STATE of Arizona, Appellee, v. Jerry Charles HOLLE, Appellant.
No. CR-15-0348-PR
Supreme Court of Arizona.
September 13, 2016
379 P.3d 197
Mark Brnovich, Arizona Attorney General, John R. Lopez IV, Solicitor General, Joseph T. Maziarz, Section Chief Counsel, Criminal Appeals Section, Diane L. Hunt (argued), Assistant Attorney General, Tucson, Attorneys for State of Arizona
Steven R. Sonenberg, Pima County Public Defender, David J. Euchner, Erin K. Sutherland (argued), Assistant Public Defenders, Tucson, Attorneys for Jerry C. Holle
Mikel Steinfeld (argued), Arizona Attorneys for Criminal Justice, Phoenix, Attorneys for Amicus Curiae Arizona Attorneys for Criminal Justice
VICE CHIEF JUSTICE PELANDER authored the opinion of the Court, in which JUSTICES TIMMER and BOLICK joined, and CHIEF JUSTICE BALES and JUSTICE BRUTINEL dissented in part and concurred in the result.
¶ 1 Under
I.
¶ 2 We view the evidence and all reasonable inferences in the light most favorable to sustaining the jury‘s verdicts, State v. Cropper, 205 Ariz. 181, 182 ¶ 2, 68 P.3d 407, 408 (2003). Jerry Charles Holle‘s eleven year-old step-granddaughter, M., told a friend and then the police that Holle had inappropriately touched and kissed her. The State charged Holle with sexual abuse of a minor under age fifteen,
¶ 3 Before trial, Holle asked the court to instruct the jury that the State must prove beyond a reasonable doubt sexual motivation as an element of the sexual abuse and child molestation charges. He argued that imposing the burden on him to prove lack of sexual motivation would violate his due process rights. Relying on State v. Simpson, 217 Ariz. 326, 173 P.3d 1027 (App. 2007), the trial court disagreed, ruling that under
¶ 4 At trial, Holle argued that the allegations against him were “blown out of proportion” and that he had always engaged in sexually normal behavior. Holle‘s two daughters testified that he never sexually assaulted them or any other children. Other relatives likewise testified about Holle‘s sexual normalcy. Early in its deliberations, the jury submitted the following question: “For these accusations to be a crime, must there be sexual intent proven?” The trial court told the jurors to follow the instructions they previously had been given.
¶ 5 The jury found Holle guilty of child molestation and sexual abuse of a minor under age fifteen but was unable to reach a verdict on the charge of sexual conduct with a minor (the trial court, at the State‘s request, later dismissed that charge with prejudice). The court sentenced Holle to a ten-year prison term for molestation, followed by a five-year term of probation for sexual abuse.
¶ 6 The court of appeals concluded that the trial court erred in instructing the jury that Holle bore the burden of proving “his conduct was not motivated by a sexual interest.” State v. Holle, 238 Ariz. 218, 226 ¶ 26, 358 P.3d 639, 647 (App. 2015). Disagreeing with Simpson, 217 Ariz. at 326 ¶ 19, 173 P.3d at 1030, the court held that ”
¶ 7 Holle petitioned for review regarding the court of appeals’ finding of harmless error, and the State filed a cross-petition for review regarding the court‘s application of
II.
¶ 8 We review questions of statutory interpretation and constitutional issues de novo. State v. Dann, 220 Ariz. 351, 369 ¶ 96, 207 P.3d 604, 622 (2009). We also review de novo “whether jury instructions correctly state the law.” State v. Bocharski, 218 Ariz. 476, 487 ¶ 47, 189 P.3d 403, 414 (2009).
¶ 9 In Arizona, “[a]ll common law offenses and affirmative defenses [have been] abolished.”
¶ 10 Criminal statutes must “give fair warning of the nature of the conduct proscribed.”
¶ 11 When interpreting a statute, we start with the text because it is the most reliable indicator of a statute‘s meaning. State v. Christian, 205 Ariz. 64, 66 ¶ 6, 66 P.3d 1241, 1243 (2003). When the text is clear and unambiguous, we need not resort to other methods of statutory interpretation to discern the legislature‘s intent because “its intent is readily discernable from the face of the statute.” Id.; see also Sell v. Gama, 231 Ariz. 323, 327 ¶ 16, 295 P.3d 421, 425 (2013) (if a statute‘s language is clear, “it controls unless an absurdity or constitutional violation results“).
A.
¶ 12 Holle was convicted of child molestation and sexual abuse. The child molestation statute,
¶ 13 Both statutes require “sexual contact” that the defendant “intentionally or knowingly engag[ed] in.”
¶ 14 Section
It is a defense to a prosecution pursuant to
§ 13-1404 or13-1410 that the defendant was not motivated by a sexual interest. It is a defense to a prosecution pursuant to§ 13-1404 involving a victim under fifteen years of age that the defendant was not motivated by a sexual interest.
B.
1.
¶ 15 The court of appeals noted that, with the exception of Simpson, “sexual interest under
¶ 16 The court of appeals’ opinion in this case is premised on the court‘s determination that
¶ 17 The plain text of
¶ 18 Furthermore, sexual motivation is identified only in
¶ 19 Holle nonetheless argues that sexual motivation is an element of child molestation and sexual abuse for two textual reasons. First, the phrase “sexual contact” in
2.
¶ 20 The court of appeals held that ”
¶ 21 A defendant in a criminal case can defend a charge by claiming that the state failed to prove all elements beyond a reasonable doubt. But Arizona‘s Criminal Code (
¶ 22 An affirmative defense is “a defense that is offered and that attempts to excuse the criminal actions of the accused.”
¶ 23 These categories of defenses are mutually exclusive.
¶ 24 The court of appeals apparently characterized
¶ 25 Instead, contrary to the court of appeals’ holding,
C.
¶ 26 In support of its holding, the court of appeals extensively relied on statutory history and Arizona case law that interpreted prior versions of the child-molestation and sexual-abuse statutes as implying a “sexual interest” element. Holle, 238 Ariz. at 222-25 ¶¶ 12-22, 358 P.3d at 643-46. But when, as here, the applicable statutory “language is clear and unequivocal, it is determinative of the statute‘s construction,” and we need not employ secondary principles of statutory interpretation. Janson ex rel. Janson v. Christensen, 167 Ariz. 470, 471, 808 P.2d 1222, 1223 (1991). Nevertheless, we highlight pertinent aspects of the history of “these confusing statutes and the equally confusing case law they have produced,” Getz, 189 Ariz. at 562, 944 P.2d at 504. Critical to our analysis are the legislature‘s 1983 enactment of
¶ 27 Though not controlling on our interpretation of the current statutes, one line of older cases deserves mention. The court of appeals, Holle, 238 Ariz. at 223 ¶ 15, 225 ¶ 22, 358 P.3d at 644, 646, like our partially dissenting colleagues, infra ¶ 55, rely largely on State v. Berry, 101 Ariz. 310, 419 P.2d 337 (1966). The child molestation statute then in effect provided:
A person who molests a child under the age of fifteen years by fondling, playing with, or touching the private parts of such child or who causes a child under the age of fifteen years to fondle, play with, or touch the private parts of such person shall be guilty of a felony.
Berry, 101 Ariz. at 312, 419 P.2d at 339 (quoting former
¶ 28 With minimal or no analysis or consideration of statutory changes, subsequent Arizona cases “continued to parrot” that language. In re Maricopa Cty. Juvenile Action No. JV-121430, 172 Ariz. 604, 606, 838 P.2d 1365, 1367 (App. 1992); see State v. Lujan, 192 Ariz. 448, 451 ¶ 7, 967 P.2d 123, 126 (1998) (addressing pre-1993, former § 13-1410
¶ 29 In contrast, the current molestation statute,
¶ 30 The court of appeals also misapplied this Court‘s opinion in In re Pima Cty. Juvenile Appeal No. 74802-2, 164 Ariz. 25, 33-34, 790 P.2d 723, 731-32 (1990). See Holle, 238 Ariz. at 224 ¶ 20, 358 P.3d at 645. In that case we noted that, unlike the former child molestation statute on which Berry and other cases had judicially imposed a sexual motivation element, the sexual abuse statute did not require the defendant to be motivated by an unnatural or abnormal sexual interest. 164 Ariz. at 33-34, 790 P.2d at 731-32. In rejecting the defendant‘s argument “to read” that additional element into
¶ 31 Getz likewise refutes the court of appeals’ analysis and Holle‘s argument. In Getz, 189 Ariz. at 564, 944 P.2d at 506, we refused to incorporate in the statutory definition of sexual abuse under
¶ 32 Other secondary principles of construction defeat Holle‘s argument. His contention would make
¶ 34 Other defenses to prosecutions for sexual abuse provided in
¶ 35 Finally, as Getz discussed, superimposing a defense into the statute that defines the crime could have constitutional ramifications. 189 Ariz. at 565, 944 P.2d at 507; see Bus. Realty of Arizona, Inc. v. Maricopa Cty., 181 Ariz. 551, 559, 892 P.2d 1340, 1348 (1995) (noting that courts should try to interpret statutes in a way that avoids constitutional questions if possible). Although the court of appeals essentially treated sexual motivation under
¶ 36 Because
III.
A.
¶ 38 Holle alternatively argues that the legislature overstepped its constitutional authority by removing sexual motivation as an element of child molestation and sexual abuse and shifting the burden to defendants by making the lack of such motivation an affirmative defense. If
¶ 39 The United States Supreme Court has held that federal due process does not bar a state from requiring a defendant to establish a defense by a preponderance of the evidence. Martin v. Ohio, 480 U.S. 228, 233, 107 S.Ct. 1098, 94 L.Ed.2d 267 (1987); see also Patterson, 432 U.S. at 205-06, 97 S.Ct. 2319 (holding that state may require defendant to prove defense of extreme emotional disturbance). “The State is foreclosed from shifting the burden of proof to the defendant only when an affirmative defense [ ] negate[s] an element of the crime. Where instead it excuse[s] conduct that would otherwise be punishable, but does not controvert any of the elements of the offense itself, the Government has no constitutional duty to overcome the defense beyond a reasonable doubt.” Smith v. United States, ___ U.S. ___, 133 S.Ct. 714, 719, 184 L.Ed.2d 570 (2013) (internal quotation marks and citations omitted); see Casey, 205 Ariz. at 366 ¶ 30, 71 P.3d at 358 (holding that “the legislature has the constitutional authority to shift the burden of proof” for an affirmative defense to the defendant); Farley, 199 Ariz. at 545 ¶ 13, 19 P.3d at 1261 (“although due process requires the State to prove every element of the offense beyond a reasonable doubt, it does not require the State to prove the absence of an affirmative defense“).
¶ 40 States have broad authority to define the elements of a crime. See Martin, 480 U.S. at 233, 107 S.Ct. 1098. Likewise, the legislature has broad authority to codify defenses and to define their elements. See State v. Gray, 239 Ariz. 475, 479 ¶¶ 16-19, 372 P.3d 999, 1003 (2016) (holding that the legislature may constitutionally define the elements and prerequisites of entrapment defense under
¶ 41 Holle also argues that this conclusion produces absurd and impermissible results. If proof of sexual motivation is not required for charges of child molestation and sexual abuse, Holle asserts, it would mean that parents and other caregivers commit those crimes whenever they change an infant‘s diaper and bathe or otherwise clean a child‘s genitals. Pediatricians and other medical providers would likewise violate those laws when
¶ 42 We agree that the criminal code should clearly differentiate between unlawful conduct and innocent, acceptable behavior without unnecessarily broadly sweeping the latter into the former. Subject to constitutional constraints, however, proscribing certain conduct and defining what constitutes a crime and any defense thereto are solely within the purview of the political branches of government, not the courts. Casey, 205 Ariz. at 362 ¶ 10, 71 P.3d at 354.
¶ 43 Although
¶ 44 Prosecutors have wide discretion in enforcing criminal statutes, charging suspects, and prosecuting offenders. Wayte v. United States, 470 U.S. 598, 607, 105 S.Ct. 1524, 84 L.Ed.2d 547 (1985). Holle‘s bare assertion that, absent a sexual motivation element,
B.
¶ 45 Based on an argument Holle did not make and inapposite cases he does not cite, the dissent asserts that our interpretation of the pertinent statutes, based on their plain text, “renders the statutes unconstitutional.” Infra ¶ 53. Although Holle argued that shifting the burden onto defendants to prove an absence of sexual motivation would violate due process, he has never asserted a “constitutional vagueness problem,” id. the lynchpin of the dissent. Cf. Berry, 101 Ariz. at 312-13, 419 P.2d at 339-40 (rejecting defendant‘s specific argument that prior version of child molestation statute was unconstitutionally
¶ 46 The Supreme Court cases on which the dissent relies did not involve affirmative defenses, but instead addressed laws that contained genuinely vague terms. Unlike those cases, this case does not involve a statute that fails to “provide a person of ordinary intelligence fair notice of what is prohibited, or is so standardless that it authorizes or encourages seriously discriminatory enforcement.” United States v. Williams, 553 U.S. 285, 304, 128 S.Ct. 1830, 170 L.Ed.2d 650 (2008); see also Johnson v. United States, ___ U.S. ___, 135 S.Ct. 2551, 192 L.Ed.2d 569 (2015) (finding void for vagueness the “residual clause” of a violent-felony statute that “involves conduct that presents a serious potential risk of physical injury to another“). Despite their arguable shortcomings, the statutes at issue are not vague—their descriptions of the proscribed “sexual contact” are quite precise,
¶ 47 In addition, if
¶ 48 Nor does the dissent suggest that the statutes are ambiguous or that we misread their plain language. It is one thing to interpret an ambiguous statute in a way that avoids a potential constitutional issue, but it is quite another to rewrite an unambiguous statute to avoid an alleged constitutional issue. And yet that is exactly what the dissent proposes, as it would “interpret the existing statutes as requiring the state to prove that a defendant was ‘motivated by a sexual interest’ to establish a violation of
¶ 49 Finally, the dissent repeats Holle‘s hypothetical, unrealistic concerns about subjecting to criminal prosecutions parents or other child caregivers changing diapers. Infra ¶ 52. But if a prosecution actually were to result from such innocent behavior (no such
IV.
¶ 50 Based on the language in question and our analysis of the statutory defenses recognized in Arizona, we hold that
BALES, C.J., joined by BRUTINEL, J., dissenting in part and concurring in the result.
¶ 51 Arizona, apparently alone among jurisdictions, has enacted criminal laws broadly stating that a person commits a felony merely by “intentionally or knowingly” touching the genitals or anus of a child or the breast of a female younger than fifteen.
¶ 52 Parents and other caregivers who have changed an infant‘s soiled diaper or bathed a toddler will be surprised to learn that they have committed a class 2 or 3 felony. They also will likely find little solace from the majority‘s conclusion that although they are child molesters or sex abusers under Arizona law, they are afforded an “affirmative defense” if they can prove by a preponderance of the evidence that their touching “was not motivated by a sexual interest.”
¶ 53 The majority‘s interpretation, I believe, renders the statutes unconstitutional. No one thinks that the legislature really intended to criminalize every knowing or intentional act of touching a child in the prohibited areas. Reading the statutes as doing so creates a constitutional vagueness problem, as it would mean both that people do not have fair notice of what is actually prohibited and that the laws do not adequately constrain prosecutorial discretion. See, e.g., United States v. Williams, 553 U.S. 285, 304, 128 S.Ct. 1830, 170 L.Ed.2d 650 (2008) (noting that a criminal statute is impermissibly vague if it does not “provide a person of ordinary intelligence fair notice of what is prohibited, or is so standardless that it authorizes or encourages seriously discriminatory enforcement“); Coates v. City of Cincinnati, 402 U.S. 611, 614, 616, 91 S.Ct. 1686, 29 L.Ed.2d 214 (1971) (holding ordinance that barred groups from conducting themselves in “annoying” manner on sidewalks was unconstitutionally vague for
¶ 54 The vagueness problem is not solved by the majority‘s characterizing
¶ 55 Fifty years ago, we addressed a similar issue of statutory interpretation in Berry, 101 Ariz. 310, 419 P.2d 337 (1966). There the statute provided that a person “molests a child,” and thereby commits a felony, “by fondling, playing with, or touching the private parts of a child[.]” Id. at 312, 419 P.2d at 339 (quoting former
¶ 56 Although the majority correctly notes that the legislature has revised the pertinent statutes since our decision in Berry, I would interpret the existing statutes as requiring the state to prove that a defendant was “motivated by a sexual interest” to establish a violation of
¶ 57 The majority opinion does not convincingly respond to these points. It first states that a “procedural hurdle” should deter us from considering whether its interpretation renders the statutes unconstitutionally vague. Supra ¶ 45. But Holle clearly raised below and before this Court the issue whether due process allows the state to shift to defendants the burden of proving an absence of sexual motivation. In resolving that issue, which involves both statutory and constitutional interpretation, we are not limited to the arguments or legal authorities as identified by the parties. See Rubens v. Costello, 75 Ariz. 5, 9, 251 P.2d 306, 308 (1952). The reason is obvious: when we are interpreting statutes or the constitution, our obligation is to reach the correct conclusion, not merely to pick which party has better articulated a particular legal argument. See id.; Lyons v. State Board of Equalization, 209 Ariz. 497, 502 n.2, 104 P.3d 867, 872 n.2 (App. 2005) (courts are not “limited to the arguments made by the parties if that would [lead to] an incorrect result“) (citing Evenstad v. State, 178 Ariz. 578, 582, 875 P.2d 811, 815 (App. 1993)).
¶ 58 On the merits, the majority opinion is in tension both with itself and recent decisions of the United States Supreme Court. The majority argues that the statutes unambiguously make it a crime to knowingly or intentionally touch a child in the proscribed areas. Supra ¶¶ 16-18. But concluding, as does the majority, that a statute by its terms identifies a broad range of conduct does not resolve whether it is unconstitutionally vague. Cf. United States v. X-Citement Video Inc., 513 U.S. 64, 115 S.Ct. 464, 130 L.Ed.2d 372 (1994) (refusing to adopt “most grammatical” reading of statute when doing so would criminalize a range of innocent behavior and thereby raise “serious constitutional doubts“). The issue instead is whether the statute gives notice of what is actually prohibited and sufficiently constrains prosecutorial discretion. See McDonnell, 136 S.Ct. at 2372-73 (refusing to adopt literal interpretation of “official acts” for purposes of federal bribery statute where doing so would raise “significant constitutional concerns” by bringing “normal political interaction” within sweep of criminal laws).
¶ 59 The majority undermines its own conclusion by observing that substantive due process would prevent applying the statutes to parents in certain situations. Supra ¶ 49. Whatever the contours of a parent‘s substantive due process rights to “manage and care for” a child, id. they surely do not insulate a parent from criminal penalties for improper contact that is sexually motivated. Thus, the majority must instead be asserting that substantive due process may preclude applying the statutes to parents who do not act with a sexual motivation. That observation, however, merely underscores that if the statutes are read literally they do not identify the conduct they actually criminalize. Nor does it address the vagueness issue with respect to others, such as caregivers, who are not parents but may intentionally touch a child in the proscribed areas for reasons as benign as changing a diaper.
¶ 60 The majority also suggests that prosecutors will exercise their discretion so as not to “improperly” prosecute technical violations of
¶ 61 My difference with the majority turns on a fundamental question: may the state, consistent with due process, sweepingly criminalize a broad range of conduct embracing both innocent and culpable behavior and assign to defendants the burden of proving their innocence? Because I believe the answer is no, I would follow Berry‘s example and interpret
