Lead Opinion
OPINION
¶ 1 We address in this Opinion issues concerning the applicability of collateral estoppel and related doctrines to an unappealed sup
Pertinent Factual and Procedural Background
¶ 2 On August 28, 2000, Richard Rome Whelan (“Defendant”) was arrested for one count of DUI while his driver’s license was suspended (“Count 1”) and one count of driving with a blood alcohol concentration of 0.10 or more within two hours of driving while his driver’s license was suspended (“Count 2”). Defendant was originally charged in Maricopa County Cause Number CR 2000-014594 for those offenses.
¶3 Defendant filed a motion to suppress evidence of the results of the blood test on the ground that the medical assistant who drew the blood was not a “qualified person” to draw blood under Arizona Revised Statutes (“A.R.S.”) section 28-1388(A) (Supp. 2003).
¶ 4 On August 30, 2001, this court decided the case of State ex rel. Pennartz v. Olcavage,
¶ 5 Defendant then filed a motion to dismiss Count 2 of the indictment and to suрpress the blood test results. He claimed that the judge was bound by the previous ruling of the court, alleging theories of collateral estoppel and “law of the case.” In its response, the State argued this court’s decision in Olcavage created a change in circumstances that allowed the earlier decision to be revisited. The State also argued that under Rule 16.1(d) of the Arizona Rules of Criminal Procedure (“Rule”), good cause existed which allowed the trial court to redetermine the issue previously decided by the first judge. The trial court denied Defendant’s motion to dismiss Count 2 of the indictment and suppress the blood test results.
¶ 6 The matter proceeded to trial. Defendant was convicted on Count 1, but acquitted on Count 2. Defendant was subsequently placed on supervised probation for four years. This appeal and cross-appeal followed.
Discussion
¶ 7 Defendant argues the trial court erred when it denied his motion to dismiss Count 2 of the indictment and suppress the blood test results. He claims the trial court was precluded from reconsidering the previous order suppressing the evidence on the grounds of res judicata, the doctrine of law of the ease, and Rule 16.1(d). The State responds that the issue is moot because Defendant was acquitted on Count 2. However, as Defendant points out, if the trial court erred in denying the motion to suppress the blood test results as well as the motion to dismiss Count 2 of the indictment, the issue is not moot. Because the results of the blood test could have influenced the jury in reaching its verdict on Count 1,
¶ 8 As an initial matter we note that this issue does not implicate the doctrine of the law of the case. “ ‘Law of the case’ concerns the practice of refusing to reopen questions previоusly decided in the same case by the same court or a higher appellate court.” Davis v. Davis,
¶ 9 Rule 16.1(d), like the law of the ease doctrine, is procedural and applies in the setting of the same case. As Rule 16.1(a) expressly provides, “[t]his rule shall govern the procedure to be followed in cases between arraignment and trial.” (Emphasis added.) Rule 16.1(d) expressly allows for the court in that setting to reconsider pre-trial rulings “for good cause.”
¶ 10 In this matter, although the underlying facts in each prosecution were identical and the charges were the same, there were two separate actions. Neither the law of the case doctrine nor Rule 16.1(d) directly applies in this setting. We realize that “law of the case” is the term utilized by this court in State v. Nahee,
¶ 11 Before turning to that question, however, we note that the distinctions between whether law of the ease and Rule 16.1(d) apply as opposed to collateral estoppel may be seen as turning on the type of “hypertechnical” analysis the Supreme Court has encouraged us to eschew in this area of the law. See Ashe v. Swenson,
2. Collateral Estoppel
¶ 12 Our cases hold that “[collateral estoppel is incorporated in the Fifth Amendment guarantee against double jeopardy binding on the states through the due process clause of the Fourteenth Amendment.” State v. Stauffer,
¶ 13 Our supreme court has held that “[t]he traditional elements of collateral estoppel are: [1] the issue sought to be relitigated must be precisely the same as the issue in the previous litigation; [2] a final decision on the issue must have been necessary for the judgment in the prior litigation; [and][3] there must be mutuality of parties.” State v. Jimenez,
¶ 14 The question as to whether an interlocutory suppression order, subject to appeal, is finаl for purposes of collateral estoppel has not been directly answered in Arizona. There is a dispute among the jurisdictions about whether collateral estoppel applies to such an order, even if that order is final for purposes of appeal. Compare People v. Williams,
¶ 15 The Restatement (Second) of Judgments § 28 provides as follows:
Although an issue is actually litigated and determined by a valid and final judgment, and the determination is essential to the judgment, relitigation of the issue in a subsequent action between the parties is not precluded in the following сircumstances:
(2) The issue is one of law and (a) the two actions involve claims that are substantially unrelated, or (b) a new determination is warranted in order to take account of an intervening change in the applicable legal context.
¶ 16 Application of the exception is appropriate here. See Barnes v. Outlaw,
¶ 17 Accordingly, even if we were to conclude (and we expressly reserve this issue) that the suppression order presented a “valid and final decision on the merits,” Garcia,
3. State v. Nahee
¶ 18 Defendant, and our dissenting colleague, rely upon State v. Nahee to reach a contrary result. In that case, the defendant, a member of the Yavapai Apache Tribe, was charged with four felony offenses. Nahee,
¶ 19 The basis for the motion to suppress in the second proceeding was thаt the exclusionary rule required suppression due to the violation of the tribal regulation. Id. The issue was “whether the mistakes of the tribal authorities are visited upon the state prosecution in the form of the invocation of the exclusionary rule.” Id. at 114,
¶ 20 As a prelude to its analysis, the Nahee court noted that “because the State failed to appeal [the trial court’s] order finding that the State of Arizona lacked jurisdiction ... this ruling is the law of thé case and binding on the State in this appeal.” Id. at 115,
¶22 In our view, Nahee is quite сlearly distinguishable. First, the order at issue in Nahee was the order of dismissal itself; it was not an interlocutory order. The order at issue here, a suppression order, was an interlocutory order that was subject to appeal. This distinction presents a completely different analysis as to whether there is a “final decision” for purposes of collateral estoppel. This is because an interlocutory order does not resolve a matter on the merits and may or may not be essential to the judgment. See Garcia,
¶ 23 Second, in Nahee there was no intervening change in the lаw. We do not address here the issue of whether an erroneous determination in a prior decision (without an intervening change in the law) qualifies for collateral estoppel.
¶ 24 Third, as to the brief reference in Nahee to law of the case itself, the dissent candidly acknowledges that the “explanation appears to be dicta.” Infra at ¶ 33. We agree with that assessment. The issue in Nahee was whether the exclusionary rule should apply to state authorities after an error by tribal authorities in applying a pretrial tribal regulation.
¶ 25 In short, we do not find Nahee to be applicable precedent to the issue presented here.
Conclusion
¶ 26 For the foregoing reasons, and those set forth in the accompanying Memоrandum Decision, we affirm Defendant’s conviction and remand the matter to the trial court for resentencing consistent with this court’s decision.
Notes
. This section was added by the legislature in 1998. 1998 Ariz. Sess. Laws, ch. 302, § 27. This Opinion refers to the current version of the statute, which is essentially the same as that in effect when Defendant was originally charged in CR 2000-014594.
. We simultaneously file a Memorandum Decision which rules on other issues raised on appeal and by way of cross-appeal.
. The blood test showеd an alcohol content of 0.071. At trial, and extrapolating from that result, one of the State's witnesses testified that Defendant’s blood alcohol content within an hour of his arrest would have been 0.104.
. Rule 16.1(d) provides in full as follows: "Except for good cause, or as otherwise provided by these rules, an issue previously determined by the court shall not be reconsidered.”
. As the following discussion will show, our determination as to the inapplicability of collateral estoppеl is based on an intervening change in the law. Infra ¶¶ 13-15. Because of that, we emphasize that our conclusion based on collateral estoppel principles would be no different if we
. After Defendant was convicted and sentenced, this court decided State v. Carrasco,
. We likewise do not address whether an erroneous determination, without an intervening change in the law, is or is nоt a sufficient basis to reconsider an earlier decision under Rule 16.1(d). We do note, however, that "reliance upon law of the case does not justify a court’s refusal to reconsider a ruling when an error in the first decision renders it manifestly erroneous or unjust." Powell-Cerkoney v. TCR-Montana Ranch Joint Venture, II,
Dissenting Opinion
dissenting.
¶ 27 The defendant was originally charged in Maricopa County Cause Number CR 2000-014594 with one count of DUI while his driver’s license was suspended and one count of driving with a blood alcohol concentration of 0.10 or more within two hours of driving
¶ 28 Approximately seven months later, Olcavage was decided.
¶ 29 Following Olcavage, the State re-filed the charges. The defendant filed a motion to dismiss Count 2 of the indictment, arguing that the judge was bound by the ruling in the first case, Maricopa County Cause Number CR 2000-014594.
¶ 30 The first issue is whether the doctrine of collateral estoppel precluded the trial judge from reconsidering the suppression order entered in Maricopa County Cause Number CR 2000-014594. It must be remembered that the State never appealed the order of suрpression following their motion to dismiss.
¶ 31 The defendant relies upon Nahee,
¶32 Subsequently, the defendant submitted to the jurisdiction of the superior court. Id. Upon submitting to the jurisdiction of the court, the defendant filed a motion to suppress. Id. In his motion, the defendant argued that based upon the court’s dismissal for lack of jurisdiction, he had been illegally arrested and the physical evidence obtained as a result of the illegal arrest should be suppressed. Id. The court granted the motion and the State dismissеd the ease without prejudice and appealed. Id.
¶ 33 On appeal, this Court explained that although the trial court erroneously dismissed the case for lack of jurisdiction, the ruling was the “law of the case” because the State failed to timely appeal. Id. at 115 n. 2,
¶ 34 The facts in Nahee are consistent with those in the present case. Here, the State moved to dismiss the case without prejudice so that it could appeal the trial court’s suppression ruling. The State, however, did not appeal. When this Court decided Olcavage, there were no charges pending against the defendant. The time for appeal had expired. Therefore, the case was not pending at the time that the law was clarified.
¶ 35 Once there has been a ruling adverse to the State and the case is dismissed, if the State then fails to appeal, the ruling becomes the “law of the case.” The State cannot sit back, wait for the law to change, and then reinstate the charges. If the State believes that the trial judge erred or that the existing
¶36 The State argues that even if the blood evidence was improperly admitted, the defendant was acquitted of Count 2 (BAC of 0.10 or more) and the еvidence was not relevant to Count 1 (driving while impaired to the slightest degree). I disagree.
¶ 37 Reversal is warranted when inadmissible evidence is put before the jury and it results in prejudice to a defendant. See Celaya,
¶ 38 Here, the State was not able to prove that the defendant had a BAC of 0.10 or more within two hours of driving while his driver’s license was suspended, as allegеd in Count 2. The jury, however, found the defendant guilty of Count 1, which alleged that the defendant had been driving while impaired to the slightest degree while his driver’s license was suspended. The admission of blood evidence reflecting the defendant’s ingestion of alcohol was highly relevant to the allegation that the defendant was impaired to the slightest degree. Although the State was not able to prove that the defendant had a BAC of 0.10 or more within two hours of driving, the evidence strongly suggests that the dеfendant had alcohol in his blood. The jury could have reasonably concluded that the defendant was impaired to the slightest degree because he had ingested alcohol as reflected by the blood test. The admission of the blood evidence prejudiced the defendant.
¶ 39 I would reverse the defendant’s conviction and sentence.
. Although the first action was dismissed, the doctrine of "law of the case” applies because the State reindicted the defendant on the same charges that arose out of the same transaction or occurrence as the original indictment. See, e.g., Nahee,
