Lead Opinion
opinion of the Court:
¶ 1 Consistent with Arizona’s common law, we hold that AR.S. § 13-206(A) affords a defense of entrapment only when the defendant affirmatively admits the substantial elements of the charged offense. A defendant cannot invoke this affirmative defense merely by declining to challenge the state’s evidence, even when it includes incriminating statements made by the defendant to an undercover officer.
I.
¶2 In June 2013, an undercover police officer approached Maverick Gray at a bus
¶ 3 The officer secretly recorded his conversation with Gray, who made statements such as “I’m a good person” and “I don’t usually do this.” As part of its trial evidence, the State presented the audio recording over Gray’s objection that it was unreliable. Based on his recorded statements, Gray also asked the trial court to instruct the jury on the entrapment defense recognized in A.R.S. § 13-206. As a prerequisite for this defense, the statute requires a defendant to “admit by [his] testimony or other evidence the substantial elements of the offense charged.” Concluding that Gray had not admitted these elements, the trial court refused the requested instruction. The jury found Gray guilty and the trial court sentenced him to 9.25 years in prison. The court of appeals affirmed, ruling that Gray was not entitled to an entrapment instruction because he had not admitted the substantial elements of the crime. State v. Gray,
¶ 4 We granted review because the application of the statutory entrapment defense presents a recurring issue of statewide importance. We have jurisdiction under article 6, section 5(3) of the Arizona Constitution and A.R.S. § 12-120.24.
II.
¶5 We here consider whether § 13-206 requires a defendant who requests a jury instruction on the entrapment defense to affirmatively admit the substantial elements of the offense and, if so, what qualifies as “other evidence” for such an admission. We review these issues de novo. See State v. King,
¶ 6 When a statute’s language is clear, “it controls unless an absurdity or constitutional violation results. But if the text is ambiguous, we also consider the statute’s context; its subject matter, and historical background; its effects and consequences; and its spirit and purpose,” Metzler v. BCI Coca-Cola Bottling Co. of Los Angeles, Inc.
¶ 7 By its terms, § 13-206 requires a defendant “to admit ... the substantial elements of the offense charged.” The statute does not expressly address whether a defendant can “admit” the elements merely by not challenging the state’s evidence. Gray argues that we should construe the statute as not requiring a defendant to affirmatively admit the elements. He notes that silence can, in some contexts, be deemed an admission, and he contends that we should deem his not offering evidence to contradict his recorded statements to be an “admission” for purposes of § 13-206. We find these arguments unconvincing in light of the background to the statute’s enactment.
¶ 8 Before 1997, Arizona’s entrapment defense was a creation of the common law. This Court addressed the defense in State v. McKinney,
¶ 9 In 1983, we reaffirmed that a defendant, in order to invoke the entrapment de
¶ 10 Five years after Nilsen, the United States Supreme Court took a different approach to the entrapment defense as a matter of federal law—holding that a defendant is not required to admit the offense’s elements in order to raise the defense. Mathews v. United States,
¶ 11 Our Court rejected the Mathews approach in State v. Soule,
¶ 12 In 1997, the legislature codified the entrapment defense by enacting § 13-206, which provides that the defendant must “admit by testimony or other evidence the substantial elements of the offense charged.” Gray argues that the legislature, by referring to “other evidence,” intended to expand the circumstances in which a criminal defendant may “admit” the elements of a crime to include a defendant’s merely declining to challenge the state’s evidence.
¶ 13 Criminal statutes are interpreted in light of their common law antecedents, although Arizona has abolished common law crimes and defenses. See A.R.S. § 13-103(A); Engle v. State,
¶ 14 We hold that the legislature in enacting § 13-206 generally codified the Nil-sen rule—in order to raise an entrapment defense, the accused must affirmatively admit, by testimony or other evidence, the substantial elements of the offense. (Nilsen and Soule referred interchangeably to “substantial elements” and “all elements” of the offense, and neither party here has argued that there is a difference.) Such an admission cannot be accomplished merely by the defendant passively declining to challenge the state’s evidence. But we also reject the State’s argument that, for purposes of § 13-206, “other evidence” refers only to a defendant stipulating at trial or having an admission read into evidence. In referencing these alternatives, Nilsen did not exhaustively identify the ways in which a defendant can admit the elements of a crime.
¶ 15 Nilsen contemplated an affirmative admission by a defendant’s testimony or
¶ 16 Gray also argues that requiring a defendant to affirmatively admit the elements of a crime before claiming entrapment conflicts with the Fifth Amendment’s guarantee that “no person shall be compelled in any criminal ease to be a witness against himself.” U.S. Const, amend. V. This argument founders because entrapment is an affirmative defense—it is not a denial of an element of the offense or criminal responsibility, but instead “attempts to excuse the criminal actions acthe accused.” A.R.S. § 13-103(B). See United States v. Braver,
¶ 17 Entrapment presupposes that the defendant has committed the criminal offense charged, but “the idea of committing the offense started with law enforcement officers or their agents rather than with the person” and “the law enforcement officers or their agents urged and induced the person to commit the offense.” A.R.S. § 13-206(B)(l)-(2). See also Paul Marcus, The Entrapment Defense, § 6.02D (4th ed. 2012) (noting that federal constitution does not preclude requiring defendant to prove entrapment as an affirmative defense); cf. Dixon v. United States,
¶ 18 Requiring a defendant who chooses to assert an entrapment defense to admit the elements of the charged offense does not “compel” self-incrimination. See Bueno v. Hallaban,
¶ 19 Limiting the entrapment defense to those who choose to admit the elements of the crime also does not implicate the “unconstitutional conditions” doctrine. See Corbitt v. New Jersey,
¶ 20 We turn to Gray’s argument that his recorded statements are “other evidence” sufficient to show that he affirmatively admitted the substantial elements of the charged offense. Even if we assume, without deciding, that a defendant’s recorded statements to an undercover officer could constitute “other evidence” for § 13-206(A) purposes, Gray’s argument is not convincing. He was charged with violating A.R.S. § 13-
¶ 21 Finally, we note that the dissenting opinion observes that Arizona has adopted a uniquely narrow—indeed, “draconian”—view of the entrapment defense, ¶ 25, and that Gray, unable to assert such a defense, “has been sentenced to over nine years in jail for accepting an undercover officer’s invitation to obtain twenty dollars’ worth of crack for a fee of ten dollars.” ¶ 56. As a matter of policy, we might well agree that the entrapment defense should be more widely available, but our legislature has adopted a different view in AR.S. § 13-206 by expressly limiting the defense to those who admit the elements of the crime. Gray’s sentence also reflects legislative policy judgments—he received the statutory presumptive sentence under AR.S. § 13-703(1) because he committed the offense at issue while on release after a prior conviction for a drug-related offense. Reconsidering these policy judgments is within the purview of the legislature rather than the courts.
III.
¶ 22 Because Gray did not affirmatively admit to the substantial elements of the offense charged, the trial court did not abuse its discretion in denying his requested entrapment instruction. We affirm Gray’s conviction and sentence, and we vacate the opinion of the court of appeals.
Dissenting Opinion
dissenting:
¶ 23 I believe that the entrapment defense requirement in AR.S. § 13-206(A) presents serious constitutional concerns; and that by the statute’s plain meaning, Gray is entitled to raise an entrapment defense. Accordingly, I respectfully dissent.
I.
¶ 24 Arizona is unique in many ways, most of them good. It is a freedom-loving state, as reflected in the words engraved above the entrance to our Supreme Court: “Where law ends, tyranny begins.” This case illustrates the wisdom of those words.
¶ 25 One way in which Arizona is unique, unfortunately, is its statutory requirement that a criminal defendant must admit the substantial elements of the crime before raising an entrapment defense, a rule the majority today affirms. Arizona’s outlier status in that regard is well-recognized but not well-regarded. See, e.g., Marcus at § 6.13 (“Perhaps the court to follow most strictly the inconsistent defense principle is the Arizona Supreme Court” and “the Arizona view is in the distinct minority”); Soule,
¶ 26 The majority points out that entrapment is a statutorily based affirmative defense, and that a criminal defendant has no
¶ 27 The entrapment defense plays an important role not only in protecting the due process rights of criminal defendants by ensuring that they will be punished only for crimes for which they are genuinely culpable, but in constraining government conduct that is incompatible with a free society. As the United States Supreme Court declared in Sorrells v. United States,
¶28 The Court formally articulated the entrapment defense in Sorrells, in which the defendant pleaded not guilty to charges of possessing and selling whiskey in violation of Prohibition laws and also raised an entrapment defense. Id. at 438,
¶ 29 Justice Owen Roberts, joined by Justices Brandéis and Stone, agreed with the result but issued a separate concurring opinion. The trio defined entrapment as “the conception and planning of an offense by an officer, and his procurement of its commission by one who would not have perpetrated it except for the trickery, persuasion, or fraud of the officer.” Id. at 454,
The doctrine rests, rather, on a fundamental rule of public policy. The protection of its own functions and the preservation of the purity of its own temple belongs only to the court. It is the province of the court and of the court alone to protect itself and the government from such prostitution of the criminal law. The violation of the principles of justice by the entrapment of the unwary into crime should be dealt with by the court no matter by whom or at what stage of the proceedings the facts are brought to its attention.
Id. at 457,
¶ 30 Under any circumstances, entrapment is no easy defense. As defined in Sorrells and widely applied since then, the defense is established only when “the particular act was committed at the instance of government officials,” weighed against any evidence regarding “the predisposition and criminal design of the defendant.” Id. at 451,
¶ 31 In the early days of the entrapment defense, most jurisdictions also held that the defense could not be raised unless the defendant admitted the commission of the acts constituting the crime, on the ground that innocence and entrapment are inconsistent defenses. See Marcus at § 6.11. It is that conventional wisdom the majority embraces in this case. But over time, a number of courts came to reject that view, including the United States Supreme Court in Mathews,
¶32 Mathews presented the question of whether under federal law, a criminal defendant could raise an entrapment defense without admitting all of the elements of the crime. Id. at 59,
¶ 33 Justice Scalia concurred, observing that “the defense of entrapment will rarely be genuinely inconsistent with the defense on the merits, and when genuine inconsistency exists its effect in destroying the defendant’s credibility will suffice to protect the interests of justice.” Id. at 67,
¶ 34 The Ninth Circuit, in a decision cited with approval by the United States Supreme Court in Mathews, id. at 65-66,
¶ 35 Like other jurisdictions, Arizona traditionally followed the “inconsistent defense” rule that barred an entrapment defense absent an affirmative admission to the elements of the crime. Nilsen,
¶ 36 Commentators have observed that requiring admission of the substantial elements of the crime as a prerequisite to an entrapment defense raises Fifth Amendment self-incrimination concerns. See, e.g., Marcus at § 6.13; Kristine K. Keller, Evolution and Application of the Entrapment Rule: Abandonment of the Inconsistency Rule, 11 Ham-line L. Rev. 351, 366 (1988). Justices Feldman and Gordon pointed out the inverse side of that constitutional problem, that the affirmative admission requirement “relieves the prosecution of its constitutional burden of proving the elements of the case.” Soule,
¶ 37 Although there is no recognized constitutional right to an entrapment defense, forcing defendants to choose between raising the defense and forfeiting precious constitutional rights presents an unconstitutional condition. “The doctrine of unconstitutional conditions holds that government may not grant a benefit on the condition that the beneficiary surrender a constitutional right, even if the government may withhold that benefit altogether.” Kathleen M. Sullivan, Unconstitutional Conditions, 102 Harv. L. Rev. 1413, 1415 (1989). Here, Arizona offers an entrapment defense to criminal defendants, but only at the cost of surrendering the right against self-incrimination. The state is not constitutionally entitled to exact such a high cost for invoking a legitimate (indeed in many instances essential) defense.
¶ 38 To be sure, not every condition attached to the exercise of a benefit bestowed by government is unconstitutional.
It is not necessary to challenge the proposition that, as a general rule, the state, having power to deny a privilege altogether, may grant it upon such conditions as it sees fit to impose. But the power of the state in that respect is not unlimited, and one of the limitations is that it may not impose conditions which require the relinquishment of constitutional rights.
Frost v. R.R. Comm’n,
¶ 39 The principle applies with great force in the criminal law context. In United States v. Jackson,
¶ 40 Similarly, in State v. Quinn,
¶41 Does A.R.S. § 13-206(A), to use the verbiage from Jackson, “chill,” “deter,” or “discourage” the assertion of the right against self-incrimination? See generally
¶ 42 Given the centrality of the right against self-incrimination in both the Bill of Rights and our state’s Declaration of Rights, see Miranda v. Arizona,
¶43 Those justifications repeatedly have been debunked. As the Court remarked in Sorrells,
The Government argues that allowing a defendant to rely on inconsistent defenses will encourage perjury, lead to jury confusion, and subvert the truth-finding function of the trial. These same concerns are, how*484 ever, present in the civil context, yet inconsistency is expressly allowed under the Federal Rules of Civil Procedure. We do not think that allowing inconsistency necessarily sanctions perjury. Here petitioner wished to testify that he had no intent to commit the crime, and have his attorney argue to the jury that if it concluded otherwise, then it should consider whether that intent was the result of Government inducement. The jury would have considered inconsistent defenses, but petitioner would not have necessarily testified untruthfully.
¶ 44 The Court went on to note that as a practical matter, it will be difficult for a defendant to establish entrapment without testifying, which will subject the defendant to cross-examination and impeachment. Id. Moreover, inconsistent defenses will impair a defendant’s credibility, thus providing a cheek against raising them. Id. at 65-66,
¶ 45 Ultimately, there is simply no reason not to entrust the entrapment defense to the jury, even where a defendant has not affirmatively and explicitly admitted guilt. See, e.g., Soule,
¶ 46 Indeed, a prior provision of § 13-206 suffered a similar infirmity. As originally enacted, the statute contained section D, which provided, “If a person raises an entrapment defense, the court shall instruct the jurors that the person has admitted the elements of the offense and that the only issue for their consideration is whether the person has proven the affirmative defense of entrapment by clear and convincing evidence.” A.R.S. § 13-206(D) (1997). Our court of appeals held that § 13-206(D) “utterly eviscerated” a defendant’s “constitutional right to the presumption of innocence and to a jury trial at which the jury was required to detei’mine whether he is guilty beyond a reasonable doubt____” State v. Preston,
¶47 Nor does the statute as presently constructed, and as the Court construes it here, cure the unconstitutional condition. Technically, the statute does not require the defendant to testify, allowing the admission of the substantial elements of the crime by “other evidence.” Nonetheless, the Court holds that it requires a defendant to incriminate himself through an “affirmative admission.” The majority says this is permissible because entrapment is an affirmative defense. But in other contexts, criminal defendants are not put to a choice between maintaining innocence and asserting an affirmative defense, and it is precisely that forced choice that comprises the unconstitutional condition.
¶48 The majority suggests that the entrapment condition is no different than a plea bargain, in which a defendant admits an of
¶ 49 For the foregoing reasons, in an appropriate case, I would be strongly inclined to hold that the A.R.S. § 13-206(A) affirmative admission requirement constitutes an unconstitutional condition and may not be required to assert an entrapment defense. For purposes of the present case, these serious constitutional concerns counsel the narrowest possible construction of a defendant’s obligations in order to assert an entrapment defense. See, e.g., Hayes v. Cont’l Ins. Co.,
II.
¶ 50 Unfortunately, the majority exacerbates the statute’s constitutional problems by interpreting “other evidence” and “substantial elements” to prevent Gray from raising an entrapment defense even though his words, entered into evidence by the State, were essentially an admission of the crime.
¶ 51 The statute uses two crucial terms that appear pregnant with meaning yet are left undefined: the defendant must admit the “substantial elements” of the crime by testimony or “other evidence.” What constitutes “substantial” elements rather than mere “elements” is unclear. But I agree with the majority that whatever they are, they are set forth in the relatively straightforward language of A.R.S. § 13-3408(A)(7), which provides among other things that a person “shall not knowingly ... sell [or] transfer ... a narcotic drug.”
¶ 52 The meaning of the term “other evidence” seems more obvious. If it is not testimony but is evidence, then by definition it is “other evidence.” Finding this term unclear, the majority resorts to secondary methods of interpretation to determine that “other evidence” means evidence of a defendant’s affirmative admission of the elements of the offense. Although the majority is correct when it says that “[o]ther evidence is not limited to a post-charge admission,” and that a post-Miranda admission would qualify, it fails to adequately explain why a pre-Miranda admission, like the one here, does not constitute other evidence. The majority instead concludes that “[although Gray made incriminating statements in his recorded conversation, he did not affirmatively admit the substantial elements of this offense.” Precisely what magic words are required is left to future litigants and courts to hash out.
¶ 53 Clearly, the recorded statement is “other evidence.” It was offered as such by the State, objected to by defendant, and entered into evidence. Concededly, a closer question is whether Gray’s statement admitted the substantial elements of the crime. The nature of the proposed transaction—to sell or transfer narcotic drags—was clear,
III.
¶ 54 The line between effective law enforcement and entrapment can be a thin one, but it is essential for it separates the rule of law from tyranny. As such, access to the entrapment defense is important not only to those accused of crimes but to society generally. The legislature has great latitude in this area, but it cannot transgress its constitutional boundaries by conditioning a defense upon the surrender of protected liberties.
¶ 55 I attach myself to the views of Arkansas Supreme Court Justice Purtle, who in expressing the opinion that an affirmative admission requirement as a prerequisite to asserting an entrapment defense presents a constitutional question, remarked that “[l]aw enforcement officers ought not to be paid to go about actively encouraging people to commit crimes.” Morris,
¶ 56 In the meantime, Mr. Gray has been sentenced to over nine years in jail for accepting an undercover officer’s invitation to obtain twenty dollars’ worth of crack for a fee of ten dollars. Because he was not allowed to present an entrapment defense without surrendering fundamental rights, we will never know whether Gray was a cunning drug courier awaiting precisely such an opportunity, or whether he was simply waiting for a bus.
¶ 57 With great respect to my colleagues, I dissent.
Notes
. Justice Feldman went on to explain, “While some other states forbid inconsistent defenses in entrapment situations, Arizona applies the rule more stricdy than any other court by requiring the defendant to admit every element of the crime as a condition of pleading entrapment, even when denying an element would not be inconsistent with the entrapment defense." Soule,
. Compare Jackson, with Williams,
. Neither case cited by the majority, see ¶ 19, involved defendants being required to affirmatively admit elements of the crime. Rather, they involved voluntary decisions, specifically a plea bargain and a voluntary clemency interview, which only serve to underscore the mandatory nature of the requirement here. Those situations present a marked difference from being required to affirmatively admit the substantial elements of the crime. See Corbitt,
