to get some money so that he could find a place to live. The response notified the administrative law judge that John P. Kelly, M.D., who was claimant’s treating physician would testify in regard to these issues.
Without conducting an evidentiary hearing, the administrative law judge entered a Findings and Award dismissing the hearing request under the authority of A.R.S. § 23-941(C) which provides:
The commission shall refer the request for the hearing to the administrative law judge division for determination as expeditiously as possible. The presiding administrative law judge may dismiss a request for hearing when it appears to his satisfaction that the disputed issue or issues have been resolved by the parties. Any interested party who objects to such dismissal may request a review pursuant to § 23-943. [Emphasis supplied.]
In support of the award, the carrier contends that the claimant did not provide sufficient information in his response to raise issues not already resolved in the pleadings and the record and that the claimant’s response to the motion to dismiss did not clearly delineate what medical testimony would be available which would have relevance to his mental state at the time he executed the waiver of appeal rights to the amended loss of earning capacity award. In essence, the carrier contends that the claimant was required to come forward with sufficient evidence to justify the convening of a hearing.
While it is true that A.R.S. § 23-941(C) allows the administrative law judge to dismiss a request for hearing when it appears to his satisfaction that all of the disputed issues have been resolved, this action should not be taken when disputed issues are apparent in the record. Arizona Public Service Company v. Industrial Commission, 133 Ariz. 358, 651 P.2d 886 (1982).
Arizona Public Service Company involved a claimant who sought to benefit from an error in a notice of claim status by withdrawing his own request for a hearing against the notice. This court held that the timely filing of a request for hearing opened all issues pertinent to the notice and that it was error to automatically dismiss the request for hearing, based on the claimant’s withdrawal, once the carrier had brought to the attention of the administrative law judge that unresolved disputed issues existed.
In the present case, we find that sufficient allegations were made in the response to the motion to dismiss to place the validity of the waiver executed by the claimant in question and that further evidentiary proceedings were required before the matter could be considered resolved. Since the settlement agreement and execution of the waiver constituted a contract between the parties, the duress or mental incompetency necessary to invalidate those agreements must be sufficient to invalidate a contract. See Dunbar v. Dunbar, 102 Ariz. 352, 429 P.2d 949 (1967); Hendricks v. Simper, 24 Ariz.App. 415, 539 P.2d 529 (1975).
The claimant asserted extreme duress, medication affecting judgment, and the availability of a physician to testify. If petitioner was incompetent or under duress or medication to such a degree that the waiver is in fact invalid, the carrier may not take advantage of this circumstance through the technical application of A.R.S. § 23-941(C) to the existing record. To dismiss the request for hearing, pursuant to A.R.S. § 23-941(C), based solely on a review of the record was, in view of these significant allegations concerning the validity of the waiver, an incorrect application of the statute. The timely request for hearing directed against the amended loss of earning capacity award brought these issues into question and could not be resolved on the basis of the record. While it is true that under Rule 41, Rules of Procedure for Workmen’s Compensation Hearings Before the Industrial Commission of Arizona, the administrative law judge can require a prehearing showing of the evidentiary basis for allegations made, that procedure was not invoked here. We therefore reject the carrier’s contention that the claimant was required to make this showing before a hearing could be convened.
In American Fence Company v. Industrial Commission, 123 Ariz. 45, 597 P.2d 198 (App.1979), this court reversed an award of the Industrial Commission which applied late filing criteria to allow a claimant to change his mind and request a hearing after he had executed a waiver to the contrary. Initially, we observe that the case at bar is not a late filing case. The request for hearing filed against the amended award was filed within the normal ninety day protest period. Thus, the question of whether late filing criteria should apply is not relevant.
The facts presented here differ in other respects from those in American Fence. In American Fence, the claimant did not allege that he had signed the waiver under duress or under circumstances affecting his mental judgment. Here, as we have discussed, the claimant has raised issues which bear upon his ability to competently execute a waiver.
In setting this award aside, this court makes no comment on the merits of the claimant’s allegations that he was not competent to execute a valid waiver and that the duress he suffered invalidated his agreements. We merely hold that the allegations in the response to the carrier’s motion to dismiss were sufficient to defeat the motion to dismiss.
For the reasons stated above, the award dismissing the request for hearing is set aside.
BROOKS, P.J., and CORCORAN, J., concur.
|
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OPINION
HOWARD, Chief Judge.
Appellant was convicted of aggravated assault with a deadly weapon or dangerous instrument in violation of A.R.S. § 13— 1204(A)(2) and (B) and A.R.S. § 13-604(G). The undisputed evidence was that he stabbed Jesus Robles with an ice pick in the bathroom of the Manhattan Bar in downtown Tucson. The victim and appellant gave conflicting versions at trial of the events leading up to the stabbing, however. Robles testified that appellant offered to buy him a beer at the Esquire Club and made a homosexual advance, which he repulsed. He said he then went across the street to the Manhattan Bar and was drinking beer with some friends there when appellant also came in. Some time later he went into the bathroom. He heard the door open, and as he was turning around, he was assaulted by appellant.
Appellant’s version is that Robles asked him to buy him a beer at the Esquire, that Robles made the spurned advance, that appellant was the first to go across the street to the Manhattan Bar and into the bathroom, and that Robles and two other men came into the bathroom to attack him. He said Robles came at him with the ice pick, but dropped it when appellant kicked him in the groin. Appellant testified that he picked up the ice pick and stabbed Robles in a panic while Robles had hold of his throat. The only other witnesses at trial were two police officers and the bartender at the Manhattan Bar, none of whom had seen Robles or appellant that day until the fight was over.
Appellant’s sole claim of error is that he was denied his Sixth Amendment right of confrontation because the trial court did not permit him to cross-examine the bartender, John Hannah, on two points. He wished to elicit testimony from Hannah that Robles had gotten into fights before at the bar and that Robles harrassed other patrons of the bar for drinks and food.
The weakness in appellant’s position is that neither fact was relevant to the issues at trial. Hannah testified out of the presence of the jury that he had seen Robles get into verbal arguments with other custom ers, and that he once saw Robles knocked down in a fight, but he did not know who started the fight. Neither of these instances are relevant to the question of whether Robles was the armed aggressor in the fight with appellant. Nor would the fact that Robles “cadged” drinks and food from bar patrons make any element of the state’s case less likely or appellant’s defense more likely.
In State v. Fleming, 117 Ariz. 122, 571 P.2d 268 (1977) the court stated:
“The right of cross-examination is a vital part of the right of confrontation conferred by the Sixth Amendment. Pointer v. Texas, 380 U.S. 400, 85 S.Ct. 1065, 13 L.Ed.2d 923 (1965). The right does not confer, however, a license to run at large in cross-examination. The right to cross-examination must be kept within ‘reasonable’ bounds and the trial court has discretion to curtail its scope.... The test is whether the defendant has been denied the opportunity of presenting to the trier of fact information which bears either on the issues in the case or on the credibility of the witness.” 117 Ariz. at 125, 571 P.2d 268.
Appellant was not denied the opportunity of presenting information bearing on the issues of the case. He argues, however, that since Robles testified he never tried to “bum” drinks from other customers and had never been involved in any other physical fight at the Manhattan Bar, that Hannah’s testimony bore on Robles’ credibility.
The well-established rule in Arizona is that a party is not allowed to impeach a witness on collateral matters. State v. McGuire, 113 Ariz. 372, 555 P.2d 330 (1976). The right to confront witnesses guaranteed by the Sixth and Fourteenth Amendments includes the right of cross-examination to attack a witness’ general credibility or to show his possible bias, prejudice, or self-interest in testifying. Davis v. Alaska, 415 U.S. 308, 94 S.Ct. 1105, 39 L.Ed.2d 347 (1974). It does not, however, confer the right to impeach a witness as to specific events that are not relevant to the issues at trial. Chipman v. Mercer, 628 F.2d 528, 531 (9th Cir.1980) states:
“Although it tips the scales in favor of permitting cross-examination, the confrontation clause does not prevent the trial court from weighing the offer of proof to determine its probative value to the trier of fact and its probable effect on fair and efficient conduct of the trial.”
The nearly universal rule proscribing impeachment on collateral matters is based on the questionable utility of such evidence and its potential for confusing or distracting the trier of fact. Contradicting a witness on a collateral matter does far less to discredit the accuracy or veracity of his testimony than does a contradiction on a material matter. In addition, it requires the trier of fact to determine the preponderance of the evidence on matters that have no relation to the real questions before it. Smith v. United States, 10 F.2d 787 (9th Cir.1926); Smith v. State, 273 Md. 152, 328 A.2d 274 (1974).
In Chipman v. Mercer, supra, the court stated:
“[A] confrontation clause violation generally does not occur unless the denied area of cross-examination is one of considerable relevance.” 628 F.2d at 533.
See also Cloud v. Thomas, 627 F.2d 742 (5th Cir.1980), cert. den. 450 U.S. 1041, 101 S.Ct. 1760, 68 L.Ed.2d 239 (1981). The ability of appellant to effectively cross-examine the witnesses against him was not hindered by the trial court’s restriction. He was able to fully cross-examine Robles to test the accuracy and veracity of all of his testimony that related to the charge against him or his defense. Therefore, we hold that appellant’s right of confrontation was not violated.
In his reply brief, appellant argues that Hannah’s testimony that Robles often bummed drinks was admissible under Rule 406, Arizona Rules of Evidence, 17A A.R.S., as evidence of habit. Outside of appellant’s continued problem with relevance and his failure to raise the argument in his opening brief, this conduct is not of the semi-automatic and regular character contemplated by that rule. See 1 Wigmore, Evidence § 92 at 520 (3rd Ed.1940).
Appellant also contends that the trial court erred in refusing to give his requested jury instruction dealing with evidence of the victim’s assaultive behavior. Since there was no evidence admitted at trial to support the instruction, the trial court correctly refused to give it. State v. Smith, 122 Ariz. 58, 593 P.2d 281 (1979).
Affirmed.
HATHAWAY and BIRDSALL, JJ., concur.
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OPINION
HATHAWAY, Judge.
Appellant was found guilty after a jury trial of theft of a motorcycle worth over $1,000 and felony flight from a law enforcement vehicle. He was sentenced to concurrent three-year terms of probation. Counsel has filed a brief under Anders v. California, 386 U.S. 738, 87 S.Ct. 1396, 18 L.Ed.2d 493 (1967), and State v. Leon, 104 Ariz. 297, 451 P.2d 878 (1969). Appellant has not filed a supplemental brief.
' [1-3] Appellant claims that the trial court erred in denying his motions to suppress. However, the record demonstrates that the prosecutor moved to strike all of appellant’s motions for failure to provide any factual grounds as required under Ariz.R.Crim.P. 35.1, 17 A.R.S. Appellant’s motions to suppress the statements were never supplemented and factual bases were never supplied. The comment to Rule 35.1 states that a motion which does not detail its factual support is insufficient. The motions were denied on the basis of a violation of Rule 35.1 with no evidence being taken and no argument on the merits of the motions. Defective motions can operate to waive even constitutional issues. 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). As the state points out, there was no burden on the prosecution to show that the statements were made voluntarily since the issue was not before the court absent a filing of a procedurally proper suppression motion. Wainwright v. Sykes, 433 U.S. 72, 97 S.Ct. 2497, 53 L.Ed.2d 594 (1977); State v. Alvarado, 121 Ariz. 485, 591 P.2d 973 (1979).
Moreover, appellant’s statements to police did not amount to fundamental error. Appellant’s initial statements were made before he was under arrest and were admissible even if appellant had made a proper suppression motion. See State v. Carter, 145 Ariz. 101, 700 P.2d 488 (1985). Appellant’s subsequent statements were made after he was given Miranda warnings and had indicated a willingness to speak to the officers. The record demonstrates that he was not coerced and that the statements were clearly voluntary.
Our review of the entire record for fundamental error reveals none. Therefore, the judgment of convictions and the terms of probation are affirmed.
ROLL, P.J., and HOWARD, J., concur.
|
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OPINION
MOELLER, Justice,
JURISDICTION
In separate criminal proceedings, respondent lawyer Morton Rivkind was charged with and tried for the offense of possession of cocaine. He was convicted of and punished for the lesser-included offense of attempted possession of cocaine. The question presented in this separate disciplinary proceeding is what additional sanction should be imposed upon him in his capacity as a member of the State Bar of Arizona.
The Arizona State Bar Hearing Committee (Committee) found that Morton Rivkind (respondent) violated E.R. 8.4(b) and Rule 57(a), Ariz.R.Sup.Ct., 17A A.R.S., and recommended that he be suspended from the State Bar of Arizona for a period of twenty-two months, commencing on November 6, 1986, and be placed on probation for one year following his suspension.
The Disciplinary Commission of the Supreme Court (Commission) recommended that the suspension be for a period of three years, commencing November 6, 1986. Both respondent and counsel for the State Bar contend that a three-year suspension is excessive. We have jurisdiction pursuant to Rule 53(e), Ariz.R.Sup.Ct., 17A A.R.S.
PROCEDURE AND FACTS
On January 8, 1986, respondent was stopped for a traffic violation. After being observed trying to hide something, he was searched, and Phoenix police officers found .19 milligrams of cocaine on his person. Respondent was charged with possession of cocaine.
Respondent waived his right to a jury and a bench trial was conducted on a stipulated set of facts. He was found guilty of attempted possession of cocaine, a narcotic drug, a class five felony. On September 19,1986, the trial court suspended sentence and placed respondent on three years probation. Additionally, pursuant to A.R.S. § 13-603(G), the trial judge revoked respondent’s license to practice law, and respondent complied with the order by ceas ing all legal practice on that date. The trial judge noted that, although respondent’s conviction was the end result of “a five-year or so struggle” with cocaine, nothing in the record showed that his professional performance had been adversely affected.
Based on respondent’s conviction, we placed him on interim suspension pursuant to Ariz.R.Sup.Ct. 57(b) on November 6, 1986. Shortly thereafter, respondent, with the approval of the Maricopa County Adult Probation Department, relocated to Florida. He supported himself and his family through various unskilled labor jobs. Eventually, he found employment as a law clerk.
While respondent was in Florida, bar disciplinary proceedings commenced. After an in absentia hearing, the Hearing Committee recommended that respondent be suspended from the practice of law for three years. However, on January 11, 1988, the Disciplinary Commission found that the State Bar failed to properly notify respondent of the commencement of such proceedings. Because respondent had been denied due process due to incomplete service of process, the Commission remanded the case to the Hearing Committee for new proceedings.
The Committee conducted a hearing on April 15, 1988, at which several of respondent’s colleagues and his probation officer testified. The Committee issued its report on May 26, 1988. The Committee was impressed with respondent’s rehabilitation and his efforts at restoring his life to normalcy. It noted that respondent had complied in all respects with the probation imposed upon him in the criminal case. It found that respondent had been very cooperative and had expressed sincere contrition and regret for his past behavior. Sig-‘ nificantly, the Committee found that respondent was no longer involved with drugs or alcohol and that he had . voluntarily submitted to several urine analyses, all of which were negative. As a result of its findings, the Committee recommended that respondent be “readmitted” to the practice of law, subject to a one-year probationary period.
After oral argument, the Commission issued its report on July 9, 1988, accepting most of the Committee’s factual determinations. Although the Commission, like the Committee, was impressed with respondent’s recovery program, it recommended that the suspension be for three years, rather than for two, retroactive to November 6, 1986.
In the criminal case, respondent was granted early termination of his probation on July 14, 1988. On September 6, 1988, his civil rights were restored and his felony conviction was vacated. As a result, this court terminated his interim suspension on September 15, 1988, and reinstated respondent to active membership in the State Bar of Arizona.
This case is in a somewhat unusual posture, because the State Bar joins respondent in urging this court to adopt the Committee’s recommendation of a two-year suspension, rather than the three years recommended by the Commission. Both the State Bar and respondent contend that the Committee’s recommendation better serves the purposes of bar discipline. With certain modifications, we agree and adopt the Committee’s recommendation.
ISSUE PRESENTED
We must decide the appropriate sanction to impose under the facts and circumstances of this case.
DISCUSSION
In disciplinary proceedings, we act as an independent “trier of both fact and law in the exercise of our supervisory responsibility over the State Bar.” Matter of Neville, 147 Ariz. 106, 108, 708 P.2d 1297, 1299 (1985). We do, however, give deference and serious consideration to the recommendations of the Committee and Commission. Matter of Pappas, 159 Ariz. 516, 518, 768 P.2d 1161, 1163 (1988). Additionally, this court gives great weight to the factual findings of the Committee, particularly when questions of credibility are involved. Matter of Hoover, 155 Ariz. 192, 196, 745 P.2d 939, 943 (1987); Matter of Zang, 154 Ariz. 134, 136, 741 P.2d 267, 269 (1987), cert. denied, 484 U.S. 1067, 108 S.Ct. 1030, 98 L.Ed.2d 994 (1988).
Rule 57(a)(3), Ariz.R.Sup.Ct., 17A A.R.S. provides that a “lawyer shall be disciplined as the facts warrant upon conviction ... of any felony.” Under that rule, proof of conviction is conclusive evidence of guilt of the underlying criminal offense. The fact that the conviction was vacated pursuant to A.R.S. § 13-907 does not affect the conclusiveness of guilt because the order to vacate is unrelated to the merits of the conviction. See Matter of Couser, 122 Ariz. 500, 596 P.2d 26 (1979) (expungement of conviction upon fulfilling terms of probation is not a defense to disciplinary proceedings). Therefore, the sole issue before us is the extent of discipline to be imposed.
Our responsibility to determine the appropriate discipline in a case such as this imposes a concomitant responsibility to pay special care to the purposes to be served by such discipline. The object of disciplinary proceedings is not to punish the lawyer, but to protect the public and deter similar conduct by other lawyers. “Consequently, in determining the appropriate sanction to be imposed, we should focus on such considerations as the maintenance of the integrity of the profession in the eyes of the public, the protection of the public from unethical or incompetent lawyers, and the deterrence of other lawyers from engaging in unprofessional conduct.” Matter of Murray, 159 Ariz. 280, 282, 767 P.2d 1, 3 (1988). On occasion, it is also appropriate for us to assist, if we can, in rehabilitating an errant attorney. Hoover, 155 Ariz. at 197, 745 P.2d at 944. This goal is especially appropriate when, as here, an attorney has taken very considerable and substantial steps.in rehabilitating and assisting himself.
In other cases, we have considered the American Bar Association’s Standards for Imposing Lawyer Sanctions [hereinafter “ABA Standards ”] as a suitable guideline in imposing discipline. See, e.g., Matter of Spear, 160 Ariz. 545, 555, 774 P.2d 1335, 1345 (1989) (standards provide a useful framework for guiding our sanction decision). The ABA Standards suggest that we consider (a) the duty violated; (b) respondent’s mental state; (c) the injury to the client; and (d) any aggravating or mitigating factors. ABA Standards § 3.0.
Duty Violated, Mental State and Injury to Client
Respondent has violated Ariz.R. Sup.Ct. 42 (E.R. 8.4(b)) which provides, “It is professional misconduct for a lawyer to commit a criminal act that reflects adversely on the lawyer’s honesty, trustworthiness or fitness as a lawyer in other respects.” Respondent broke his oath to support and uphold the laws of the state. Without doubt, respondent’s conviction places in question his ability to respect and uphold the law. See Matter of Kinnear, 105 N.J. 391, 394-396, 522 A.2d 414, 416 (1987). Obedience to the law by an attorney is crucially important. Matter of Preston, 616 P.2d 1, 5 (Alaska 1980); In re Scarnavack, 108 Ill.2d 456, 458, 92 Ill.Dec. 446, 447, 485 N.E.2d 1, 2 (1985).
Respondent’s drug experimentation was not the result of any extremely exceptional circumstance. He says it was not the stress of work but a “miserable personal life” that impelled him to try drugs. (R.T. at 84, Apr. 15, 1988.) While this brings into question his power of self-control, the record before us does not show that respondent allowed his drug addiction to adversely affect his legal practice. Many individuals testified and wrote the trial judge that they were very surprised to learn that respondent was addicted to drugs. He did not misappropriate client funds or neglect client business, nor did he involve his clients in his drug usage. This factor weighs very heavily in our decision. Courts have uniformly paid careful consideration to the effect of substance abuse on an attorney’s professional practice. Compare Scamavack, 108 Ill.2d at 458, 485 N.E.2d at 2 (attorney accepted cocaine from a client) and Matter of Diehl, 243 Kan. 580, 580-582, 757 P.2d 732, 733 (1988) (respondent convicted of possessing marijuana while employed as county attorney) and Disciplinary Proceedings Against Toran, 151 Wis.2d 194, 196-197, 443 N.W.2d 927, 928 (1989) (attorney arranged to receive cocaine in payment of a portion of fees to represent client) with Disciplinary Proceedings Against Armstrong, 144 Wis.2d 385, 424 N.W.2d 208 (1988) (attorney’s misconduct of obtaining prescription drug by forgery or fraud did not result in harm to client and conduct not related to law practice). We will deal very sternly with any lawyer who neglects his clients while abusing drugs. Respondent was perhaps fortunate to have been discovered before his drug use impacted upon his clients’ welfare.
Mitigation/ Aggravation
The main aggravating circumstance in this case is that respondent repeatedly violated the laws of this state for an extended period of time. If the evidence in mitigation were not so overwhelming, we would not permit respondent to deal with the public as a lawyer again. But this is an exceptional case in that respondent has not only done everything to demonstrate his contrition and rehabilitation, but also is actively engaged in educating and assisting others who suffer from substance abuse.
In mitigation we consider that respondent has not consumed any alcohol or illegal drugs since December 1987. He was randomly tested on several occasions with negative results. Since February 1988, he has regularly attended meetings of both Alcoholics Anonymous and Narcotics Anonymous. He has cooperated fully with the State Bar of Arizona and is serving on the State Bar Members Assistance Committee (MAC). At the request of the State Bar of Arizona Members Assistance Program (MAP), he has written an article for publication regarding his cocaine addiction in an attempt to provide needed guidance and warning to other drug abusers or potential drug abusers. Furthermore, he has written in newspapers and magazines and has given public lectures relating his experience and has called upon lawyers and others who abuse alcohol or illegal substances to seek help immediately. The Commission that heard this case expressed admiration for respondent’s efforts. The State Bar took the unusual step of submitting to this court a joint brief with respondent indicating its view that respondent is fully rehabilitated and could be trusted. Additionally, we note that respondent has been very cooperative and candid before this court, and throughout the disciplinary process.
Sanction/ Proportionality
Because the State Bar and respondent were in agreement that the Commission’s recommendation of a three-year suspension was excessive, we invited the Commission to submit its own brief on the issue. In its brief, the Commission points out that under former Rule 29(c), Ariz.R.Sup.Ct., disbarment was automatic upon conviction of any felony. In 1985, the rule was amended and discipline in cases of felony convictions is now determined on a case-by-case basis. The Commission’s report, although acknowledging the change in the rule, stated: “[T]he Comment to rule 57 is silent on the extent of change in sanction intended by the new standard, ‘as the facts warrant.’ ” Commission Report No. 6-1220 at 5, filed July 22, 1988. The Commission then contended that “it is doubtful that the Court intended a radical departure from the previous felony sanction, however.” Id. The Commission argued that we intended disbarment to be the presumptive sanction in all cases involving felony convictions under the amended rule. Even so, the Commission refused to recommend disbarment in this particular case and, instead, recommended a three-year suspension.
Nothing in amended Rule 57 implies a presumption in favor of disbarment in disciplinary cases involving felony convictions. We must tailor the discipline in each case to its facts. Murray, 159 Ariz. at 283, 767 P.2d at 4. This is so because the goal of disciplinary proceedings is different than the goal of criminal proceedings. The goal in disciplinary proceedings is to protect the public in the future, not to punish the offender. In certain cases, protection of the public may not call for permanent disbarment or for a pre-ordained period of suspension. The circumstances in which the misconduct occurred or subsequent efforts at rehabilitation or contrition may indicate that the conduct is not likely to recur and that disbarment would be excessive. At times, other remedies, such as a closely supervised probation, might adequately protect the public so that a harsher discipline would becpme purely vindictive and punitive. Baker v. State Bar of California, 49 Cal.3d 804, 824 n. 7, 263 Cal.Rptr. 798, 808 n. 7, 781 P.2d 1344, 1354 n. 7 (1989); see The Florida Bar v. Jahn, 509 So.2d 285, 286 (Fla.1987) (rejecting an automatic disbarment rule whenever an attorney is convicted of a felony); see Attorney Grievance Comm’n v. Proctor, 309 Md. 412, 414-415, 418-420, 524 A.2d 773, 774, 776 (1987) (actual culpability of the respondent must be considered rather than the label of the offense).
Under the particular facts and circumstances of this case, we find that disbarment is neither required nor appropriate. Section 5.12 of the ABA Standards recommends suspension, not disbarment, from the practice of law when an attorney knowingly engages in illegal use of drugs and the conduct does not involve the sale, distribution, or importation of drugs. Furthermore, after an exhaustive all-states search we have found that the vast majority of
courts impose disbarment only if a sale or distribution of drugs occurred, or if injury to a client is involved, or if no mitigating evidence is offered on the attorney’s behalf. See, e.g., Twohy v. State Bar of California, 48 Cal.3d 502, 256 Cal.Rptr. 794, 769 P.2d 976 (1989) (attorney, a cocaine addict, twice suspended before, who failed to comply with the orders of the court and who practiced law unlawfully, is disbarred); People v. Young, 732 P.2d 1208 (Colo.1987) (citing the ABA Standards Rule 5.11, court disbarred an attorney who engaged in the use of cocaine and was convicted of using communication facility to distribute cocaine); Matter of Payne, 494 N.E.2d 1283 (Ind.1986) (possession of cocaine, failure to appear for a client at a hearing, and accepting cocaine as payment for legal services warrants disbarment); Matter of Moore, 453 N.E.2d 971 (Ind.1983) (prosecutor who possessed two envelopes of marijuana seeds, about 750 grams of marijuana and thirty marijuana plants is disbarred); Committee on Professional Ethics v. Shuminsky, 359 N.W.2d 442 (Iowa 1984) (attorney, whose farm contained marijuana, seedlings, seeds, fertilizers, instruction books on growing the plant, etc., is indefinitely suspended with no possibility of reinstatement for three months); Ohio State Bar Ass’n v. Orosz, 5 Ohio St.3d 204, 449 N.E.2d 1310 (1983) (attorney convicted of possession of cocaine and conspiracy to possess cocaine who offered no evidence in mitigation is disbarred); Matter of Bosserman, 298 S.C. 198, 379 S.E.2d 130 (1989) (attorney addicted to alcohol and drugs who committed numerous acts of misconduct with clients is disbarred); see also Annotation, Narcotics Conviction as Crime of Moral Turpitude Justifying Disbarment or Other Action Against Attorney, 99 A.L.R.3d 288 (1980).
A possessory crime, although not excusable, is less reprehensible than a crime involving sale or distribution of narcotics. Cf Kinnear, 105 N.J. at 394-396, 522 A.2d at 416-17 (distribution); In re Conduct of Chase, 299 Or. 391, 702 P.2d 1082, 1089-90 (1985) (attempted possession). We are not prepared to say that possession of a controlled substance under all circumstances and in every case should necessarily lead to the destruction of a career. By the same token, we do not rule out disbarment in a purely possessory drug case if consideration of all the facts and circumstances warrants such a result.
We address here the issue of what discipline is most appropriate on the facts of this record. In the past, we have also commended proportionality and consistency in imposition of sanctions. Pappas, 159 Ariz. at 526, 768 P.2d at 1171. This, however, is a case of first impression under the amended rules in Arizona because, for the first time, we discipline an attorney who was convicted of a possessory felony, where his drug use did not progress to the point of impacting or affecting his work. Nonetheless, the Commission, bar counsel and respondent provided us with a large number of somewhat analogous cases from other jurisdictions. We have also conducted our own research. We found that courts are uniformly impressed by an attorney’s sincere efforts at rehabilitation and contrition, especially if such efforts demonstrate that the public and the legal system are unlikely to suffer a risk of future misconduct. See, e.g., In re Nadrich, 44 Cal.3d 271, 243 Cal.Rptr. 218, 747 P.2d 1146 (1988) (attorney who possessed and sold LSD is suspended five years — one actual and four years probation — in light of extensive rehabilitation efforts); The Florida Bar v. Weintraub, 528 So.2d 367 (Fla.1988) (attorney convicted of purchasing and delivering cocaine to a girl friend is suspended for ninety days and two years probation in light of significant remedial steps); Scarnavack, 108 Ill.2d at 460-461, 485 N.E.2d at 3 (attorney, who accepted cocaine from a client and was convicted of possession, is censured because of sincere contrition, clean record, and competent professionalism); Matter of Smoot, 243 Kan. 589, 757 P.2d 327 (1988) (attorney convicted of pos-
sessing one gram of cocaine is publicly censured and ordered to perform one hundred hours of pro bono work because his legal practice was not affected, and he showed true contrition); Matter of Orlov-sky, 117 N.J. 113, 564 A.2d 844 (1989) (attorney convicted of possessing cocaine is suspended for sixty days in light of attorney’s cooperation, candidness and rehabilitation); Matter of Winston, 137 A.D.2d 385, 528 N.Y.S.2d 843 (App.Div.1988) (attorney addict who converted client funds and wrote the court a bad check is suspended three years, retroactive to interim suspension, in light of substantial rehabilitation efforts including lecturing against drug abuse).
On the facts of this case, we are convinced that protecting the public does not require respondent’s disbarment. In compliance with earlier court orders, respondent did not practice law from September 19,1986, until September 15, 1988. During this time he went through financial and emotional tribulation. “Although we describe disciplinary proceedings as nonpuni-tive, we realize that they are anything but from a respondent’s standpoint.” Hoover, 155 Ariz. at 196, 745 P.2d at 943. We believe it fair to give respondent credit for the time spent on suspension. See Murray, 159 Ariz. at 283, 767 P.2d at 4.
In light of the compelling rehabilitation evidence in this case, any further suspension would be merely punitive and vindictive. We seek to create an incentive to attorneys who reform and rehabilitate themselves. See In re Kersey, 520 A.2d 321, 327 (D.C.App.1987). We echo another supreme court’s sentiments about a respondent similar to this one: “It is difficult to imagine what more petitioner could have done to demonstrate the sincerity of his commitment to positive change and rehabil itation.” Nadrich, 44 Cal.3d at 277, 243 Cal.Rptr. at 221, 747 P.2d at 1149.
We therefore believe that a two-year suspension retroactive to September 19, 1986, the date his license was revoked, is adequate and appropriate discipline in this matter. The Committee also recommended that respondent be placed on probation for a period of twelve months. Our rules permit a probationary term of up to two years, with extensions when appropriate. We therefore place respondent on probation for the maximum term of two years, subject to renewal pursuant to Rule 52(a)(6), Ariz.R.Sup.Ct., 17 A.R.S., effective as of the date of the mandate in this case. We approve the following conditions and terms of probation proposed by the Hearing Committee:
1. Respondent shall abstain completely from the use of any illegal drug.
2. Respondent shall submit to body fluid tests, randomly drawn, not exceeding two per month in the discretion of the MAP Director, at the request of the Director or a person designated by the Director. Said body fluids shall be tested for illegal drugs and non-prescribed drugs and such testing shall be conducted within eight hours of the Director’s or designate’s contact of respondent. Upon request, a split sample will be furnished to respondent or his designate. The test results shall be furnished to the State Bar. All said testing shall be at respondent’s expense.
3. Respondent shall have as a “practice monitor,” an attorney who will agree in writing to supervise his law practice, monitor his case load, the quality of services rendered and his trust account. Respondent’s practice monitor will agree to report to the State Bar any manifestations of relapse, unusual behavior or conduct falling below minimum standards of the profession as set forth in Rule 42, Ariz.R.S.Ct.
4. Respondent shall also be supervised by a “sobriety monitor” with whom he will enter into a mutually agreeable contract for attendance at AA and NA meetings, with a minimum attendance of one meeting of each of these programs per week. The sobriety monitor shall be responsible for reporting any breach of the sobriety contract to the State Bar. Respondent shall continue his membership in the Members Assistance Committee and shall make himself available upon reasonable request of the Director of the Members Assistance Program.
5. Respondent shall pay all costs that are or will be due and owing to the State Bar as a result of these proceedings and respondent’s probation prior to termination of probation.
6. Respondent shall keep his books of account, ledger, trust account, books or files open for inspection by the State Bar of Arizona or its designated probation supervisor. Client files shall remain confidential to the extent provided by the Arizona Rules of Professional Conduct.
7. In the event that respondent fails to comply with any of the foregoing conditions and information thereof is received by the State Bar, bar counsel shall file with the hearing Committee a Notice of Non-compliance. The hearing Committee shall conduct a hearing at the earliest practicable date but in no event later than 30 days after receipt of said notice to determine whether a condition of probation has been breached and, if so, to recommend an appropriate sanction therefor.
8. In the event there is an allegation that any of these terms have been breached, the burden of proof thereof shall be upon the State Bar to prove non-compliance by a preponderance of the evidence.
CONCLUSION
We adopt the Commission’s recommendation as modified. Respondent’s two-year suspension is effective as of the date of the original order of revocation, September 19, 1986. Respondent’s two-year probation on the terms and conditions herein specified shall commence as of the date of the mandate in this case. Respondent shall pay the State Bar of Arizona $1,032.80 for expenses of these proceedings.
GORDON, C.J., FELDMAN, V.C.J., and CAMERON, J., concur.
. Although the Committee worded its recommendation in terms of “readmission” or "reinstatement,” the Committee evidently intended to suspend him for a twenty-two-month period. It then intended to credit him for the two years he spent out of practice (September 19, 1986 to September 15, 1988), which would effectively reinstate him subject to the one-year probationary period.
. The special concurrence filed by Justice Cor-coran in this case correctly notes that we are bound by the record in this case, as we are in all cases. We believe his concurrence contains some excellent suggestions to bar counsel concerning appropriate procedures in future disciplinary cases which involve an underlying criminal conviction.
. Matter of Diettrich, 161 Ariz. 338, 778 P.2d 1234 (1989), is not particularly helpful. Respondent in Diettrich had three felony drug convictions, and he was disbarred under former A.R.S. §§ 32-267, 32-272 (providing for disbarment upon conviction of a felony) (repealed effective Jan. 1, 1985). We reinstated Diettrich in 1988. When he failed to comply with the conditions for his probation, we again disbarred him. In Matter of Lehman, 146 Ariz. 166, 704 P.2d 807 (1985), we denied an application for readmission by a person disbarred for the felony of possessing cocaine. Since Lehman was decided under the former rules, and the motion was denied without explanation, it is not helpful in this proceeding.
. We are not persuaded by the Commission’s objection that the Committee improperly converted the disciplinary proceedings into a reinstatement proceeding without a reinstatement application pursuant to Rule 72, Ariz.R.Sup.Ct., 17A A.R.S. Although the Commission is technically correct, in disciplinary proceedings substance must dominate over form. The Committee has "the authority to fashion a just remedy to the particular circumstances of the case.” Matter of Hoover, 161 Ariz. 529, 534, 779 P.2d 1268, 1273 (1989); see Hoover, 155 Ariz. at 197, 745 P.2d at 944 (holding that it was proper for the Committee to convert a disciplinary proceeding into a disability and reinstatement proceeding without compliance with Rules 72 and 73).
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CAMERON, Justice.
The defendant appeals his first degree murder convictions and consecutive sentences of death, which were imposed consecutively to sentences for two convictions of robbery, two convictions of kidnapping and one conviction for theft of property valued in excess of $1000. We have jurisdiction under A.R.S. § 13 — 4031 and Ariz. Const, art. 6 § 5(3).
The defendant raises fifteen issues in this appeal, which may be grouped into three categories. The first is pre-trial issues:
1. Was the defendant denied effective assistance of counsel during the pretrial period?
2. Did the trial court err in denying the defendant’s motion to recuse the prosecutor?
3. Did the trial court err in its method of determining if the defendant was competent to waive his right to counsel?
4. Did the defendant make a proper • waiver of his right to counsel?
5. Did the trial court err in denying the defense motion to suppress evidence based on a policeman’s investigation of the license plate of the automobile the defendant drove when arrested?
6. Did the trial court err in denying the defense motion to suppress certain post-arrest statements made by the defendant?
The second category of issues raised by the defendant relates to decisions of the court during trial, including:
7. Was it error to keep the defendant in leg shackles during the trial?
8. Was it error to admit the testimony of a former robbery victim of the defendant?
9. Was it error to admit into evidence the items found in the car that defendant was driving at the time of his arrest?
10. Was it error to admit some 71 large color photographs of the victims into evidence?
11. Was it error to order the defendant’s advisory counsel to submit jury instructions over the objection of the defendant?
The final category of issues concerns the validity of our method of determining the propriety of the death penalty, including:
12. Does the death penalty statute violate the eighth amendment’s prohibition against cruel and unusual punishment?
13. Is it improper for any entity other than a jury to determine aggravating and mitigating circumstances?
14. Is it unconstitutional to require the defendant in a capital case to prove mitigation?
15. Is our death penalty statute void-for-vagueness for lack of definition of the standard “especially cruel, heinous and depraved”?
The facts necessary for a determination of the issues presented here are these. Robert A. Wise, district supervisor for KAR Car Products Incorporated, left Mesa, Arizona on 24 January 1980 to meet with Martin L. Coneannon, the corporation’s area sales representative in Tucson. Wise checked into a Tucson motel that evening, and on the following day accompanied Con-cannon on sales calls in southern Arizona. The two men returned to Wise’s motel in the late afternoon of 25 January 1980.
Their bodies were discovered in Wise’s motel room the following morning. Robert Wise was found on the floor next to the bed, tethered to a bedpost by a restraint wrapped around his neck. He had been bound with his hands behind his back, with his ankles tied together and secured to the hand ligatures. Wise had been shot once in the chest from a few inches distance with a .25 caliber pistol. This wound perforated his spinal cord and was the cause of death. In addition, he had been shot in the left temple from a distance of no more than three inches. He had been further bludgeoned with a motel lamp, causing abrasions of the head and skull, broken teeth and multiple fractures of the right side of the jaw. Chips broken from the wooden lamp were removed from this victim’s right temple and mouth.
Mark Concannon’s body was found in the bathroom area of the room, head resting on a pillow. Like Wise, he had been shot in the left chest region at close range, and the chest wound similarly perforated his spinal cord. Like Wise, Concannon had been shot near the temple from no more than three inches distance. Unlike Wise, however, Concannon did not die instantaneously from these wounds. According to the medical examiner, this victim lived a short time after being shot. The examiner testified to three other findings concerning Concannon. He found hemorrhages at the base of Con-cannon’s neck caused by bindings secured there. Second, he found evidence of “defensive wounds” in the form of black and blue marks over Coneannon’s knuckles of the sort sustained while trying to ward off blows. Finally, he had removed a pair of calf length men’s dress stockings from the mouth of this victim, socks which had been pushed to the back of his throat, thereby obstructing his breathing passage.
The two victims had been bound and otherwise restrained with dozens of strips of bedding material, shoelaces and their own clothing before their executions. Their bodies were covered with blankets. Robert Wise’s briefcase, containing his credit cards, was removed from the motel. Mark Con-cannon’s borrowed Oldsmobile was taken from the motel parking lot.
At 8:40 p.m. on 25 January 1980, the defendant appeared at the Mesa home of Robert Wise. The defendant carried in one hand Wise’s business card, and after falsely identifying himself, inquired whether “Bob” Wise was at home. After a brief conversation with the victim’s wife, the defendant departed.
At about 5:30 p.m. on 26 January 1980, the defendant drove Concannon’s borrowed Oldsmobile into a reserved parking, lot on the campus of Northern Arizona University in Flagstaff, Arizona. The campus policeman monitoring use of the lot advised the defendant that it was a restricted lot and directed him to another location. During their conversation, the officer observed that the defendant was wearing two jackets, and that while he was driving a car bearing Ohio license plates, the defendant seemingly spoke with a southern accent. These circumstances aroused the officer’s suspicion, and noting the license number of the vehicle, the officer called his police dispatcher and asked him to check the license number. As the defendant drove away from the encounter, the dispatcher reported that the car was stolen and was possibly involved in two homicides in Tucson.. With the aid of two other officers, the Oldsmobile was stopped, and the defendant arrested and searched. The officer removed a .25 caliber automatic pistol from the pocket of one jacket worn by the defendant, and seized a black identification case containing one badge inscribed “Security Guard,” another inscribed “Special Officer,” a Texas driver’s license and a partial (cut in half) Oklahoma driver’s license, both issued to Ronald Gene Svetgoff. The first officer asked the defendant if he was Svetgoff, and he replied that he was, and explained the lack of resemblance to the license picture owing to changes in hairstyle and weight. The automobile was towed to stor age and the defendant held. Tucson authorities flew to Flagstaff where they inventoried the contents of the Oldsmobile and arranged for the defendant’s return to Pima County.
The defendant was held in custody until his trial, which began 21 April 1982. During October of 1980, the defendant committed an assault on a fellow jail inmate, and was convicted on 30 July 1981 of Dangerous or Deadly Assault by Prisoner, a felony for which he was sentenced to life imprisonment without possibility of parole for twenty five years. See A.R.S. § 13-1206. As to the charges in the instant case, the defendant insisted on serving as his own counsel, and the trial court ordered a public defender to act as advisory counsel. Prior to the trial the defendant threatened specifically to harm his advisory counsel, and generally threatened the participants in the trial. As a result of these threats, the court ordered that the defendant be shackled with leg irons for the duration of the trial. The defendant at trial conducted no direct examination, asked only one question on cross examination, and made no jury arguments.
At the close of the evidence, over strenuous objection by the defendant, the court ordered advisory counsel to submit proposed jury instructions. The defendant discarded the copy of these instructions provided him by advisory counsel. The trial court considered the advisory counsel-submitted instructions, and on its own motion, with the defendant’s assent, added an instruction on the defendant’s right not to testify. The defendant was also given an additional day to submit instructions of his own design, but he failed to do so and his request for a further continuance for this purpose was denied. His convictions for first degree murder, A.R.S. § 13-1105, robbery, A.R.S. § 13-1904, kidnapping, A.R.S. § 13-1304, and theft, A.R.S. § 13-1802, followed.
At the defendant’s sentencing hearing, the trial court invited him to present factors in mitigation, and offered to allow the defendant additional time to do so. The defendant declined, and the trial court thereafter found as aggravating circumstances that the defendant had a prior felony conviction for the deadly assault for which life imprisonment was imposable; that that same crime involved the use of violence; that the defendant committed the instant crimes for pecuniary gain; and that the instant murders were committed in an especially cruel, heinous or depraved manner. The trial court found no mitigating factors sufficient to overcome the aggravating factors and sentenced the defendant to death penalties for the murders of Wise and Coneannon to be served consecutively one to the other, both to be served consecutively to the sentences imposed for the robberies and kidnappings and the theft of Concan-non’s borrowed vehicle.
PRETRIAL ISSUES
1.
The defendant first contends that he was denied effective assistance of counsel during the pretrial phase. First, defendant alleges that the quality of cross examination and arguments to the court made by the public defenders at the pretrial hearings fell below the standard of minimum competence which we adopted in State v. Watson, 134 Ariz. 1, 653 P.2d 351 (1982). Defendant alleges that the public defenders “did not vigorously respond to the state’s arguments,” and did not respond to several questions posed by the trial court.
We have reviewed the pretrial record in an effort to ascertain whether the performance of the public defenders prior to the defendant’s undertaking of his own defense fell below the Watson standard. We believe that their performance was sufficiently competent to reject the defendant’s general contention of ineffective representation. We find no error.
The defendant further contends, however, that the public defenders failed to file timely a notice of change of judge under Rule 10.2, Arizona Rules of Criminal Procedure, 17 A.R.S. The parties were noticed that this matter was permanently assigned to the trial judge on 8 February 1980. No motion for change of judge was filed within the 10 day limit for filing a notice of change of judge under Rule 10.2. Later, on 11 March 1980, the public defenders filed a “Notice of Intention to File Motion Challenging Permanent Assignment of Superior Court Trial Judge.” The basis of the motion was that the defendant was denied his sixth amendment right to an impartial judge because the trial judge assigned to the case had previously sentenced another defendant to death. The evidence indicates that while the judge had imposed the death penalty in one previous case, he had failed to sentence defendants to death in three other capital cases over which he presided. There was no other evidence that he was predisposed to giving the death penalty.
Admittedly, by failing to file a timely motion for change of judge, the defendant lost, the right to preemptorily remove the judge pursuant to Rule 10.2, supra, and had to rely upon removal for cause pursuant to Rule 10.1. We do not believe, however, that this indicates counsel’s performance fell below the minimum professional competence standard set down in Watson, supra, applicable to cases on appeal as of the date of the Watson decision, State v. Nunez, 135 Ariz. 257, 660 P.2d 858 (1983). There is no showing that a change of judge was critical in the first place, because the facts do not support a conclusion that the judge was biased. It was not prejudicial for the public defenders to miss the deadline for changing the judge under Rule 10.2, supra. Under the circumstances, defendant was not denied effective assistance of counsel.
2.
The defendant’s second contention is that his constitutional rights to compulsory attendance of witnesses and cross examination were violated when the trial court denied his motions to recuse the prosecutor, and to call him as a witness, because the prosecutor had been present at the time some of defendant’s statements were taken. We do not agree.
Recently, in State v. Jessen, 134 Ariz. 458, 657 P.2d 871 (1982), the defendant sought to call the prosecutor as a witness to testify to the events surrounding the making of his inculpatory statements during his interrogation. The prosecutor avowed to the court that he was never alone with the defendant during the interrogation, and that two other witnesses, police officers present at the interrogations, were able to give accounts of the proceedings. We stated in Jessen, supra, that “[t]he testimony of the prosecutor would have been cumulative of the testimony of the officers. Defendant has shown no issues concerning the interrogation on which the prosecutor would have been the only person to offer evidence.” Id. 134 Ariz. at 462, 657 P.2d at 875. We found no abuse of discretion in the trial court’s denial of the defendant’s motion to call the prosecutor as a witness. Id.
Our disposition of this issue in the instant case is the same. In the arguments on the motion to recuse the prosecutor, the prosecutor avowed that at no time in his contacts with the defendant was he unaccompanied by other police authorities, and the prosecutor’s avowals to the court were corroborated by one of the detectives present at the encounters between the defendant and the prosecutor. We feel, as we stated in Jessen, supra, that the defendant did not show a need for calling the prosecutor as a witness at trial, and the prosecutor’s recusal from the case was not required. In finding no error, however, we wish to reiterate what we have recently stated:
We note the increasing number of cases before this court where the prosecutor is also a witness on some point in issue, usually the admissibility of a confession or statement made by the defendant. This we believe skirts the line not only of the Code of Professional Responsibility, DR5-102, Rule 29(a), Rules of the Supreme Court, 17A A.R.S., but can be a violation of due process. See Annotation, 54 A.L.R.3d 100. Where there is prejudice, we would be compelled to reverse on this point. Prosecuting attorneys in the future should avoid putting themselves in this position. State v. Williams, 136 Ariz. 52, 57, 664 P.2d 202, 207 (1983). See also State v. Tuzon, 118 Ariz. 205, 575 P.2d 1231 (1978).
3.
The defendant’s third assertion of pretrial error is that the trial judge did not conduct a proper hearing to determine his competency to waive counsel. We note that beginning in 1980, there were several motions for mental examination under Rule 11.2, Arizona Rules of Criminal Procedure, 17 A.R.S., and some were conducted though the defendant failed to cooperate at times.
On 5 January 1981 the defendant signed a stipulation that his competency be determined on the basis of psychiatric reports filed with the court. On 7 January 1981, after reading the reports of both psychiatrists, the court entered a minute entry finding “that Defendant is able to understand the proceedings against him and assist counsel in his own defense.” Because a defendant is competent to stand trial does not mean the defendant is competent to waive the assistance of counsel. State v. Hartford, 130 Ariz. 422, 424, 636 P.2d 1204, 1206 (1981); see Westbrook v. Arizona, 384 U.S. 150, 86 S.Ct. 1320, 16 L.Ed.2d 429 (1966). Therefore on 23 March 1982 the trial court conducted a hearing to determine whether the defendant should be allowed to represent himself on the murder charge. The court reviewed the facts dealing with the defendant’s education and experiences in the justice system, including a previous waiver of counsel hearing on the prisoner assault charge, and incorporated those facts by reference before ruling that “the defendant [was] able to represent himself.”
We believe the court did not abuse its discretion in determining that the defendant was mentally competent to waive counsel. The trial court in making its determination not only relied here on the psychiatrists’ opinions, but it also observed the defendant’s demeanor and heard his responses to inquiries about procedural matters posed by the court. The record reflects that the defendant was articulate, clearly and forcefully expressing his desire to represent himself. The defendant contends, however, that the trial court gave insufficient weight to the fact that he had years before been diagnosed to have organic brain syndrome. We have said that a mere diagnosis of a mental disease or disorder does not mean that the defendant is unable to make rational decisions regarding his case. See State v. Evans, 125 Ariz. 401, 403, 610 P.2d 35, 37 (1980); State v. Thompson, 113 Ariz. 1, 3, 545 P.2d 925, 927 (1976). We find no error.
4.
Defendant next claims that even if he was competent to waive counsel, the trial court failed to ascertain whether the defendant did, in fact, make a knowing and intelligent waiver of his right to counsel. The defendant’s brief alleges that the trial court
made no effort to warn the defendant of the potential pitfalls that face a lay person in representing himself. The Court did not question the defendant about educational background. The Court did not question how well versed the defendant was in legal procedures and the issues of the case. The Court did not advise him that professional assistance would be beneficial and advantageous to the defendant. The Court clearly failed to apprise the defendant of the dangers inherent in self-representation.
We do not agree.
At the 15 April hearing, as well as the hearings of 15 and 23 March 1982, the defendant’s educational level and his familiarity with the rules of procedure in criminal matters were established. At the later of the March hearings the trial court advised the defendant that his first degree murder charge “could result in the death sentence.” He further told the defendant that “it is a terribly complex, terribly serious case.” He then inquired of the defendant whether in such circumstances he was certain he wanted to represent himself, to which the defendant affirmatively replied. At the April hearing, the trial court advised the defendant that the point of having advisory counsel at his table during the trial is that “he would be ready to go in case you decided that you are in too deep of water to continue.”
In Edwards v. Arizona, 451 U.S. 477, 101 S.Ct. 1880, 68 L.Ed.2d 378 (1981), the United States Supreme Court stated that “waivers of counsel must not only be voluntary, but constitute a knowing and intelligent relinquishment or abandonment of a known right or privilege, a matter which depends in each case ‘upon the particular facts and circumstances surrounding that case, including the background, experience and conduct of the accused’.” Id., 101 S.Ct. at 1883-84, quoting Johnson v. Zerbst, 304 U.S. 458, 464, 58 S.Ct. 1019, 1023, 82 L.Ed. 1461, 1466 (1938). And we have stated:
The fundamental question then is not one of the wisdom of the defendant’s judgment but whether the defendant’s waiver of counsel was made in an intelligent, understanding and competent manner. * * * All factors relating to the determination of whether the defendant knew exactly what he was doing when he waived his right to counsel are relevant. State v. Martin, 102 Ariz. 142, 146, 426 P.2d 639, 643 (1967).
We believe that the record complies with the federal and state standards requiring a knowing and intelligent waiver of the right to counsel and assertion of his right to self-representation.
Defendant, however, contends that the failure to sign a written waiver negates the waiver of counsel. Our state constitution in section 24 of article 2, allows a defendant to waive counsel, and Rule 6.1(c) of our Rules of Criminal Procedure, 17 A.R.S., requires that “[a] defendant may waive his rights to counsel * * * in writing, after the court has ascertained that he knowingly, intelligently and voluntarily desires to forego them.” At the end of the 15 April argument on representation, the trial court allowed the defendant to represent himself notwithstanding his refusal to sign a waiver, but ordered Mr. Cooper to serve as advisory counsel.
We have stated that the absence of a written waiver does not constitute reversible error. State v. Evans, supra, 125 Ariz. at 403, 610 P.2d at 37. Under the facts and circumstances of this case as indicated by the hearings, it is clear that the defendant was advised of the charges and possible death penalty and that he was reminded of the complexity of the proceedings and the advantage of advisory counsel. Despite these warnings, defendant waived counsel. We find that the defendant did voluntarily waive counsel, and that such waiver was knowingly and intelligently made. We find no error.
5.
The defendant’s two final pretrial issues both deal with motions to suppress that were denied by the trial court. He first argues that the trial court erred in denying his pretrial motion to suppress physical evidence discovered upon his arrest on the Northern Arizona University campus. The ground for this contention is that the policeman had no right to run a computer records check on the license plate of the automobile the defendant was driving on the campus, and that the resulting arrest violated his fourth amendment right to be free of unreasonable searches and seizures.
The defendant cites no authority for the proposition that a policeman may not conduct a check on a license plate at will even without reasonable suspicion, and we have found none. We believe that there is no expectation of privacy in the license plate affixed to the exterior of one’s motor vehicle driven in public meriting constitutional protection. Also, there was no search or seizure of the vehicle at the time the license check was made. Neither was there a detention of the defendant. By the time the defendant was stopped by the police for the purpose of effecting his arrest, the officers knew that the vehicle had been reported to be stolen and possibly involved in a double homicide. At this juncture, the police had probable cause to arrest the driver. We find no error.
6.
The second of the alleged trial court errors on pretrial suppression motion rulings concerns two statements made by the defendant to a Tucson detective which the detective later related at trial. The first occurred at the Flagstaff airport when the authorities were transporting the defendant to Pima County. In response to an officer’s attempt to shield the defendant from the January airport winds by sharing his jacket, the defendant replied “You don’t need to do that, I deserve whatever I get.” The second statement occurred during a conversation at the jail between the defendant and the detective concerning the clothing seized from the defendant upon his arrest. The detective advised the defendant that the clothes were being held in evidence, and the defendant said that something usable might be found on the burgundy shirt and shoes that he had been wearing, but that the other clothing had not been worn. The defendant now claims that these statements were taken in violation of his Miranda rights, and that their admission in evidence violated his fifth amendment privilege against self-incrimination. The basis of this claim is that when the Tucson authorities approached the defendant being held in Flagstaff and read him his Miranda warnings, he invoked his right to silence, so that anything said by him thereafter was inadmissible under Miranda. We do not agree.
The warnings were read at 9:30 a.m. on 27 January in Flagstaff, at which time the defendant stated that he had nothing to say. He was then arraigned. The Tucson authorities departed with the defendant about 2:00 p.m. that day. The statement the defendant made at the airport about his “deserving” his fate was not in response to any questions or prompting by the authorities. It was merely a response to the shielding gesture by the detective. As to the conversation at the Pima County Jail, it began when the defendant asked if he could have some of his clothing returned to him. When the detective replied that it had to be retained as evidence, the defendant indicated that only the shirt and shoes would have probative value. Again, this statement was not in response to any interrogation of the defendant by the detective, or attempt by the police not to scrupulously honor the defendant’s right to remain silent. Rhode Island v. Innis, 446 U.S. 291, 100 S.Ct. 1682, 64 L.Ed.2d 297 (1980); See Michigan v. Mosley, 423 U.S. 96, 96 S.Ct. 321, 46 L.Ed.2d 313 (1975). It was made as a result of a conversation initiated by the defendant, and is admissible in evidence at trial against him. State v. Landrum, 112 Ariz. 555, 559, 544 P.2d 664, 668 (1976) . We find no error in the denial of the two motions to suppress.
TRIAL ISSUES
7.
The defendant’s first assignment of error relating to the conduct of his trial is that his constitutional rights to self-representation and a fair trial were violated by the court’s order that he be shackled during the trial. The defendant complains that his right to self-representation was impaired by not being able to move about the courtroom like the prosecutor at trial. He further asserts that the trial court abused its discretion in ordering the ankle shackling because there was no justification for the restraint.
Although we have stated that “[w]e do not view with favor the shackling of a defendant except for the most compelling of reasons,” State v. Watson, 114 Ariz. 1, 12, 559 P.2d 121, 132 (1976), cert. denied 430 U.S. 986, 97 S.Ct. 1687, 52 L.Ed.2d 382 (1977) , it is still within the sound discretion of the trial court whether to have a prisoner shackled at trial. State v. Starks, 122 Ariz. 531, 534, 596 P.2d 366, 369 (1979); State v. Watson, supra, 114 Ariz. at 11, 559 P.2d at 131. In the instant case, the defendant threatened bodily harm to his appointed advisory counsel and to any other attorney who might subsequently act in that capacity. The court was aware of that threat and the fact that the defendant was disposed to violence, because he was apprised of recent episodes of assaultive behavior by the defendant while in custody. The court noted the factors upon which he based his decision on the record in compliance with the rule of State v. Reid, 114 Ariz. 16, 22, 559 P.2d 136, 142 (1976), cert. denied 431 U.S. 921, 97 S.Ct. 2191, 53 L.Ed.2d 234 (1977). We cannot say, on reviewing the record, that the trial court abused its discretion in exercising its responsibility in overseeing the security of the courtroom and of the officers of the court.
Nor do we believe that a defendant, because he is representing himself, has some constitutional right, attendant upon his right to self-representation, to walk about the courtroom during the trial. Since the defendant here was fully able to address the judge and jury and to conduct witness examinations from the defense table, we find no substantive encroachment upon his right to self-representation, even though his immobility might have been inconvenient. We find no error.
8.
The second trial error alleged by the defendant is that the court improperly admitted testimony of Ronald Svetgoff, a robbery victim of the defendant prior to the instant crimes, and Jeri Wise, the widow of one of the victims. The defendant contends that introduction of their testimony, dealing with contacts each had with the defendant, improperly brought before the jury evidence of other bad acts. Such evidence, argues the defendant, was inadmissible under Rule 404(b) of our Rules of Evidence, 17A A.R.S., which states:
(b) Other crimes, wrongs or acts. Evidence of other crimes, wrongs, or acts is not admissible to prove the character of a person in order to show that he acted in conformity therewith. It may, however, be admissible for other purposes, such as proof of motive, opportunity, intent, preparation, plan, knowledge, identity, or absence of mistake or accident.
The state contends that Svetgoff’s testimony was properly introduced to establish identity, intent, and common scheme or plan. We agree.
We have discussed the “modus operandi exception” to Rule 404(b) in these terms:
The modus operandi exception to the rule that evidence of other bad acts is inadmissible has two aspects. A separate act with a similar modus operandi may indicate that the defendant, in the act for which he is on trial, was carrying out a common plan or scheme, (citations omitted) An unrelated bad act with a similar modus operandi may also be admissible to identify the defendant as the one who committed the crime for which he is being tried, (citation omitted)
When utilizing the common scheme exception, the basic test for admissibility is that “[similarities between the offenses * * * must be in those important aspects where normally there could be expected to be found differences.” (citation omitted) Logically, this test should also apply to the admission of evidence under the identity exception. Moreover, in determining admissibility, a court must also consider differences between the acts as well as similarities. State v. Jackson, 124 Ariz. 202, 204, 603 P.2d 94, 96 (1979).
The Svetgoff testimony tends to establish the identity of the murderer of Wise and Coneannon through the similarity of the acts in each incident involving armed robbery of motel guests, both as to the manner of securing the victims and as to the items taken by the perpetrator. Svetgoff testified that he was made to lie down on the floor while his hands were secured with a tie behind his back. His legs were then tied together with a dress shirt. Next his legs and hands were tied together with a jump rope. A sock was stuffed into his mouth and then an undershirt was banded across his mouth and held in place by a belt. This method of hog-tying and gagging the victim with his own clothing was repeated in the binding of the instant victims and the gagging of Coneannon with socks.
Svetgoff also testified that he was dragged into the bathroom area of the motel room, and that the defendant placed a pillow under his head while Svetgoff was lying on the floor. Coneannon was found, bound and gagged, on the floor of the bath area of the motel room, head lying on a pillow placed there by his murderer. Finally, Svetgoff testified that his clothes, briefcase and automobile were stolen by the defendant. Robert Wise’s clothes and briefcase were stolen by his murderer, and Mark Concannon’s automobile was stolen in the same incident.
Admittedly, there are differences between the Svetgoff and Wise-Concannon episodes, the most obvious of which is the disposition of the respective victims. But in the “important aspects where normally there could be expected to be found differences” between the offenses, Jackson, supra, the similarities of choice of victims (salesmen motel guests), peculiar method of eliminating resistance (hog-tying with clothing and gagging using socks), placement of victims (in bathroom with heads on pillows), items stolen (briefcases and clothing) and manner of departing the crime scene (via the victim’s automobile) are so striking that we conclude that Svetgoff’s testimony tends to prove the identity of the killer of the instant victims.
Furthermore, the Svetgoff testimony is probative under the common scheme exception to Rule 404(b). There was trial testimony of no evidence of forcible entry into the motel room where the instant victims were found. Svetgoff testified that he was tricked into letting the defendant into his motel room by the defendant’s presentation of false “security guard” badges. The N.A.U. policemen who apprehended the defendant found false security guard badges, along with a driver’s license belonging to Svetgoff. Svetgoff’s testimony, when coupled with that of the arresting officer and of the La Quinta investigating detective, strongly suggests identity and common scheme or plan. Svetgoff’s testimony was relevant and probative.
The testimony of Mrs. Wise about the visit to her home on the evening of the murders by a man she positively identified as the defendant before testifying tends to prove the identity of the murderer. The defendant appeared at her door holding one of her husband’s business cards and asking for “Bob” Wise, according to her testimony. Since the defendant was discovered in possession of Wise’s briefcase and other personalty at the time of his apprehension in Concannon’s car by Flagstaff police, a jury could legitimately infer that he obtained the business card and Wise’s home address as a result of the murder and robbery. Mrs. Wise’s testimony was also relevant and probative.
The relevance and probative value of each witness’ testimony being established, we must evaluate the prejudicial effect of the testimony on the jury. Rule 403 of our Rules of Evidence states:
Rule 403. Exclusion of Relevant Evidence on Grounds of Prejudice, Confusion, or Waste of Time
Although relevant, evidence may be excluded if its probative value is substantially outweighed by the danger of unfair prejudice, confusion of the issues, or misleading the jury, or by considerations of undue delay, waste of time, or needless presentation of cumulative evidence.
We readily concede that the Svetgoff testimony concerning his victimization by the defendant tends to create an impression of the defendant as a bad man. Nonetheless, we do not believe that the prejudicial effect substantially outweighs the probative value on the identity issue addressed by Svet-goff’s testimony.
With regard to Mrs. Wise’s testimony, assessing its prejudicial effect is problematical. The defendant was in contact with the victim’s wife for but a few moments, made only harmless inquiries, and departed without incident. We can only speculate as to the defendant’s motivation for the visit. However, what appeared to be a seemingly innocuous visit was of great probative value on the issue of identity when considered along with the rest of the evidence. We find no error.
9.
The defendant’s next assertion of trial error concerns the admission of evidence gathered as a result of the search under warrant of the stolen car that defendant was driving when he was apprehended. He contends that the warrant was invalid for lack of jurisdiction, and that the subsequent search violated his fourth amendment protection against unreasonable searches. This contention overlooks the basic premise that one must have a legitimate expectation of privacy in the thing searched in order to have standing to object to the validity of the search. A thief of property has no legitimate expectation of privacy in stolen goods. And “this court has refused to recognize as ‘reasonable’ any expectation of privacy a thief may have in an automobile which he has stolen.” State v. Schad, 129 Ariz. 557, 563, 633 P.2d 366, 372 (1981), cert. denied 455 U.S. 983, 102 S.Ct. 1492, 71 L.Ed.2d 693 (1982), citing State v. Myers, 117 Ariz. 79, 570 P.2d 1252 (1977), cert. denied 435 U.S. 928, 98 S.Ct. 1498, 55 L.Ed.2d 524 (1978). We find no error.
10.
On 20 April 1983 the court held a pre-trial hearing which occurred five days after the trial court granted the defendant’s request to represent himself. The defendant, after first objecting to the admission of the photographs in evidence, stated, “I would like to move to admit them all so we can proceed. * * * I withdraw my objection.”
On appeal the defendant claims that certain photographs of the victims had no probative value, were highly prejudicial, and were therefore erroneously admitted into evidence under Rule 403, supra. Ninety-three large, 8 X 10" color photographs were introduced in evidence at the trial. We have no hesitancy in stating that had the defendant maintained a valid objection, we would consider reversing the conviction, because the prejudice of several gruesome photographs among the over 90 admitted outweighed their probative value. We believe that counsel, by “overtrying” his case, could well have placed the conviction in jeopardy. The defendant, however, withdrew his objection to their admission.
Generally, without objection to the admission of gruesome photographs at trial, the issue may not be raised on appeal. See People v. Hines, 61 Cal.2d 164, 37 Cal.Rptr. 622, 390 P.2d 398 (1964); State v. Phipps, 224 Kan. 158, 578 P.2d 709 (1978); State v. Powers, 645 P.2d 1357 (Mont.1982). Because the waiver of objection at trial made by the defendant is valid, he may not raise the issue on appeal.
11.
When it came time to settle instructions, the court advised the defendant that the arguing of instructions was “a highly technical matter.” Although defendant indicated a desire to handle the matter personally, stating, “I won’t accept any instructions from [advisory counsel] because I am representing myself,” the court ordered advisory counsel to provide the defendant with instructions, adding “What you do with them is your business.” The trial court also ordered that advisory counsel participate in the settling of instructions, “because I do believe that is a matter that perhaps * * * you [the defendant] don’t have the competence to handle.”
On 26 April 1982, the defendant tore up the copy of instructions provided by advisory counsel and discarded them in a wastepaper basket. The defendant also informed advisory counsel that he did not want him arguing on his behalf during the settling of instructions, and during the settling of the instructions, the defendant objected to every instruction that was proposed by the state and the defense and to several that the court stated its intention to give. In addition, the defendant advised the court that he did not submit any of his own instructions because the court ordered his advisory counsel to do so, and that he would have prepared them absent the court’s order. After instructions were approved by the court, the defendant was given until the following morning to prepare his own instructions, which the defendant did not do because of a claimed lack of access to the rules of procedure governing instructions. Defendant requested additional time to prepare instructions while renewing his objec tion to the submission of advisory counsel’s instructions in his behalf. The court denied the request for additional time, and asked the defendant if he would like an instruction given regarding the defendant’s prerogative not to testify. The defendant said he had no objection to the giving of such an instruction.
The court used some of defense counsel’s proposals in instructing the jury, as well as the state’s, and the judge added some of his own. The defendant now argues that the preparation and giving of these instructions over his objection violated his state and federal constitutional rights to self-representation, citing Faretta v. California, 422 U.S. 806, 95 S.Ct. 2525, 45 L.Ed.2d 562 (1975). We do not agree.
Instructions of the court are just that, instructions of the court, and not the instructions of the parties. True, the parties have a right to be heard concerning the instructions to be given, to voice objections thereto, and to propose instructions to the court. The defendant was given an opportunity to do this in the instant case. But the instructions in the final analysis are the court’s, and the court may look to any source for help and assistance in preparing these instructions. Defendant’s right of self-representation does not give him the power to exclude his advisory counsel from participating in the settling of instructions.
DEATH PENALTY STATUTE ISSUES
The defendant raises four attacks on our death penalty statute’s constitutionality.
12.
The first is that applying A.R.S. § 13-703 (Arizona’s death sentence statute) violates the prohibition against cruel and unusual punishment embodied in the eighth amendment and Ariz. Const, art. 2 § 15. The defendant cites two reasons for this conclusion, the first being that the sentencing scheme invites arbitrary and capricious application of the death penalty. In support of this contention the defendant asserts that there is no stated burden of proof for a defendant’s establishment of mitigating factors, and that the notion of mitigation “sufficiently substantial to call for leniency” leaves too much to the discretion of the sentencing judge.
The defendant’s arguments here are a variation on the theme that A.R.S. § 13-703 fails to provide adequate standards to guide sentencing discretion. We have previously stated that the purpose of an aggravation/mitigation hearing is to tailor the penalty to the offender as well as the crime, and that the Arizona capital sentencing plan aims both at flexibility to permit individualized decisionmaking and at prevention of arbitrariness by creating standards to guide the sentencer. See State v. Gretzler, 135 Ariz. 42, 54, 659 P.2d 1, 13, cert. denied - U.S. -, 103 S.Ct. 2444, 77 L.Ed.2d 1327 (1983). We have described the formula of “sufficiently substantial to call for leniency” as involving the weighing of aggravating against mitigating circumstances on the basis of the gravity of each circumstance. See id. And we have grounded our independent review of whether a defendant has established a mitigating circumstance on a preponderance of the evidence standard. We believe that under these conditions we have eliminated the risk of capriciousness to the extent necessary to defeat any claim that the application of our death penalty statute constitutes cruel and unusual punishment, or in some manner violates due process.
Defendant further contends that the sentencing scheme must be unconstitutional because the prosecutor has unbridled authority in his decision whether to seek the death penalty. This contention has been previously addressed by the United States Supreme Court, which stated that pre-sentencing decisions by actors in the criminal justice system that may remove an accused from consideration for the death penalty are not unconstitutional. Gregg v. Georgia, 428 U.S. 153, 199, 96 S.Ct. 2909, 2937, 49 L.Ed.2d 859, 889 (1976). We find no merit in the defendant’s eighth amendment claims.
13.
The next attack on the death penalty statute advanced by the defendant is that its failure to involve a jury in the capital sentencing decision violates his sixth amendment rights. This argument has been rejected by the United States Supreme Court in Proffit v. Florida, 428 U.S. 242, 252, 96 S.Ct. 2960, 2966, 49 L.Ed.2d 913, 922-23 (1976), and has likewise been rejected by this court on numerous occasions. State v. Richmond, 137 Ariz. 312, 316, 666 P.2d 57, 61 (1983); State v. Gretzler, supra, 135 Ariz. at 56, 659 P.2d at 15 (citing cases).
14.
The third attack on A.R.S. § 13-703 is that the statute violates due process because the legislature placed the burden of proof of mitigating circumstances on the defendant. Richmond, supra, is dispositive of this claim: “[o]nce the defendant has been found guilty beyond a reasonable doubt, due process is not offended by requiring the defendant to establish mitigating circumstances.” State v. Richmond, supra, 137 Ariz. at 316, 666 P.2d at 61. Accord, State v. Smith, 125 Ariz. 412, 416, 610 P.2d 46, 50 (1980); State v. Watson, 120 Ariz. 441, 447, 586 P.2d 1253, 1259, cert. denied 440 U.S. 924, 99 S.Ct. 1254, 59 L.Ed.2d 478 (1978).
15.
The defendant’s final attack on the constitutionality of the statute is that it is impermissibly void for vagueness. This argument is directed toward the aggravating circumstance concerning murders committed in “an especially heinous, cruel or depraved manner.” A.R.S. § 13-703(F)(6). The defendant claims that it is impossible to make a finding of this circumstance with uniformity because our definitions of terms in the quoted phrase defy standardization. We disagree; as we stated in State v. Jeffers:
Each element — cruel, heinous and depraved — has been narrowly defined and construed.
* * * * * *
We have been insistent that the murder be especially cruel or especially depraved before this section would apply. We have clearly defined the terms and have delineated factors to guide us in determining if the crime was indeed committed in such a manner. State v. Gretzler, supra. State v. Jeffers, 135 Ariz. 404, 430, 661 P.2d 1105, 1131 (1983) (emphasis in original)
The best empirical evidence refuting the charge of impossibility of standardizing the “cruel, heinous or depraved” circumstance is our recent decision in State v. Richmond, supra. Though this court affirmed the defendant’s conviction and sentence in that opinion, three members of the court voted against the author’s finding that the crime was especially heinous and depraved. Id., 135 Ariz. at 421, 423, 661 P.2d at 1122, 1124 (concurring opinion of Cameron, J., and Gordon, V.C.J.; dissenting opinion of Feld-man, J.). The disagreement as to the existence of this circumstance focused on whether the record supported a finding of infliction of gratuitous violence upon, and needless mutilation of, the victim. The lengths to which this court has gone in order to insure the proper application of the definitions of terms like “cruel” and “depraved” reflect a commitment to uniformity in imposition of this most serious sanction. We believe that such efforts give sufficient guidance to sentencing courts, and that the legislatively propounded criteria for the aggravating circumstances are accordingly not impermissibly overbroad or vague.
INDEPENDENT REVIEW OF SENTENCE
We review each death penalty imposed by our state’s sentencing courts to insure that the sentence has not been applied in an arbitrary or capricious manner. We independently review the record of each capital case to determine the correctness of the findings of the trial court as to aggravating and mitigating circumstances, in order to independently determine the propriety of the sentence imposed. State v. Zaragoza, 135 Ariz. 63, 68, 659 P.2d 22, 27 (1983); State v. Gretzler, supra, 135 Ariz. at 57, 659 P.2d at 16.
In the instant case, the defendant was sentenced to life imprisonment, on 30 July 1981, for his conviction of dangerous or deadly assault by prisoner, A.R.S. § 13-1206. State v. Harding, Cause No. CR-04694, aff'd No. 5417, filed 29 April 1982. This felony involves commission of an assault “using or exhibiting a deadly weapon or dangerous instrument,” or the knowing or intentional infliction of “serious physical injury” on the assaulted party. A.R.S. § 13 — 1206. The facts of the prior conviction indicate the defendant and another jail inmate struck a fellow inmate several times with darts discharged through a homemade blowgun. One dart penetrated the victim’s jawbone, a second traversed his skin near the shoulder, and a third penetrated his leg. A nurse and a forensic pathologist both testified at the trial of this matter that the darts were capable of causing serious physical injury.
On these facts we find that this earlier conviction supports the finding of two aggravating circumstances: A.R.S. § 13-703(F)(1) conviction of an offense punishable in Arizona by life imprisonment; and (F)(2), conviction of a felony involving the use of violence on another person.
As to the finding that the murder was committed for pecuniary gain, the record indicates that the defendant removed clothing, a briefcase and credit cards from the possession of Robert Wise. He left the scene of the homicides in a car that had been in the custody of Martin Concannon. The instant sequence of binding, robbing and leaving helpless the victims while stealing their auto, like defendant’s earlier conduct in the Svetgoff robbery, supports a finding that the defendant committed the murders in the course of obtaining valuable personal property from his victims. We therefore find that the aggravating circumstance of A.R.S. § 13-703(F)(5) exists in the instant action.
The trial court additionally found as an aggravating circumstance that the murders were committed in “an especially cruel, heinous and depraved manner.” See A.R.S. § 13-703(F)(6). The court did not state on the record what aspects of the crimes it found to be cruel, heinous or- depraved. The medical examiner testified that some of the bindings restraining the victims were secured so tightly that they caused abrasions and black and blue discoloration of the skin resulting from hemorrhaging of tiny capillaries beneath the skin’s surface. Likewise, bludgeoning of the bodies caused abrasion, discoloration and hemorrhaging. The doctor testified, however, that such physical manifestations of blunt trauma are consistent with injuries inflicted prior to, contemporaneously with, or shortly after the time of death. He did not speculate whether the beatings of the victims occurred before or after their deaths. He stated only that Martin Con-cannon lived between 3 and 20 minutes after being shot, but it is not known whether he was conscious at the time. The investigating officers testified to the facts of Wise’s tethering by the neck to the bedpost and of Concannon’s gagging with socks, which the doctor testified obstructed his breathing passages.
The state must prove this aggravating circumstance, like the others, beyond a reasonable doubt. State v. Jordan, 126 Ariz. 283, 286, 614 P.2d 825, 828, cert. denied 449 U.S. 986, 101 S.Ct. 408, 66 L.Ed.2d 251 (1980). Because there is no evidence beyond a reasonable doubt that the victims were conscious, the state’s evidence fails to establish that this sadistic treatment was especially cruel to the victims. See State v. Gretzler, supra, 135 Ariz. at 51, 659 P.2d at 10.
The finding of depravity, however, is sustainable. The photographs of the autopsy of Robert Wise make a strong case for this finding. The right side of Wise’s face, from the area between the temple and the jaw line, was severely bruised and abraded. His right ear lobe was nearly severed, and his jaw was so broken as to have chipped off bone fragments and to have displaced the jaw from the normal mandibular joint position. The nature and location of the damage sustained required a number of blows to the victim’s face while the victim was stationary. The beating must have been administered while the victim was restrained, unconscious or deceased. The helplessness of the victim plus the gratuitous nature of the bludgeoning, beyond the point necessary to rob or to dispatch the victims by shooting, renders the beating apart from the usual or the norm, and it is therefore depraved. Cf. State v. Ceja, 115 Ariz. 413, 417, 565 P.2d 1274, 1278, cert. denied 434 U.S. 975, 98 S.Ct. 533, 54 L.Ed.2d 467 (1977) (barrage of violence found depraved); State v. Woratzeck, 134 Ariz. 452, 457, 657 P.2d 865, 870 (1982). Even if the beating with the lamp base occurred after the victim’s decease, we still find this to be an act of gratuitous violence and a debasement of a corpse bordering on “needless mutilation of the victim.” State v. Gretzler, supra, 135 Ariz. at 52, 659 P.2d at 11. Cf. State v. Jeffers, supra, 135 Ariz. at 430, 661 P.2d at 1131 (post-mortem beating of victim resulting in additional wounds and bleeding found especially heinous and depraved). The savage beating of Robert Wise, regardless of its timing, reflects a depraved mental state. The same is true of the treatment given Concannon, who was perversely gagged.
The defendant chose not to present any evidence in mitigation, despite the trial court’s urging. The burden of proof on mitigation is the defendant’s. A.R.S. § 13-703(C). Since the defendant did not put on evidence of mitigating circumstances, the trial court found none. We do not, on review of the record before us, find conclusive evidence tending to show mitigation of the instant sentences. We therefore independently find that there are no mitigating circumstances sufficiently substantial to call for leniency. The aggravating eircum-stances justify the imposition of the death penalty. See A.R.S. § 13-703(E).
PROPORTIONALITY REVIEW
This court conducts a proportionality review to determine “whether the sentences of death are excessive or disproportionate to the penalty imposed in similar cases, considering both the crime and the defendant.” State v. Richmond, 114 Ariz. 186, 196, 560 P.2d 41, 51 (1976), cert. denied 433 U.S. 915, 97 S.Ct. 2988, 53 L.Ed.2d 1101 (1977). This procedure has been endorsed by our federal circuit in Harris v. Pulley, 692 F.2d 1189, 1196 (9th Cir.1982), cert. granted sub nom. Pulley v. Harris, - U.S. -, 103 S.Ct. 1425, 75 L.Ed.2d 787 (1983).
We have considered other cases in which a defendant with a serious criminal history murdered his victims for gain and in an especially cruel, heinous or depraved manner. See State v. Gretzler, supra; State v. Raymond Tison, 129 Ariz. 546, 633 P.2d 355 (1981), cert. denied - U.S. -, 103 S.Ct. 180, 74 L.Ed.2d 147 (1982); State v. Ricky Tison, 129 Ariz. 526, 633 P.2d 335 (1981) , cert. denied - U.S. -, 103 S.Ct. 180, 74 L.Ed.2d 147 (1982); State v. Gerlaugh, 135 Ariz. 89, 659 P.2d 642 (1983), supplementing 134 Ariz. 164, 654 P.2d 800 (1982) . In the first of these comparison cases, the defendant claimed partial impairment of his capacity to appreciate the wrongfulness of his conduct. The defendants in the last three cases claimed youth as a mitigating circumstance. In the instant case, the defendant was in his thirties at the time of the murders, and put on no evidence of mental impairment. Each of the defendants in the comparison cases received the death penalty and we affirmed their sentences. We find that the affirmance of the sentence here is not dispropor tionate. We have searched the record for fundamental error, A.R.S. § 13-4035, and find none.
The convictions and sentences are affirmed.
HOLOHAN, C.J., and HAYS, J., concur.
. In reviewing the presentence report, we take note of the following facts: the defendant was shuffled back and forth among family members at an early age; he first became institutionalized at the age of 10 for recurrent truancy; and he was diagnosed at about the age of 14 to have minimal brain damage and petit mal seizures, while his intelligence registered in the dull normal range. Despite these last factors, repeated psychological evaluations revealed no distortions in the defendant’s thinking processes and a consistent diagnosis of no psychotic manifestations. His last psychological evaluation prior to his arrest on the instant charges resulted in a diagnosis of severe antisocial personality without psychosis.
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HOLOHAN, Chief Justice.
The petitioner Frank C. Estes challenges by this petition for special action the actions of the respondent judge in entering a child custody order in a marital dissolution proceedings. We accepted jurisdiction pursuant to Ariz. Const, art. 6 § 5(1). We deny the relief requested.
The marriage between petitioner and respondent Cheri Rose Estes was dissolved by a decree of dissolution dated December 23, 1982. All issues pertaining to the dissolution except for those relating to child custody were heard by the trial judge on October 1, 1982. On that day, the trial judge ordered that petitioner would “be ordered to pay child support with respect to any child placed in the custody of Respondent-Wife in an amount to be determined.” (emphasis added). Later, on October 7 and 8, 1982, the trial judge heard the child custody portion of the proceedings and awarded custody of the three minor children to respondent Cheri Rose Estes.
Following entry of the formal decree, on January 6, 1983, petitioner filed a motion for reconsideration of the custody order, alleging ineffective assistance of counsel and that the trial judge failed to consider all pertinent evidence. During oral argument of the motion and for the first time, petitioner argued that the trial judge had violated the provisions of A.R.S. § 25-328 which require in all cases where custody or visitation are contested issues, all other issues including the amount of child support must be completely determined before the trial court hears any custody or visitation issues. Petitioner supplemented this argument with a memorandum on March 17, 1983. On March 24, 1983, the trial judge denied the motion, finding that petitioner was well represented by counsel, that all of the evidence had been considered, and that the statutory argument was untimely raised according to Rule 59, Rules of Civil Procedure.
This special action presents essentially the single issue of whether the bifurcation requirement of A.R.S. § 25-328 is jurisdictional or procedural. We have assumed for the purposes of this decision that the issue was properly raised in the trial court. The issue of jurisdiction of the court can, of course, be raised at any time.
A.R.S. § 25-328
Petitioner contends that the trial judge violated the bifurcation requirement of A.R.S. § 25-328 when the trial judge fixed the amount of child support after hearing issues regarding custody of the children. Petitioner argues that such a violation voided the child custody order because the trial judge lost jurisdiction by failing to follow the statute. We agree that the trial judge violated the statute, but conclude that the provisions of A.R.S. § 25-328 are procedural in nature.
This court has not considered this statute before, but both divisions of the court of appeals have addressed it, reaching directly conflicting views of the effect of violating A.R.S. § 25-328. The statute provides:
§ 25-328 Separate trials when custody or visitation is an issue
A. In all cases when custody or visitation is a contested issue, the court shall first hear all other issues including maintenance and child support. The contested issue of custody or visitation shall not be heard at any hearing involving other issues even upon agreement of attorneys.
B. After all other issues have been decided and the amount of maintenance and child support established by the court, then the issues of custody or visitation may be heard.
Division Two of the Court of Appeals, in Honsey v. Honsey, 126 Ariz. 336, 615 P.2d 14 (App.1980), described the requirements of the statute as “clearly jurisdictional.” Id. at 337, 615 P.2d at 15. The court did not set forth the reasons which supported its conclusion. Division One, in In Re Marriage of Hinkston, 133 Ariz. 592, 653 P.2d 49 (App.1982), read Honsey as “a classic example of the mischief that can arise when courts indiscriminately use the term jurisdiction (the power to act) when what is meant is legal error (the court acted improperly).” Id. at 595, 653 P.2d at 52. The court in Hinkston correctly noted that A.R.S. §§ 25-331 and 8-403 are the jurisdictional statutes in child custody matters. We agree with the analysis and holding in the Hinkston case.
Subject matter jurisdiction has been described as “the power to hear and determine cases of the general class to which the particular proceedings belong....” First National Bank & Trust Co. v. Pomona Mach. Co., 107 Ariz. 286, 288, 486 P.2d 184, 186 (1971); citing Arizona Public Service Co. v. Southern Union Gas Co., 76 Ariz. 373, 265 P.2d 435 (1954); Tube City Mining & Milling Co. v. Otterson, 16 Ariz. 305, 146 P.2d 203 (1914). See Lamb v. Superior Court, 127 Ariz. 400, 403, 621 P.2d 906, 909 (1980). The power to decide the general class of this case — divorce and child custody — devolves upon the superior court from organic and statutory law. Article 6 § 14(9) of the Arizona Constitution confers subject matter jurisdiction on the superior court over divorce cases, and A.R.S. §§ 25-331 and 8-403 grant the same type of power in child custody cases.
The purpose and effect of A.R.S. § 25-328 indicate its procedural nature. Under the statute, monetary considerations are finally determined before the superior court inquires into custody and visitation issues. Marce v. Bailey, 130 Ariz. 443, 636 P.2d 1225 (App.1979). The statute exists so that the superior court can dissolve a marriage without reference to the conduct of the parties. Id. at 445, 636 P.2d at 1227. Under Arizona’s “no fault” divorce laws, conduct of the parties no longer bears on the propriety of a marriage dissolution. “Questions of financial support, including spousal support, child support and spousal maintenance, are to be determined in the dissolution proceedings on the basis of the status and needs of the parties at the time of the dissolution, and not marital misconduct.” Id. Conversely, when the court considers which party will be awarded custody of children, reference must be made to the parents’ conduct. By requiring separate hearings whenever custody or visitation is contested, our legislature sought to separate matters of money from matters of conduct. Such a separation concerns the procedural treatment of the case rather than the court’s power to hear the case.
Once the court below had subject matter jurisdiction, as it undoubtedly did, the question becomes whether the court lost that power when it failed to bifurcate the hearings in strict compliance with A.R.S. § 25-328. This court has distinguished “the right of a court to misconstrue the law measuring the rights of the parties ... [from] the right of a court to misconstrue a statute or law from which jurisdiction or power of the court flows — a jurisdictional law.” Arizona Public Service Co. v. Southern Union Gas Co., supra, 76 Ariz. at 382, 265 P.2d at 441. The power to inquire into the abstract questions of a type of cause of action may be lost when a court misconstrues the particular statute or constitutional provision that grants the subject matter jurisdiction. While misconstruing a jurisdictional law is fatal to the viability of a court’s decision, misinterpreting a procedural law does not void a court’s decision. The court still retains jurisdiction over that class of case. Misinterpreting a procedural matter amounts to legal error which may result in reversal by an appellate court, but subject matter jurisdiction remains unaffected by the misinterpretation.
In the instant case, we find a clear violation of the statute. The trial judge did not set the amount of child support before hearing the custody portion of the proceedings, which the statute plainly requires. When the trial judge ordered that petitioner would pay child support “in an amount to be determined,” he did not thereby establish an “amount.” Such an interpretation simply avoids the question. Before hearing custody issues, the superior court must bifurcate the hearings and must completely determine all matters, including setting a figure for child support. The trial judge committed legal error by hearing custody issues before he had established a definite amount of child support.
Although we conclude that the trial judge erred, we do not modify or vacate the child custody portion of the decree because petitioner has shown no prejudice to any substantial right or any inconsistency with substantial justice. Although the bifurcation required by A.R.S. § 25-328 is important, an improper bifurcation is not inherently prejudicial. In this context, as in all others, prejudice must appear in the record; the record in this case affords no finding of prejudice.
Accordingly, we deny the relief requested.
GORDON, V.C.J., and HAYS, CAMERON and FELDMAN, JJ.,
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OPINION
BIRDSALL, Judge.
The appellant, Jesus Lopez Silva, was convicted of unlawful sale and possession for sale of cocaine, conspiracy and unlawful possession of heroin. He was sentenced to three concurrent terms of seven, and one of four, years imprisonment.
In this appeal he contends that he is entitled to a new trial because:
1) His motion to suppress should have been granted.
2) He was not properly indicted on one of the charges.
3) The prosecutor commented on his failure to testify.
4) Hearsay was improperly admitted.
5) A police report was improperly admitted.
6) A written record of narcotics transactions was improperly admitted.
7) There was inadequate foundation for admission of the narcotics.
8) A requested jury instruction should have been given.
We affirm.
The following facts were established at trial and are necessary to an understanding of our decision.
Department of Public Safety officers working undercover negotiated the purchase of two ounces of cocaine from William Howe. Howe left the motel room they were in to get the cocaine. Officers followed him to a convenience market where he met the appellant and another man. After they parted Howe returned to the motel room with one ounce of cocaine and the appellant was followed to his residence. The officers following the appellant were advised that Howe had delivered the cocaine and were directed to arrest the appellant and his companion. The companion was arrested in the driveway. Officer Gonzales walked to the carport and looking in a window of the house saw the appellant in the kitchen remove a baggie containing a white powder from the cupboard. The appellant dropped the baggie, Gonzales ordered him to “freeze”, told him he was a police officer and went into the house and arrested him. After the residence was secured a telephonic search warrant was obtained and the house was searched.
Motion to Suppress
The appellant contends that his arrest was unlawful and, for that reason, the search that followed. He relies on Payton v. New York, 445 U.S. 573, 100 S.Ct. 1371, 63 L.Ed.2d 639 (1980) which held the police could not make a warrantless, non-consensual entry into a home to make a routine felony arrest. The instant case is a far cry from Payton. The officers here were in hot pursuit, having probable cause to believe the appellant had just committed a serious felony. Officer Gonzales saw the appellant with what he believed to be cocaine which could easily have been destroyed if he did not act immediately. This was an exigent circumstance which made the entry into the home and the arrest lawful. See State v. Love, 123 Ariz. 157, 598 P.2d 976 (1979); State v. Decker, 119 Ariz. 195, 580 P.2d 333 (1978); State v. Cook, 115 Ariz. 188, 564 P.2d 877 (1977); A.R.S. §§ 13-3883, 13- 3888, 13-3891. The appellant contends Officer Gonzales failed to knock and announce his presence. Any failure to comply with the “knock and announce” provisions of A.R.S. § 13-3891 is excused by the exigent circumstances present here. However, the officer did announce he was a police officer and “advised him if I could come into his house.”
The Indictment
The foreman of the grand jury which indicted the appellant failed to read the words “for sale” which was part of the charge in Count 7 of the indictment both at the beginning and end of the session. However, both the minutes of the grand jury and the indictment contain these words and the grand jurors heard evidence that the cocaine was “possessed for sale,” giving rise to the charge in Count 7. There is no merit in the appellant’s argument that he was not indicted on that charge.
Prosecutor’s Comment
In his opening statement the prosecutor said that Officer Gonzales would testify that when the appellant was asked about the baggie he dropped in the kitchen the appellant said, “I never saw it before in my life.” This statement had been ruled admissible in a pretrial hearing, although the underlined words “in my life” were not a part of the record in that hearing. When the officer testified at trial, the words “in my life” were not included in his account of the appellant’s statement. Appellant moved for a mistrial following the prosecutor’s opening statement, claiming that this constituted a comment on the appellant’s right to remain silent. He contends that mention of his statement made the jury wonder why he did not testify. As the state argues, if we were to accept that contention, no statement of a defendant would be admissible unless he testified. The appellant’s reasoning is ridiculous.
The appellant further claims there is a much different meaning in what he actually said, “I’ve never seen it”, than in the statement “I never saw it before in my life.” We fail to see this' difference and also reject that argument.
Improper Evidentiary Rulings
The negotiations in the motel room involving two undercover officers and William Howe were monitored and recorded. One of the undercover officers was deceased at the time of trial, and Howe elected to claim his privilege against self-incrimination. The taped conversation was admitted with no other testimony than the foundation of another officer who identified the voices and described the recording devices and how they were arranged. The appellant claims the tape was inadmissible hearsay. He is wrong. None of that evidence was hearsay. Howe’s statements are within Rule 801(d)(2)(E), Rules of Evidence, 17A A.R.S., the co-conspirator rule. The officers’ statements were not hearsay since they were not offered to prove the truth of the words spoken. Rule 801(c), Rules of Evidence, 17A A.R.S. The tape was admissible.
The appellant contends that the admission of the tape-recorded conversation in the motel room violated his Sixth Amendment right of confrontation. Although the trial court initially indicated some agreement with this position, upon being advised by the state that Howe would be available in Tucson for interview and cross-examination if the appellant desired, the court changed its preliminary ruling. We do not find the admission of the tape would violate the confrontation clause in any event. The appellant was not deprived of any right of confrontation on the issue of whether the conversation actually occurred and what was said by each of the participants. See Dutton v. Evans, 400 U.S. 74, 91 S.Ct. 210, 27 L.Ed.2d 213 (1970).
We have examined the transcript of the tape recording which was admitted in evidence. No part of the conversation directly implicates the appellant. He is never mentioned by name. In the conversation Howe refers to another “guy” who is to supply the cocaine and calls him on the room phone to arrange the meeting. When Howe leaves the room the agents’ conversation is recorded. Finally the recording covers the conversation when Howe returns and his arrest. From this it can be inferred the appellant was the “other guy,” but there was evidence of the conspiracy without the tape recording, i.e., the evidence of the meeting at the convenience market, the place arranged during the telephone call, the delivery of the narcotics and the amount thereof and the seizure of the other “half” of the proposed sale at the appellant’s home upon his arrest. The co-conspirator’s statements are clearly during the course of and in furtherance of the conspiracy. It further appears from the record that when produced by the state, Howe advised the appellant’s counsel he would invoke his Fifth Amendment rights and not testify. By his own choice he became unavailable. See also Ohio v. Roberts, 448 U.S. 56, 100 S.Ct. 2531, 65 L.Ed.2d 597 (1980). The trial court also admitted a part of the deceased officer’s police report pertaining to the chain of custody of the narcotics. In the report the officer said he had taken the evidence to the crime lab for examination. This evidence was relevant only as foundation for admission of the narcotics and the results of the laboratory analysis. It need not even have been admitted for the jury since the court and not the jury is concerned with the admissibility of the other evidence, the narcotics and laboratory analysis. Rule 1008, Rules of Evidence, 17A A.R.S. See also State v. Simmons, 131 Ariz. 482, 642 P.2d 479 (App.1982). That part of the report was not rendered inadmissible by Rule 803(8)(B). As the state argues, it was also admissible under Rule 803(24).
One of the evidentiary items seized at the appellant’s home was a notebook containing records of narcotics transactions. It was, no doubt, most damaging proof of the appellant’s crimes. No direct evidence showed whose handwritten entries appeared in the book. The appellant claims such foundation was necessary. We disagree. This argument goes to the weight, not the admissibility of the book. See State v. Greenawalt, 128 Ariz. 388, 626 P.2d 118 (1981), cert. denied sub. nom., Tison v. Arizona, 454 U.S. 848, 102 S.Ct. 167, 70 L.Ed.2d 136 (1981). The appellant also contends that since the notebook is evidence of prior bad acts it is inadmissible. Of course, that is the very reason for its admission, to show that the appellant was a narcotics dealer.
The appellant’s last objection pertaining to evidentiary rulings is the admission of the narcotics. This objection is frivolous. One witness testified there was a change in the cocaine from when it was first observed, its consistency had changed from “powdery” to “rock-like”, but he also testified that weather conditions can pro duce such a change. Again this goes only to the weight and not the admissibility of the evidence. State v. Greenawalt, supra. The prosecution is not required to exclude every remote possibility of tampering with evidence which is, of course, the inference appellant would like to draw. State v. Hardy, 112 Ariz. 205, 540 P.2d 677 (1975).
Finally, the appellant contends he was entitled to have the following instruction given:
“The defendant is not on trial for any act or conduct not alleged in the indictment.”
His theory was that this would properly limit the jury’s use of the notebook. The problem is the instruction did not do that, and, standing alone, without further explanation, the instruction is either meaningless or could even be misleading.
If the appellant wanted a limiting instruction he should have requested one. See State v. Taylor, 127 Ariz. 527, 622 P.2d 474 (1980); State v. Hernandez, 7 Ariz.App. 200, 437 P.2d 952 (1968). The court was not required to give an incomplete instruction. See Watson Const. Co. v. Amfac Mortg. Corp., 124 Ariz. 570, 606 P.2d 421 (App.1979). The jury was properly instructed on the crimes which were charged, the elements of each and the forms of verdict. See State v. Hernandez, supra.
Affirmed.
HOWARD, C.J., and HATHAWAY, J., concur.
. “When the admissibility of other evidence of contents of writings, recordings, or photographs under these rules depends upon the fulfillment of a condition of fact, the question whether the condition has been fulfilled is ordinarily for the court to determine in accordance with the provisions of Rule 104. However, when an issue is raised (a) whether the asserted writing ever existed, or (b) whether another writing, recording or photograph produced at the trial is the original, or (c) whether other evidence of contents correctly reflects the contents, the issue is for the trier of fact to determine as in the case of other issues of fact.”
. “... (B) matters observed pursuant to duty imposed by law as to which matters there was a duty to report, excluding, however, in criminal cases matters observed by police officers and other law enforcement personnel, ...”
. “A statement not specifically covered by any of the foregoing exceptions but having equivalent circumstantial guarantees of trustworthiness, if the court determines that (A) the statement is offered as evidence of a material fact; (B) the statement is more probative on the point for which it is offered than any other evidence which the proponent can procure through reasonable efforts; and (C) the general purposes of these rules and the interests of justice will best be served by admission of the statement into evidence. However, a statement may not be admitted under this exception unless the proponent of it makes known to the adverse party sufficiently in advance of the trial or hearing to provide the adverse party with a fair opportunity to prepare to meet it, his intention to offer the statement and the particulars of it, including the name and address of the declarant.”
|
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FELDMAN, Justice.
Defendant, James Dewain Hallman, was convicted of first degree murder and attempted sexual assault, a dangerous felony. The trial court imposed a sentence of life imprisonment without possibility of parole for 25 years on the murder count, and the presumptive term of 7.5 years on the attempted sexual assault count to be served consecutively to the sentence of life imprisonment. Defendant appeals the convictions and the consecutive nature of the sentences. We have jurisdiction pursuant to Ariz. Const, art. 6, § 5(3), and A.R.S. § 13-4031.
The murder victim, Daniel Art Geyer, age 33, owned a landscaping business. Defendant, age 18, worked for Geyer. Geyer and defendant were good friends and had what witnesses described as a father-son relationship. In August of 1981, defendant moved into Geyer’s home, which Geyer shared with his girl friend, Mary Ann Meyers, and another friend, Don McMurtrey. After the defendant moved in, there were two incidents where he allegedly molested Meyers while she slept. After the second incident, Geyer and another friend confronted the defendant and gave him a beating. Defendant promised he would never do anything like that again.
On October 26, 1981, the evening before the murder, the group met at a neighborhood bar. Geyer went home early in the evening and McMurtrey followed shortly after. About an hour later, Meyers and defendant walked home together. When they arrived home, they found Geyer passed out on the living room couch. Meyers tried unsuccessfully to wake Geyer and finally covered him with a blanket, went alone to their bedroom and fell asleep. Meyers woke up around 3:00 a.m. when she discov ered the defendant molesting her. Meyers screamed that if defendant touched her again she would “blow his hand off” with a gun. Defendant apologized. Meyers told him to get out of her room and went back to sleep.
McMurtrey left for work around 5:30 that morning and as he left, Geyer woke up and said goodbye to him. Apparently Geyer fell back asleep. Sometime shortly after McMurtrey left, defendant woke up, took a gun from a nearby drawer, walked over to where Geyer was sleeping and shot him once in the head.
Defendant then went to Meyer’s bedroom, held a gun on her and ordered her to take off her clothes because he was going to rape her. Meyers convinced defendant that she needed a glass of water, and while he was out of the room she escaped and called the police.
Defendant left the scene in Geyer’s truck, but returned a few hours later and was apprehended by the police.
On appeal, defendant claims that the trial court erred in:
(1) admitting into evidence a photograph of the victim;
(2) precluding defendant’s expert witnesses from giving their opinions of defendant’s mental condition at the time of the shooting;
(3) allowing the state to show bias and prejudice on the part of a defense witness;
(4) refusing to grant defendant’s motion for mistrial;
(5) refusing to grant defendant’s motion for judgment of acquittal on the felony murder charge;
(6) imposing consecutive sentences.
PHOTOGRAPH OF VICTIM
Defendant contends that the trial court erred in admitting a photograph of the victim. The photograph in question showed Geyer’s head and the location of the bullet wound which was sutured shut. It also indicated a blackening of the victim’s eyelids. There was a small amount of blood near the wound and on a towel under Geyer’s head.
Evidence which may tend to inflame may be admitted if it is relevant and if its probative value outweighs the danger of unfair prejudice caused by its admission. State v. Chapple, 135 Ariz. 281, 288, 660 P.2d 1208, 1215 (1983); State v. Gerlaugh, 134 Ariz. 164, 169, 654 P.2d 800, 805 (1982). The evidence may be necessary, for example, to show the identity of the victim, illustrate how the crime was committed, aid the jurors in understanding testimony or show the nature and location of mortal wounds if any of these matters are in question. State v. Chapple, supra; State v. Gerlaugh, supra. Before such evidence may be admitted, however, the trial court must determine whether its probative value outweighs any potential prejudice of the jury. State v. Chapple, supra. This determination involves consideration of evidentiary factors, is therefore within the sound discretion of the trial court and will not be disturbed absent an abuse thereof. Id.
In the instant case, we find that the trial court did not abuse its discretion in admitting the photograph of the victim. Initially, we do not believe that the photograph is gruesome or inflammatory. Even assuming some tendency to inflame, we think the photograph’s probative value outweighed the improper potential. The defendant was charged with first degree murder, so the issues of premeditation and intent were present and contested. The photograph depicted the location of the bullet wound and the angle of entry of the bullet. A single bullet wound located squarely in the victim’s right temple tends to indicate a careful and therefore deliberate act. Viewing the photograph, therefore, could have helped the jury determine whether the killing was premeditated. See State v. Hicks, 133 Ariz. 64, 69, 649 P.2d 267, 272 (1982).
In addition to the issue of premeditation, the photograph may have assisted the jury in understanding the testimony of the medical examiner. Defense counsel cross-examined the medical examiner about the ab sence of powder burns or powder tattooing on the victim. The significance of these matters relates to the distance of the gun from the skin when the shot was fired. The witness explained that he found no evidence of powder burns or tattooing, but emphasized that with gunshot wounds to the head, the hair tends to screen out some of the particles. Thus, the jurors could have used the photograph in weighing this portion of the medical examiner’s testimony.
We note that the trial court did exclude three photographs of the victim, finding that they were cumulative. The admission of all four may well have had an unfairly prejudicial effect on the jury. The trial court properly exercised its discretion, and we find no error.
MOTION IN LIMINE
Defendant contends that prior to commencement of the trial, the trial court erred in granting the State’s motion in limine to preclude any expert testimony regarding whether the defendant was acting “reflectively or reflexively,” “impulsively,” “without premeditation,” “fearfully,” “intoxicated” or in any manner during the alleged criminal offenses.
The proper admission of expert testimony depends upon “whether the subject of inquiry is one of such common knowledge that people of ordinary education could reach a conclusion as intelligently as the witness or whether, on the other hand, the matter is sufficiently beyond common experience that the opinion of an expert would assist the trier of fact.” State v. Owens, 112 Ariz. 223, 227, 540 P.2d 695, 699 (1975).
Expert witnesses testified on behalf of the defense as to defendant’s impulsive personality and that defendant had a tendency to act without reflection. Such evidence assists the trier of fact in recognizing character traits of the particular defendant and is a proper subject of expert testimony. State v. Christensen, 129 Ariz. 32, 35, 628 P.2d 580, 583 (1981). Arizona law is clear, however, that “[s]uch testimony may only be used as evidence that the defendant possesses such a trait and it must be left to the jury to determine whether and how the trait affected the defendant’s specific intent at the time of the alleged crime.” State v. Hicks, 133 Ariz. at 71, 649 P.2d at 274; State v. Christensen, 129 Ariz. at 35-36, 628 P.2d at 583-84; State v. Dickey, 125 Ariz. 163, 169, 608 P.2d 302, 308 (1980).
Nevertheless, the defendant claims the trial court cannot properly limit testimony before the testimony is offered. We disagree. Ariz.R.Evid. 103(c) provides:
In jury cases, proceedings shall be conducted, to the extent practicable, so as to prevent inadmissible evidence from being suggested to the jury by any means, such as making statements or offers of proof or asking questions in the hearing of the jury.
The trial court limited the scope of the experts’ testimony in order to comply with the dictates of State v. Dickey, supra and State v. Christensen, supra, and thus prevent “inadmissible evidence from being suggested to the jury.” Accordingly, the trial court did not err in granting the State’s motion in limine.
Finally, defendant argues that the language in the court’s minute entry on this issue is “identical” to the language in the State’s motion, thus indicating that the trial court merely acquiesced in the State’s request and did not exercise sound discretion based on the applicable law and facts. We find this argument meritless. The record reflects extensive discussions prior to the ruling which granted the motion, thus refuting any claim that the trial judge failed to consider the law and the facts applicable to this issue. The record reflects the trial court’s conscientious and reasoned application of clear legal precedent in this area. We find no abuse of discretion.
IMPEACHMENT
Defendant’s brother, Robert Hallman, testified in his behalf. During cross-examination of Hallman, the State introduced evidence of Hallman’s failure to honor a subpoena issued at the State’s request. The State claimed the evidence was admissible for impeachment because it showed the witness’ bias in appearing to testify for the defendant after failing to honor a State subpoena. Defense counsel objected at trial and claims on appeal that the introduction of this evidence was error. Defendant claims that the fact cannot show bias because at the time the witness failed to honor the State’s subpoena, he was incarcerated and therefore unable to appear. Further, defendant argues, the only way to rehabilitate the witness would be to reveal the fact of the incarceration, which would place the defendant in a no-win situation.
A party against whom a witness is produced has a right to present evidence that may in the slightest degree affect the witness’ credibility. State v. Trotter, 110 Ariz. 61, 65, 514 P.2d 1249, 1253 (1973); State v. Young, 109 Ariz. 221, 224, 508 P.2d 51, 54 (1973). As we stated in State v. Ramos, 108 Ariz. 36, 39, 492 P.2d 697, 700 (1972), “[t]he jury has a right to know any fact which tends to show a witness is biased, prejudiced or hostile in passing on that witness’ credibility.” The trial court has broad discretion in controlling cross-examination and a decision admitting certain matters for impeachment purposes will not be disturbed absent an abuse of that discretion. State v. Ramos, supra; State v. Davis, 117 Ariz. 5, 7, 570 P.2d 776, 778 (App.1977).
Under the facts of this case, we find no error in the admission of the evidence. The fact that the witness testified for the defense but did not honor a subpoena to testify for the State could be considered evidence of bias. Further, the State properly limited the scope of cross-examination on this issue to the time period after the witness had been released from jail. The extent of the State’s cross-examination of the witness about his absence was the following:
Q Mr. Hallman, you recall that before we recessed you were asked if you received a subpeona [sic] ordering you to appear before this Court on May 24,1982 at 10:00 a.m., is that correct?
A Yes.
Q You were unavailable on May 24th at 10:00 a.m.?
A Yes.
Q You became available on that day at approximately 12:30 that afternoon, is that correct?
A Yes.
Q And you did not contact the Court pursuant to your subpeona [sic], did you?
A No.
Q And you didn’t contact me pursuant to that subpeona [sic], did you?
A No.
The fact that this evidence placed defense counsel in an awkward position on rehabilitation is unfortunate, but does not affect the propriety of its admission in this case. We find no error.
MOTION FOR A MISTRIAL
Defendant contends that a question asked and an argument made by the prosecutor denied him a fair trial and therefore the trial court’s denial of a motion for a mistrial was an abuse of discretion.
In its rebuttal case, the State called a psychiatrist to refute defendant’s claim that he was insane at the time of the crimes in question. This psychiatrist had been appointed by the court to examine the defendant to determine his ability to stand trial and his state of mind at the time of the offenses. During direct examination, the following exchange took place:
Q And Doctor, during [your interview with defense counsel], in response to some of your answers, I believe the defense attorney asked you a very interesting question, is that correct, as to how could he defend this Defendant?
A Yes, he did.
Q Would you explain to the jury that exchange?
MR. THOMPSON: Your Honor, are we talking about my conversation with this doctor? If so, I would object as irrelevant and hearsay.
MS. PARKER: Your Honor, the doctor has been subpoenaed and intereviewed [sic] by Mr. Thompson. In response to some of the answers that he received from the doctor, I believe that Mr. Thompson indicated that there was no defense in this case.
MR. THOMPSON: Your Honor, I would object. That’s not what I stated to this doctor. Besides whatever my conversation with him [was] is hardly ... relevant to the issues in this trial.
(Emphasis supplied.)
The trial court sustained the objection, but defendant claims that the question and argument were improper and in themselves sufficient to cause prejudice. In determining whether remarks made by counsel in a criminal case are so objectionable as to require a mistrial, the trial court should consider (1) whether the remarks called to the attention of the jurors matters that they would not be justified in considering in determining their verdict, and (2) the probability that the jurors, under the circumstances of the particular case, were influenced by the remarks. See State v. Bailey, 132 Ariz. 472, 478-79, 647 P.2d 170, 176-77 (1982); State v. Gonzales, 105 Ariz. 434, 437, 466 P.2d 388, 391 (1970); State v. Reim, 26 Ariz.App. 528, 532, 549 P.2d 1046, 1050 (1976). Misconduct alone will not cause a reversal, but only where the defendant has been denied a fair trial as a result of the actions of counsel. State v. Sustaita, 119 Ariz. 583, 592-93, 583 P.2d 239, 248-49 (1978); State v. Moore, 108 Ariz. 215, 222, 495 P.2d 445, 452 (1972). As we emphasized in State v. Bailey, supra, “particularly in capital cases, [we will] scrutinize county attorneys’ remarks carefully,” to determine if the defendant was denied a fair trial so that reversal is required. The decision to grant a mistrial is left to the sound discretion of the trial court and in the absence of a showing of abuse of that discretion, the trial court’s decision will not be disturbed on appeal. State v. Trotter, 110 Ariz. at 65, 514 P.2d at 1253.
We do not believe the question asked by the prosecutor was so prejudicial as to require reversal. The question merely made reference to the defense counsel’s inquiry of whether the expert believed the insanity defense or any other was applicable to this case. The jury was aware that this witness was appointed by the court to examine the defendant, so there could be no inference drawn that defense counsel was “witness shopping.”
We have much more difficulty with this question, however, when read together with the subsequent argument made by the prosecutor that the defense counsel had told the witness that he believed there was no defense in this case. For ethical as well as legal reasons, an attorney should not imply to the jury that opposing counsel may not believe in the defense presented. State v. Travis, 26 Ariz.App. 24, 27, 545 P.2d 986, 989 (1976); Ariz.R.S.Ct. 29(a), DR 7-106(C)(2). The trial court properly sustained an objection to the entire exchange. Since the question and argument called the attention of the jury to matters that could not properly be considered in determining their verdict, the remaining issue is whether this matter probably influenced the jury. State v. Bailey, supra. In the circumstances of this case, we do not believe the trial court abused its discretion in refusing to grant a mistrial because of this isolated exchange. The trial court not only sustained defense counsel’s objection but also admonished the jury not to consider the matter in their deliberations. In addition, the jury was instructed by the court that arguments of counsel were not evidence to be considered in reaching their verdicts. The error appears slight in light of defendant’s case, which included three expert witnesses and extensive testimony covering three days of the trial. Finally, we acknowledge that in these situations the trial court is in the best position to view the error and determine any effects it may have had on the jury. Based on all of the foregoing, we cannot find that the trial court abused its discretion in denying the motion for a mistrial.
MOTION FOR DIRECTED VERDICT
After the State’s case, the defendant moved for a judgment of acquittal of the felony murder charge. Defendant argued that the evidence was not sufficient to support a verdict that the victim was killed “in furtherance” of defendant’s attempted sexual assault. In support of this, the defendant argued that the victims of the two offenses were different and the crimes were committed in different areas of the house. Based on these facts, defendant claimed that no jury could conclude that the killing of Geyer was in furtherance of the subsequent attempted sexual assault of Meyers.
Under Ariz.R.Crim.P. 20, a judgment of acquittal prior to verdict may be entered only if there is no substantial evidence to warrant a conviction. State v. Hunter, 136 Ariz. 45, 48, 664 P.2d 195, 198 (1983). In order to avoid a directed verdict, the State must present evidence that reasonable persons could accept as adequate and sufficient to support a conclusion of defendant’s guilt beyond a reasonable doubt. State v. Edwards, 136 Ariz. 177, 186, 665 P.2d 59, 68 (1983); State v. Jimenez, 130 Ariz. 138, 141, 634 P.2d 950, 953 (1981) . A death is “in furtherance” of the underlying felony if the death resulted “from an action taken to facilitate the accomplishment of [the felony].” State v. Arias, 131 Ariz. 441, 443, 641 P.2d 1285, 1287 (1982) . This is ordinarily a question to be determined by the trier of fact. See State v. Jimenez, supra.
In this case we believe there was substantial evidence to support the State’s theory that Geyer was killed in furtherance of the attempted sexual assault on Meyers. Meyers testified that defendant had come into her bedroom and molested her around 3:00 a.m. on the morning of the murder. At about 6:00 a.m., while McMurtrey was leaving for work, Geyer woke up, said goodbye to McMurtrey and then fell back asleep. Defendant told one of the detectives that he was afraid Geyer would retaliate against him when Meyers told him about the molestation. Further, immediately after defendant shot Geyer, he went to Meyers’ room and told her he was going to rape her. From this evidence, the jurors could have concluded that defendant decided to rape Meyers, that he knew he would be in serious trouble with Geyer if he did this, so he killed Geyer and then tried to rape Meyers.
Accordingly, the trial court did not err in refusing to grant defendant’s motion for a judgment of acquittal on the felony murder charge.
CONSECUTIVE SENTENCES
Defendant’s final contention is that the trial court erred by imposing consecutive sentences for the murder and attempted sexual assault.
■ First, defendant argues that the imposition of consecutive sentences violated A.R.S. § 13-116. This statute provides, in part:
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.
Since the jury returned a verdict of first degree murder without designating whether the murder was premeditated or in furtherance of the attempted sexual assault, defendant claims that the verdict must be resolved in favor of the “lesser degree” which he asserts is felony murder. A felony murder conviction, the argument continues, precludes consecutive sentencing for the underlying felony and therefore the sentence imposed was erroneous. We find no merit in defendant’s argument. Felony murder is not a “lesser degree” of murder as compared with premeditated murder. Felony murder and premeditated murder are merely two forms of the same crime— first degree murder.
Further, we do not believe A.R.S. § 13-116 was violated by the consecutive nature of the sentences. This statute bars consecutive sentences for a single act which is made punishable in different ways. The statutory restriction applies if, after eliminating the elements of one charge, the remaining evidence will not support the ele ments of the additional charge. State v. Rogowski, 130 Ariz. 99, 101, 634 P.2d 387, 389 (1981); State v. Gordon, 125 Ariz. 425, 428, 610 P.2d 59, 62 (1980). In this case, there were clearly two separate acts affecting different victims. Eliminating the elements of attempted sexual assault, the remaining evidence supports the charge of first degree premeditated murder. A.R.S. § 13-116 does not prohibit consecutive sentences in this case.
Defendant also contends that the trial court violated A.R.S. § 13-708. This statute provides, in part:
If multiple sentences of imprisonment are imposed on a person at the same time ... [the sentences] shall run concurrently unless the court expressly directs otherwise, in which case the court shall set forth on the record the reason for its sentence.
Finding the mitigating circumstances sufficiently substantial as to call for leniency, the trial court imposed a sentence of life imprisonment for the charge of first degree murder. With respect to the attempted sexual assault, the court found neither the aggravating nor mitigating circumstances outweighed each other and imposed the presumptive sentence of 7.5 years’ imprisonment. Defendant argues that a decision to have these terms run consecutively is erroneous because it is inconsistent with the above findings relating to each crime. We do not agree.
The decision whether to impose a sentence of life imprisonment or death in a first degree murder case is governed by A.R.S. § 13-703. The decision to impose an aggravated, presumptive, or mitigated sentence for all other felonies is controlled by A.R.S. § 13-702. While the length of a sentence and the decision to impose consecutive terms may well be influenced by similar factors, A.R.S. § 13-708 does not restrict the trial judge’s analysis on the issue of consecutive or concurrent sentences to the factors listed in § 13-702 or -703. Where the imposition of consecutive sentences is permissible, A.R.S. § 13-708 requires only that the trial court set forth on the record its reasons for doing so.
In this case, the trial court fully stated its reasons for imposing consecutive sentences. Among the reasons were that two victims were involved, a separate crime was committed on each victim and society deserved protection from these actions. The trial court properly complied with the requirements of A.R.S. § 13-708. See State v. Frederick, 129 Ariz. 269, 272-73, 630 P.2d 565, 568-69 (App.1981). We find no error.
We have reviewed the record for fundamental error pursuant to A.R.S. § 13-4035 and find none.
Accordingly, the judgments of conviction and the sentences imposed are affirmed.
HOLOHAN, C.J., GORDON, V.C.J., and HAYS and CAMERON, JJ., concur.
. For example, where A.R.S. § 13-116 does not prohibit the imposition of consecutive sentences.
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OPINION
HAIRE, Presiding Judge.
This is an appeal from a denial of injunc-tive relief sought by the state pursuant to A.R.S. §§ 12-801 to 12-810, Abatement of Bawdy Houses. In dismissing the complaint with prejudice and denying the state’s request for an order of abatement, the trial court expressed its disapproval of the investigatory techniques used by the state. On appeal the state contends that the trial court’s action was an abuse of discretion. The facts giving rise to this litigation are as follows.
At trial three deputy sheriffs testified about visiting appellees’ massage parlor where they were able to solicit sex from employees. None of the deputies actually engaged in sex. Two civilian witnesses, recruited by the Sheriff's Department, testified about visiting the massage parlor where they also solicited and engaged in sexual activities with employees. The money used to pay for these activities was provided by the Sheriff’s Department.
The trial court presented three questions to the advisory jury:
“1. Has the Plaintiff proved by clear and convincing evidence that the [appellees’ premises] are used for the purpose of or wherein or upon which acts of prostitution are held or occur?
“2. Other than sex acts solicited by Sheriff’s deputies or their informants, is there clear and convincing evidence that the [appellees’ premises] are used for the purposes of or wherein or upon which acts of prostitution are held or occur?
“3. Based upon the evidence in this case, should the Court enter an order closing [appellees’ premises]?”
The jury answered questions 1 and 3 “yes” and question 2 “no.” Upon reviewing the evidence, the trial court concurred that the only clear and convincing evidence of prostitution occurring on appellees’ premises in volved acts solicited by the deputy sheriffs or their recruited informants.
The court then severely criticized the state’s procedures in investigating and presenting its case and proceeded to deny the order of abatement and to dismiss the complaint, as follows:
“The record in this case shows that the State had it within its power to prove or disprove the allegations through the owners of the premises and the employees of the business. During the course of this litigation, the State served a search warrant on the premises and arrested all the employees and these Defendants (owners of the premises) and charged all of them with crimes of varying natures. The criminal proceedings all terminated before trial of this matter. Never did the State subpoena any of these people for sworn testimony under penalty of perjury — or force them to claim the protection of the constitutional right against self-incrimination and then consider granting immunity as a material witness. Instead, the State chose to pay two civilians to secure evidence. One civilian volunteered because he ‘just loves sex’ and received from $1,200.00 to $2,400.00 tax money over a period of less than one year for the specific purpose of purchasing sex of his choice. The other civilian received from $800.00 to $900.00 over a shorter period of time for the same purpose. Neither of these men was ever given any medical examination; neither was given more than a perfunctory background check; no efforts were ever made to verify either of their accounts of what they did with the money nor the accuracy of their reports.
“Without the testimony of the three deputies and the two civilians, the jury found there was no clear and convincing evidence that the premises were used for prostitution____ and indeed’there was no such other evidence. l
“The State asks this Court’s assistance in abating a problem which, under the evidence presented, itself has created through the use of taxpayer’s money. This Court will not lend its power to such a contrived scheme.”
We first note that our review of an order denying injunctive relief is to determine whether the trial court has abused its discretion. See American Credit Bureau v. Carter, 11 Ariz.App. 145, 147, 462 P.2d 838, 840 (1969). Although the trial court did not specify particular legal principles relied upon, it is clear that the court found insufficient evidence to warrant injunctive relief by disregarding the testimony of the deputies and civilian witnesses, as opposed to finding their testimony lacking in credibility.
There is no support in the record for the trial court’s statement that the state has “created” the problem which it seeks to abate. This is not a situation where the state through its police has corrupted otherwise innocent individuals through special inducements. Appellees’ counsel suggests that the investigatory methods used by the state constitute “unclean hands” so as to require denial of equitable relief.
This argument was raised in a very similar case in which an Illinois appellate court reviewed the denial of a motion in limine to preclude testimony relating to sexual activities engaged in by volunteers recruited by the state to patronize prostitutes. See People ex rel. Difanis v. Boston, 92 Ill.App.3d 962, 48 Ill.Dec. 302, 416 N.E.2d 333 (1981). In Difanis, defendant contended that the state’s conduct in recruiting and directing agents to engage in illegal sex acts was so outrageous as to constitute a violation of fundamental due process. The Difanis court rejected that contention. Other courts have recognized the availability of this theory as a defense. See, e.g., Hampton v. United States, 425 U.S. 484, 96 S.Ct. 1646, 48 L.Ed.2d 113 (1976); United States v. Russell, 411 U.S. 423, 93 S.Ct. 1637, 36 L.Ed.2d 366 (1973); United States v. Twigg, 588 F.2d 373 (3d Cir.1978); People v. Isaacson, 44 N.Y.2d 511, 378 N.E.2d 78, 406 N.Y.S.2d 714 (1978).
Like the court in Difanis, we do not consider the state’s conduct in this case so outrageous as to justify the court’s denying the order of abatement or dismissing the complaint with prejudice. The deputies and civilians did not originate the scheme by which the prostitution occurred. Rather, they participated in a preexisting ongoing enterprise. The employees readily discussed available sexual services and engaged in sex acts with the civilians with no reluctance. Our supreme court has sanctioned the use of informers or decoys in apprehending and prosecuting criminal defendants. See, e.g., State v. Gortarez, 98 Ariz. 160, 402 P.2d 992 (1965); Hoy v. State, 53 Ariz. 440, 90 P.2d 623 (1939). Furthermore, in this case the state presented other evidence including sex-oriented magazines and contraceptive devices found on the premises to establish the nature of the activities occurring there. Two neighbors also testified concerning the reputation of the massage parlor.
Because we find no basis upon which the trial court could properly reject the testimony of the deputies and civilians, we must conclude that the trial court abused its discretion. As the responses of the advisory jury indicated, the state presented clear and convincing evidence through the rejected testimony that appellees’ premises were used for prostitution. Consequently, the court should have issued the order of abatement.
The judgment of the trial court is reversed and the matter is remanded for proceedings consistent with this decision.
EUBANK and MEYERSON, JJ., concur.
|
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OPINION
HAIRE, Presiding Judge.
The sole issue in this appeal is whether the state of Arizona has jurisdiction to try a non-Indian defendant who is arrested on an Indian reservation by tribal police officers for a victimless criminal offense which occurred on the Indian reservation.
Appellee Burrola was charged by indictment with possession of a deadly weapon by a prohibited possessor, in violation of A.R.S. § 13-3102(A)(4). The Yuma County Superior Court granted Burrola’s motion to dismiss the charge for lack of jurisdiction, and the state appeals.
The parties generally agree on the following facts. In January 1982, law enforcement officers for the Colorado River Indian Tribes, who were patrolling a portion of the tribe’s reservation near Parker, Arizona, observed a van run a stop sign and fail to yield the right-of-way to another vehicle. The van continued down the highway at a high rate of speed. The law enforcement officers finally effected a traffic stop at a location within the reservation. The driver stumbled several times as he exited the van and appeared to be under the influence of intoxicating liquor. After the driver was arrested, his vehicle was inventoried and a loaded, cocked .22 caliber handgun was found concealed under blankets in the vehicle. This driver was appellee Burrola, a non-Indian who had previously been convicted of a weapons offense in California.
The general proposition that states have exclusive jurisdiction over non-Indians committing offenses against non-Indians on Indian reservations is firmly established. See New York ex rel. Ray v. Martin, 326 U.S. 496, 66 S.Ct. 307, 90 L.Ed. 261 (1946); Draper v. United States, 164 U.S. 240, 17 S.Ct. 107, 41 L.Ed. 419 (1896); United States v. McBratney, 104 U.S. 621, 26 L.Ed. 869 (1882). Relying on these cases, the Arizona Supreme Court has held that the state has jurisdiction to try a non-Indian defendant in a state court where the offense occurred on an Indian reservation and the victim was also a non-Indian. See State v. Attebery, 110 Ariz. 354, 519 P.2d 53 (1974); State v. Griswold, 101 Ariz. 577, 422 P.2d 693, cert. denied, 388 U.S. 913, 87 S.Ct. 2113, 18 L.Ed.2d 1352 (1967). This application of state law has been sanctioned in cases not involving essential tribal relations or jeopardizing rights of Indians. See Williams v. Lee, 358 U.S. 217, 219, 79 S.Ct. 269, 270, 3 L.Ed.2d 251, 253 (1959). Furthermore, in determining whether a state may properly assert its authority over the conduct of non-Indians engaging in activity on the reservation, the court should analyze the nature of the state, federal, and tribal interests at stake. See White Mountain Apache Tribe v. Bracker, 448 U.S. 136, 144-45, 100 S.Ct. 2578, 2584, 65 L.Ed.2d 665, 673 (1980). With these principles in mind, we proceed to discuss whether the state may properly exercise criminal jurisdiction under the circumstances of this case.
Prosecution of the possessory offense involved in the case at bar within the state courts involves no infringement on tribal sovereignty. Burrola is a non-Indian whose alleged offense did not arise out of contact with an Indian or Indian property. On the other hand, the state has a significant interest in enforcing this particular law to protect the public from dangers involved in possession of a weapon by one previously convicted of a weapons offense. See State v. Noel, 3 Ariz.App. 313, 315, 414 P.2d 162, 164 (1966) (involving A.R.S. § 13-919, predecessor of A.R.S. § 13-3102(A)(4)).
It is also clear that Indian tribal courts have no jurisdiction to try a non-Indian defendant for a criminal offense. See Oliphant v. Suquamish Indian Tribe, 435 U.S. 191, 98 S.Ct. 1011, 55 L.Ed.2d 209 (1978). Contrary to Burrola’s assertion, it is not necessary under the circumstances of this case that Arizona comply with the provisions of 25 U.S.C. §§ 1321-1326 (1976) which delineate the procedures required for a state to assume jurisdiction over criminal offenses committed by or against Indians within the reservation. Therefore, we find nothing to preclude our applying the reasoning of the McBratney line of cases, as relied upon in Griswold and Attebery, to the circumstances of this case. We note that Division Two of this court has upheld a conviction for possession of marijuana obtained in state court where the non-Indian defendant was arrested by state law enforcement officers on Indian land. See State v. Herber, 123 Ariz. 214, 598 P.2d 1033 (App.1979).
Burrola also contends that because the Indian tribal courts have no criminal juris diction over a non-Indian defendant, tribal law enforcement officers could not arrest him and initiate proceedings against him in the state courts. While this contention relates to the legality of the arrest, it does not affect the question of jurisdiction we have been asked to address. Burrola was properly charged by indictment, and the effect of an illegal arrest, if any, may be raised appropriately in further proceedings in the trial court. See Rule 16.1 et seq., Rules of Criminal Procedure, 17 A.R.S.
This cause is reversed and remanded for proceedings consistent with this decision.
EUBANK and MEYERSON, JJ., concur.
. Indian police officers may qualify to exercise all law enforcement powers of peace officers in the state. See A.R.S. § 13-3874. The record does not indicate whether the Indian officers who arrested Burrola were so certified. We also note that a private person may make an arrest. See A.R.S. § 13-3884.
|
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OPINION
GRANT, Judge.
The issue presented in this appeal is whether the trial court erred in denying defendants-appellants’ motion for a directed verdict on plaintiff-appellee’s cause of action alleging fraud. The jury returned a verdict in favor of appellee (Jones), and against appellants (Chiado and Pace) for the sum of $118,466.74 on the fraud count. For the reasons hereafter stated we reverse the judgment of the trial court.
Viewing the facts, as we must, in a light most favorable to sustaining the judgment, see Polk v. Koerner, 111 Ariz. 493, 533 P.2d 660 (1975); Cagle v. Carr, 101 Ariz. 225, 418 P.2d 381 (1966), the record reflects the following. Pace and Jones were involved in business dealings regarding a sale of real property located in Scottsdale, Arizona, and the development of a shopping center thereon. In connection with the shopping center, Jones loaned Pace a total of $80,000.00 evidenced by two promissory notes, one in the amount of $45,000.00 and the other in the amount of $35,000.00.
As the shopping center project progressed, Jones and Pace became involved in heated disputes concerning the project and threatened to sue each other. Their attorneys felt that litigation would be against the best interest of all parties involved because of the cloud that could result over the shopping center project. Consequently, it was proposed that a mutual release agreement be executed to “clear the air of the various claims.” This agreement, prepared by Jones’ attorney, was entered into by Jones and Pace and provided in pertinent part as follows:
Pace on the one hand and .. . Jones ... on the other ... forever discharge the other ... for and from all manner of actions, cause and causes of action, suits, debts, sums of money ... and claims whatsoever, in law or in equity ... and particularly, without limiting the generality of the foregoing, all claims or actions arising out of the parties dealings, negotiations, or conduct concerning the shopping center project known as the “Scottsdale Shopping Center” located at the intersection of Camelback and Miller Roads, Scottsdale, Arizona, excepting only the obligations of the parties ... arising out of ... [the Escrow Instructions of April 14, 1976].
Prior to the execution of the release, Jones had a conversation with Pace to confirm that the two promissory notes were not included within the provisions of the release agreement. Following the execution of the release, Pace refused to pay the remaining amount owed on the notes, maintaining that the mutual release agreement exonerated the promissory notes.
On November 3, 1978, Tones filed a complaint against Chiado Corporation, the debt- or, and Pace as guarantor, seeking judgment on the two notes plus interest, cost, and expenses. On February 1, 1980, an amended complaint alleging fraud was filed. The fraud charge was based on Jones’ assertion that he would not have executed the mutual release agreement but for the fraudulent inducement by Pace that the two notes were not going to be affected by the release itself.
The trial court determined that “there is no question ... that as written the document releases [the $80,000.00 debt] obligation.” Thus it directed a verdict on that issue in favor of the defendants. There has been no appeal from this directed verdict. However, the court let go to the jury the issue whether Pace fraudulently induced the execution of the mutual release by stating that the notes were not covered by the release.
On appeal, Pace argues that a directed verdict should have been entered in his favor on the fraud count because Jones failed to prove two of the nine essential elements of fraud — Jones’ right to rely on Pace’s representation, and a statement of fact. Pace argues that his statement regarding the effect of the release on the notes was not a statement of fact but only a statement of opinion by one layman to another as to the legal effect of the document. See Love v. Home Transp. Co., Inc., 131 Ariz. 366, 641 P.2d 854 (1982). Because we reverse this case on the first issue, it is unnecessary to consider appellant’s second issue.
As the supreme court stated in the case of Staheli v. Kauffman, 122 Ariz. 380, 383, 595 P.2d 172, 175 (1979):
In considering whether the evidence taken in its strongest light establishes actionable fraud, the plaintiffs must show a concurrence of nine elements, which are:
“(1) A representation; (2) its falsity; (3) its materiality; (4) the speaker’s knowledge of its falsity or ignorance of its truth; (5) his intent that it should be acted upon by the person and in the manner reasonably contemplated; (6) the hearer’s ignorance of its falsity; (7) his reliance on its truth; (8) his right to rely thereon; (9) his consequent and proximate injury.” (citations omitted)
It is element eight with which we are concerned here. In support of his position that Jones had no right to rely on his representations, Pace relies primarily on Mut. Benefit Health & Accident Ass’n v. Ferrell, 42 Ariz. 477, 27 P.2d 519 (1933). In that case plaintiff Ferrell was the insured under a disability policy purchased from defendant Mutual. Ferrell became disabled and, after receiving a payment of $500.00, signed a release of “any and all liability of whatever kind or nature, if any, that now exists, or may hereafter exist,” with assurances from defendant’s agent that it was merely for the agent’s protection and that it would not cancel the policy or be a settlement in full. When Ferrell sued for additional reimbursement for loss of income, the Arizona Su preme Court held that where a person testified that he was induced to sign a release in reliance on false representations that the release will not discharge all the claims expressly covered in its terms, no cause of action for fraud may be maintained because, under such facts, no right to rely existed. The court stated:
[W]hen a party has an equal opportunity to read and examine a contract with the other party, it is his duty to do so, and, if he fails, he will not be permitted to avoid it on the ground that he did not read it or supposed it was different in its terms from what it really was. As the Superior Court of the United States said in the case of Upton v. Tribilcock, 91 U.S. 45, 50, 23 L.Ed. 203: “It will not do for a man to enter into a contract and, when called upon to respond to its obligations, to say that he did not read it when he signed it, or did not know what it contained. If this were permitted contracts would not be worth the paper on which they are written ...”
42 Ariz. at 487, 27 P.2d at 523. See Apolito v. Johnson, 3 Ariz.App. 232, 413 P.2d 291 (1966) modified, 3 Ariz.App. 358, 414 P.2d 442 (1966).
We find this reasoning persuasive in the case before us. Assuming, as we must, that Pace assured Jones that the promissory notes were not covered within the terms of the release agreement, Jones had no right to rely on such assurances in the face of the clear language of the release that Pace and Jones discharge each other from all “causes of action, suits, debts, sums of money ... and claims whatsoever, ...” Jones could have protected himself by having his attorney, who drafted the release agreement, insert an exception for the promissory notes. One who will not reasonably guard his own interests when he has reasonable opportunity to do so must bear the consequences, because the court will not protect those who, with full opportunity to do so, will not protect themselves. Standard Mfg. Co. v. Slot, 121 Wis. 14, 98 N.W. 923 (1904) cited in Mut. Benefit Health & Accident Ass’n v. Ferrell, supra. As our supreme court stated in Smith v. Mosbar-ger, 18 Ariz. 19, 23, 156 P. 79, 80 (1916):
We may state it as a general rule when parties competent to contract have come together and reduced to writing the terms and conditions of their agreement, the law protects and guards with great caution the written memorial of their contract thus made.
Accord, Apolito v. Johnson, supra.
For the foregoing reasons, the judgment of the trial court is reversed.
JACOBSON and BROOKS, JJ., concur.
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OPINION
BIRDSALL, Judge.
An order granting a new trial on the issue of spousal maintenance is the subject of this appeal. We affirm.
. A brief review of the record is as follows. After a trial in October 1981, a dissolution was decreed February 1,1982. At the time of trial, Mrs. Melcher, who was 51 years old, was convalescing from back surgery performed in July 1981 and the medical prognosis was that she could return to her employment as a switchboard operator approximately six months from the time of surgery. Prior to the parties’ first marriage in 1959, she had worked as a switchboard operator at the telephone company. She and her husband were subsequently divorced in 1962, and, until their remarriage several months later, she had worked as a sales clerk at J.C. Penney. Upon remarriage, she terminated the employment and had been a housewife since then.
Mrs. Melcher testified that she was still having problems with her back and that her switchboard training was obsolete. Therefore, she wanted to go to school for training in computer data processing, a program which required four semesters of work. If she completed the program, she would be able to earn approximately $25,000 annually. Mr. Melcher, at the time of trial, earned almost $40,000 per year and had been employed by ASARCO for 25 years. He had a degree in mining engineering. The parties’ had one son, age 15.
The decree of dissolution awarded custody of the son to Mrs. Melcher and required Mr. Melcher to pay child support in the sum of $450 per month. The community residence was ordered to be sold as soon as practicable and each party was to receive one-half of the net proceeds of the sale. Until it was sold, Mrs. Melcher was to have the use and enjoyment of the property and in lieu of spousal maintenance, Mr. Melcher was to make the house and pool payments, and pay the taxes and insurance until the house was sold, but for a period not to exceed six months. If the house did not sell within six months from the date of the decree, the parties were each to be responsible for one-half of those payments. The remainder of the community property was divided between the parties and Mrs. Melcher opted to take the cash equivalent of her interest in her husband’s retirement benefits. Mr. Melcher was ordered to pay all of the existing debts of the community.
Mrs. Melcher’s motion for a new trial was made on the grounds that there was newly-discovered material evidence which, with reasonable diligence, could not have been discovered and produced at trial and that the judgment was contrary to law. The thrust of the motion was (1) that Mrs. Melcher should be allowed to reopen the judgment to show new evidence of disability entitling her to spousal maintenance and (2) the court erred in limiting the duration of spousal maintenance to six months. As to the first ground, the memorandum recited that Mrs. Melcher’s progress had not been as rapid as expected and that her disability had continued beyond the January 1,1982, date projected by her physician as to when she would be able to return to work. As to the second ground, it was urged that the court had not applied the factors to be considered in spousal maintenance determinations and therefore erred in the six-months’ limitation.
In granting the motion, the trial judge stated that in order to determine whether or not Mrs. Melcher is able to support herself through appropriate employment due to her asserted physical inability to be employed gainfully and whether or not sufficient property is available to her to provide to her the necessities of life in view of the duration of the marriage, her lack of recent employment history, her recent operation and the asserted slowness of her recovery, a new trial on the spousal maintenance issue was proper.
The granting of a new trial is discretionary with the trial court. City of Glendale v. Bradshaw, 114 Ariz. 236, 560 P.2d 420 (1977); Ehman v. Rathbun, 116 Ariz. 460, 569 P.2d 1358 (App.1977). Appellate courts are more liberal in sustaining an order granting a new trial then one denying a new trial. Caldwell v. Tremper, 90 Ariz. 241, 367 P.2d 266 (1962). Absent a manifest abuse of discretion, we do not interfere.
Appellant contends that the record shows such abuse of discretion because of the insufficiency of the showing of newly-discovered evidence in support of the motion for new trial. The cases he cites, however, are situations where on appeal an order denying a new trial was affirmed. See e.g., Sabin v. Rauch, 75 Ariz. 275, 255 P.2d 206 (1953); Schneider v. City of Phoenix, 9 Ariz.App. 356, 452 P.2d 521 (1969); Williams v. Nall, 4 Ariz.App. 416, 420 P.2d 988 (1966).
Appellant complains because appellee’s motion was unsupported by affidavit or otherwise to show that the newly-discovered evidence could not have been discovered with reasonable diligence and that it existed at the time of trial. He relies on Rogers v. Ogg, 101 Ariz. 161, 416 P.2d 594 (1966) in which our supreme court held that a new trial should not be ordered based on newly-discovered evidence claiming to show a changed condition subsequent to trial. Rogers, however, was an action for personal injuries, and the defendant was attempting to obtain a new trial by showing that, in view of the plaintiff’s ability to graduate high school and complete six semesters of college, he could not have suffered brain damage. The “newly-discovered evidence” was presented to the trial court about two months after the supreme court had affirmed a judgment entered on a $100,000 jury verdict for the plaintiff.
We do not believe the instant case has even a remote resemblance to Rogers. Here we have a situation where just a few weeks before trial appellee’s doctor was of the opinion that she would be able to work within six months. The trial court apparently relied on this prognosis by requiring, appellant to maintain the residence for a maximum period of six months. It has been held that a trial court may, in the exercise of its discretion, consider a newly-formed expert opinion. Anderson v. Howland, 3 Cal.App.3d 380, 83 Cal.Rptr. 308 (1970) (opinion was formed and communicated to counsel after trial). We cannot say the trial judge erred in not rejecting appellee’s bare assertion as to her slow progress, although had he done so we probably would have deferred to his decision. The trial judge is in the best position to assess the adequacy of the showing in support of a new trial motion.
A.R.S. § 25-319 authorizes the court to grant a maintenance order only if it finds that the spouse seeking maintenance lacks sufficient property to provide for his or her reasonable needs and is unable to support himself or herself through appropriate employment. In not awarding spousal maintenance to Mrs. Melcher, the trial court apparently concluded that her share of the community property and her ability to work within a few months obviated the need for a maintenance award. One relevant factor is the age, employment history, earning ability and physical and emotional condition of the spouse seeking maintenance. A.R.S. § 25-319(B)(5). The trial judge, in granting the new trial as to spousal maintenance, was obviously concerned with this particular factor.
Rule 59(b), Rules of Civil Procedure, 16 A.R.S., provides:
“On a motion for new trial in an action tried without a jury, the court may open the judgment if one has been entered, take additional testimony, amend findings of fact and conclusions of law or make new findings and conclusions, and direct the entry of a new judgment.”
The provisions of the above rule permit the trial court in cases tried without a jury to reopen the case for the introduction of additional testimony. A motion to reopen is the proper procedure for seeking relief on the basis of post-trial events. Contempo Metal Furn., etc. v. East Tex. Mtr., etc., 661 F.2d 761 (9th Cir.1981).
The reopening of a case for further testimony is a matter within the discretion of the court. Greenwell v. Spellman, 110 Ariz. 192, 516 P.2d 328 (1973); Johnson v. Johnson, 64 Ariz. 368, 172 P.2d 848 (1946).
Considering all the circumstances and particularly Mrs. Melcher’s age, lack of a work record, and the duration of the marriage, we cannot say that the trial court abused its discretion in permitting her to present additional testimony as to her physical condition. We reject appellant’s attack on the new trial order.
Affirmed.
HOWARD, C.J., and HATHAWAY, J., concur.
. In reality the trial court ordered the taking of additional testimony. The use of the word “new” trial is not technically correct.
|
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FERNANDEZ, Chief Judge,
Court of Appeals.
Plaintiff Dennis Eardley filed suit to set aside a trustee’s sale. The trial court upheld the sale, and the Court of Appeals reversed and remanded. 160 Ariz. 518, 774 P.2d 822. We granted review to consider two issues: (1) whether a notice of substitution of trustee must be personally signed by all beneficiaries or whether a duly authorized agent of the beneficiary may sign, and (2) whether the notice of substitution in this case was otherwise defective and resulted in prejudice to Eardley. We have jurisdiction pursuant to Ariz.Const. art. 6, § 5(3) and A.R.S. § 12-120.24.
FACTS
In August 1984, Eardley’s predecessor in interest executed a deed of trust naming Action Home Loans, Inc. as beneficiary and Security Title Agency as trustee. Shortly afterward, Action Home Loans assigned its beneficial interest in the deed of trust to the following parties:
Seymour and Sarah Greenberg 10/40ths
Albert L. and Barbara A. Flaig 19/40ths
Michael H. and Claudia H. Goodman 6/40ths
Robert S. Leiserowitz 5/40ths.
Eardley purchased the property in March 1985.
In early June 1986, Seymour Greenberg received three special powers of attorney from the Greenbergs, the Goodmans, and Leiserowitz authorizing him to collect money, sign documents and foreclose on the property. In the power of attorney executed by Seymour and Sarah Greenberg on June 9, 1986, Seymour was appointed attorney in fact for “Sarah and Seymour Green-berg Husband & Wife, JTROS as to their 10/40ths undivided interest.” None of the powers of attorney was recorded.
On June 14, 1986, Albert and Barbara Flaig assigned their beneficial interest to the Greenbergs as joint tenants. Seymour was never given a power of attorney from Sarah with respect to that 19/40ths interest.
After Eardley defaulted on the note, Seymour executed a Notice of Substitution of Trustee on October 9, 1986, replacing Security Title Agency with Investors Security Management, Inc. This document is the focus of our attention. Seymour Green-berg signed the notice four times, once as beneficiary and three times as attorney in fact for the Greenbergs, the Goodmans, and Leiserowitz. The new trustee prepared a Notice of Trustee’s Sale the same day.
Six days earlier, Eardley’s application for a loan to refinance the debt secured by the deed of trust had been approved by First Interstate Bank. However, the title company balked at issuing title insurance. An October 23, 1986 memorandum from the legal department of Security Title Agency outlined the perceived problems as to the notice of substitution of trustee as follows:
1. The form does not satisfy the sta-tu[t]es.
2. All beneficiaries have not joined in the substitution.
3. The statutes do not provide for an agent to sign such substitution for the beneficiaries who have joined.
These concerns were conveyed to the beneficiaries’ attorney who responded that the form complied with the governing statute, all beneficiaries had signed the notice of substitution through their attorney in fact, and the execution of the notice of substitution by an authorized agent was proper under the Arizona law of agency. Security Title still declined to issue title insurance, and Eardley’s loan never closed. The trustee’s sale was held on January 9, 1987, and Seymour and Sarah Greenberg purchased the property.
PROCEDURAL HISTORY
Three months after the trustee’s sale, Eardley filed suit against the Greenbergs and Investors Security Management, alleging that the sale was void because of defects in the notice of substitution of trustee. The parties filed cross-motions for summary judgment, and the trial court entered judgment in favor of the defendants, ruling that the trustee’s deed created a presumption of compliance with statutory requirements and that any technical violations were harmless and non-prejudicial and did not contravene the legislative intent of the deed of trust statutes. The court also stated that Eardley’s inability to obtain refinancing, “while perhaps furnishing the reason for his failure to obtain the property is not a sufficient legal reason for voiding the Trustee’s Sale.” (Emphasis in original.)
The Court of Appeals reversed, holding that A.R.S. § 33-804(C) requires the personal signature of every beneficiary on the notice of substitution of trustee. The court also ruled that even if the notice could be executed by an agent, Greenberg had failed to establish that he possessed authority from all beneficiaries when he signed the notice of substitution. We disagree with that portion of the opinion construing A.R.S. § 33-804(C) but agree that the Greenbergs failed to present evidence entitling them to summary judgment.
A.R.S. § 33-804(C)
The statute governing the substitution of trustees in deeds of trust provides in part as follows:
Substitutions shall be made by recording notice of the substitution in the office of the county recorder of each county in which the trust property or some part of the trust property is situated at the time of the substitution. The beneficiary shall give written notice through registered or certified mail, postage prepaid, to the trustor, the trustee and the successor trustee. A notice of substitution of trustee shall be sufficient if acknowledged by all beneficiaries under the trust deed and prepared in substantially the following form: ____
A.R.S. § 33-804(C). (Emphasis added.) The remaining portion sets out the form for the notice of substitution. The Court of Appeals read the underscored sentence as “clearly and unambiguously” requiring the personal signature of each beneficiary, in part because of the language of two other sections in Title 33 that expressly allow certain acts to be performed by an attorney in fact.
The principles of statutory interpretation are well known and oft repeated. The goal is to discern the legislative intent behind the statute by considering “the context of the statute, the language used, the subject matter, the historical background, the effects and consequences, and the spirit and purpose of the law.” Martin v. Martin, 156 Ariz. 452, 457, 752 P.2d 1038, 1043 (1988). The provisions of a statute should be read in the light of related sections and its “place in the statutory scheme.” Grant v. Board of Regents, 133 Ariz. 527, 529, 652 P.2d 1374, 1376 (1982).
Following these guidelines, we hold that a notice of substitution of trustee may be executed by a duly authorized agent of a beneficiary. We reach this conclusion for several reasons. First, the statutes that expressly authorize certain acts to be performed by an agent involve acts of some significance in the ownership of property, i.e., its conveyance, § 33-401(A), and the release of an encumbrance upon it by a secured party, § 33-708. On the other hand, a substitution of trustee is primarily an administrative act of much less importance than a conveyance of title or release of an encumbrance. We can perceive no interest that would be served by allowing an agent to perform acts of great importance while requiring personal performance of ministerial acts such as the substitution of a trustee. Therefore, we infer no legislative intent from the absence of express permission for an agent to execute a notice of substitution of trustee.
Our conclusion is also consistent with the nature and purpose of deeds of trust and the role of the trustee in the statutory scheme. A deed of trust is simply an instrument that conveys property to a trustee “to secure the performance of a contract.” A.R.S. § 33-801(5). “In practical effect, a deed of trust is little more than a mortgage with a power to convey upon default.” In re Bisbee, 157 Ariz. 31, 34, 754 P.2d 1135,1138 (1988). “ ‘[T]he trustee is generally held to have bare legal title— sufficient only to permit him to convey the property at the out of court sale. All other incidents of title remain in the trustor.’ ” Brant v. Hargrove, 129 Ariz. 475, 480 n. 6, 632 P.2d 978, 983 n. 6 (App.1981), quoting Note, The Deed of Trust: Arizona’s Alternative to the Real Property Mortgage, 15 Ariz.L.Rev. 194, 196 (1973). Indeed, the role of a trustee under a deed of trust is so narrowly circumscribed that this Court has upheld the validity of a deed of trust that failed to name a trustee. In re Bisbee, supra. Thus, we find nothing in the language of § 33-804(C) or the overall statutory scheme that would preclude a beneficiary from authorizing an agent to execute a notice of substitution of trustee.
Finally, the general principles of agency support the ability of beneficiaries to designate an agent to act on their behalf. The Restatement (Second) of Agency § 17 (1957) states:
A person privileged, or subject to a duty, to perform an act or accomplish a result can properly appoint an agent to perform the act or accomplish the result, unless public policy or the agreement with another requires personal performance____ We see no legislative intent or public policy that requires personal performance by a beneficiary. Accordingly, we reject the conclusion of the Court of Appeals that the personal signatures of all beneficiaries are required under A.R.S. § 33-804(C).
SEYMOUR GREENBERG’S AUTHORITY
Although the Court of Appeals effectively disposed of this case by holding that the notice of substitution of trustee was defective because all beneficiaries had not personally signed, it also addressed other issues. Eardley argued that the notice of substitution was invalid because Seymour Greenberg did not possess a power of attorney from Sarah with respect to 19/40ths of the beneficial interest when he signed the notice of substitution. As a result, the appeals court found that questions of fact exist as to whether Greenberg had sufficient authority to execute the notice of substitution. We agree with that conclusion.
The Greenberg power of attorney expressly stated that it related to Seymour and Sarah’s “10/40ths undivided interest.” The Greenbergs subsequently acquired the Flaigs’ 19/40ths interest by assignment. The Greenbergs offered no power of attorney from Sarah as to that portion of the interest.
VALIDITY OF THE TRUSTEE’S SALE
The question still remains whether the trustee’s sale is fatally flawed because Greenberg failed (or refused) to produce evidence of his authority when challenged to do so by Security Title. In granting summary judgment to the Greenbergs, the trial court found that any technical violations in the sale proceedings did not prejudice Eardley.
Eardley submitted evidence that Green-berg’s refusal to clarify the source of his authority was one of the reasons Security Title declined to issue title insurance, thereby precluding Eardley from closing the loan approved by First Interstate. Eardley produced affidavits of employees of both the title company and the bank in support of his claim of prejudice. Therefore, there is a question of fact as to whether the beneficiaries’ refusal to take the corrective measures requested by Security Title caused the, resulting loss of the property through the trustee’s sale.
Our final question is whether that factual dispute concerns a material fact. The Greenbergs and the amicus curiae urge us to rule that the issue of Green-berg’s authority concerns only the principal and the agent, thus depriving Eardley of standing to complain. That argument, however, does not survive close examination.
The trustor, trustee, and beneficiary are inextricably interconnected links in the chain of title to real property. Each has certain rights, legal or equitable, separated from the complete bundle of real property rights. Although a trustee’s range of authority is severely limited, the trustee is the holder of legal title. The beneficiary holds an enforceable lien on the property. The trustor possesses the bulk of the bundle of rights, but it is obvious that the trustor’s ability to deal with those rights can be effectively eliminated by uncertainties in the chain of title concerning either the beneficiaries or the trustee.
The statutory scheme is designed to insure that the identities of beneficiaries and the authority of a trustee can be ascertained from an examination of the record. A.R.S. § 33-804 requires a notice of substitution to be recorded in “each county in which the trust property or some part of the trust property is situated.” A.R.S. § 33-401(D), in effect at the time of these events, required that “every deed or conveyance of real property, or an interest therein” from a grantor who held the property as an agent or trustee should also name the beneficiaries or principals. Although that section has been repealed, A.R.S. § 33-404(C) requires any trustee who receives actual knowledge of a change in beneficiary to record a notice of the change in the county in which the property is located. Finally, any person who receives an assignment of beneficial interest and does not record it is in jeopardy of having the assignment declared invalid as against a subsequent purchaser for value without notice. See A.R.S. § 33-411(A).
We thus conclude that the trustor has standing to inquire into and raise objections about the process by which a trustee has been substituted. We also conclude that Eardley has raised material questions of fact in this case that preclude the entry of summary judgment.
DISPOSITION
Section I of the opinion of the Court of Appeals is vacated. The matter is reversed and remanded for further proceedings consistent with this opinion.
GORDON, C.J., FELDMAN, V.C.J., and CAMERON and MOELLER, JJ., concur.
CORCORAN, J., did not participate in this decision; pursuant to Ariz. Const, art. 6, § 3, LLOYD FERNANDEZ, Chief Judge, Court of Appeals, Division Two, was designated to sit in his stead.
|
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LACAGNINA, Judge.
This special action was taken from the order of the trial court denying petitioner’s motion for summary judgment. The determinative facts are not in dispute, and the issue presented is one of law rather than fact. We therefore accept jurisdiction. Shea v. Superior Court of Maricopa. County, 150 Ariz. 271, 728 P.2d 89 (1986).
The relevant and undisputed facts are as follows. In February of 1987, petitioner Government Employees Insurance Company (GEICO), a Maryland corporation authorized to transact business in Texas and Arizona, issued an automobile insurance policy to real party in interest Andrea Ne-kuza Diehl (Diehl). At that time Diehl resided in Houston, Texas and applied for the policy in Texas on a GEICO form labeled “Texas Rating Statement.” The vehicle to be insured was a 1984 Mazda truck owned by Diehl and registered in Texas. The application provided that the vehicle would be used to drive Diehl to and from her place of employment in Houston. The policy subsequently issued by GEICO was delivered to Diehl in Texas.
On August 24, 1987, Diehl and her husband were involved in an automobile accident in Tucson while occupying another vehicle. Diehl was seriously injured. Diehl owned the vehicle in which she was riding when the accident occurred. The vehicle was purchased and registered in Texas, but was not insured under the GEI-CO policy or any other insurance policy. The truck insured under the GEICO policy remained in Texas at the time of the accident. Diehl subsequently settled her claim against the driver of the other vehicle involved in the collision, and by letter dated May 6, 1988, demanded the $20,000 limits of the underinsured motorist provision of the GEICO policy. The claim was denied.
On February 14, 1989, GEICO filed a complaint against Diehl and her husband in Pima County Superior Court seeking a judgment declaring that coverage was excluded under the policy and that Diehl had “already received benefits in excess of those provided for under the [pjolicy” and was not, therefore, entitled to additional benefits under the policy. Diehl answered and counterclaimed for bad faith and breach of contract. Both parties filed motions for summary judgment, which the trial court denied on the ground that there were unresolved material issues of fact. The only disputed issue of fact relevant to GEICO’s motion, however, appears to be Diehl’s residence at the time of the accident. GEICO claimed that Diehl was a resident of Texas; Diehl claimed that she and her husband had moved to Arizona the day before the accident and were residents here when she was injured.' This special action followed.
GEICO denied coverage of Diehl’s claim on two grounds. The first involves the application of Article 5.06-1 of the Texas Insurance Code which governs the form of automobile insurance policies issued in Texas. Subsection (5) of that statute provides:
(5) The underinsured motorist coverage shall provide for payment to the insured of all sums which he shall be legally entitled to recover as damages from owners or operators of underin-sured motor vehicles because of bodily injury or property damage in an amount up to the limit specified in the policy, reduced by the amount recovered or recoverable from the insurer of the underinsured motor vehicle.
(Emphasis added.) Because Diehl recovered more than her underinsured policy limits from the driver of the other vehicle, GEICO concluded that nothing more was due her under the GEICO policy. Under Arizona law, such an offset is not permitted. See A.R.S. § 20-259.01; Higgins v. Fireman’s Fund Ins. Co., 160 Ariz. 20, 770 P.2d 324 (1989); Spain v. Valley Forge Ins. Co., 152 Ariz. 189, 731 P.2d 84 (1986).
GEICO’s second ground for denying coverage is the following exclusion contained in Part C of the GEICO insurance policy, pertaining generally to uninsured and underinsured motorist coverage:
A. We do not provide Uninsured/Underinsured Motorists Coverage for any person:
1. For bodily injury sustained while occupying, or when struck by, any motor vehicle or trailer of any type owned by you or any family member which is not insured for this coverage under this policy-
(Emphasis in original.) Although this exclusion for “other vehicles” has been upheld in Texas, see Beaupre v. Standard Fire Ins. Co., 736 S.W.2d 237 (Tex.App. 1987), our supreme court has held the same provision to be void. Higgins v. Fireman’s Fund Ins. Co., supra.
Diehl argues that, because she was a resident of Arizona at the time of her accident, Arizona law should apply to permit her to recover under the underinsured motorist provision of the GEICO. policy. Even assuming, however, that she was an Arizona resident on the date of the accident, we conclude that she is not entitled to the coverage claimed.
Diehl relies on A.R.S. § 20-259.01, which sets forth the obligations of insurers with respect to motor vehicle liability policies generally and underinsurance coverage specifically. By its terms, this statute applies only to policies “delivered or issued for delivery in this state, with respect to any motor vehicle registered or principally garaged in this • state____” A.R.S. § 20-259.01(A). It is undisputed that the GEICO policy was issued for delivery and delivered in Texas with respect to Diehl’s Mazda truck, which was registered in Texas and principally garaged in Texas. Thus, § 20-259.01 has no application to the GEI-CO policy.
We also reject Diehl’s contention that Arizona law regarding underinsured motorist coverage is made applicable to this policy by virtue of the “Out of State Coverage” provision of the GEICO policy. This provision, which is found in Part A of the policy pertaining to liability coverage, provides:
If an auto accident to which this policy applies occurs in any state or province other than the one in which your covered auto is principally garaged, we will interpret your policy for that accident as follows:
If the state or province has:
1. A financial responsibility or similar law specifying limits of liability for bodily injury or property damage higher than the limit shown in the Declarations, you[r] policy will provide the higher specified limit.
2. A compulsory insurance or similar law requiring a nonresident to maintain insurance whenever the nonresident uses a vehicle in that state or province, your policy will provide at least the required minimum amounts and types of coverage.
No one will be entitled to duplicate payments for the same elements of loss.
First, this provision by its terms pertains only to liability coverage and not to uninsured or underinsured motorist coverage. Second, Arizona imposes mandatory insurance requirements on nonresidents only with respect to liability coverage. See A.R.S. §§ 28-1251, 28-1170. The quoted provision cannot reasonably be construed to incorporate Arizona law regarding underinsured motorist coverage into this policy.
Diehl has engaged in an extended analysis of choice of law principles leading to the conclusion that Arizona law should apply to this case. We agree with GEICO that no conflict exists. As we have held, Arizona’s underinsured motorist statute has no applicability to a policy issued in Texas to a then-Texas resident covering a vehicle registered and principally garaged in Texas. Under the terms of the GEICO policy and applicable Texas law, Diehl was not entitled to underinsured motorist coverage. Moreover, Diehl cannot bootstrap the application of Arizona law on underinsured motorist coverage through the assertion of a bad faith or breach of contract claim.
There being no genuine issue of material fact to resolve, we hold that the trial court abused its discretion in denying GEICO’s motion for summary judgment. We therefore grant relief and remand with directions to enter judgment in favor of GEI-CO.
FERNANDEZ, C.J., and LIVERMORE, P.J., concur.
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