Lead Opinion
OPINION
¶ 1 Reynel Amador Lucero Jr. (“Lucero”) appeals from his conviction of two counts of sexual misconduct with a minor in violation of Arizona Revised Statutes (“A.R.S.”) section 13-1405 (Supp.2008). We hold that the superior court did not err in admitting Lucero’s confession to a military investigator, that the investigator was a law enforcement official for voluntariness analysis and that Lucero did not invite an erroneous response to a jury question by merely acquiescing to the court’s response. However; we affirm Lucero’s convictions and sentences because he suffered no prejudice.
FACTUAL AND PROCEDURAL HISTORY
A2A grand jury indicted Lucero for two counts of sexual conduct with a minor. The State’s evidence included statements Lucero made to Special Agent Todd V., a sergeant in the United States Army and member of the Army’s Criminal Investigations Division (“CID”).
¶ 3 The superior court conducted a voluntariness hearing and held that Lucero freely and voluntarily made his incriminating statements to V. V. testified that he first advised Lucero of his Miranda
¶ 4 The superior court permitted the State to present evidence of Lucero’s statements to V. at trial. V. testified that he interviewed Lucero in response to a request for assistance by the Phoenix Police Department. He also testified that during the interview, Lucero confessed committing sexual acts with a minor, J, by going into her room at night, removing her undergarment, and rubbing his penis between her buttocks. Finally, V. testified that Lucero confessed placing his penis in J’s mouth on another occasion. The State also introduced into evidence a tape of a confrontation call made by Lucero’s wife to Lucero during which Lucero admitted committing the same acts of sexual misconduct with J. At trial, V. and Lucero both testified consistently with their voluntariness hearing testimony regarding whether V. induced Lucero’s confession with any threats or promises. The superior court instructed the jury that it should not consider any statement Lucero made to a law enforcement officer unless it found that the statement was freely and voluntarily made.
¶ 5 During deliberation, the jury asked the court whether V. was a law enforcement officer. The superior court consulted counsel for both sides. The State agreed with the court’s proposed answer that whether V. was a law enforcement officer was a question of fact for the jury to decide on the basis of the evidence. Lucero’s counsel stated that he was unclear as to the law whether a military criminal investigator was a law enforcement officer, but he had no objection to the proposed response and he assumed it was correct. The court instructed the jury to determine whether V. was a law enforcement officer as a fact question.
¶ 6 The jury convicted Lucero of both counts and the superior court sentenced him to consecutive sentences of twenty years on the first count and life imprisonment on the second. Lucero filed a timely notice of appeal. This Court has jurisdiction pursuant to Article 6, Section 9 of the Arizona Constitution and A.R.S. § 12-120.21 (A)(l)(2003) and § 13-4033(A)(l)(Supp.2008).
ANALYSIS
¶ 7 Lucero contends that the superior court erred in: (1) admitting evidence of his confession to V. and (2) instructing the jury that it should determine, as a factual matter, whether V. was a law enforcement officer for constitutional purposes.
I. The Confession Was Admissible
¶ 8 We review the superior court’s determination of the admissibility of confessions for clear and manifest error. State v. Eastlack,
¶ 9 A confession is admissible only if the State proves by a preponderance of the evidence that the confession was freely and voluntarily made. State v. Smith,
¶ 10 The superior court properly admitted the confession after weighing conflicting evidence and making a credibility determination. At the voluntariness hearing, Lucero and the State presented conflicting evidence whether Lucero’s incriminating statements were the result of threats, coercion, or promises of leniency. The superior court assessed the credibility of the witnesses, weighed the conflicting evidence and determined that Y.’s testimony was credible. We find no clear error because credibility is an issue left to the trier of fact and there is evidence supporting the court’s findings that Lucero’s incriminating statements to V. were procured without promises or threats and that V. did nothing to coerce Lucero to make those statements. See Gonzalez-Gutierrez,
II. As a Matter of Law, V. was a Law Enforcement Officer
¶ 11 Lucero contends that his conviction should be overturned because the superior court committed fundamental error by instructing the jury to determine as a factual matter whether V. was a law enforcement officer for constitutional purposes before it considered whether the confession to V. was made freely and voluntarily. The State argues that this Court should not engage in a fundamental error analysis because Lucero invited the error. We hold that Lucero’s express decision not to object to the court’s proposed response to the jury question does not rise to invited error. Although the court’s answer was erroneous, Lucero expressly waived any objection to it at trial and is not entitled to relief under the fundamental error standard because he suffered no prejudice. Therefore, we affirm the conviction and sentence under the fundamental error standard.
¶ 12 Before we may rule on an error under either the invited error standard or the fundamental error standard, we must first determine that there has been error. State v. Henderson,
¶ 13 Lucero argues that the superior court erred in informing the jury that it should determine, as a question of fact, whether V. is a law enforcement officer for constitutional purposes. We agree. Federal courts reviewing the actions of CID special agents consistently treat them as subject to the constitutional safeguards ordinarily applicable to actions of law enforcement officials. See, e.g., Brosius v. Warden, U.S. Penitentiary, Lewisburg, PA,
¶ 14 Further, holding a military criminal investigator to be covered by the requirements of the Due Process Clause comports with the policy behind prohibiting state procurement of involuntary confessions. The application of the exclusionary rule to involuntary confessions rests on the principle that no “state actor [may] deprive[ ] a criminal defendant of due process of law.” Connelly,
¶ 15 Because V. was a law enforcement officer interrogating Lucero at the request of the police, the superior court should have instructed the jury to consider the confession he obtained only if the jury found that the confession was freely and voluntarily given. State v. Schackart,
III. The Error Is Subject to Fundamental Error Analysis
¶ 16 The State argues that Lucero invited the error and may not receive even fundamental error review on appeal. We hold Lucero’s conduct did not amount to invited error. Rather, Lucero waived any objection to the proposed response to the jury question, subjecting the response to fundamental error analysis.
A. The Invited Error Doctrine Does Not Apply
¶ 17 In Logan, our supreme court restated and to some degree clarified the principle of invited error.
¶ 18 Because the invited error doctrine prevents the court from correcting error that might go to the foundation of a fair trial and causes prejudice to the defendant, “extreme caution must be exercised in permitting” an application of the doctrine unless the facts clearly show that the error was actually invited by the appellant. Compare State v. Smith,
¶ 20 Thus, a party invites an erroneous jury instruction by expressly requesting it. State v. Roque,
¶ 21 In each of the above cases, the crucial fact was that the party took independent affirmative unequivocal action to initiate the error and did not merely fail to object to the error or merely acquiesce in it.
¶22 By contrast, invited error does not occur when the defendant stipulates to the error unless it can be shown from the record that the defendant proposed the stipulation and was thus the source of the error. State v. Thues,
¶ 23 We have found only one case post-Logan in which the court impliedly expanded
¶24 We are bound by decisions of our supreme court. State v. Smyers,
¶ 25 Second, in a case decided after Pandeli, our supreme court implied that it will not apply invited error when there was mere acquiescence in the error. In State v. Smith, the trial court asked defense counsel whether the defendant’s prior foreign felony convictions met Arizona statutory requirements for sentencing enhancement purposes.
¶ 26 Third, there is an important policy reason to not expand invited error beyond independent, affirmative action requesting the error. The policy underlying invited error is to preclude appellate review of an issue when a party attempts to inject the error into the record for strategic purposes and not merely when a party acquiesces in an error. Expanding the invited error doctrine to parties acquiescing in an error but who are not the source of the error would not serve the underlying purpose of the doctrine.
¶ 27 Thus, as our supreme court noted in Logan, the policy behind allowing the invited error doctrine is to police strategic gamesmanship by parties who would inject error into a proceeding in the hope of profiting from the error on appeal:
“A party by clever and ingenious argument might in the hurry of a trial persuade a court to give an instruction which, upon a critical examination, would be found not good in point of law____[If an erroneous instruction] is given, the party urging it may not be heard in this court to decry a result fashioned by his own handiwork. The toleration of such a procedure would tend often, perhaps, to encourage parties to strive in an endeavor to catch the court, and thus predicate a foundation for reversible error.”
The purpose of the doctrine is to prevent a party from ‘inject[ing] error in the record*138 and then profiting] from it on appeal.’ ... We achieve that purpose by looking to the source of the error, which must be the party urging the error----
¶ 28 This policy to limit the invited error doctrine to persons intending to “catch the court” by affirmatively being the source of the proposed error also appears to be the general rale in other jurisdictions, including those cited by our concurring colleague. E.g., State v. Kammeyer,
¶ 29 As one commentator has noted, an expanded view of invited error would cast the net too wide, penalizing both parties who intend to build error into the record for strategic purpose along with those who merely are unmtting. Sean Arthurs, A Foolish Consistency: How Refusing to Review Ford v. Garcia’s Invited Error Demonstrates the Eleventh Circuit's Prioritization of Procedure Over Justice, 72 U. Cin. L.Rev. 1707, 1721-22 (2004) (“The primary purpose of the invited error doctrine is to deter defendants from making ‘an affirmative, apparently strategic decision at trial and then complaining] on appeal that the result of that decision constitutes reversible error.’ The widespread acceptance of the plain error exception to the preservation of error requirement has prompted some legal charlatans to devise trial strategies that ensure the presence of a plain error at the trial court level----[T]he invited error doctrine assumes a complete familiarity with the relevant law and penalizes the ill-prepared or unwitting lawyer just as harshly as the malicious lawyer____The complete prohibition on reviewing invited error disregards the dangers of establishing a flawed precedent and ignores any role played by the opposing counsel or the judge in contributing to the error.”) (quoting United States v. Jernigan,
¶30 It appears to us that appellate courts should not be delving into the intent of a trial attorney when he or she requests error to determine whether it amounted to invited error. On the other hand, expanding the invited error doctrine to apply to mere acquiescence in an error, rather than looking at the source of the error, is too harsh a punishment and may unduly jeopardize a party’s due process rights to a fair trial. The appropriate balance is set forth in Logan — to look to the source of the error.
¶ 31 Accordingly, we hold that if the party complaining on appeal affirmatively and independently initiated the error, he should be barred from raising the error on appeal. If, on the other hand, he merely acquiesced in the error proposed by another, the appropriate sanction should be to limit appellate review to fundamental error.
¶ 32 Applying Logan’s source of the error test in light of the purpose of the invited error doctrine to avoid gamesmanship, the question is whether Lucero’s counsel’s conduct was the source of the error. This requires a review of the brief discussion of the response to the jury question. As the record reflects, Lucero neither initiated the erroneous response that the jury was to determine if V was a law enforcement officer nor argued for it, but simply stated that he was not sure of the law in the area and the court’s proposal to leave the question to the jury seemed correct:
THE COURT: Hang on. We have got another question. All right. We’re back on the record. The second question is: Is [V] considered a “law enforcement officer?”
Any response to that? Mr. Cohen [representing the State].
MR COHEN: I would say “yes.”
THE COURT: Mr. McBee [defense counsel].
*139 MR. MCBEE: I would agree, or I guess it could be phrased he was acting in a law enforcement capacity, because I don’t know exactly.
MR. COHEN: But, he was military police, so—
MR. MCBEE: Yeah, so.
THE COURT: ... I think that — I
guess if you both agree — that I can answer that in the affirmative. I think that’s the answer too. I’m just a little concerned that maybe that’s — is that a factual issue that they have to determine, whether or not he is a law enforcement officer?
MR. MCBEE: Yeah. I mean, I’m just not real familiar with military CIDs. It was clear he was acting in a law enforcement capacity at the very least.
MR. COHEN: And he testified he is in the military police.
THE COURT: I think it was clear from the facts he was acting as a law enforcement officer. He was kind of, you know, like a detective questioning a suspect. He did read him the Miranda rights. I think that, you know, I’m a little uncomfortable answering in the affirmative, but if both counsel agree, I will answer.
MR. COHEN: That, or I guess we can just — the jury heard the testimony, and they can make that determination themselves. I guess it could be a factual issue.
MR. MCBEE: Yeah. I think because the fact he is in the military kind of clouds it. You knoiv, I know what the Phoenix Police Department does, but I don’t know what he does on a regular basis.
THE COURT: ... My answer is: You have heard the facts of the case. It is up to you to make this determination____Any objection to that?
MR. COHEN: No, your Honor.
MR. MCBEE: No, that sounds right.
(Emphasis added).
¶ 33 The record does not show that Lucero’s counsel was the source of any error by affirmatively asking the court to instruct the jury that it was a fact question whether V was a law enforcement officer. Nor does the record show that Lucero’s counsel affirmatively argued for the response to try and trick the court into error. Rather, the court raised the fact issue response after both parties suggested the jury should be told V was a law enforcement officer and it was only when the court suggested it might be a fact issue that the State agreed and Lucero’s counsel stated he was not sure of the law in the area but the response sounded correct. This is not the stuff of which invited error is made. Rather, fundamental error analysis should be applied on the ground that the conduct of Lucero’s counsel was only a waiver of an objection.
¶ 34 Our esteemed specially concurring colleague argues for a more expansive reading of the invited error doctrine to include any positive acquiescence of error. We see the difference between our respective positions as trying to draw a line between waiver and invited error when there is some affirmative conduct by a party in the trial court, but the party does not argue for the court to take certain action and then appeals when the court agrees to take the requested action. Thus, in this ease, Lucero’s counsel acquiesced in the response but neither proposed it nor argued for it. We see that as different from an attempt to strategically induce an error in the trial proceedings by independently proposing it or arguing for the error. We conclude the sanction of limiting review to fundamental error is a sufficient deterrent to a party positively stating he does not object to a course of action, but not proposing the course of action or arguing for it. Such limited review is also sufficient to ensure the rights of the defendant are protected without undue strain on the judicial system.
¶ 35 We also think the cases from other jurisdictions on which the special concurrence relies involved much more independent and affirmative proposal and support of the error than Lucero’s counsel’s statement acquiescing in the court’s suggestion.
¶36 In Kammeyer, the defendant pled guilty to two counts of burglary and to pay restitution to be determined.
¶ 37 In contrast to the facts in this case, in State v. Clay,
B. There Was No Fundamental Error
¶ 38 Although Lucero did not invite the error, he waived any objection to it, thus forfeiting appellate review unless the error was fundamental. Henderson,
¶ 39 Lucero is not entitled to relief under the fundamental error standard because the record shows that Lucero suffered no prejudice. The confession Lucero made to V. was cumulative and almost identical to the confession he made to his wife. See Fulminante,
CONCLUSION
¶ 40 For the forgoing reasons we affirm Lucero’s convictions and sentences.
Notes
. See Miranda v. Arizona,
. Our specially concurring colleague characterizes our holding on invited error as premising invited error on a waiver rather than an estoppel theory. We are expressly holding that waiver is subject to fundamental error analysis whereas invited error requires an affirmative, independent request by a party. Thus, the doctrinal basis for invited error does not sound in waiver.
. See, however, State v. Rubio,
. We recognize that it is possible the court in Smith was refusing to address the invited error doctrine merely because the State had not raised the doctrine in the court of appeals.
. We do not hold, as suggested by the concurrence, that the invited error doctrine only applies if the appellant is the sole source of the error. Infra, ¶ 42.
. The special concurrence also cites to State v. Islas,
Concurrence Opinion
specially concurring.
¶ 41 As observed by the majority, Arizona courts have not developed an explicit test to distinguish between error that is “invited” for which fundamental error review is unavailable and eiTor that is forfeited because not objected to, which may be reviewed for fundamental error. Thus, it is unclear as to what degree a defendant must contribute to a ruling by the trial court before the invited error doctrine precludes any review of the ruling on appeal. Compare State v. Logan,
¶ 42 I think the majority’s focus is misplaced. Instead, I would begin by recognizing that the doctrine of invited error (referred to by some courts as “induced” error) is based on the principles that underlie estoppel, not waiver. See Norgart v. Upjohn Co.,
¶43 Viewing Lucero’s action through an estoppel lens, I reach a different conclusion than does the majority regarding the applicability of the invited error doctrine. Lucero did more than simply not object to the court’s proposed instruction, he endorsed it. When the prosecutor suggested that the question whether the military investigator was a law enforcement official for voluntariness analysis might be a factual issue that should be submitted to the jury for its determination, defense counsel responded: “Yeah. I think because the fact he was in the military kind of clouds it.” Immediately after this response, the court informed counsel: “Right. All Right. My response to this question ... is “You have heard the facts of the case. It is up to you to make this determination. Judge Kemp.’ Any objection to that?” Defense counsel said: “No, that sounds right.”
¶ 44 As this exchange shows, defense counsel actively participated in the discussion and fully agreed with the court’s response. Although this situation does not present as clear a case of invited error as Logan, Lucero nonetheless led the court and prosecutor to believe that he thought the instruction was “right”; in other words, that he would not assert it as error on appeal. Under these circumstances, Lucero should be estopped by the invited error doctrine from having any claim of error reviewed on appeal. See Pandeli,
¶ 45 Cases from other jurisdictions support my view that a party who participates in or contributes to the error of which he complains on appeal is barred from having that claim reviewed. For example, in State v. Coleman,
¶ 46 To summarize, I believe that any error in the trial court’s response to the jury question was invited or induced by Lucero. Accordingly, I would hold that the claim is unreviewable and affirm Lucero’s convictions
