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OPINION
HENDLEY, Judge.
Plaintiffs recovered in a medical malpractice action against defendant. Plaintiffs appeal on the grounds that the trial court inadvertently failed to give a special interrogatory on the need for future medical care. NMSA 1978, § 41-5-7(A) (Repl. Pamp.1982). The trial court ruled that plaintiffs had waived their rights by failing to bring the inadvertent omission to its attention. We agree.
Plaintiffs had tendered a correct interrogatory, NMSA 1978, UJI Civ. 11.40 (Repl. Pamp.1980). The court accepted it, but inadvertently failed to give the interrogatory to the jury after liability was found. Plaintiffs did not call this to the attention of the trial court until after the jury was discharged.
Plaintiffs rely heavily on Gerrard v. Harvey & Newman Drilling Co., 59 N.M. 262, 282 P.2d 1105 (1955). However, the fundamental law issue upon which plaintiffs rely from Gerrard was a one-judge holding. As such, it is not the holding of our supreme court. See Primus v. Clark, 58 N.M. 588, 273 P.2d 963 (1954), and Casias v. Zia Co., 94 N.M. 723, 616 P.2d 436 (Ct.App.1980). Even if we were to follow the one-judge rule in Gerrard, plaintiffs would not be aided. The special interrogatory is not an instruction on an essential element. An essential element is one which goes to the making of a prima facie case. See generally State v. Gunzelman, 85 N.M. 295, 512 P.2d 55 (1973); State v. Lujan, 76 N.M. 111, 412 P.2d 405 (1966); and State v. Montoya, 72 N.M. 178, 381 P.2d 963 (1963).
The general rule is that in order for an error to be preserved for review it must be brought to the trial court’s attention. State v. Baize, 64 N.M. 168, 326 P.2d 367 (1958). The purpose of the rule is to alert the trial court so that it has an opportunity to correct the error. City of Albuquerque v. Ackerman, 82 N.M. 360, 482 P.2d 63 (1971). This fundamental purpose must be a part of all rules on the subject. The present issue is one of first impression in New Mexico.
Plaintiffs basically argue that, once a tendered instruction was accepted by the trial court, they had fulfilled their obligation and any error was preserved for review. We disagree under the facts of this case.
In Fantl v. Joyce Pruitt Co., 34 N.M. 573, 286 P. 830 (1930), appellee introduced a letter into evidence and appellant objected. Appellee announced a limited purpose for the evidence. The court admitted the letter, stating that it would limit the use of the evidence in its instructions to the jury. The court inadvertently failed to give the limiting instruction. Appellant did not tender an instruction, nor did he object to the court’s omission. The supreme court held that appellant had waived his claim to error because he had tendered no instruction, and in no manner called the court’s attention to the matter again.
A party is required to object in order to preserve error when the court inadvertently omits an accepted instruction. To rule differently would create an anomalous situation in which a party is relieved of vigilance when an instruction is entirely omitted, but is required to be vigilant when an instruction is erroneously stated. See Goldenberg v. Law, 17 N.M. 546, 131 P. 499 (1913). We hold that a party is required to bring to the court’s attention the court’s inadvertent failure to instruct the jury on a properly tendered and accepted instruction. Because plaintiffs in this case failed to do so, they waived their right to claim error.
Plaintiffs also argue that they were never given an opportunity to object to the omission of their instruction. They include in their brief an excerpt from a supplemental record, not in the court record, of the exchange between the court and jury as the jury was excused. Aside from the issue of the court’s inability to review matters not in the record, see Morgan v. State Board of Education, 80 N.M. 754, 461 P.2d 236 (Ct.App.1969), plaintiffs do not indicate that they attempted to object when the jury stated the award — that is, it would be at that point that the plaintiffs should have realized that the jury had not considered future medical care. The parties apparently agreed at trial that the special interrogatory was to be given after the jury verdict of liability. We find nothing to indicate that the court attempted to prevent the plaintiffs from objecting. This argument is likewise without merit.
Affirmed.
IT IS SO ORDERED.
DONNELLY, C.J., and MINZNER, J., concur. | [
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OPINION
HARTZ, Judge.
Defendant appeals his convictions on charges of armed robbery, aggravated burglary, and assault with intent to commit a violent felony arising from the robbery of the Graves service station and convenience store on 20th Street in Farmington. Defendant raises three issues on appeal: (1) whether the district court erred in refusing to quash the indictment, (2) whether he was subjected to double jeopardy by being convicted and sentenced for both armed robbery and assault with intent to commit a violent felony, and (3) whether the district court erred in admitting a hearsay statement that identified Defendant as the perpetrator of the robbery. We remand to the district court with directions, to vacate the conviction for assault with intent to commit a violent felony but affirm the judgment below in all other respects.
I. ISSUES DECIDED SUMMARILY
The first two issues require little discussion. Defendant contends that the district court abused its discretion in denying his motion to quash the indictment. He based the motion to quash on the alleged failure of the district attorney to notify him that he was a target of the grand jury. The record reveals, however, that Defendant did not demonstrate any prejudice arising from the claimed lack of notice. Therefore, the motion to dismiss had no merit. See State v. Dominguez, 115 N.M. 445, 456, 853 P.2d 147, 158 (Ct.App.), cert. denied sub nom., 115 N.M. 409, 852 P.2d 682 (1993).
Defendant fares better on his second issue. The State concedes that Defendant is entitled to vacation of the conviction of aggravated assault with intent to commit a violent felony. See State v. Pierce, 110 N.M. 76, 87, 792 P.2d 408, 419 (1990). We therefore remand to the district court to vacate that conviction.
II. HEARSAY EXCEPTION FOR STATEMENTS AGAINST PENAL INTEREST
The remaining issue raised by Defendant is whether the district court erred in allowing Juliette Hoffman to testify to a statement made to her by Rachel Martinez, Defendant’s girl friend. At trial Defendant objected that the statement was hearsay and that no foundation for admission had been laid. The State argued that the statement was admissible under the hearsay exception for statements contrary to penal interest. See SCRA 1986, 11-804(B)(4) (Repl.1994). A hearsay statement is admissible under Rule 11-804(B)(4) if (1) the declarant is unavailable as a witness and (2) the statement “at the time of its making ... so far tended to subject the declarant to ... criminal liability ... that a reasonable person in the declarant’s position would not have made the statement unless believing it to be true.” Id. Defendant contends that neither requirement was satisfied.
On appeal we need consider only those arguments against admissibility that were raised by Defendant in the district court. See SCRA 1986, 12-216(A) (Cum. Supp.1994). Unfortunately, we cannot determine what Defendant argued below. The bench conference regarding the objection is incomprehensible on the trial tape recording, which is the sole record of the proceeding. For purposes of this appeal, defense counsel should have prepared a statement of proceedings reconstructing what occurred at the bench conference. SCRA 1986, 12-211(H) (Repl.Pamp.1992). Counsel’s failure to attempt to reconstruct the record could cause this Court to impose sanctions, including refusal to consider an issue on the ground that there is no record that the issue was preserved for appeal. Cf. State v. Moore, 87 N.M. 412, 534 P.2d 1124 (Ct.App.1975) (when trial record could not be reconstructed, new trial was required because unavailability of record would deprive defendant of constitutional right to appeal). On this occasion we only issue a warning of the potential consequences of such a failure in the future. We assume that Defendant preserved below all the arguments he raises on appeal.
A. Unavailability
We first address the unavailability requirement. Under the rule a declarant is unavailable if she “is absent from the hearing and the proponent of a statement has been unable to procure [her] attendance by process or other reasonable means.” SCRA 11-804(A)(5). Detective Peter Doerfert testified as follows regarding Martinez’s unavailability as a witness: She had been served with a subpoena for an earlier proceeding against Defendant, but she did not appear. He had unsuccessfully attempted to locate her in Farmington. There was an outstanding warrant for her arrest and an all points bulletin had been issued. Because he had an address for her in Las Cruces, he sought help from the Las Cruces police department, but the department was unable to locate her. He had also asked a partner to contact police in Albuquerque to look for her. Because the district court could find that this evidence established a reasonable effort to procure Martinez’s attendance at the trial, it did not commit error in ruling that she was unavailable. See State v. Ewing, 97 N.M. 235, 238-39, 638 P.2d 1080, 1083-84 (1982).
B. Penal Interest
We now turn to the second requirement for admissibility—that the statement was against the declarant’s penal interest. Hoffman testified about a conversation during which Martinez, her close friend, identified Defendant as the perpetrator of the armed robbery. The subject of the robbery arose when Hoffman asked Martinez to accompany her to court, apparently on another matter. Martinez responded that she did not want to go because she was supposed to take a polygraph test and “was trying to run away from it.” When Hoffman asked why Martinez needed to take the test, Martinez explained that it related to an armed robbery on 20th Street. Martinez said that she, Defendant, Vanessa Durfee, and a fourth, unnamed person were together in Durfee’s car when they planned the robbery of the Graves convenience store. After they drove to the store, Martinez and Durfee stayed in the car while Defendant and the fourth person went into the store. Martinez also told Hoffman that Defendant had a knife when he went into the store.
Under Rule 11-804(B)(4) the statement implicating the declarant in criminal activity must be made in such circumstances that a reasonable person would not falsely make the admission. Interpreting Federal Rule of Evidence 804(b)(3), which is virtually identical to our Rule 11-804(B)(4), a federal appellate court explained:
The Rule does not require that the declarant be aware that the incriminating statement subjects him to immediate criminal prosecution. Rather, it simply requires that the incriminating statement sufficiently “tended” to subject the declarant to criminal liability “so that a reasonable man in his position would not have made the statement unless he believed it to be true.”
United States v. Lang, 589 F.2d 92, 97 (2d Cir.1978) (admitting statement made to person to whom declarant had recently sold counterfeit bills). The trial court must, in light of the circumstances surrounding the statement, make an informed, reasoned analysis of its trustworthiness. See State v. Huerta, 104 N.M. 840, 342, 721 P.2d 408, 410 (Ct.App.1986). We defer to the sound discretion of the trial court in conducting this analysis. See State v. Johnson, 99 N.M. 682, 687, 662 P.2d 1349, 1354 (1983).
The identity of the person to whom the statement was made may be a critical factor. See United States v. Bagley, 537 F.2d 162, 165 (5th Cir.1976), cert. denied, 429 U.S. 1075, 97 S.Ct. 816, 50 L.Ed.2d 794 (1977). The Advisory Committee Note to Federal Rule of Evidence 804 states:
[A] statement admitting guilt and implicating another person, made while in custody, may well be motivated by a desire to curry favor with the authorities and hence fail to qualify as against interest____ On the other hand, the same words spoken under different circumstances, e.g., to an acquaintance, would have no difficulty in qualifying.
Although a statement acknowledging criminal activity to a friend or confidante may well not be repeated to police authorities, see United States v. Matthews, 20 F.3d 538, 546 (2d Cir.1994) (statements volunteered to girl friend in private recesses of their home with “no reason to expect that his admission would ever be disclosed to the authorities”), such a statement is sufficiently against self-interest that a reasonable person is unlikely to make it unless it is true. Thus, federal and state courts have regularly admitted statements to acquaintances under the penal interest exception to the hearsay rule. See id.; United States v. Katsougrakis, 715 F.2d 769, 776 (2d Cir.1983) (trustworthiness shown by lack of any “persuasive showing that [the declarant] had an ulterior motive when conversing with his friend”), cert. denied, 464 U.S. 1040 (1984); United States v. Brainard, 690 F.2d 1117, 1125 (4th Cir.1982) (statement to secretary); United States v. Hamilton, 19 F.3d 350, 357 (7th Cir.) (declarant’s statements made to a cell mate with whom he discussed legal strategy at length), cert. denied, — U.S. -, 115 S.Ct. 480, 130 L.Ed.2d 394 (1994); United States v. Goins, 593 F.2d 88, 91 (8th Cir.) (“Acknowledgement of criminal activity is generally made only to confidants or to persons in whom the declarant imposes trust.”), cert. denied, 444 U.S. 827, 100 S.Ct. 52, 62 L.Ed.2d 35 (1979); Maugeri v. State, 460 So.2d 975, 978 (Fla. Dist.Ct.App.1984) (statement to girl friend); cf. Bagley, 537 F.2d at 165 (“We do not think that a reasonable man would falsely admit the commission of a serious crime to his cell mate, knowing that there was a chance, even if slight, that this admission could be used to convict him[.]”). But see United States v. Battiste, 834 F.Supp. 995, 1006-07 (N.D.Ill. 1993); United States v. Dillon, 18 M.J. 340, 344-45 (C.M.A.1984). One reason for judicial comfort with admissions of criminal activity to friends is that the statements are unlikely to be coerced or otherwise improperly extracted and are unlikely to be motivated by a wish to curry favor with authorities. See Matthews, 20 F.3d at 546. In a recent ruling that a hearsay declaration was inherently reliable, our Supreme Court noted that the declaration was “made in the course of confidential discussions between close friends.” State v. Williams, 117 N.M. 551, 561, 874 P.2d 12, 22 (1994).
Here, Martinez made the statement implicating herself, along with Defendant and two others, to a friend in whom she often confided. Her statement could expose her to criminal prosecution. The district court could properly find that a reasonable person would not have made the statement unless she believed it to be true. Therefore, admission of the statement under Rule 11-804(B)(4) was not an abuse of discretion.
Defendant points to evidence at trial that was inconsistent with the hearsay statement. But there is neither a legal nor factual basis for excluding the statement on the ground that it was not corroborated as trustworthy by other evidence of the crime. Rule 11-804(B)(4) requires that “corroborating circumstances clearly indicate the trustworthiness of the statement” only when the statement is “offered to exculpate the accused.” (Emphasis added.) Although the circumstances surrounding the making of the statement are certainly relevant in determining whether a reasonable person would falsely make the statement, other types of evidence corroborating or contradicting the hearsay statement are irrelevant to admissibility of a statement incriminating the accused. Huerta, 104 N.M. at 342, 721 P.2d at 410, may appear to require such corroborating evidence. But Huerta relied on federal cases that based this requirement on the Confrontation Clause, U.S. Const, amend. VI, and those cases have since been undercut by Idaho v. Wright, 497 U.S. 805, 822, 110 S.Ct. 3139, 3150, 111 L.Ed.2d 638 (1990) (“To be admissible under the Confrontation Clause, hearsay evidence used to convict a defendant must possess indicia of reliability by virtue of its inherent trustworthiness, not by reference to other evidence at trial.”). Indeed, the federal circuit that produced the leading opinion, United States v. Alvarez, 584 F.2d 694 (5th Cir.1978), which was relied upon by Huerta, 104 N.M. at 342, 721 P.2d at 410, has recognized that, after Wright, such corroborating evidence is irrelevant. See United States v. Flores, 985 F.2d 770, 774-75 (5th Cir.1993). We therefore limit Huerta accordingly. See State v. Nielsen, 316 Or. 611, 853 P.2d 256 (1993) (en banc) (adopting same approach). Moreover, even if we were to consider corroborating and contradictory evidence other than the circumstances under which the hearsay statement was made, there was ample corroboration of Martinez’s statement in this case.
Insofar as Defendant argues that Hoffinan’s testimony was unreliable, he is not raising a hearsay issue. Hoffman was present in court and subject to cross-examination. The witness’s reliability is irrelevant to the admissibility of the statement by the declarant. See Williams, 117 N.M. at 561, 874 P.2d at 22.
Finally, we reject Defendant’s contention that admission of the hearsay statement violated his constitutional right to confront his accusers. The statement was sufficiently reliable to satisfy the Confrontation Clause. See State v. Earnest, 106 N.M. 411, 412, 744 P.2d 539, 540, cert. denied, 484 U.S. 924, 108 S.Ct. 284, 98 L.Ed.2d 245 (1987); Matthews, 20 F.3d at 544-46; Flores, 985 F.2d at 780 (statements against penal interest “made to a personal acquaintance in a noninvestigatory context where the setting suggests no motive to speak falsely” are likely to be sufficiently trustworthy); Maugeri, 460 So.2d at 977-79.
For the foregoing reasons, the convictions for armed robbery and aggravated burglary are affirmed. We remand to the district court with directions to vacate the conviction of assault with intent to commit a violent felony and for entry of an amended judgment and sentence consistent with this opinion.
IT IS SO ORDERED.
BLACK and FLORES, JJ., concur.
. We recognize that under Williamson v. United States, - U.S. -, 114 S.Ct. 2431, 129 L.Ed.2d 476 (1994), it may have been proper to exclude from evidence portions of Martinez's statement. Defendant, however, did not raise on appeal the issue considered in Williamson, and there is no indication that the issue was raised below. In this circumstance we will not rely on Williamson to reverse. See State v. Barraza, 110 N.M. 45, 48, 791 P.2d 799, 802 (Ct.App.), cert. denied, 109 N.M. 704, 789 P.2d 1271 (1990). | [
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] |
OPINION
HENDLEY, Judge.
Plaintiffs, residents of the City of Farmington, New Mexico, own property located within an improvement district created by the City of Farmington. The district was created under the authority of NMSA 1978, Sections 3-33-1 to -43 (Repl.Pamp.1984). Plaintiffs were assessed for part of the costs of certain road improvements within the district. Subsequently, plaintiffs filed a petition in district court objecting to the assessment and asking for an injunction prohibiting the City from assessing them. Plaintiffs claimed that the assessment of the properties exceeded benefits, and that the City’s method for determining benefits was arbitrary. The trial court dismissed plaintiffs’ complaint. The court found that plaintiffs failed to present evidence which would support a conclusion that the City acted arbitrarily, capriciously, or unreasonably in assessing their property. The court concluded, as a matter of law, that the City’s actions in regard to plaintiffs’ properties were valid and regular in all respects. Plaintiffs appealed. We affirm.
A governing body can create an improvement district when it determines a district is necessary for public safety, health, and welfare. It may create the district by the provisional order method or by the petition method. With certain exceptions not relevant in this case, the district includes, for purposes of assessment, all property which the governing body determines is benefited by the improvements, and which abuts any street on which an improvement is to be constructed. Section 3-33-1. An improvement district can be created to construct, among other things, curbs, gutters, and sidewalks, as well as to pave and repave streets. Section 3-33-3. Under the provisional order method, which was used by the City in this case, the governing body directs the (City’s) engineer to prepare preliminary plats and an estimate of the costs of the improvement district. The engineer is required to prepare an assessment plat of the area to be included in the district, and an addendum to the plat showing the amount of maximum benefit estimated to be assessed against each tract or parcel on the front foot, zone, area, or other equitable basis. Section 3-33-11. The front foot basis was used in this case.
Standard of Review
We review the City’s determination that the assessed property will be benefited by the improvement only to determine whether the City acted in an arbitrary manner in reaching its decision. Oliver v. Board of Trustees of Town of Alamogordo, 35 N.M. 477, 1 P.2d 116 (1931). As stated in Feldhake v. City of Santa Fe, 61 N.M. 348, 300 P.2d 934 (1956):
The underlying reason for the court’s taking the determination of the municipal council to be conclusive, in the absence of fraud or conduct so arbitrary as to be the equivalent of fraud, is that the council is a legislative body and has a right within the scope of its powers to legislate for the city. The courts cannot legislate and any legislative action by a duly constituted legislative body is final and binding as far as the courts are concerned except for the existence of fraud or such arbitrary conduct as amounts to fraud.
* * * * # *
* * * [T]he burden of proof as to fraud or arbitrary conduct equivalent to fraud necessarily rests upon him who makes an attack upon the action of the city in determining that a municipal improvement district shall be established.
See also Bowdich v. City of Albuquerque, 76 N.M. 511, 416 P.2d 523 (1966); Teutsch v. City of Santa Fe, 75 N.M. 717, 410 P.2d 742 (1966); Hedges v. City Commission of City of Albuquerque, 62 N.M. 421, 311 P.2d 649 (1957); Shalit v. City Commission of City of Albuquerque, 62 N.M. 55, 304 P.2d 578 (1956).
Method Used to Assess Benefit
The first issue on appeal is whether the method used by the City to determine benefits to plaintiffs’ properties was arbitrary. The consulting engineer hired by the City to prepare documents for the assessment hired, in turn, an appraiser to assist him in determining benefits to properties located within the improvement district. The following is an outline of the procedure followed by the appraiser in his determination of benefits to the assessed properties:
1. He looked at residential properties recently sold in Farmington. He divided the properties into three price categories: $16,000-$40,000; $40,000-$75,000; over $75,000.
2. He determined the per-square-foot selling price for residential properties in the lowest price category, breaking those properties into a group with paving, and a group without paving. The average value of the unpaved group: $29.64 per square foot; the average value of the paved group: $32.44 per square foot.
3. He figured the percentage difference between the paved and unpaved selling prices. There was a 9.4% increase in price from the unpaved to the paved.
4. He took the average sale price of a house in the lowest priced unpaved group— $30,200. A 9.4% increase over $30,200 is $2,838.
5. He determined the typical lot frontage in the lower-priced category — seventy feet.
6. He took the average increase in value (at no. 4 above), and divided it by the typical lot footage of seventy feet, and arrived at a figure of $40.54 benefit per front foot in the lowest price category.
7. He was informed by the engineers that costs were estimated at $37.50 per front foot, so he adjusted the benefits per-front-foot figure to equal the cost figure.
Plaintiffs argue that this method was arbitrary because it provided a meaningless comparison. They claim the comparison was meaningless because the sample properties used by the appraiser, consisting exclusively of residential properties, were fundamentally different from plaintiffs’ properties. Plaintiffs’ tracts were vacant lots. Other parcels were vacant trailer lots. The gist of plaintiffs’ argument is that the benefit a residential lot receives from an improvement cannot be compared to a benefit a vacant lot receives. Because the two cannot be compared, plaintiffs contend the City’s method of determining plaintiffs’ benefits by comparing their property to residential property was arbitrary. It is important to note that plaintiffs do not attack the comparison method of appraisal itself, but only the City’s choice to use residential properties rather than vacant properties in its model.
Underlying plaintiffs’ argument is their assumption that they are entitled to have their property assessed on the value of its present use. We disagree. 14 E. McQuillin, The Law of Municipal Corporations § 38.33 (3d ed. 1970) states:
Market value is often taken to measure the benefits, but the measure of special benefits to the properties is not solely that of enhanced value thereof. In determining whether property has been benefited, the question is whether the market value of the property has been increased by the improvement, and it is not confined to benefits conferred for the particular use to which it is being devoted at the time____ The use to which the property is put cannot of itself determine the question of benefits, but the usual test is the increase of value for any use to which the land might be adapted. [Footnotes omitted.]
See also City of Dallas v. Firestone Tire & Rubber Co., 66 S.W.2d 729 (Tex.Civ.App. 1933). In discussing whether the present use of assessed property was determinative of the amount of benefits accruing to the property, the court in City of Hallandale v. Meekins, 237 So.2d 318 (Fla.App.1970) (quoting Howard Park Co. v. City of Los Angeles, 119 Cal.App.2d 515, 259 P.2d 977 (1953)), reasoned:
“We are constrained to hold that a special use to which property is put cannot be considered as affecting the amount of benefits, but, that such amount is to be measured by the benefit which would be received by the property if devoted to any use which might reasonably be made of it. It would be inequitable and unfair to exempt particular property from an assessment when a special use is voluntarily made of it by the owner, and which he may change at any time so as to reap the benefits of an improvement that does not, at the time an assessment is made, benefit him because of a special use to which he has voluntarily put his property.”
See also City of Lawton v. Akers, 333 P.2d 520 (Okl.1958). We adopt the rule that benefits can be determined by considering reasonable future uses to which the property can be put. We hold that it was reasonable to assume that plaintiffs’ properties can be put to lowest-price-category residential uses in the future. In light of this holding, we conclude it was not arbitrary for the City to use the value of residential properties when determining the benefits to accrue to plaintiffs’ properties. Compare City of Dallas v. Firestone Tire & Rubber Co. (it was error for trial judge to charge jury that it might not consider reasonable probabilities for future use if sufficiently near in time and definite in kind to be of practical importance) and City of Lawton v. Akers (where plaintiffs’ lots were restricted by covenant to residential purposes, it could not be said that they may within the foreseeable future be converted to business properties and thus benefited by the improvement). In light of our holding, if it is reasonable to assume that plaintiffs’ properties can be put to lowest-price category residential uses in the future, then it was not arbitrary and fraudulent for the City to use the value of residential properties when determining the benefits to accrue to plaintiffs’ properties.
The Clayton properties consist of a vacant 9.7-acre tract and four smaller trail er lots. The large tract is adjacent to a planned shopping center. Plaintiff Clayton testified that he would lease his property for business building purposes if the price was right. The area surrounding the Clayton properties has been platted and subdivided, indicating that it is reasonable to assume that the land can be developed in the future. We hold that this is substantial evidence to support the trial court finding that the City’s use of a model based on future use of properties for determining the value of the benefits to the Clayton properties was not arbitrary.
The Walling property consists of a 6-acre vacant lot. Only the eastern portion of his property abuts the improvement, so only that portion was assessed. Plaintiffs fail to mention in their brief, however, that the City reduced Walling’s assessment by 75%. The original assessment, based on $37.50 per front foot, was for $13,690.00. That figure was reduced to $3,422.50.
The 75% reduction in assessment takes the Walling property out of, and far below, the category of lowest-priced residential properties against which benefits were determined for properties within the improvement district. Because of this radical reduction, we do not entertain Walling's argument that the City erred in comparing his property to residential property. The record does not support his claim that the City in fact applied the method challenged on appeal to his property.
Plaintiff Walling’s argument becomes, then, a bare assertion that his property is not benefited by the improvement. The crux of his argument is that, because of the difference in elevation between his property and the improved road, there will be no access to the improvement from his property. However, the City produced evidence that it considered dust and drainage control to be beneficial to the Walling land, and that it reduced the Walling assessment by 75% to compensate for the access problem. This is substantial evidence to support the trial court finding that the City did not act arbitrarily in its assessment on the Walling property.
The second issue is whether the City acted arbitrarily in assessing plaintiff Walling when, although his land abutted the improvement, he had no access to the improvement from his land. As discussed above, the City presented substantial evidence of other benefits to the Walling property to support the trial court’s finding that the City did not act arbitrarily in assessing the Walling property.
The final issue on appeal is whether the City acted arbitrarily in assessing plaintiff Walling when the improvement abutting his land involved repaving of a street. Plaintiffs’ contention is totally without merit. “[Rjepaving is a continuation of the paving power and the benefited owners may be assessed for the cost.” Bowdich. Furthermore, Section 3-33-3(A) specifically enumerates repaving as a project which an improvement district may engage in.
The trial court’s dismissal of plaintiffs’ complaint is affirmed.
IT IS SO ORDERED.
NEAL and MINZNER, JJ., concur. | [
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OPINION
MINZNER, Judge.
Plaintiff Josina Romero appeals from the district court’s decision granting summary judgment to defendant Ole Tires, Inc. We affirm.
Romero filed a complaint for money damages on July 28, 1982, alleging negligence, carelessness, and recklessness against Jerry Mondragon as a result of an automobile accident on August 21, 1979. The complaint was filed some twenty-four days before the running of the applicable statute of limitations and named only Mondragon as party defendant.
Mondragon’s deposition was taken on November 4, 1982, after the statute of limitations had run. During the deposition, Romero and her present attorney learned for the first time that Mondragon was employed by Ole Tires at the time of the accident. The record does not reflect whether Romero's first attorney, retained shortly after the accident, knew of or attempted to discover this fact.
Romero moved to amend her complaint on November 30, 1982, to include a respondeat superior claim against Ole Tires based on Mondragon’s deposition testimony. The trial court granted her motion on December 20, 1982. Romero then entered into a settlement with Mondragon personally and executed a release on December 21, 1982. Mondragon was dismissed on January 5, 1983, and Romero proceeded against Ole Tires on the respondeat superior claim. Service of the summons and amended complaint was made upon Ole Tires on January 18, 1983.
Ole Tires moved for summary judgment on August 8, 1983. Romero then moved to amend her complaint to assert an additional claim against Ole Tires, negligent entrustment, on the basis that Ole Tires knew or should have known that Mondragon was unfit to drive a vehicle.
The district court filed its final judgment on October 3, 1983, dismissing Romero’s complaint against Ole Tires on two grounds:
1. The statute of limitations is a bar to plaintiff’s bringing of this action against defendant Ole Tires, Inc., the requirements of New Mexico Rule of Civil Procedure 15(c) not having been met.
2. Regardless of the wording of the particular Release given by plaintiff to defendant Jerry Mondragon, the Release of defendant Jerry Mondragon releases his employer, defendant Ole Tires, Inc.[,] liability of the employer being predicated solely on respondeat superior.
The district court never ruled expressly on Romero’s second motion to amend, presumably because of its ruling on the statute of limitations defense.
Romero argues that the respondeat superior claim which represents the addition of a party and of a claim against the party is not barred by the three-year statute of limitations provided by NMSA 1978, Section 37-1-8, because the amended complaint relates back to the timely filing of the original complaint. See NMSA 1978, Civ.P.R. 15(c) (Repl.Pamp.1980). Ole Tires contends that the necessary requirements of the relation back rule are not satisfied as to this claim. Alternatively, Ole Tires argues that the release barred the first amended complaint and that the statute of limitations would bar the negligent entrustment claim, because the necessary requirements of the relation back rule are not satisfied as to this claim.
We affirm the trial judge’s conclusion that the requirements of Rule 15(c) have not been met as to the first claim. As a result, we do not reach the issue of the release. Further, we hold that his conclusion as to the first claim effectively disposes of the second claim.
1. Respondeat Superior Claim
There is no dispute that Romero did not assert this claim against Ole Tires until the statute of limitations had run. Absent grounds for avoiding the statute, Ole Tires was entitled to summary judgment as a matter of law. Cf. Mantz v. Follingstad, 84 N.M. 473, 505 P.2d 68 (Ct.App.1972) (trial judge properly dismissed claims as time-barred at beginning of trial).
Romero can avoid the statute’s bar if the first amended complaint relates back to the filing of the original complaint under the requirements of Rule 15(c). See generally 3 J. Moore, Moore’s Federal Practice ¶ 15.15[4.-2] (1984).
Ole Tires, as the party moving for summary judgment, had the burden of making a prima facie showing that there was no genuine issue of material fact and that it was entitled to judgment as a matter of law. Goodman v. Brock, 83 N.M. 789, 498 P.2d 676 (1972). Ole Tires made its prima facie case as to the statute of limitations by demonstrating the respective dates on which the accident occurred and the amended complaint was allowed. Thereafter, Romero had the burden of showing the existence of facts that would satisfy the requirements of Rule 15(c). Cf. Stringer v. Dudoich, 92 N.M. 98, 583 P.2d 462 (1978) (the party claiming that a statute of limitations should be tolled, in resisting a motion for summary judgment, has the burden of alleging sufficient facts that, if proven, toll the statute).
Rule 15(c) provides:
Whenever the claim or defense asserted in the amended pleading arose out of the conduct, transaction or occurrence set forth or attempted to be set forth in the original pleading, the amendment relates back to the date of the original pleading. An amendment changing the party against whom a claim is asserted relates back if the foregoing provision is satisfied and, within the period provided by law for commencing the action against him, the party to be brought in by amendment (1) has received such notice of the institution of the action that he will not be prejudiced in maintaining his defense on the merits, and (2) knew or should have known that, but for a mistake concerning the identity of the proper party, the action would have been brought against him.
There is no dispute between the parties that this claim arose out of the occurrence set forth in the original pleading. The dispute concerns whether conditions (1) and (2) are satisfied by the facts of this case.
Romero must satisfy Rule 15(c)(1) and (2) to establish that the amended complaint relates back. With the amended complaint, Romero was seeking to add a party to the lawsuit. The word “changing” should be given a liberal construction, so that amendments adding or dropping parties as well as amendments that substitute parties fall within the Rule. See 6 C. Wright & A. Miller, Federal Practice and Procedure § 1498, at 511 (1971).
Under Rule 15(c)(1) and (2), the party to be added must receive “such notice” of the institution of the action that he or she will not be prejudiced in maintaining the defense and must know, or should have known, that “but for a mistake concerning the identity of the proper party,” the plaintiff would have brought the action against the new party. The rule contains at least two notice requirements, both of which must be satisfied within the limitations period. See generally Note, Federal Rule of Civil Procedure 15(c): Relation Back of Amendments, 57 Minn.L.Rev. 83 (1972). The required notice may be formal or informal. See Fed.R.Civ.P. 15(c), Advisory Committee’s Note, 39 F.R.D. 83 (1966). The notice requirements protect the defendant’s right to invoke a statute of limitations defense. See 6 Wright & Miller, § 1498 (Supp.1983).
Although Romero stresses several facts in support of her contention that the first notice requirement was satisfied, we need not decide what notice Rule 15(c)(1) requires, because under the facts of this case Romero has not demonstrated that within the limitations period Ole Tires knew or should have known that “but for a mistake concerning the identity of the proper party, the action would have been brought against” Ole Tires. See Rule 15(c)(2). The facts on which Romero has relied do not establish a “mistake” within the meaning of Rule 15(c)(2).
There is no evidence of any action on the part of Ole Tires that constitutes grounds for estoppel regarding mistake as to proper party. See Slack v. Treadway Inn of Lake Harmony, Inc., 388 F.Supp. 15 (M.D.Pa.1974). There is no evidence of inadvertence due to mistaken identity. This is not a case of misnomer. Cf. Greig v. Griffel, 49 Ill.App.3d 829, 7 Ill.Dec. 499, 364 N.E.2d 660 (1977) (construing Illinois statute permitting a party to be added after the statute of limitations has run when the failure to join was “inadvertent”). No other grounds justifying application of Rule 15(c) are reflected in the record. Rather, the situation appears to be one in which, lacking information that might have been discovered, a party did not plead a potential claim.
Romero has argued that we should adopt a more liberal definition of “mistake.” See Williams v. Avis Transport of Canada, Ltd., 57 F.R.D. 53 (D.Nev.1972) (“[a] mistake within the meaning of the rule exists whenever a party who may be liable for the actionable conduct alleged in the Complaint was omitted as a party defendant,” 57 F.R.D. at 55). Accord Taliferro v. Costello, 467 F.Supp. 33 (E.D.Pa.1979).
The language of these cases seems to us too expansive in light of the purpose behind Rule 15(c). See Raven v. Marsh, 94 N.M. 116, 607 P.2d 654 (Ct.App.1980). The word “mistake,” as used in Rule 15(c), does not ordinarily encompass failure to include a proper party as a result of lack of knowledge that the party exists. See Wood v. Worachek, 618 F.2d 1225 (7th Cir.1980). The parties here do not fall within any exception to this principle.
The cases cited by Romero in fact do require more than the absence of a potentially liable party. They also require that, within the limitations period, the party to be added know or have reason to know that it was a likely party to the plaintiff’s suit. Such a requirement protects the potential defendant’s right to rely on the statute of limitations. Absent such knowledge the defendant is entitled to assume that, if it is not joined prior to the limitations period, the statute will bar the plaintiffs claim. Cf. CCF Industrial Park, Inc. v. Hastings Industries, Inc., 392 F.Supp. 1259 (E.D.Pa.1975) (when the plaintiffs were in possession of facts on which they might have based a claim, and the defendant knew the plaintiffs had such facts, the defendant had no reason to suspect a mistake as opposed to a strategic choice of defendant).
Wright and Miller advocate a “reasonable man” test to determine whether the party should have known that it was a party the plaintiff intended to sue. See 6 Wright and Miller, § 1498, at 515. The cases cited by Romero are consistent with such a test. In these cases, the party to be added within the limitations period had reason to know that it was a likely party to the plaintiff’s suit.
Mondragon notified the president of Ole Tires, Benny Bachicha, of the accident shortly after it happened. Prior to the running of the statute, Mondragon took the complaint to Bachicha. On both occasions Bachicha sent Mondragon to his insurance agent, which was a company Bachicha owned. Bachicha stated, in undisputed affidavit testimony, that he was not aware that Mondragon was on company business at the time of the accident.
Dan Bachicha, the manager of Ole Tires, knew that Mondragon commonly ran errands for Ole Tires as well as others during any given day. He, too, testified that Mon-dragon informed him of the accident.
This is evidence that Ole Tires possessed facts from which, at least on further inquiry, it might have anticipated Romero’s attempt to add the respondeat superior claim. Nevertheless, the record does not contain any evidence that Ole Tires had reason to make further inquiry. The circumstances under which Ole Tires learned of the lawsuit gave no hint that Romero contemplated suing Mondragon’s employer and but for a mistake of fact or law would have done so. On these facts, Ole Tires was entitled to assume that, unless joined within the limitations period, the statute would bar any claims that Romero might have against Ole Tires.
In applying Rule 15(c) as a whole, courts have examined the facts of the case to determine whether relation back would be inconsistent with the notice requirements in the Rule. See Hampton v. Hanrahan, 522 F.Supp. 140 (N.D.Ill.1981). Rule 15(c)(2) must be applied in a similar fashion. On the facts of the record before us, recognition of a “mistake” in this case would be inconsistent with the notice requirement inherent in this segment of the Rule. The trial judge properly granted summary judgment.
2. Negligent Entrustment Claim
Although the trial court did not rule on the second motion to amend, raising the negligent entrustment claim, the ruling on the motion for summary judgment generally concludes that the requirements of Rule 15(c) were not met. Having granted the motion for summary judgment, the court had discretion to deny the pending motion to amend. See Hamilton v. Hughes, 64 N.M. 1, 322 P.2d 335 (1958).
Because we agree with the trial court that the requirements of Rule 15(c) were not met as to the first amended complaint, Romero’s motion to file a second amended complaint must be construed as a further attempt to add a party to the lawsuit. As a result, she would have to satisfy Rule 15(c)(1) and (2) to establish that the second amended complaint relates back. In view of our decision as to the first amended complaint, we conclude that the trial court effectively exercised its discretion to deny the pending motion, and we can find no abuse of discretion in that decision.
Summary judgment in favor of Ole Tires is affirmed. Having construed the record below as a denial of the pending motion to amend, we also affirm that denial. Romero shall bear her appellate costs.
IT IS SO ORDERED.
NEAL and BIVINS, JJ., concur. | [
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OPINION
PICKARD, Judge.
Defendant appeals his conviction for the crime of felon transporting a firearm contrary to NMSA 1978, Section 30-7-16(A) (Repl.Pamp.1994), and his sentence as a habitual offender with two prior felonies. Defendant contends that his conviction should be reversed because there was insufficient evidence of criminal intent and that his sentence should be reversed because one of the prior felonies had already been used to prove that he was a felon for purposes of the principal crime. Other issues raised in the docketing statement but not briefed are deemed abandoned. State v. Chavez, 116 N.M. 807, 809, 867 P.2d 1189, 1191 (Ct.App.1993), cert. denied, 116 N.M. 801, 867 P.2d 1183, and cert. denied, — U.S. -, 114 S.Ct. 2754, 129 L.Ed.2d 870 (1994). In addition, we do not discuss a third issue raised in Defendant’s brief, alleging that error was committed in utilizing yet another prior conviction, because that prior conviction was not in fact utilized to enhance the sentence. We affirm.
Defendant was convicted of violating Section 30-7-16(A), which provides, “It is unlawful for a felon to receive, transport or possess any firearm or destructive device in this state.” The factual basis for the conviction was that Defendant was subject to a lawful stop of the vehicle he was driving. When asked whether there were any weapons in the vehicle, Defendant answered that his passenger had one behind the seat. The officer retrieved the gun from behind the seat after the passenger told him that the passenger had borrowed the gun from a friend. A check on the gun revealed that it was stolen.
After removing himself from the presence of his passenger, Defendant confided in one of the officers who was investigating the ease that Defendant was working as a confidential informant for a detective in Albuquerque. The detective in Abuquerque acknowledged that Defendant had worked for him in the past, but denied that Defendant was working for him at the time of these events. It was undisputed that Defendant had prior convictions, and we will discuss them in further detail when we address Defendant’s second issue.
Defendant’s first contention is that he could not be convicted for the crime of felon transporting a firearm in the absence of evidence that he possessed or owned the firearm or that he intended to violate the law by his actions. We disagree.
The statute prohibits receiving, transporting, or possessing any firearm. The use of the disjunctive “or” indicates that the statute may be violated by any of the enumerated methods. See State v. Harris, 101 N.M. 12, 19, 677 P.2d 625, 632 (Ct.App.1984). A statute should be construed so that no part of it is rendered surplusage or superfluous. Katz v. New Mexico Dep’t of Human Servs., 95 N.M. 530, 534, 624 P.2d 39, 43 (1981). Athough a court may add words to or eliminate them from statutes to carry out a legislative intent or to express the clearly manifested meaning of the statute, State ex rel. Helman v. Gallegos, 117 N.M. 346, 352, 871 P.2d 1352, 1358 (1994), we should neither eliminate the transportation alternative nor require possession or ownership in addition to transportation when construing this particular statute. The purpose of the possession alternative of the statute is to keep firearms out of the hands of persons previously convicted and to deter recidivism. State v. Haddenham, 110 N.M. 149, 152, 793 P.2d 279, 282 (Ct.App.), cert. denied, 110 N.M. 72, 792 P.2d 49, and cert. denied, 110 N.M. 183, 793 P.2d 865 (1990). The purpose of deterring crimes by persons previously convicted would be equally served by prohibiting such persons from transporting weapons. Accordingly, we give the statute its plain meaning.
Nor does the statute require a finding that Defendant intended to violate the law before there can be a conviction. We rejected exactly such a contention in Haddenham, 110 N.M. at 155-56, 793 P.2d at 285-86. Defendant contends that we should revisit Haddenham in light of the Supreme Court opinion in State v. Bunce, 116 N.M. 284, 861 P.2d 965 (1993). The Court in Bunce followed State v. Green, 116 N.M. 273, 861 P.2d 954 (1993), which in turn held that the uniform jury instructions for embezzlement were inadequate because they did not instruct on fraudulent intent, which the statute expressly required. Id. at 275-79, 861 P.2d at 956-60.
The Green/Bunce line of cases does not apply to the statute at issue here because embezzlement is a specific-intent crime in which the intent to deprive the owner of property must be a fraudulent intent. See id. at 275, 861 P.2d at 956. In contrast, the statute at issue here is a general-intent crime. See State v. Bender, 91 N.M. 670, 671, 579 P.2d 796, 797 (1978) (distinguishing between general and specific intent crimes); see also Mark B. Thompson III, The Lazy Lawyer’s Guide to Criminal Intent in New Mexico, Judicial Pamp. 14 addendum 1 at 332 (Reeomp.1986). According to the language of the statute, to be guilty of the offense of felon in possession, a defendant must simply transport the firearm and be a felon. The general intent jury instruction, SCRA 1986, 14-141, requires only that the jury find the defendant intentionally committed the acts that the statute declares unlawful. In the context of a statute similar to Section 30-7-16(A), we held that no more was required. See State v. Powell, 115 N.M. 188, 190-92, 848 P.2d 1115, 1117-19 (Ct.App.1993).
Defendant’s reliance on eases from other jurisdictions based on statutes different from our own is not persuasive because the language of the statutes in those jurisdictions is markedly different. See El Centro Villa Nursing Ctr. v. Taxation & Revenue Dep’t, 108 N.M. 795, 797-98, 779 P.2d 982, 984-85 (Ct.App.1989) (reliance on law from other jurisdictions is misplaced when those jurisdictions are governed by different statutes). Similarly unpersuasive is Defendant’s argument that interpreting the transportation alternative of our statute in accordance with its plain meaning would be unconstitutional or contrary to the legislative intent. Defendant argues that such an interpretation would prohibit a felon from accompanying friends on a hunting expedition or from working in an undercover capacity, as Defendant contends he was doing in this ease. We see nothing unconstitutional or contrary to the legislative intent in our holding. Defendant was not merely accompanying his friend here. He was transporting his friend and what his friend alleged to be his gun, but which was actually stolen, in Defendant’s vehicle. We believe that the legislature wanted to keep felons away from guns to the extent that their possession of guns or transporting of guns might contribute to recidivism. The legislature may make unlawful conduct that is otherwise lawful by prohibiting anyone from engaging in such conduct in certain places, e.g., Powell (carrying a firearm into a licensed liquor establishment), or by prohibiting certain people from engaging in such conduct at any time, see, e.g., Haddenham (felon in possession of a firearm). Accordingly, we reject Defendant’s first contention.
Defendant next argues that he may not be sentenced as a second-time habitual offender because the State cannot make double use of the same conviction. Again, we disagree.
In Haddenham, we held that it would be a violation of double jeopardy for the State to rely on the same felony both to prove the crime of felon in possession and to enhance the sentence. Haddenham, 110 N.M. at 152-54, 793 P.2d at 282-84. In this case, Defendant had four prior offenses, but because some charges were joined, there were only two dispositions. On July 15, 1986, Defendant was convicted of both a burglary committed on April 5, 1986, and a burglary committed on April 27, 1986. On February 24, 1987, Defendant was convicted of an escape committed on December 13, 1986, and an auto theft committed on December 19, 1986. Because of the commission-conviction sequence, these four felonies could result in sentence enhancement on the basis of only two prior felonies, State v. Linam, 93 N.M. 307, 309-10, 600 P.2d 253, 255-56, cert. denied, 444 U.S. 846, 100 S.Ct. 91, 62 L.Ed.2d 59 (1979), and that is all the State sought.
Defendant, however, contends that the California burglaries could not be used to enhance the sentence because they were relied upon to prove the underlying offense of felon transporting a firearm. The State urges us to apply State v. Calvillo, 112 N.M. 140, 141-42, 812 P.2d 794, 795-96 (Ct.App.), cert. denied, 112 N.M. 77, 811 P.2d 575 (1991), in which we held that the State could “split” a judgment containing two convictions and use one to prove the felon element and the other to enhance the sentence. Defendant argues that, because the State did not specify which burglary conviction it was relying upon to prove the felon element, neither is available for habitual enhancement. The jury instructions given required only that the jury find that “[t]he Defendant was previously convicted of the crime of burglary, a felony occurring in the state of California.”
We have previously held that, where a defendant’s double jeopardy rights are involved and where neither the jury instructions nor any special verdict forms allow us to know with certainty the basis for conviction, the result is that any conviction or sentence that might be in violation of the defendant’s double jeopardy rights must be set aside. See State v. Rodriguez, 113 N.M. 767, 772, 833 P.2d 244, 249 (Ct.App.), cert. denied, 113 N.M. 636, 830 P.2d 553 (1992). In this case, however, it does not matter that the State did not specify which felony it was relying on to prove the principal crime. The trial court found, based upon Defendant’s admission during the habitual proceedings, that Defendant was previously convicted of both California burglaries. Thus, we can be assured that, whichever felony the jury relied on, there was an additional one available for sentence enhancement. If the jury relied on both, there is still no double jeopardy problem because Calvillo holds that the State may use one felony to convict and the other to enhance the sentence. Calvillo, 112 N.M. at 141-42, 812 P.2d at 795-96.
Defendant’s conviction and sentence are affirmed.
IT IS SO ORDERED.
BLACK and WECHSLER, JJ., concur. | [
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OPINION
WALTERS, Justice.
This matter is before us on motions filed in this Court to strike notice of appeal, to strike portions of the transcript, and to limit issues on appeal. Only the record and transcript have so far been filed, thus handicapping us in our ability to review the matters presumably complained of.
According to the record, defendant Reliance Insurance Company obtained a favorable ruling on its summary judgment motion on November 30, 1984. The judgment was entered January 2, 1985. Plaintiffs filed notice of appeal to the Court of Appeals from the grant of summary judgment, on January 4,1985. On January 3rd, however, plaintiffs moved for a rehearing on the motion and to set aside or modify the summary judgment, contending that the trial court had wrongly applied a contractual limitations clause in holding for defendant on its motion. The court heard that matter on January 28th and on February 4th, by order, denied the motion to set aside the summary judgment. On February 11, 1985, plaintiffs filed notice of appeal to the Court of Appeals from that judgment. The Court of Appeals transferred the matter to this Court because the complaint contained counts in contract.
Plaintiffs’ record and transcript includes the post-January 4th pleadings and record of the court proceedings thereon which Reliance wishes stricken.
We assume the real thrust of Reliance’s complaints here to be that Judge Ashby had no jurisdiction to entertain a hearing on the motion on January 25th after an appeal had been taken on January 4th.
Without deciding either that issue or related matters regarding the contents of the record or the transcript, we are unable to discern why any of them cannot be argued in the briefs of the parties on appeal. The time, effort and travel consumed by the parties in filing motions and appearing for argument, to say nothing of the additional briefing that would be required to obtain a decision on the merits of the motions, could as easily be incorporated in the appellate briefs and argument as in separate briefs, argument and travel undertaken mid-way in the appellate process.
We have no appellate briefs before us on the main appeal. We have no idea what plaintiffs intend to use their record and transcript for. Plaintiffs have paid for the transcript; why is appellee concerned about what is included in it if, in its answer brief, it is able to persuade us that some or much of the record and transcript were compiled as a result of a hearing which it will assert (we presume) the trial court was without jurisdiction to conduct and which, therefore, we should disregard? Those matters, in our view, are matters that can be argued in the appellate briefs if it comes to pass that plaintiffs broach them and appellee thinks them improper, unappealable or irrelevant.
We do not favor hearing appeals in bits and pieces — all of which require the time of the Court in more and longer Wednesday hearings — when the matters may as easily be addressed by counsel in their briefs and oral arguments on the issues raised by the appeal. The attention and duties of this Court are already severely encroached upon by its additional obligations of superintending control over an ever-growing court system and by its supervisory responsibilities to a burgeoning bar. We would encourage, instead, serious efforts by appellate counsel to eliminate, insofar as possible, such preliminary or intermediate proceedings in this Court as can be disposed of in the appeal proper, particularly if there still remain matters to be considered on appeal even if the intermediate action requested be granted. The disposition of all issues at one time allows much more productive use of time of all persons concerned.
The motions are denied with leave granted to brief and reargue all matters in the normal course of the appellate proceeding.
IT IS SO ORDERED.
FEDERICI, C.J., SOSA, Senior Justice and RIORDAN, J., concur.
STOWERS, J., dissents. | [
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] |
OPINION
DONNELLY, Chief Judge.
Plaintiff appeals from an order granting the motion for summary judgment of defendants Drs. Kravitz, Buchanan, Lipscomb and Chris Hall, a physician’s assistant, and denying plaintiff’s motion for appointment of counsel in an action brought pursuant to 42 U.S.C.A. Section 1983 (West 1981). The issues raised are whether: (1) the trial court erred in ordering summary judgment; (2) the trial court erred in considering the affidavit submitted in support of defendants’ motion for summary judgment; (3) the trial court erred in determining that it lacked jurisdiction to appoint counsel under 28 U.S.C.A. Section 1915(d) (West 1966); and (4) failure to appoint counsel in this civil action violated plaintiff’s due process rights. We affirm except as to the defendant Hall.
Plaintiff filed his complaint in district court under Section 1983, which provides a statutory claim for deprivation of civil rights when a defendant acts under color of law. Plaintiff alleged that he was incarcerated in the New Mexico State Penitentiary and that his constitutional rights were violated by defendants’ alleged deliberate indifference to his serious medical needs. All of the defendants, except Chris Hall, were medical doctors hired by the Department of Corrections to diagnose and provide medical treatment for inmates of the state Department of Corrections. Plaintiff claimed that after he fell down a set of stairs at the state penitentiary, his injuries were improperly diagnosed and that despite his numerous attempts to obtain medical treatment, defendants belatedly determined that he had a serious back injury. Plaintiff also alleged that he was denied proper medical care and treatment.
I. SUMMARY JUDGMENT
Plaintiff contends that the trial court erred in granting summary judgment in favor of defendants and dismissing his action alleging violation of his constitutional rights stemming from a lack of attention to his medical needs and inadequate treatment.
Plaintiff argues that the trial court erred in granting an award of summary judgment based upon the affidavit of Ms. Hilda Marin, medical records director at the penitentiary, and accompanying exhibits submitted by defendants. The documents referred to in Marin’s affidavit summarize plaintiff’s medical records by listing the number and nature of plaintiff’s medical contacts with defendants. The exhibits contradicted allegations of plaintiff’s complaint and specifically indicate that plaintiff had been seen by medical professionals two hundred and sixty-four times between January 3,1981 and May 7, 1985, during which contacts he was examined, referred to specialists, and received x-rays and prescriptions; plaintiff also received physical therapy on forty-eight occasions in 1984 and 1985. Following the filing of defendants’ motion for summary judgment and Marin’s affidavit, plaintiff filed an unverified response to the motion contending, inter alia, that Marin’s affidavit did not indicate that she was the records manager during the times in question and that the affidavit and summary did not indicate the diagnosis and treatment provided.
In examining plaintiff’s first assertion, we begin with an analysis of the nature of the claims alleged in his complaint. The issue of whether a refusal to provide adequate medical care and treatment to incarcerated individuals amounts to a civil rights violation constitutes an issue of first impression in this jurisdiction. Deliberate indifference to the medical needs of a prisoner may give rise to a cause of action for damages under 42 U.S. C.A. Section 1983. See Estelle v. Gamble, 429 U.S. 97, 97 S.Ct. 285, 50 L.Ed.2d 251 (1976); cf. Wells v. County of Valencia, 98 N.M. 3, 644 P.2d 517 (1982). Actionable indifference may be demonstrated by the response of prison doctors to a prisoner’s needs or by the acts of guards intentionally denying or delaying access to proper medi cal care. Id.; see also Rock v. McCoy, 763 F.2d 394 (10th Cir.1985). Inadvertent failure to provide adequate medical care, e.g., negligent diagnosis or treatment does not, however, state a valid cause of action under Section 1983. Estelle; see also Daniels v. Gilbreath, 668 F.2d 477 (10th Cir. 1982). On the other hand, medical treatment may be so “woefully inadequate as to amount to no treatment at all,” thereby evidencing a constitutional violation. Westlake v. Lucas, 537 F.2d 857, 860-861, n. 5 (6th Cir.1976); see also Ochoa v. Superior Court of Santa Clara County, 39 Cal.3d 159, 216 Cal.Rptr. 661, 703 P.2d 1 (1985).
In considering the motion for summary judgment, the burden rests on the moving party to demonstrate to the court that there is no triable issue of fact, Wilson v. Galt, 100 N.M. 227, 668 P.2d 1104 (Ct.App.1983), or that undisputed facts will support a judgment as a matter of law. Lovato v. Duke City Lumber Co., 97 N.M. 545, 641 P.2d 1092 (Ct.App.1982). Once the movant has made a prima facie showing, the burden shifts to the non-moving party to show reasonable doubt as to a genuine factual issue or that the movant is not entitled to judgment as a matter of law. Feldman v. Regents of University of New Mexico, 88 N.M. 392, 540 P.2d 872 (Ct.App. 1975). Although the non-movant is favored procedurally, that party cannot defeat the prima facie showing by relying solely upon allegations contained in an unverified complaint or mere argument. Oschwald v. Christie, 95 N.M. 251, 620 P.2d 1276 (1980); SCRA 1986, Rule 1-056(E).
Plaintiff contends that whether he was actually provided the necessary treatment for his back injury is a disputed issue of material fact and that the affidavit and attached summary are insufficient to establish what remedial or diagnostic treatment was actually provided for his back injury. In urging this contention, he argues that the trial court drew the unsupported inference that he was treated for his back injury from the mere fact of visits to the prison infirmary. We disagree.
As noted in defendants’ reply to plaintiff’s response to the motion for summary judgment, the primary issue raised by the motion for summary judgment was whether defendants were “deliberately indifferent” to plaintiff’s medical needs. The affidavit of Marin and the attached summary indicates that plaintiff has been the recipient of continuous and extensive medical attention. Defendants also relied upon plaintiff’s requests for admissions in support of their motion for summary judgment, indicating that plaintiff received medical attention on numerous occasions during the period between January 4, 1981 and September 12, 1983.
We determine no reason why an affidavit in support of the motion for summary judgment, in properly authenticating a summary of medical records relating to an issue raised by the pleadings, should not be admissible in conjunction with a motion for summary judgment. See SCRA 1986, Rule 11-1006. As observed in 10A C. Wright, A. Miller & M. Kane, Federal Practice and Procedure, Section 2721 at 40 (1983): “[T]he particular forms of evidence mentioned in the rule are not the exclusive means of presenting evidence on a Rule 56 motion. The court may consider any material that would be admissible or usable at trial.” Rule 1-056(E) is not a limiting provision but enlarges what may be considered on the motion. Yong Hong Keung v. Dulles, 127 F.Supp. 252 (D.Mass. 1954).
In addition, the drafters of Federal Rule of Evidence 1006 pertaining to summaries noted, “The admission of summaries of voluminous books, records, or documents offers the only practicable means of making their contents available to judge and jury. The rule recognizes this practice, with appropriate safeguards.” Fed.R. Evid. 1006 advisory committee note.
Defendants established a prima facie showing of their entitlement to summary judgment through their affidavit and exhibits indicating over three hundred examinations or treatments. Although the record indicates plaintiff was provided with a copy of his medical records which defendants’ exhibits summarized, plaintiff has not disputed the accuracy of the summary. Plain tiff’s response to the motion for summary judgment and record herein, fails to demonstrate the existence of a material issue of fact, except as to the defendant Hall, indicating the requisite deliberate indifference by the other defendants to his serious medical needs by way of any legally-competent evidence beyond his own arguments and contention. Because plaintiff filed no opposing affidavits, interrogatories, depositions or answers to requested admissions controverting defendants’ exhibits, they must be taken as true. Carrillo v. Hoyl, 85 N.M. 751, 517 P.2d 73 (Ct.App.1973). We determine that plaintiff’s verified complaint does raise a material issue of fact concerning plaintiff’s allegations of violation of civil rights by denial of medical care as to the defendant Hall. Cf. Poorbaugh v. Mullen, 96 N.M. 598, 633 P.2d 706 (Ct. App.1981) (verified pleadings are treated as affidavits in a motion for summary judgment). Plaintiff’s verified complaint alleged, inter alia, that plaintiff complained of “severe pain” on “many occasions” and was told by Hall that there was nothing wrong with him and that Hall refused “to allow plaintiff to see a medical doctor.”
An order granting summary judgment is proper if there are no genuine issues existing as to the material facts and the movant is entitled to judgment as a matter of law. Rule 1-056(C); see also Goodman v. Brock, 83 N.M. 789, 498 P.2d 676 (1972). When a movant has made a prima facie showing in support of a motion for summary judgment, the opponent must come forward and demonstrate the existence of a reasonable doubt as to the existence of a genuine issue of fact. Koenig v. Perez, 104 N.M. 664, 726 P.2d 341 (1986). Plaintiff filed an unsworn response to defendants’ motion for summary judgment. Statements made in unsworn briefs are not evidence for purposes of establishing a disputed issue of material fact incident to a motion for summary judgment. Goodway Mktg. Inc. v. Faulkner Advertising Assoc., Inc., 545 F.Supp. 263 (E.D.Pa.1982). We determine that, except as to the defendant Hall, plaintiff has failed to defeat defendants’ prima facie showing of their entitlement to summary judgment. Oschwald; Rule 1-056(E).
II. SUPPORTING AFFIDAVIT
Plaintiff also contends that the trial court incorrectly relied on Marin’s affidavit because it did not comply with the personal knowledge requirements of Rule 1-056(E), it did not evidence how the underlying documents were prepared, nor did it explain its conclusions.
Marin’s affidavit stated that:
1. She is the Medical Records Director for the New Mexico Corrections Department at the Penitentiary of New Mexico.
2. The attached exhibits represent an accurate summary of the medical records maintained by the New Mexico State Penitentiary, documenting medical treatment received by John Leroy Archuleta from January 3, 1981, through May 7, 1985.
Did the affidavit of Marin satisfy the foundation requirements for submitting a summary of medical records in support of defendants’ motion for summary judgment? We determine that it did.
Rule 11-1006 governs the admissibility of summaries and states:
The contents of voluminous writings, recordings or photographs which cannot conveniently be examined in court may be presented in the form of a chart, summary or calculation. The originals, or duplicates, shall be made available for examination or copying, or both, by other parties at a reasonable time and place. The judge may order that they be produced in court.
The above rule requires that the original records or duplicates be made available to plaintiff herein. This was accomplished through defendants’ response to plaintiff’s request for discovery. See R & R Assoc., Inc. v. Visual Scene, Inc., 726 F.2d 36 (1st Cir.1984); State v. Schrader, 64 N.M. 100, 324 P.2d 1025 (1958). Moreover, plaintiff does not dispute the accuracy of either the records or the summary. Instead, on appeal, plaintiff challenges whether affiant has sufficiently indicated that she had the requisite personal knowledge in order to establish a foundation for the records referred to in the affidavit.
We hold that Marin’s affidavit stating that the attached exhibits represented an accurate summary of the medical records maintained by the state penitentiary sufficiently demonstrated personal knowledge and that the records were what they purported to be. See Crutchfield v. Hart, 2 Haw.App. 250, 630 P.2d 124 (1981); Rainier Nat’l Bank v. Inland Mach. Co., 29 Wash.App. 725, 631 P.2d 389 (1981). Prison records may properly be considered by the trial court in ruling upon a prison official’s motion for summary judgment in an inmate’s civil rights action when the records are referred to in the movant’s affidavit. Marshall v. Norwood, 741 F.2d 761 (5th Cir.1984); see also United States v. Seelig, 622 F.2d 207 (6th Cir.1980) (summaries of records of sales by pharmacy oí controlled substances identifying “high volume purchasers” and dates of transactions were properly admitted where summaries showed only what close reading of the underlying documents also disclosed, the underlying documents were numerous and inconvenient to examine, and the accuracy of the summaries was uncontested).
We find no error in the trial court’s consideration of the summaries referred to by affiant, and note that plaintiff did not challenge the accuracy of the underlying exhibits or the accuracy of the affidavit. See Tabet v. Campbell, 101 N.M. 334, 681 P.2d 1111 (1984). In Tabet, the supreme court held that uncontested statements in affidavits, which were based on personal knowledge of the affiants and submitted on a motion for summary judgment, were properly considered by the trial court. Instead, plaintiff argues that the medical attention furnished was not shown to relate to his back injury. This contention attempts to ignore the obvious; that the number of medical examinations and treatments accorded plaintiff served to contradict plaintiff’s allegations that all of the defendants, except as to the defendant Hall, ignored or were indifferent to his medical needs.
The trial court did not err in considering the affidavit of Marin, and the affidavit adequately indicated that the exhibits were what they purported to be. See SCRA 1986, Rule 11-901(B)(1).
III. CONCURRENT JURISDICTION TO APPOINT COUNSEL
Plaintiff urges that the trial court erred in refusing to appoint an attorney to represent him pursuant to Section 1915(d). Section 1915(d) provides that:
The court may request an attorney to represent any such person unable to employ counsel and may dismiss the case if the allegation of poverty is untrue, or if satisfied that the action is frivolous or malicious.
Other jurisdictions have relied on Section 1915(d) for assistance in interpreting analogous state laws. See, e.g., Cook v. District Court of Weld County, 670 P.2d 758 (Colo. 1983) (en banc); McEachern v. State, 456 A.2d 886 (Me.1983); State v. Jensen, 265 N.W.2d 691 (N.D.1978).
Plaintiff has not cited any authority allowing a state court to appoint counsel in state court civil actions pursuant to Section 1915(d). At least one jurisdiction has expressly held that Section 1915(d) applies only to proceedings in federal courts and has no application in state court proceedings. Johnson v. State, 151 Ga.App. 157, 259 S.E.2d 161 (1979).
As a general rule, there is no absolute right on the part of a litigant to the appointment of an attorney in a civil case. Caruth v. Pinkney, 683 F.2d 1044 (7th Cir.1982); Powell v. State, 19 Ariz.App.377, 507 P.2d 989 (1973). In civil proceedings generally, where the litigant’s liberty interests are not involved, appointment of counsel is considered a privilege rather than a right. Lopez v. Reyes, 692 F.2d 15 (5th Cir.1982); Cook v. Bounds, 518 F.2d 779 (4th Cir.1975).
In addition, plaintiff’s reliance on 42 U.S.C.A. Section 1988 (West 1981), as a basis to extend Section 1915(d) to state courts is not persuasive. That section, by its terms, allows attorney’s fees in any suit
to enforce a Section 1983 claim. See Maine v. Thiboutot, 448 U.S. 1, 100 S.Ct. 2502, 65 L.Ed.2d 555 (1980). Under the record herein, we find that the trial court’s refusal to appoint counsel was not error.
IV. CONSTITUTIONAL CLAIM TO APPOINTMENT OF COUNSEL
Plaintiff asserts that the trial judge failed to exercise any discretion concerning his request for appointment of counsel contrary to Lassiter v. Department of Social Services, 452 U.S. 18, 101 S.Ct. 2153, 68 L.Ed.2d 640 (1981), and that denial of counsel was contrary to law. We disagree. Lassiter recognized that it is defendant’s interest in personal freedom and not just the sixth and fourteenth amendments right to counsel in criminal cases that activates the right to appointed counsel. The Court held that there is a presumption that an indigent litigant has a due process right to appointed counsel only when he is unsuccessful and may be deprived of his physical liberty. See also Walker v. McLain, 768 F.2d 1181, n. 1 (10th Cir.1985); State ex rel. Corbin v. Hovatter, 144 Ariz.App. 430, 698 P.2d 225 (1985).
Where a party is indigent, the courts have appointed counsel in complicated paternity suits, parental termination hearings or involuntary commitment proceedings. See Hovatter; cf. Lassiter, 452 U.S. at 31, 101 S.Ct. at 2161-2162; Salas v. Cortez, 24 Cal.3d 22, 154 Cal.Rptr. 529, 593 P.2d 226 (1979) (in bank).
After reviewing the record herein, we find no error in the trial court’s denial of court-appointed counsel.
The trial court’s order granting summary judgment as to each of the defendants, except as to the defendant Hall, is affirmed. As to plaintiff’s claims against defendant Hall, the cause is reversed and remanded for trial on the merits.
IT IS SO ORDERED.
ALARID, J., concurs.
BIVINS, J., dissents. | [
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OPINION
NEAL, Judge.
Gerónimo Garcia appeals the decision of the state board of education denying his application for renewal of his teaching certification. Ip August 1979, Garcia was found guilty by a jury of criminal sexual contact with a child under the age of 13, NMSA 1978, Section 30-9-13 (RepLPamp. 1984), a third degree felony. The imposition of a sentence was deferred and Garcia was placed on a three-year probation. On February 18,1981, Garcia received an early discharge from probation and the criminal case was dismissed.
Garcia applied to the state board of education for re-certification as a teaching professional in New Mexico. His application was denied because he had been convicted of a crime relating directly to his employment. A hearing was held before Hearing Officer Anthony Tupler at which evidence was heard regarding Garcia’s fitness to teach.
Dr. Ned Siegel, a clinical psychologist, and, in 1979, director of the forensic hospital in Las Vegas, New Mexico, had evaluated Garcia to prepare a post-conviction report to the trial judge. He stated that Garcia was different from most men at the hospital in behavior and psychological testing; he helped with staff work and in organizing programs for other inmates. He regarded Garcia as helpful to his program. He stated that his offense may have been a reaction to stress and believed that in the future Garcia would turn to therapy when stressed, and therefore would be unlikely to pose a threat to children.
On cross-examination, the state questioned Dr. Siegel regarding the circumstances of Garcia’s offense. Dr. Siegel stated Garcia and his wife were having marital difficulties at the time. He threatened to leave her. She, in turn, made accusations that he had sexual contact with her daughter. The daughter was from the wife’s previous marriage. The touching which formed the basis of the conviction was “benign fatherly contact”, Garcia believed, such as having the child sit on his lap. He only later realized his wife took a different view of the activity.
The hearing examiner asked Dr. Siegel if he would be comfortable with Garcia teaching one of his own children. Dr. Siegel replied that he would.
The major witness called by the state was Jim Pierce, director of teacher education and certification for the state department of education. He testified about conversations he had with a president of the parent-teacher association and other parents who stated that parents would object to Garcia’s re-certification based on the fact of his conviction. Neither Mr. Pierce, nor any of the individuals he spoke to, had met Garcia or had any knowledge of the particular facts of his conviction or rehabilitation process. The state’s other witness duplicated the testimony of Mr. Pierce.
In his report, the hearing officer adopted the findings of fact and conclusions of law submitted by the department and made additional findings. On August 23, 1983, the state board of education issued its decision and order denying the application. The board adopted the findings and conclusions submitted by the department of education. Those findings did not deal specifically with the issue or rehabilitation. This court remanded to the board for findings on the issue of rehabilitation. The board found that “Garcia has not been sufficiently rehabilitated because parents would not perceive of him as a person with whom they would trust their children.” Conclusion of Law No. 6 states, “A conviction for Criminal Sexual Contact with a Child Under Age 13 constitutes good and just cause for denial of an application for teaching certificate.”
On appeal Garcia argues he was not “convicted” of a crime because he was given a deferred sentence, and therefore the “conviction” cannot be used as a basis for denying re-certification; that there was not substantial evidence that Garcia was not rehabilitated to support denial of the application; and that he is entitled to attorney fees because his constitutional rights have been violated.
The Criminal Offender Employment Act (COEA), NMSA 1978, Sections 28-2-1 to -6 (Repl.Pamp.1983), states in Section 28-2-4:
A. Any board or other agency having jurisdiction over employment by the state or any of its political subdivisions or the practice of any trade, business or profession may refuse to grant or renew, or may suspend or revoke, any public employment or license or other authority to engage in the public employment, trade, business or profession for any one or any combination of the following causes:
(1) where the applicant, employee or licensee has been convicted of a felony or a misdemeanor involving moral turpitude and the criminal conviction directly relates to the particular employment, trade, business or profession; or
(2) where the applicant, employee or licensee has been convicted of a felony or a misdemeanor involving moral turpitude and the criminal conviction does not directly relate to the particular employment, trade, business or profession, if the board or other agency determines, after investigation, that the person so convicted has not been sufficiently rehabilitated to warrant the public trust. B. The board or other agency shall explicitly state in writing the reasons for a decision which prohibits the person from engaging in the employment, trade, business or profession, if the decision is based in whole or part on conviction of any crime described in Paragraph (1) of Subsection A of this section. Completion of probation or parole supervision, or of a period of three years after final discharge or release from any term of imprisonment without any subsequent conviction, shall create a presumption of sufficient rehabilitation for purposes of Paragraph (2) of Subsection A of this section.
The purpose of the COEA is set out in Section 28-2-2: “The legislature finds that the public is best protected when criminal offenders or ex-convicts are given the opportunity to secure lawful employment or to engage in lawful trade, occupation or profession and that barriers to such employment should be removed to make rehabilitation feasible.” In New Mexico Board of Pharmacy v. Reece, 100 N.M. 339, 670 P.2d 950 (Ct.App.1983), this court noted the legislative intent to encourage the rehabilitation of criminal offenders by removing barriers to their employment.
The COEA applies to the State Board of Education. Bertrand v. New Mexico State Board of Education, 88 N.M. 611, 544 P.2d 1176 (Ct.App.1975), The act was interpreted by the supreme court in Reece. The court held that the COEA, and Section 28-2-4(A)(l) in particular, could not operate as an automatic bar to licensing of a rehabilitated criminal offender. Rather,
[W]e determine that the distinction under Section 28-2-4 between the treatment of crimes that directly relate to a profession and crimes that do not directly relate to a profession concerns the burden of proof. Under Subsection 28-2-4(A)(l), an applicant for issuance or reinstatement of a Certificate has the burden of proving that he or she has been sufficiently rehabilitated. Under Section 28-2-4(a)(2), there is a presumption of rehabilitation and the board or agency has the burden of proving an applicant for issuance or reinstatement of a Certificate has not been sufficiently rehabilitated. (Emphasis in original.)
100 N.M. at 341, 670 P.2d at 952.
We first consider whether the finding of guilt by a jury and subsequent deferred sentence which then results in the dismissal of the criminal action following probation operates as a conviction under the COEA. We then discuss the issue of rehabilitation.
The COEA does not define “conviction” as that term is used in the act. Conviction in its technical legal sense means:
[T]he final consummation of the prosecution against the accused including the judgment or sentence rendered pursuant to a verdict, confession, or plea of guilty____ A judgment or sentence is indispensable to a conviction in this sense of the term, and the mere ascertainment of guilty by verdict or plea, which satisfies the ordinary legal definition of conviction, does not suffice. (Emphasis added.)
24 C.J.S. Criminal Law, § 1556, P. 385 (1961).
Garcia argues that the technical definition should apply to the COEA. While the issue has not been decided under the COEA, the line of cases under the Habitual Offenders Statute, NMSA 1978, Section 31-18-17 (Cum.Supp.1984), contains instructive reasoning. That section provides for increased penalties for criminal offenders based on prior convictions. The cases hold that a conviction for the purposes of the statute is the establishment of guilt by plea, jury verdict or finding of the court, and does not include the imposition of a sentence. Padilla v. State, 90 N.M. 664, 568 P.2d 190 (1977); State v. Larranaga, 77 N.M. 528, 424 P.2d 804 (1967); Shankle v. Woodruff, 64 N.M. 88, 324 P.2d 1017 (1958).
For the purposes of the COEA, it is the establishment of guilt which is the relevant concern, rather than the disposition of the matter upon such a finding. The California court considered the issue under the state’s chiropratic licensing statute and stated:
[T]he legislative purpose of including the “conviction” of certain crimes as grounds for discipline in section 10 of the Chiropractic Act and similar statutes is not merely to single out persons who have been the subject of certain procedural formalities but to reach those who have actually committed the underlying offenses. The conviction is significant in the statutory scheme only insofar as it is a reliable indicator of actual guilt.
Cartwright v. Board of Chiropractic Examiners, 16 Cal.3d 762, 129 Cal.Rptr. 462, 470, 548 P.2d 1134, 1142 (1976). The same reasoning applies with equal force in the case at bar. For purposes of the COEA, the jury determination of Garcia’s guilt acts as a conviction despite subsequent dismissal of the case after Garcia completed his deferred sentence.
The decision of the state board that sexual misconduct with a minor relates directly to the teaching profession is supported by logic and by the case law of other jurisdictions. See Board of Trustees v. Stubblefield, 16 Cal.App.3d 820, 94 Cal. Rptr. 318 (1971); Tomerlin v. Dade County School Board, 318 So.2d 159 (Fla.App.1975). Therefore, because he has been convicted of a crime directly relating to the teaching profession, the applicant for licensure has the burden of showing he has been sufficiently rehabilitated. Reece.
Under Reece, which was decided after the decision of the state board, the board must state the reasons why the applicant has not been rehabilitated and may not rely solely on the fact of conviction to deny the application. On remand, the board found Garcia had not been rehabilitated because parents would not perceive him as trustworthy.
In the hearing the state introduced as evidence the opinions of the current and past presidents of the state parent teacher association to the effect parents would not feel comfortable with Garcia as their children’s teacher. Their opinions were not based on personal knowledge of Garcia’s rehabilitation process, or his performance as a teacher.
The hearing officer apparently decided to admit such testimony as evidence that Garcia had not been rehabilitated because he believed the following language in the Bertrand decision required it: “Probative evidence of rehabilitation would include Ms. Bertrand’s conscientious and successful performance at both jobs and the parents’ perception of her as a person with whom they would trust their children.” 88 N.M. at 614, 544 P.2d at 1179.
On appeal, the state board argues that the quoted language authorizes the use of generalized parental reaction to sex offenders as evidence that a particular offender has not been rehabilitated. We disagree.
The Bertrand case may be distinguished on the facts. In that case the teacher had been employed for one month before her past conviction for distribution of marijuana was brought to the attention of the local school board. Because she had performed as a teacher, the parents’ testimony as to her successful performance was relevant evidence of rehabilitation. The Board also heard evidence that she was not sufficiently rehabilitated, including testimony by the superintendent regarding two incidents involving the teacher of which he had personal knowledge, where she made derogatory comments about the laws and law enforcement officials. State board members also spoke with the teacher and were able to draw their own conclusions about her rehabilitation. Therefore, the testimony, both for and against a finding of rehabilitation, was based on personal observation and knowledge of the individual.
It is true, as the board stated, that parental perception of the applicant in the Bertrand case as someone with whom they could trust their children was relevant to the issue of rehabilitation in that case. The parents had actual personal knowledge of the individual teacher and her performance, therefore their perception of her as one whom they could trust their children with had probative value regarding the issue of rehabilitation. In this case, however, the officials of the state parent-teacher association stated that the parents testified that they would not feel comfortable with Garcia as their children’s teacher, with no personal knowledge of Garcia, his rehabilitation process, or even the circumstances of his criminal offense. Their perceptions, purely subjective in nature, can shed no light on whether Garcia is actually rehabilitated. The COEA and Reece plainly state that the issue is one of rehabilitation, and the fact of conviction cannot be used to deny certification. Whether parents believe that any person convicted of such an offense should be barred from teaching is not dispositive on the issue of whether the particular applicant has been rehabilitated. Therefore, while parents’ perception of a teacher as someone they would trust relates directly to perceived rehabilitation when based on personal knowledge, mere opinion by parents as to their personal beliefs about sex offenders does not, and is therefore not relevant to a determination of rehabilitation under the COEA.
Garcia met his burden of showing he had been rehabilitated through the testimony of Dr. Siegel. As the state introduced no competent evidence that he had not, nor developed any such inference on cross-examination of the applicant’s witnesses, there was not substantial evidence to support the board’s decision. We therefore reverse.
Finally, Garcia argues for the first time on appeal that he is entitled to attorneys’ fees under 42 U.S.C. § 1988 (1980) based on a conclusionary statement that his civil rights were violated under 42 U.S.C. § 1983 (1979). That section provides for a civil action for violation of civil rights. Section 1988 authorizes the court to award attorneys’ fees to a prevailing plaintiff in such an action. His argument is clearly specious as he has not brought an action under § 1983, has not pled or proved that his civil rights were violated, nor, of course, has he prevailed on such a claim. He offers no authority for the proposition that attorneys’ fees can be awarded when a § 1983 claim is raised for the first time on appeal. Further, § 1988 does not authorize an award of attorneys’ fees to a prevailing party in state administrative proceedings, even when recourse to federal court on the merits of the civil rights claim is not necessary or available. Blow v. Lascaris, 523 F.Supp. 913 (N.D.N.Y.1981). Garcia’s claim for attorneys’ fees, raised for the first time on appeal, is unfounded and is therefore denied.
ALARID, J., concurs.
HENDLEY, J., specially concurring. | [
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OPINION
NEAL, Judge.
This case concerns the interpretation of NMSA 1978, Section 40-5-23 (Repl.Pamp. 1983), which states:
Proceedings to enforce the obligation of the father shall not be brought after the lapse of more than two years from the birth of the child unless paternity has been judicially established or has been acknowledged by the father in writing or by the furnishing of support, except that there shall be no time limitation on proceedings initiated by the state.
To avoid the two-year limitation must the furnishing of support or written acknowledgement occur within two years of the child’s birth?
In 1982 the plaintiff brought this action seeking child support. The child was born in 1969. The defendant’s name appeared on the child’s birth certificate, and blood tests established that there was a 93.9% probability that the defendant was the father. Also, the plaintiff had in her possession a statement, signed by the defendant on May 13, 1982, in which the defendant acknowledged that he was the father of the child.
Relying on Section 40-5-23, defendant moved for summary judgment. This motion was granted and the plaintiff appeals.
Summary judgment should be granted “if the pleadings, depositions, answers to interrogatories and admissions on file, together with the affidavits, if any, show that there is no genuine issue as to any material fact and that the moving party is entitled to a judgment as a matter of law.” NMSA 1978, Civ.P.R. 56(c) (Repl.Pamp. 1980); Goodman v. Brock, 83 N.M. 789, 498 P.2d 676 (1972).
1. Furnishing support.
By supplemental interrogatories the defendant asked the plaintiff to state whether, during the two years following the child’s birth, the defendant had paid any support. The answer was: “He brought various items such as milk, a bassinet, etc.” The defendant filed a “Second Supplemental Interrogatory” which asked: “Please state with particularity what support was furnished, the occasions in which it was furnished and to whom it was furnished.” The plaintiff answered: “Cash, milk and other groceries [sic], a bassinette [sic] and other items for the baby, on a regular basis approximately two times per week, especially during the first year after [the baby’s] birth, and less frequently after that.” Payment of money for the child’s support constitutes “furnishing of support.” Hernandez v. Anaya, 66 N.M. 1, 340 P.2d 838 (1959). The answers to interrogatories created an issue of material fact concerning “furnishing of support.” The summary judgment in favor of defendant is reversed.
Because the. furnishing of support allegedly occurred within two years of the child’s birth we need not consider whether Section 40-5-23 would bar the action had the support been furnished later than two years after the child’s birth.
2. Acknowledgement.
The plaintiff’s answers concerning furnishing of support would be sufficient to reverse the summary judgment. However, we discuss the acknowledgement issue because the plaintiff must not only allege, but prove facts that entitle her to bring suit more than two years after the child’s birth. Hernandez v. Anaya. It is likely that the issue will be raised on remand.
The plaintiff presented a statement, signed by the defendant, in which he acknowledged the child as his son. This statement was dated May 13, 1982, and was allegedly made so the child could play Pee Wee baseball.
The plaintiff contends that to come within the exception in Section 40-5-23, the written acknowledgement need not be executed within two years of the child’s birth. We agree.
In construing statutes we are concerned with determining the Legislature’s intent. Kiehne v. Atwood, 93 N.M. 657, 604 P.2d 123 (1979). The Legislature stated that the action “shall not be brought after the lapse of more than two years from the birth of the child,” and then provided, “unless paternity has been judicially established or has been acknowledged by the father in writing____” Reading the statute literally, it says the period of limitation shall apply unless there has been an acknowledgement in writing. It does not say unless there has been an acknowledgement in writing “within two years of the birth of the child.” Cf. §§ 40-5-3 and 40-5-4. If possible, we are to give meaning to all of the language in a statute. Anaconda Co. v. Property Tax Dept., 94 N.M. 202, 608 P.2d 514 (Ct.App.), cert. denied, 94 N.M. 628, 614 P.2d 545 (Ct.App.1979). The defendant’s contention is that acknowledgement must occur within two years of birth. But if that were the Legislature’s intention there would have been no need to detail any exceptions; a two-year period would have been sufficient. The defendant’s construction would make the language concerning exceptions superfluous, and we reject it.
New York courts, construing a statute very similar to ours, have held that acknowledgement made more than two years after the child’s birth avoids the two-year limitation. In D. v. D., 69 Misc.2d 689, 330 N.Y.S.2d 907 (1972), the court considered Family Court Act, Section 517(a):
Proceedings to establish the paternity of the child may be instituted during the pregnancy of the mother or after the birth of the child, but shall not be brought after the lapse of more than two years from the birth of the child, unless paternity has been acknowledged by the father in writing or by furnishing support.
This statute deals with paternity actions, rather than child support actions, but we do not find the difference significant. D. v. D. held that written acknowledgement made seven years after the child’s birth was sufficient to avoid the two-year limitation.
In Vicki B. v. David H., 86 A.D.2d 659, 447 N.Y.S.2d 17 (1982), the court held that under Family Court Act, Section 517(a), furnishing support within two years of the child’s birth was not required to avoid the two-year limitation. Although Vicki B. v. David H. contains a technical discussion of “tolling” of the statute, we do not decide whether suit must be brought within two years of the last payment or within two years of acknowledgement because the plaintiff here brought suit within two years of the written acknowledgement.
Consistent with New York law and what we believe to be our Legislature’s intent, we hold that written acknowledgement, made thirteen years after the child’s birth, is sufficient to avoid the two-year limitation in Section 40-5-23.
This interpretation does not offend the policy behind Section 40-5-23, which is “a means by which stale claims may be put to rest and defendants may be relieved of the obligation to investigate and prepare a defense concerning events of the distant past (Citation omitted).” See Vicki B. v. David H. However, as stated in Lorraine M. v. Linwood M.S., 108 Misc.2d 366, 437 N.Y. S.2d 580 (1981), this policy is no longer operative when the father has acknowledged paternity in writing. Moreover, an additional policy consideration is that one of the reasons for requiring child support is to prevent the child from becoming a public charge. Allen v. Hunnicutt, 230 N.C. 49, 52 S.E.2d 18 (1949); Beattie v. Traynor, 114 Vt. 238, 42 A.2d 435, 159 A.L.R. 1399 (1945) and Flores v. State, 72 Fla. 302, 73 So. 234 (1916). Our holding is consistent with that policy.
There are issues of material fact concerning furnishing of support and written acknowledgement. The summary judgment is reversed. On remand the plaintiff must prove facts establishing that the two-year limitation does not apply. Hernandez v. Anaya. If she fails to do so, the case should be dismissed.
IT IS SO ORDERED.
DONNELLY, C.J., and ALARID, J., concur. | [
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] |
OPINION
WALTERS, Justice.
Wade Fitzsimmons Richardson was killed when a two-ton dumptruck driven by Billibob Lewis collided with the car that Richardson was operating. Lewis had become intoxicated at a bar owned by Carnegie Library, Inc.; he subsequently stole the dumptruck from the lot behind Bennett Cathey, Inc.; and he negligently drove and crashed the truck into Richardson’s vehicle.
The decedent’s personal representative, Gayle D. Richardson, brought a wrongful death action against Carnegie and BennettCathey. Her complaint alleged that while Lewis was intoxicated, Carnegie served alcohol to him in violation of the Dramshop Act, NMSA 1978, Section 41-11-1 (Repl. Pamp.1986); that Bennett-Cathey negligently left the keys in the ignition of the unattended dumptruck; and that the negligent acts of both defendants proximately caused Richardson’s death. The district court granted summary judgment in favor of Bennett-Cathey, entered a default judgment against Carnegie (for failure to answer), and found that Richardson suffered damages for which he would be entitled to recover $250,000 from Carnegie. The court awarded only $50,000, however, finding itself limited by the maximum recovery allowable under the Dramshop Act.
Richardson appealed the district court’s ruling to the court of appeals, claiming error in the grant of summary judgment to Bennett-Cathey, and attacking the cap on liability under the dramshop act as unconstitutional. Richardson enumerated several “special circumstances” that would justify the imposition of liability against Bennett-Cathey: Bennett-Cathey knew that the brakes on its truck were inoperative; the lot from which Lewis stole the truck was not fenced and was easily accessible; the area where the truck was parked was frequented by transients; the truck required special skills for safe operation; and the truck was large and bulky and more capable of causing serious injuries than an automobile. She asserted that the theft of the unattended vehicle, with keys left in the ignition, was not an independent, intervening, or superseding act that would exempt Bennett-Cathey from liability. The docketing statement also presented the issue that the damage limitation on dram-shop liability violated the United States and New Mexico Constitutions. In her memorandum opposing summary affirmance, Richardson argued that the statute denied equal protection because the damage cap allowed victims of a tavernkeeper’s negligence to be undercompensated although victims of other tortfeasors were entitled to obtain full recovery; and further, that the damage cap violated her right to a trial by jury as guaranteed by Article II, Section 12 of the New Mexico Constitution because the cap usurped the fundamental function of a jury to determine damages.
The court of appeals, by memorandum opinion, upheld the trial court on all issues. In its first calendar notice, the court proposed affirmance of the summary judgment on grounds that the theft was not foreseeable, but instead was an intervening, superseding, criminal act by a- third person. Acknowledging that several jurisdictions look to special circumstances to determine foreseeability of the harm to be caused by the negligence of an owner leaving the keys in an unattended vehicle, and the liability which attends that foreseeability, the appellate court noted that it could not overrule our opinion in Bouldin v. Sategna, 71 N.M. 329, 378 P.2d 370 (1963), by which it felt itself bound. See Alexander v. Delgado, 84 N.M. 717, 718, 507 P.2d 778, 779 (1973) (lower courts should not overrule precedents set by superior court).
Regarding the equal protection issue, the calendar notice considered that the damage cap concerned no fundamental rights and implicated no suspect classes. The court employed, therefore, the rational basis standard of review and looked to the purposes of the challenged statute. It then reasoned that the legislature had “created a cause of action” subsequent to this court’s “creation” of a common-law cause of action for tavernkeeper negligence, and that its purpose was to limit dramshop liability in exchange for creating that new cause of action. Impressed that the damage cap applied equally to all persons seeking to recover under the dramshop act, the court’s notice proposed affirmance on a determination that the statute did not unconstitutionally violate the equal protection clause.
In its second calendar notice, the court of appeals addressed the jury trial issue, and reiterated its conclusion that the legislature had transformed a common-law cause of action into a statutory one. It then concluded that Richardson had a right to a trial by jury on the question of liability, but that he had no right to have a jury determine the amount of his damages because the statutory action limited the amount of liability. The court of appeals, therefore, summarily dismissed Richardson’s appeal and affirmed the trial court by memorandum opinion.
We granted Richardson’s petition for .writ of certiorari and gave leave to file amicus curiae briefs to the New Mexico Trial Lawyers Association (NMTLA), the Defense Lawyers Association (DLA), Mothers Against Drunk Drivers (MADD), and Students Against Drunk Drivers (SADD). The only issue addressed by all of the amici briefs in support of the petitioner’s application for review is the constitutionality of the dramshop act.
MADD and SADD point out that New Mexico has one of the most severe drunk-driving problems in the United States and that every conceivable approach to resolve the drunk-driving menace is needed. They agree that dramshop liability is an effective measure in curbing drunken driving, but that the salutary impact of the dramshop act is diffused by the damage cap. Urging that the limit on recovery is inconsistent with the purpose for imposing liability, they emphasize that reinforcing dramshop liability and invalidating the damage cap would best serve the public interest.
NMTLA challenges the damage cap as unconstitutional violations of the due process and equal protection clauses, the right to trial by jury, and the doctrine of separation of powers. Regarding the separation of powers argument, NMTLA contends that the legislatively mandated damage cap prevents judges from exercising their historic procedural power to exercise discretion in reviewing the excessiveness of a jury’s award upon a motion for a new trial under SCRA 1986, 1-059; and that it compels judges to order a remittitur, another discretionary act historically inherent in a trial judge’s powers. Because procedural rules are within the sole domain of the supreme court, and because the statutory limitation on liability impinges upon the provisions of Rule 59, NMTLA insists with some logic that the damage cap constitutes a legislative usurpation of judicial power and thus violates the doctrine of separation of powers.
NMTLA proposes, too, that the damage cap violates the right to trial by jury, arguing that the legislature did not transform dramshop liability from an action at common law to a statutory cause of action but, rather, only narrowed and modified the judicially-created common-law liability that was established in Lopez v. Maez, 98 N.M. 625, 651 P.2d 1269 (1982). Thus, because a plaintiff has a fundamental right to have a jury determine liability and damages in a common-law action, NMTLA argues that the damage cap unconstitutionally infringes on a party’s right to trial by jury.
Amicus NMTLA contends that the damage cap also infringes the due process and equal protection clauses of the New Mexico Constitution because the rights to a jury trial and of access to the courts, being fundamental constitutional rights, are rendered meaningless if full and adequate recoveries are not available to all plaintiffs. NMTLA has traced these rights from their historic geneses in Spanish and Mexican laws, the Siete Partidas, the Fuero Juzgo, and the Kearney Code, and it concludes that all formed an integral part of the civil law in the days before statehood and were incorporated into the New Mexico Constitution. Accordingly, NMTLA argues that the damage cap is subject to strict scrutiny under which it surely must be invalidated, but that even under the minimal rational basis analysis, no justification exists to uphold a limitation on the award of damages.
DLA, from an opposing position, argues that Richardson has no standing to raise the jury trial issue because she never requested a jury trial. On the issue of recoverable damages, it takes the stance that the legislature changed dramshop liability to a statutory action from one at common law and, thus, because it created the liability, it can limit the amount of recovery. We are urged to disregard the separation of powers, due process, and right of access to the courts issues because they were not briefed or argued at trial and, therefore, are not properly before us for consideration. But DLA does respond to some of the amici arguments, urging that the separation of powers doctrine is inapplicable here because the judiciary promulgates procedural rules out of convenience and efficiency only; and the right of access to the courts merely refers to the availability of the judicial machinery to resolve disputes and is not a right guaranteed explicitly in the New Mexico Constitution.
Regarding the equal protection issue, DLA asserts that we are not here dealing with fundamental rights or suspect classes. Any rights found in the Kearney Code or any other civil law predating statehood, it says, were not adopted by or incorporated into the New Mexico Constitution. Moreover, characterizing the dramshop act as social and economic legislation reviewable by the rational basis test, it denies that any right to full compensation can be implied from the guarantee of certain inalienable rights in Article II, Section 4 of our constitution. DLA views the damage cap as rationally related to the dual legislative goals of compensating victims injured as the result of the negligent service or sale of alcohol but not overburdening tavernkeepers, conjecturing that recovery under the dramshop act probably will not be the only source of recovery available to such a plaintiff.
Responding to whether Richardson properly preserved certain constitutional issues for appeal, NMTLA points to Richardson’s broad claim that the damage cap was unconstitutional, which opened the door for amici to explain in more detailed and specific analyses under the right to jury trial, ■due process, and equal protection clauses of the New Mexico Constitution, exactly why the statute is invalid. But DLA is correct in asserting that two of the issues, separation of powers and due process, cannot be raised for the first time on appeal. See Romero v. Sanchez, 86 N.M. 55, 56, 519 P.2d 291, 292 (1974) (court will not consider claim offered for first time on appeal); State ex rel. Brown v. Hatley, 80 N.M. 24, 25, 450 P.2d 624, 625 (1969) (same). It is not enough for a party to make a broad, general assertion that a statute is unconstitutional and then leave it to amici to develop and refine her arguments. The complainant must specify in what manner his or her constitutional rights are affected adversely. State v. Hines, 78 N.M. 471, 474, 432 P.2d 827, 830 (1967). Richardson did not request resolution, in either the trial court or the court of appeals, of the separation of powers and due process claims raised by NMTLA, and we will not consider new issues presented for the first time on appeal through amicus briefs. St. Vincent Hosp. v. Salazar, 95 N.M. 147, 149, 619 P.2d 823, 825 (1980).
DLA is likewise correct in observing that Richardson did not request a jury trial. Failure to demand a jury trial in a timely manner constitutes a waiver of a trial by jury. SCRA 1986, 1-038(D). Even though this issue was addressed by the court of appeals in its notices of proposed affirmance, we will not consider in this review the jury trial issue. We do not consider, therefore, whether the limit on dramshop liability violates Richardson’s right to a jury’s determination of damages in a common-law cause of action.
NMTLA, however, correctly analyzes right of access to the courts as an implicit fundamental right entitled to the equal protection guarantees of the Constitution. Richardson claimed an equal protection violation in the court below; consequently, whether a right of access to the courts is violated by the damage cap is a relevant question in determining whether a fundamental right is contravened. That, in turn, is likewise relevant in determining which standard of review to apply in analyzing the equal protection right guaranteed by Article II, Section 18 of the New Mexico Constitution.
Recently we discussed, in Meyer v. Jones, 106 N.M. 708, 749 P.2d 93 (1988), that in equal protection attacks upon statutes, at least three tests for reviewing such challenges have been recognized and applied. Traditionally, the United States Supreme Court long had employed a two-ti ered analysis: minimum scrutiny, or the rational basis test, when reviewing social and economic legislation, McGowan v. Maryland, 366 U.S. 420, 81 S.Ct. 1101, 6 L.Ed. 2d 393 (1961), and strict scrutiny when analyzing legislation that infringed fundamental constitutional rights or made distinctions directed toward suspect classes. The tests for reviewing equal protection challenges generally are the same under New Mexico and federal law.
We have observed that a statute infringing fundamental rights or involving suspect classes must support a compelling state interest to escape judicial invalidation. State v. Edgington, 99 N.M. 715, 718, 663 P.2d 374, 377 (Ct.App.), cert. denied, 99 N.M. 644, 662 P.2d 645, cert. denied, 464 U.S. 940, 104 S.Ct. 354, 78 L.Ed.2d 318 (1983). We have also said that legislative acts are presumptively valid and normally are subjected to the rational basis test; it is well-settled that they will not be declared invalid unless the court is clearly satisfied that the legislature went outside the constitution in enacting them. Espanola Hous. Auth. v. Atencio, 90 N.M. 787, 788, 568 P.2d 1233, 1234 (1977); Board of Trustees v. Montano, 82 N.M. 340, 343, 481 P.2d 702, 705 (1971). The burden of proof is on the plaintiff to demonstrate that the challenged legislation is clearly arbitrary and unreasonable, not just that it is possibly so. Sanchez v. M.M. Sundt Constr. Co., 103 N.M. 294, 296, 706 P.2d 158, 160 (Ct.App. 1985); Gallegos v. Homestake Mining Co., 97 N.M. 717, 722, 643 P.2d 281, 286 (Ct. App.1982). The fact that a statute appears unreasonable to the courts is not decisive; that is not enough to invalidate an act. Hutcheson v. Atherton, 44 N.M. 144, 149, 99 P.2d 462, 465 (1940). Only when a statutory classification is so devoid of rational support or serves no valid governmental interest, so that it amounts to mere caprice, will it be struck down under the rational basis test. Montano, 82 N.M. at 343, 481 P.2d at 705; Hutcheson, 44 N.M. at 149, 99 P.2d at 465; Edgington, 99 N.M. at 719, 663 P.2d at 378. When employing the minimal scrutiny test, the courts neither will inquire into the wisdom, policy, or justness of legislation, nor will they substitute their views for that of the legislature, but rather will uphold the statute if any state of facts reasonably can be conceived that will sustain the challenged classification. Garcia v. Albuquerque Pub. Schools Bd. of Educ., 95 N.M. 391, 393, 622 P.2d 699, 701 (Ct. App.1980), cert. quashed, 95 N.M. 426, 622 P.2d 1046 (1981). The rational basis test, therefore, employs no independent review or analysis of the factual basis of the state’s goal, or of the means designated by the statute to attain that goal. Nowak, Realigning the Standards of Review Under the Equal Protection Guarantee— Prohibited, Neutral, and Permissive Classifications, 62 Geo.LJ. 1071, 1094 (1974).
An intermediate equal protection standard of review, somewhere between the rational basis and strict scrutiny standards, arose more recently out of the Supreme Court's dissatisfaction with the traditional, two-tiered analysis. See Craig v. Boren, 429 U.S. 190, 210 n. *, 97 S.Ct. 451, 463 n. *, 50 L.Ed.2d 397 (1976) (Powell, J., concurring); Gunther, In Search of Evolving Doctrine on a Changing Court: A Model for a Newer Equal Protection, 86 Harv.L. Rev. 1, 17-19 (1972). Accordingly, the third test has been aimed at legislative classifications infringing important but not fundamental rights, and involving sensitive but not suspect classes. L. Tribe, American Constitutional Law § 16-33, at 1610, 1613 (2d ed. 1988). The Court first enunciated the intermediate (or “heightened scrutiny”) test in F.S. Royster Guano Co. v. Virginia, 253 U.S. 412, 415, 40 S.Ct. 560, 561, 64 L.Ed. 989 (1920), when it declared that a classification must be reasonable, not arbitrary, and must rest upon some ground of difference having a fair and substantial relation to the object of the legislation. See Reed v. Reed, 404 U.S. 71, 76, 92 S.Ct. 251, 254, 30 L.Ed.2d 225 (1971) (employing Royster’s intermediate scrutiny test to invalidate statute based on gender classification); see also City of Cleburne v. Cleburne Living Center, Inc., 473 U.S. 432, 441, 105 S.Ct. 3249, 3255, 87 L.Ed.2d 313 (1985) (under heightened standard of review, classification fails unless it is substantially related to sufficiently important or legitimate governmental interest). The Court has applied the intermediate analysis principally to statutes that classify according to gender and illegitimacy. See City of Cleburne, 473 U.S. at 440-41, 105 S.Ct. at 3254-55.
Although we have referred to the Supreme Court’s use of the third, intermediate standard of review, see McGeehan v. Bunch, 88 N.M. 308, 310, 540 P.2d 238, 240 (1975), on occasion we have muddied the constitutional waters in New Mexico by interchangeably using the rational basis and intermediate tests as if they were identical. For example, in McGeehan, the court considered the validity of an automobile guest statute, construed the act as social and economic legislation, and cited the applicable standard of review as the intermediate test that was enunciated in Reed. See McGeehan, 88 N.M. at 310, 540 P.2d at 240. The court described the facets of the rational basis test, declared the legislative classification unreasonable and arbitrary, id. at 311, 540 P.2d at 241, but said also that the statute had no “fair and substantial relation” to its goal. Id. at 313-14, 540 P.2d at 244. In the end, the court invalidated the guest statute as violative of the equal protection clause, but it is not clear on which standard of review it relied to do so; and if the court employed both the rational basis and intermediate tests to strike the statute, the opinion is not clear why the court used both instead of either.
The imprecision was perpetuated in Pruey v. Department of Alcoholic Beverage Control, 104 N.M. 10, 715 P.2d 458 (1986). In considering an equal protection challenge to regulations prohibiting the sale of alcohol on Sundays, the court quoted the rational basis test as outlined in McGowan, and then cited the intermediate test and Reed and McGeehan in support. Id. at 12, 715 P.2d at 460. The court seemed to consider the two tests as different manifestations of the same principle; but the court upheld the statute as having a rational basis. Id. at 13, 715 P.2d at 461.
The confusion probably is a result of a misinterpretation of the longstanding precedent that legislative classifications must be based upon substantial distinctions. See State v. Atchison, T. & S.F. Ry., 20 N.M. 562, 570, 151 P. 305, 307 (1915). That rule is found in Gruschus v. Bureau of Revenue, 74 N.M. 775, 399 P.2d 105 (1965), an opinion often cited for its explication of the rational basis standard of review, wherein it was said that the equal protection clause “does not prohibit classification for legislative purposes, provided that there is a rational and natural basis therefor, that it is based on a substantial difference between those to whom it does and those to whom it does not apply * * Id. at 778, 399 P.2d at 107. In Gruschus, the challenged statute was found reasonable and not arbitrary, affording substantially equal treatment to all persons similarly situated. Id. at 779, 399 P.2d at 108. The test might better be stated as one assuring that classifications are based on real differences bearing a rational and proper relationship to the classification. See Community Pub. Serv. Co. v. New Mexico Pub. Serv. Comm’n, 76 N.M. 314, 317-18, 414 P.2d 675, 677, cert denied, 385 U.S. 933, 87 S.Ct. 292, 17 L.Ed. 2d 213 (1966); Burch v. Foy, 62 N.M. 219, 224, 308 P.2d 199, 202 (1957). The Española Housing court said that the question is whether the reasons advanced for validity of a statute were “real and pertinent differences or merely artificial differences * * * not relevant to the classification involved.” 90 N.M. at 789, 568 P.2d at 1235.
Thus, the rational basis test, which requires classifications to be based on substantial or real distinctions and be rationally related to the legislative goal, is different from the intermediate test, which requires a classification to be more than just rationally related to the statutory purpose; it requires also that the classification be substantially related to an important state interest. Additionally, a key difference in the tests is that under rational basis the party objecting to the legislative classification has the burden of demonstrating that the classification bears no rational relationship to a conceivable legislative purpose whereas under heightened scrutiny the party maintaining the validity of the classification must prove that the classification is substantially related to an important governmental interest. See Craig v. Boren, 429 U.S. 190, 97 S.Ct. 451, 50 L.Ed.2d 397 (1976).
Our research discloses that only the Supreme Court of Minnesota has considered the constitutionality of a limitation on damages for dramshop liability. Employing the rational basis test, McGuire v. C & L Restaurant, Inc., 346 N.W.2d 605 (Minn. 1984), invalidated the liability limitations as violative of the state equal protection clause. Id. at 613. In similar challenges to medical malpractice damage caps, however, several jurisdictions have considered the equal protection argument. We have found those cases most instructive in that for all practical purposes the constitutional analysis of medical malpractice limited liability legislation is identical to an equal protection analysis of limited dramshop liability. Thus, we discuss some of those decisions.
Some courts have construed the damage caps as social and economic legislation and have upheld them after reviewing the legislation under the rational basis test. Three separate intermediate courts in Texas have invalidated legislation that limited liability for medical malpractice actions, purportedly using the rational basis standard of review. The Supreme Court of Texas, also applying the minimum standard in a yet-unreleased opinion, recently affirmed the invalidity of the statutory liability limitation in Lucas v. United States, 757 S.W.2d 687 (1988), holding the cap to be “unreasonable and arbitrary” when balanced against the purpose and basis of the legislation. Id. at 690. In Lucas, the Texas Supreme Court had no difficulty in determining under the rational basis standard that an unreasonable and arbitrary cap on medical malpractice damages was an unconstitutional denial of a “ ‘remedy by due course of law.’ ” 757 S.W.2d at 690.
Three other jurisdictions have invalidated damage limitation provisions as violative of a plaintiff’s explicit, state constitutional right to full recovery in a tort action, employing a strict scrutiny analysis to do so. See Kenyon v. Hammer, 142 Ariz. 69, 83, 688 P.2d 961, 975 (1984); Smith v. Department of Ins., 507 So.2d 1080, 1088 (Fla. 1987); Pfost v. State, 713 P.2d 495, 503 (Mont.1985). Several other courts have held that the right to recover damages for personal injuries is not a fundamental right and that the class of victims denied full recovery is not a suspect class; but those courts have declared further that the rights infringed by medical malpractice legislation are sufficiently important and substantive, and the class of persons affected sufficiently sensitive, to justify invoking an intermediate standard of review to invalidate the statutes.
In determining which standard of review to apply in the equal protection analysis of the damage cap in the present case, we note first that no suspect class is involved. A suspect class has been defined as a discrete group “saddled with such disabilities, or subjected to such a history of purposeful unequal treatment, or relegated to such a position of political powerlessness as to command extraordinary protection from the majoritarian political process.” San Antonio Independent School Dist. v. Rodriguez, 411 U.S. 1, 28, 93 S.Ct. 1278, 1294, 36 L.Ed.2d 16 (1973); see Lyng v. Castillo, 477 U.S. 635, 106 S.Ct. 2727, 2729, 91 L.Ed. 2d 527 (1986); Plyler v. Doe, 457 U.S. 202, 216 n. 14, 102 S.Ct. 2382, 2394 n. 14, 72 L.Ed.2d 786 (1982). Only statutory classifications based on race, national origin, or alienage so far have been treated as suspect. Wilkinson, The Supreme Court, The Equal Protection Clause, and the Three Faces of Constitutional Equality, 61 Va. L.Rev. 945, 951 (1975). The class of tort victims denied full recovery for dramshop liability does not rise to the level of “suspectness” under existing precedent and, therefore, does not trigger strict scrutiny.
Secondly, we address the question of whether the damage cap infringes upon any fundamental constitutional rights. A fundamental right is that which the Constitution explicitly or implicitly guarantees. Rodriguez, 411 U.S. at 33-34, 93 S.Ct. at 1296-1297. The petitioner and amicus NMTLA argue that the damage cap violates her right of access to the courts and her right to full recovery in tort. Neither of these “rights” is guaranteed explicitly in our constitution. We have declared, however, that the right of access to the courts is one aspect of the right to petition for redress of grievances, and we have acknowledged that right as one guaranteed by the first amendment to the federal constitution and also protected by both the United States and New Mexico Constitutions by the prohibitions against “depriving a person of life, liberty or property without due process of law.” Jirón v. Mahlab, 99 N.M. 425, 426, 659 P.2d 311, 312 (1983). We once again recognized a “plaintiffs constitutional right to petition for redress” in Otero v. Zouhar, 102 N.M. 482, 486, 697 P.2d 482, 486 (1985).
With regard to whether the right to full recovery reaches fundamental status, the argument is that Article II, Section 4 of the New Mexico Constitution guarantees a fundamental right to be compensated fully and adequately for injuries that result from negligent behavior. That provision reads: “All persons are born equally free, and have certain natural, inherent and inalienable rights, among which are the rights of enjoying and defending life and liberty, * * * and of seeking and obtaining safety and happiness.” N.M. Const, art II, § 4. Some commentators assert that this is “textual evidence of an intent on the part of the constitutional ratifiers to afford substantive protection against the power of the state to impair economic interests.” Developments in The Law — The Interpretation of State Constitutional Rights, 95 Harv.L.Rev. 1324, 1480 (1982). But because we do not think it necessary, we decline at this time to interpret this provision as implicitly guaranteeing a fundamental right to full recovery in tort actions, so as to trigger a strict scrutiny analysis.
Acknowledging, also, our recognition of a constitutional right of access to our courts, we do not apply strict scrutiny to the issue of full recovery, principally because we conclude that the damage cap is constitutionally invalid under the lesser, intermediate scrutiny test. It is thus unnecessary to impose the highest level of review.
We are aware that in the history of the interpretation of the federal equal protection clause, the rational basis test generally has been minimal scrutiny in theory and has amounted to virtual judicial abdication in fact, whereas maximum scrutiny has been strict in theory and almost always fatal in fact. Gunther, 86 Harv.L.Rev. at 8. Strict scrutiny has operated as an anti majoritarian safeguard. Tribe, § 16-31, at 1588; Learner, Restrictive Medical Malpractice Compensation Schemes: A Constitutional “Quid Pro Quo” Analysis to Safeguard Individual Liberties, 18 Harv. J. on Legis. 143, 152 (1981). Accordingly, the application of the strict scrutiny test has resulted in the virtual immunization of certain liberties from legislative affliction. “The very purpose of a Bill of Rights was to withdraw certain subjects from the vicissitudes of political controversy, to place them beyond the reach of majorities and officials and to establish them as legal principles to be applied by the courts. One’s * * * fundamental rights may not be submitted to vote; they depend on the outcome of no elections.” West Virginia State Bd. of Educ. v. Barnette, 319 U.S. 624, 638, 63 S.Ct. 1178, 1185, 87 L.Ed. 1628 (1943).
By contrast, the rational basis test affords minimal scrutiny because of the concept that “it is constitutionally appropriate to ‘fight out the wise use of legislative authority in the forum of public opinion and before legislative assemblies rather than to transfer such a contest to the judicial arena,’ since all the ‘effective means of inducing political changes are left free.’ ” Id.; see Cleburne, 473 U.S. at 441-42, 105 S.Ct. at 3255-56 (because of doctrine of separation of powers, courts should be reluctant to closely scrutinize economic and social legislation, but rather should employ rational basis test). The primary theoretical basis for deferring to the legislature when applying the rational basis test, then, is that political entities can respond best to the electorate and can experiment with and allocate the state’s often limited resources in a manner that best reflects the concerns of their constituencies over social and economic issues. See Redish, Legislative Response to the Medical Malpractice Insurance Crisis: Constitutional Implications, 55 Tex.L.Rev. 759, 761 (1977); Tussman & tenBroek, The Equal Protection of the Laws, 37 Calif.L.Rev. 341, 366 (1949). In our own jurisprudence, we also have observed that courts should be hesitant to overturn a statute other than on fundamental rights grounds because the separation of powers doctrine mandates deference to a legislative determination of reasonableness. Edgington, 99 N.M. at 718, 663 P.2d at 377.
In advancing the intermediate test as a third level of review, the Supreme Court has “recognized that certain forms of legislative classification, while not facially invidious, nonetheless give rise to recurring constitutional difficulties” and in those “limited circumstances” the Court seeks “assurance that the classification reflects a reasoned judgment consistent with the ideal of equal protection by inquiring whether it may fairly be viewed as furthering a substantial interest of the State.” Plyler, 457 U.S. 202, 217-18, 102 S.Ct. 2382, 2395. And although even the Supreme Court has presented the heightened scrutiny test in a myriad of fashions, it has been characterized, in whatever form, at least by a “sharper focus” on legislative classifications “poised between the largely toothless invocation of minimum rationality and the nearly fatal invocation of strict scrutiny.” Tribe, § 16-32, at 1601; see Cleburne, 473 U.S. at 451, 105 S.Ct. at 3260 (Stevens, J., concurring) (standards of review for equal protection challenges reflect “a continuum of judgmental responses to differing classifications which have been explained in opinions by terms ranging from ‘strict scrutiny’ at one extreme to ‘rational basis’ at the other”).
Some critics have said that when courts elect to apply the intermediate test, they abandon judicial objectivity and make subjective judgments that lack constitutional support, thereby succumbing to the temptation to usurp the legislature’s function by making highly political decisions about certain social and economic issues. See, e.g., Redish, 55 Tex.L.Rev. at 782; Note, Fein v. Permanente Medical Group: Future Trends in Damage Limitation Adjudication, 80 Nw.U.L.Rev. 1643,1663-64 & 1673 (1986). But judicial scrutiny always requires judgments about legislative decisions, and that is particularly so when heightened scrutiny is called for. See Cleburne, 473 U.S. at 443, 105 S.Ct. at 3256; Coburn, 627 F.Supp. at 991. See generally Haines, General Observations on the Effects of Personal, Political, and Economic Influences in the Decisions of Judges, 17 Ill.L.Rev. 96, 112-14 (1922). We do not consider that the intermediate constitutional review process necessarily constitutes “abandonment” of any judicial responsibilities but, instead, hones the indispensable requirement of detached analytical examination of competing interests between legislative power and constitutional restraints.
To support our application of the intermediate test we are impressed with Professor Tribe’s observation that the heightened, intermediate standard of review is a judicial response to an awareness that the
all-or-nothing choice between minimum rationality and strict scrutiny ill-suits the broad range of situations arising under the equal protection clause, many of which are best dealt with neither through the virtual rubber-stamp of truly minimal review nor through the virtual death-blow of truly strict scrutiny, but through methods more sensitive to risks of injustice than the former and yet less blind to the needs of governmental flexibility than the latter. [Emphasis added.]
Tribe, § 16-32, at 1609-10; see Cleburne, 473 U.S. at 460,105 S.Ct. at 3265 (Marshall, J., dissenting) (“level of scrutiny employed in an equal protection case should vary with ‘the constitutional and societal importance of the interest adversely affected and the recognized invidíóúsness of the basis upon which the particularXclassification is drawn’ ”). We agree that implementing, the intermediate test in appropriate circumstances narrows the wide 'gap between strict and minimal scrutiny, “not by abandoning the strict but by raising the level of the minimal from virtual abdication to genuine judicial inquiry.” Gunther, 86 Harv.L. Rev. at 24.
It is clear from the foregoing discussion that the limitation of a full tort recovery at issue here under Section 41-11-1(1) implicates a substantial and important individual interest. For substantial and important individual interests, we invoke an intermediate standard of review because we think it best strikes the balance between the legislature’s constitutional prerogative to deliberate over and counterbalance the variety of interests involved in social and economic issues, and the judiciary’s constitutional responsibility to strictly scrutinize legislation that either infringes upon fundamental rights or impacts upon suspect classes. Viewing this constitutional balance within the separation of powers context, which is the gist of opposition to it, we are satisfied that we neither trample arbitrarily upon the legislature’s preferred position of direct, political accountability to the electorate, nor do we forsake our duty to protect individuals from the deleterious effects of controversial social and economic legislation that, in this case at least, could result in economic devastation of innocent victims simply by the fortuitous happenstance .of the tortfeasor’s status. We see no usurpation of power in a heightened scrutiny of legislation in those limited circumstances when the class implicated is so sensitive to injustice and the rights affected are so substantial and important that they warrant special judicial attention.
Section 41-11-1 tacitly makes three separate classifications: a class of victims suffering from injuries resulting from the negligence of a tavernkeeper as distinguished from victims of another tortfeasor’s negligent conduct; a class of victims suffering from the negligence of tavernkeepers whose injuries amount to less than $50,000 lumped together with those victims whose injuries resulting from the same cause are in excess of that damage limitation; and a class of tortfeasors accorded the benefit of the $50,000 cap as distinguished from all other tortfeasors, most of whom are liable for the full amount of damages they cause. We believe that these classifications effect a substantial injustice in this case. The classifications infringe an individual’s important interest to be compensated fully for his injuries, especially when, as is alleged in the instant case, they are a result of no fault of his own. This interest, in our view, certainly is amply important and substantial to justify the invocation of at least the heightened, intermediate test instead of the minimum rationality test. We are per suaded also that the class of tort victims affected by the damage cap is “sensitive” enough to the injustice wrought to warrant applying the heightened test. Consequently, we take the intermediate approach and analyze the constitutional challenge in this case under heightened scrutiny.
We commence our examination by repeating that the court of appeals erred in its equal protection analysis of the damage limitation. A legislative classification not only must affect equally all persons within the class to which the legislation applies but, to begin with, the legislature must have a legitimate purpose for creating the class, and a constitutionally permissible reason for treating persons within that class differently from those without. See McLaughlin v. Florida, 379 U.S. 184, 190, 85 S.Ct. 283, 287, 13 L.Ed.2d 222 (1964). In light of those considerations, the court of appeals erred in concluding that the damage cap did not violate the equal protection clause because it applied equally to all persons affected by the dramshop act. “Judicial inquiry under the Equal Protection Clause * * * does not end with a showing of equal application among the members of the class defined by the legislation.” Id. at 191, 85 S.Ct. at 288. No argument has been presented to us to persuade us that the classifications created by the legislation are constitutionally legitimate and, under the McLaughlin dictate, we have been unable to discern or discover any by our own reasoning processes.
Plaintiff has presented a prima facie showing of an arbitrary and unreasonable denial of equal protection and of a restriction on a plaintiffs right of access to the courts. On the other hand, respondent completely failed to carry its burden of demonstrating that any substantial interest of the state is furthered by the legislation. In the absence of any contrary showing by respondent, we cannot think of legitimate public good or supportive policy reasons that are promoted by the special protection of tavernkeepers in the dispensation of intoxicating liquor. We are distinctly unable to rationalize a legitimate or substantial reason for limiting the liability of a tavernkeeper who has a duty not to place drunks behind the wheel of a vehicle on the highway when, by contrast, a rancher or farmer is fully liable for negligently allowing his livestock to meander dumbly into the path of oncoming vehicles. See NMSA 1978, §§ 30-8-13 (Repl.Pamp.1984) & 66-7-363 (Repl.Pamp.1987).
Even though we agree that the legislature most often is better suited to make such policy determinations, a heightened scrutiny of legislation that infringes substantial and important individual interests, such as we have here, compels us to the conviction that the liability cap works a manifest injustice on innocent tort victims and lacks any of the redeeming features entitling it to constitutional validity. Absolutely nothing was shown sufficient to overcome plaintiffs arguments, or to demonstrate that the damage limitation in Section 41-11-1(1) has a substantial relationship to a legitimate or important governmental purpose and we have been unable to fathom one. The cap on damages mandated by Section 41-11-1(1) simply does not withstand heightened scrutiny, and we hold it to be constitutionally invalid as violative of the equal protection clause.
Turning to the other issue, we acknowledge that, as in Bouldin v. Sategna, 71 N.M. 329, 378 P.2d 370 (1963), a substantial number of courts has not held owners liable for leaving the keys in their unattended vehicles and for the injuries to third persons as a result of the thefts and subsequent negligent operation of those vehicles. Those courts have concluded either that an owner owes no duty to the general public to guard against the risk of a thief’s negligent operation of a vehicle in which the owner left his keys; that the theft and subsequent negligence of the thief could not reasonably be foreseen by the owner as a natural or probable consequence of leaving the keys in the ignition of the car; or have concluded that even if the owner was negligent, his actions were not the proximate cause of the injuries because the thief’s actions constituted an independent, intervening cause.
An emerging group of jurisdictions, on the other hand, has rejected the contention that an intervening criminal act automatically breaks the chain of causation as a matter of law, concluding instead that a reasonable person could foresee a theft of an automobile left unattended with the keys in the ignition and reasonably could foresee the increased risk to the public should the theft occur. In addition, a few courts, including some of those that earlier denied liability, have indicated a willingness to impose liability upon the owner under “special circumstances.” Courts looking at special circumstances seek to determine whether an owner’s conduct enhanced the probability that his car would be stolen and thus increased the hazard to third persons. Considering special circumstances, then, is just another way of examining the degree of foreseeability of injury and whether the owner is subject to a duty to exercise reasonable care. Vadala v. Henkels & McCoy, Inc., 397 A.2d 1381 (Del.Super. 1979), listed some of the circumstances aiding the court in its resolution of a similar case:
(a) the vehicle in question is of a type which may attract potential intermeddlers who are unlikely to have the necessary knowledge and skill to operate it safely;
(b) that vehicle is capable of inflicting more serious injury and damage than an ordinary vehicle when not properly controlled;
(c) no security measures were taken after it became evident that the lock which secures the gate to the truck yard had been partially cut and an intoxicated individual was loitering nearby. * * *
Id. at 1383.
NMSA 1978, Section 66-7-353, which prohibits leaving a motor vehicle to stand unattended without “first stopping the engine, locking the ignition, [and] removing the key,” was enacted for the purpose of promoting public welfare and safety. Bouldin, 77 N.M. at 332, 378 P.2d at 372. Prevention of the kinds of unfortunate circumstances that occurred in this case from failure to comply with the statute would be conducive to promoting public safety. When “a person by his own negligence produces a dangerous condition of things, which does not become active for mischief until another person has operated upon it by the commission of another negligent act, which might not unreasonably be foreseen to occur, the original act of negligence is then regarded as [a] proximate cause of the injury which finally results.” Thompson v. Anderman, 59 N.M. 400, 412, 285 P.2d 507, 515 (1955).
Some of the members of this Court believe that our adoption of comparative negligence as the rule of law in this jurisdiction, Scott v. Rizzo, 96 N.M. 682, 634 P.2d 1234 (1981), commits us to the principles there expressed that if a jury finds more than one party to have been negligent, a verdict “requiring wrongdoers to share the losses caused, at the ratio of their respective wrongdoing, * * * fairly distributes the burden of fault” and “holds all parties fully responsible for their own respective acts to the degree that those acts have caused harm.” Id. at 689-90, 634 P.2d at 1241-42. See, e.g., St. Sauver v. New Mexico Peterbilt, Inc., 101 N.M. 84, 87, 678 P.2d 712, 715 (1984); Ramirez v. Armstrong, 100 N.M. 538, 542-43, 673 P.2d 822, 827-28 (1983); Bartlett v. New Mexico Welding Supply, Inc., 98 N.M. 152, 158-59, 646 P.2d 579, 585-86 (Ct.App.), cert. denied, 98 N.M. 336, 648 P.2d 794 (1982). There is a divergence in the opinions of members of this Court, however, whether questions of fact are presented in any inquiry into whether an owner reasonably could foresee that his vehicle might be stolen if he left it unattended, unlocked, and with the keys in its ignition, and whether he reasonably could anticipate that the thief might drive negligently and injure someone, see Ney v. Yellow Cab Co., 2 Ill.2d 74, 83, 117 N.E.2d 74, 80 (1954), or whether Bouldin was correct in holding, as a matter of law, that such ensuing theft and subsequent negligence resulting in injury were not natural, foreseeable events attendant upon leaving one’s keys in the vehicle.
Consequently, a majority of the Court being unable to reach agreement on the Bouldin issue at this time, we do not disturb the summary judgment entered by the trial court in favor of Bennett-Cathey.
We remand the case to the district court for entry of judgment in the amount of $250,000 against defendant Carnegie. IT IS SO ORDERED.
SOSA, Senior Justice, concurs.
RANSOM, J., specially concurring.
STOWERS, J., dissenting.
SCARBOROUGH, C.J., not participating.
. See City of Cleburne v. Cleburne Living Center, Inc., 473 U.S. 432, 440, 105 S.Ct. 3249, 3254, 87 L.Ed.2d 313 (1985); see also Torres v. Village of Capitan, 92 N.M. 64, 69, 582 P.2d 1277, 1282 (1978); Vandoben v. Constructors, Inc., 101 N.M. 109, 112, 678 P.2d 1184, 1187 (Ct.App.), cert. denied, 101 N.M. 77, 678 P.2d 705 (1984).
. Sanchez v. M.M. Sundt Constr. Co., 103 N.M. 294, 297, 706 P.2d 158, 161 (Ct.App. 1985); Garcia v. Albuquerque Pub. Schoob Bd. of Educ., 95 N.M. 391, 393, 622 P.2d 699, 701 (Ct.App. 1980), cert. quashed, 95 N.M. 426, 622 P.2d 1046 (1981).
.See, e.g., Lucas v. United States, 807 F.2d 414, 422 (5th Cir.1986); Hoffman v. United States, 767 F.2d 1431, 1436-37 (9th Cir.1985); Boyd v. Bulala, 647 F.Supp. 781, 787 (W.D.Va.1986) (but holding that damage cap violates seventh amendment jury trial provision); Fein v. Permanente Medical Group., 38 Cal.3d 137, 162, 695 P.2d 665, 681, 211 Cal.Rptr. 368, 386 (1985), appeal dismissed, 474 U.S. 892, 106 S.Ct. 214, 88 L.Ed.2d 215 (1985); Bernier v. Burris, 113 Ill.2d 219, 228-29, 100 Ul.Dec. 585, 590, 497 N.E.2d 763, 768 (1986); Johnson v. St. Vincent Hosp., Inc., 273 Ind. 374, 397, 404 N.E.2d 585, 601 (1980); Prendergast v. Nelson, 199 Neb. 97, 113— 14, 256 N.W.2d 657, 669 (1977).
. See Detar Hosp., Inc. v. Estrada, 694 S.W.2d 359 (Tex.Civ.App.1985); Malone & Hyde, Inc. v. Hobrecht, 685 S.W.2d 739 (Tex.Civ.App. 1985); Baptist Hosp. of Southeast Tex., Inc. v. Baber, 672 S.W.2d 296, 298 (Tex.Civ.App.1984), cert. denied, 714 S.W.2d 310 (Tex.1986).
. See, e.g., Coburn v. Agustin, 627 F.Supp. 983, 995 (D.Kan.1985); Jones v. State Bd. of Medicine, 97 Idaho 859, 871, 555 P.2d 399, 411 (1976), cert. denied, 431 U.S. 914, 97 S.Ct. 2173, 53 L.Ed.2d 223 (1977); Farley v. Engelken, 241 Kan. 663, 672, 740 P.2d 1058, 1064 (1987); Sibley v. Board of Supervisors of La. State Univ., 477 So.2d 1094, 1107 (La. 1985); Carson v. Maur er, 120 N.H. 925, 932, 424 A.2d 825, 830 (1980); Ameson v. Olson, 270 N.W.2d 125, 135 (N.D. 1978).
. See Vines v. Plantation Motor Lodge, 336 So.2d 1338, 1340 (AIa.1976); Bennett v. Artie Insulation, Inc., 253 F.2d 652, 654 (9th Cir.1958); Richards v. Stanley, 43 Cal.2d 60, 65, 271 P.2d 23, 26-27 (1954); Lambotte v. Payton, 147 Colo. 207, 209, 363 P.2d 167, 168 (1961); Gamble v. Kinch, 102 Idaho 335, 337, 629 P.2d 1168, 1170 (1981); Dillner v. Maudlin, 161 Ind.App. 204, 205, 314 N.E.2d 794 (1974); Roadway Express, Inc. v. Piekenbrock, 306 N.W.2d 784, 786 (Iowa 1981); Roach v. Liberty Mut. Ins. Co., 279 So.2d 775, 777 (La.Ct.App.), cert. denied, 281 So.2d 756 (La.1973); Berluchaux v. Employers Mut. of Wausau, 194 So.2d 463, 465 (La.Ct.App.), cert. denied, 250 La. 533, 197 So.2d 79 (1967); Galbraith v. Levin, 323 Mass. 255, 259, 81 N.E.2d 560, 563-64 (1948); Permenter v. Milner Chevrolet Co., 229 Miss. 385, 404, 91 So.2d 243, 252 (1956); Dix v. Motor Mkt., Inc., 540 S.W.2d 927, 932-33 (Mo.Ct.App.1976); Flannery v. Sample Hart Motor Co., 194 Neb. 244, 248, 231 N.W.2d 339, 342 (1975); Pendrey v. Barnes, 18 Ohio St.3d 27, 29, 479 N.E.2d 283 (1985); Felty v. City of Lawton, 578 P.2d 757, 760 (Okla.1977); Liney v. Chestnut Motors, Inc., 421 Pa. 26, 28, 218 A.2d 336, 338 (1966); Keefe v. McArdle, 109 R.I. 90, 92, 280 A.2d 328, 329 (1971); Stone v. Bethea, 251 S.C. 157, 164, 161 S.E.2d 171, 174-75 (1968); Parker v. Charlie Kittle Pontiac Co., 495 S.W.2d 810, 812 (Tenn.1973); Pratt v. Thomas, 80 Wash. 2d 117, 119, 491 P.2d 1285, 1286 (1971); Meihost v. Meihost, 29 Wis.2d 537, 546, 139 N.W.2d 116, 121 (1966).
. See Gaither v. Myers, 404 F.2d 216, 221 (D.C. Cir.1968); Ross v. Hartman, 139 F.2d 14, 16 (D.C.Cir.1943), cert. denied, 321 U.S. 790, 64 S.Ct. 790, 88 L.Ed. 1080 (1944); Vadala v. Henkels & McCoy, Inc., 397 A.2d 1381, 1383-84 (Del. Super.1979); Vining v. Avis Rent-A-Car Systems, Inc., 354 So.2d 54, 56 (Fla.1977); Kacena v. George W. Bowers Co., 63 Ill.App.2d 27, 39, 211 N.E.2d 563, 569 (1965); Davis v. Thornton, 384 Mich. 138, 146, 180 N.W.2d 11, 15 (1970); Zinck v. Whelan, 120 NJ.Super 432, 445, 294 A.2d 727, 733-34 (1972); Itami v. Burch, 59 Or.App. 400, 402, 650 P.2d 1092, 1093 (1982).
. See Palma v. United States Indus. Fasteners, Inc., 36 Cal.3d 171, 185, 681 P.2d 893, 902, 203 Cal.Rptr. 626, 634 (1984); Smith v. Shaffer, 395 N.W.2d 853, 856 (Iowa 1986); Illinois Farmers Ins. Co. v. Tapemark Co., 273 N.W.2d 630, 635 (Minn. 1978); Dix v. Motor Mkt., Inc., 540 S.W. 2d 927, 932 (Mo.Ct.App.1976); Felty v. City of Lawton, 578 P.2d 757, 761 (Okla.1977).
. See Hosking v. Robles, 98 Cal.App.3d 98, 102-03, 159 Cal.Rptr. 369, 372 (1979) (surveying what constitutes "special circumstances" in California); Smith v. Shaffer, 395 N.W.2d 853, 856 (Iowa 1986) (leaving keys in unattended car's ignition in high crime area near several bars constitutes special circumstances); State Farm Mut. Auto. Ins. Co. v. Grain Belt Breweries, Inc., 309 Minn. 376, 381, 245 N.W.2d 186, 189 (1976) (same); Lavo v. Medlin, 705 S.W.2d 562, 564 (Mo.Ct.App.1986) (implying that special circumstances include parking unusually dangerous vehicle in high crime area with keys in ignition); Zinck v. Whelan, 120 N.J.Super. 432, 450, 294 A.2d 727, 736 (1972) (special circumstances are position and location of parked vehicle, access thereto, its operational condition, proximity to surveillance, and length of time elapsing from theft to accident). | [
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OPINION
ALARID, Judge.
Claimant appeals the denial of her claim for benefits by the Workers’ Compensation Division. Our calendar notice proposed summary affirmance of the hearing officer’s decision. Claimant has filed a memorandum in opposition. The memorandum was filed one day late. We caution claimant’s counsel that a party has a maximum of thirteen days within which to file a memorandum responding to a calendar notice. See SCRA 1986, 12-210(E)(3); SCRA 1986, 12-308(B). Being unpersuaded by claimant’s memorandum, we affirm the hearing officer.
FACTS
Claimant was injured in an accident arising out of and in the course of her employment with respondent Wal-Mart Store No. 824 (Wal-Mart) on May 23, 1986. In her employment application to Wal-Mart, claimant denied any history of back injury. In fact, she had suffered a back injury in a previous job resulting in a three percent physical impairment rating. Respondents’ expert medical witness testified in his trial deposition that claimant was at an increased risk of injury becausé of her prior undisclosed injury. Based upon claimant’s misrepresentation in her employment application, the hearing officer denied her claim for compensation benefits.
DISCUSSION
To bar recovery of workers’ compensation benefits on the ground of a falsified employment application, three essential factors must be present: (1) the employee must have knowingly and wilfully made a false representation as to his physical condition; (2) the employer must have relied upon the false representation and this reliance must have been a substantial factor in the hiring; and (3) there must have been a causal connection between the false representation and the injury. Martinez v. Driver Mechenbier, Inc., 90 N.M. 282, 562 P.2d 843 (Ct.App.1977); see also 1C A. Larson, The Law of Workmen’s Compensation, § 47.53 (1986).
Claimant does not challenge the hearing officer’s findings that the first two factors were present in this case. Rather, she argues that there was not substantial evidence to support the hearing officer’s determination of a causal connection between the false representation and the injury. Our calendar notice proposed to find substantial evidence in support of the hearing officer’s finding in the form of claimant’s physical impairment rating and respondent’s expert testimony that claimant was at an increased risk due to the prior injury.
Claimant relies on Chavez v. Lectrosonics, Inc., 93 N.M. 495, 601 P.2d 728 (Ct. App.1979) (per Sutin, J.). In Chavez, Judge Sutin wrote that the employer establishes a causal connection between the false representation and the injury:
(1) where an employer proves a previous permanent disability, and (2) that by medical testimony the risk of injury in his employment has increased * * *. On the other hand, if a workman has proven that (1) his physical condition and disability is such that he was able to perform the same duties in prior employment without any physical difficulty, (2) before he made application for employment, and (3)he was able to perform the duties of his employment, no causal connection exists between the false representation and the injury.
Id., 93 N.M. at 498, 601 P.2d at 731.
Our calendar notice pointed out that Judge Sutin’s opinion was not an opinion of this court. See Casias v. Zia Co., 94 N.M. 723, 616 P.2d 436 (Ct.App.1980); NMSA 1978, § 34-5-11 (Repl.Pamp.1981). Nevertheless, claimant urges the court to adopt Judge Sutin’s reasoning. We are not inclined to do so.
The dilemma posed by Judge Sutin’s opinion is illustrated by the present case. Clearly, under Judge Sutin’s test, respondents produced substantial evidence establishing a causal connection between the false representation and the injury. See Sanchez v. Homestake Mining Co., 102 N.M. 473, 697 P.2d 156 (Ct.App.1985). On the other hand, claimant vigorously argues that she established that her present injury was not a result of the false representation. Claimant contends that she was able to perform similar duties in prior employment without physical difficulty as well as perform the duties of her employment with Wal-Mart. Rather, claimant asserts that her injury was causally related to a previous auto accident and not to any prior work-related injury. Thus, we have a standoff if we apply Judge Sutin’s reasoning.
Claimant states that our rejection of the Chavez rationale denies her the opportunity to prove that the previous work injury was not causally related to the subsequent work injury. This, claimant argues, goes against the well-established rule that we will liberally construe the Workers’ Compensation Act in favor of the worker. See Brooks v. Hobbs Mun. Schools, 101 N.M. 707, 688 P.2d 25 (Ct.App.1984). We disagree. Claimants are free to present evidence, as claimant did in the instant case, refuting the employer’s evidence of causal connection. It is for the trier of fact to weigh the evidence, determine the credibility of witnesses, reconcile inconsistent statements of the witnesses, and determine where the truth lies. Sanchez v. Home-stake Mining Co. Here, the hearing officer determined, on the basis of substantial evidence, that there was a causal connection between the false representation and the injury. The question on appeal is not whether there is evidence to support an alternative result but, rather, whether the fact finder’s result is supported by substantial evidence. See Bagwell v. Shady Grove Truck Stop, 104 N.M. 14, 715 P.2d 462 (Ct.App.1986). Our holding is also consistent with the spirit of the Act because the burden of proving a causal connection remains with the employer.
Finally, claimant maintains that respondents did not present substantial evidence of a causal connection because their physician did not examine claimant until one year after the injury. We point out that the physician’s credibility and the weight of his testimony were matters for the hearing officer. See Sanchez v. Homestake Mining Co. We also note that our result would be the same under a “whole record” standard of review.
The order of the hearing officer denying claimant compensation benefits is affirmed. No costs or attorney fees are awarded on appeal.
IT IS SO ORDERED.
BIVINS and APODACA, JJ., concur. | [
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] |
OPINION
WOOD, Judge.
Defendants sold scrap metal, motors, small tools and implements, three vehicles and other items accumulated at defendants’ welding shop (referred to hereinafter as scrap metal) for $6,000. The sales price was paid. This lawsuit resulted from a dispute over who was entitled to take possession of the scrap metal that was sold. Plaintiff sued defendants for fraud, constructive fraud and conversion. The trial court found in favor of defendants on these issues. The trial court also found there had been an accord and satisfaction. Plaintiff appealed. We (1) outline the factual background; (2) discuss plaintiff’s right to sue for conversion; (3) discuss the conversion issue; and (4) modify the trial court’s judgment because one of the defendants is dead.
Factual Background
The following factual recitation is based on unchallenged findings or undisputed evidence.
Prior to sale of the scrap metal, plaintiff, Srader and Pease inspected and made a list of the scrap metal. On April 1, 1978, defendants agreed to sell the scrap metal to Srader for $6,000. On April 1, 1978, Srader delivered to defendants a check for $1,000 as a down payment. This check was signed by plaintiff and was drawn on plaintiff’s bank account. On April 3,1978, Srader delivered to defendants a cashier’s check for $5,000 to complete payment of the purchase price. The cashier’s check was purchased by plaintiff.
On April 3, 1978, Srader was the only purchaser of the scrap metal, and the bill of sale showed only Srader as the buyer. Plaintiff and Pease demanded that their names be included on the bill of sale as buyers. On April 3, 1978, the bill of sale was amended to show plaintiff, Srader and Pease as the buyers. All involved consented to this amendment.
On or before April 3, 1978, plaintiff, Srader and Pease entered an oral partnership agreement to purchase the scrap metal. Defendants became aware of the partnership on April 3, 1978.
On April 4, 1978, Srader removed $2,000 worth of scrap metal from defendants’ property. On April 5, 1978, plaintiff and Srader, as partners, disputed which of them owned and had a right to possess the scrap metal that had been purchased. Defendants became aware of this dispute on April 5, 1978. Plaintiff demanded that defendants allow him to remove the scrap metal. Srader demanded that defendants allow him to remove the scrap metal. Defendants refused to allow either plaintiff or Srader to remove the property for some months.
Plaintiffs Right to Sue for Conversion
The trial court found, after trial, that there was a partnership. Plaintiff does not challenge this finding on appeal. Plaintiff does not challenge the trial court’s ruling that there was neither fraud nor constructive fraud. Plaintiff does challenge the ruling that plaintiff failed to prove a conversion.
In attacking the trial court’s ruling as to conversion, plaintiff relies on partnership law. Plaintiff asserts that as a partner he had a right to possession of the scrap metal because it was partnership property. The answer brief responds that plaintiff’s partnership claim is improper because plaintiff, as a partner, “may not sue alone on a cause of action belonging to the partnership * The answer brief cites Loucks v. Albuquerque National Bank, 76 N.M. 735, 418 P.2d 191 (1966), and Amador v. Lara, 93 N.M. 571, 603 P.2d 310 (Ct.App.1979). Thus in responding to plaintiff’s appellate argument, the answer brief raises an issue as to whether plaintiff, as an individual, had the right to sue on a partnership claim.
The tenor of plaintiff’s complaint and his amended complaint was that he put up the money, he was the buyer of the scrap metal, he was entitled to possession of the scrap metal and he, individually, was entitled to damages. The amended complaint alleged that “Plaintiff was the rightful owner * * No claim on behalf of the partnership was asserted in either the complaint or amended complaint.
At trial plaintiff testified consistent with the theory pleaded. He testified that he owned the scrap metal, that he was the buyer, “I was the only buyer, the sole buyer.” Plaintiff also testified in contradiction to his view that he was the sole buyer. He admitted that there was a partnership consisting of himself, Srader and Pease, and admitted that he had acknowledged the partnership to defendants. Plaintiff testified that among the partners, Pease, a blacksmith, was to make things with the scrap metal, plaintiff was to provide the money and Srader “was the agent to buy and to sell, you know, he was acting as an agent.”
In his requested findings, plaintiff limited his partnership theory. The theory was that Srader and Pease were “future partners who would have a share in any profits made in re-selling the merchandise. These two men were not indentified [sic] in any way as being purchasers of the merchandise.” The trial testimony, including the testimony of plaintiff, provided a basis for the trial court to refuse this requested finding.
We refer to the above evidence again in deciding the conversion issue. At this point our concern is whether plaintiff was a proper party to seek damages on behalf of the partnership for conversion.
Plaintiff’s reply brief asserts that defendants did not raise a defense in the answer as to plaintiff’s capacity to sue “so as to give Mr. Stephen the opportunity to amend his complaint, [as] defendant should not now be heard to deny Mr. Stephen’s capacity to sue.” This contention, in essence, is that any question as to capacity to sue has been waived. See NMSA 1978, Civ.P.R. 9(a) (Repl.Pamp.1980).
It is unnecessary to decide the waiver contention. The evidence is undisputed that prior to trial Srader assigned his partnership interest to plaintiff, excepting only certain of the scrap metal that had been obtained by Srader, while he was a partner. Documents among the exhibits, although denied admission in this case, are to the effect that Pease no longer has a partnership interest and no one claims that he does. In these circumstances, plaintiff, as the holder of the partnership interest, was a proper plaintiff. See Sturgeon v. Clark, 69 N.M. 132, 364 P.2d 757 (1961); Young v. New Mexico Broadcasting Co., 60 N.M. 475, 292 P.2d 776 (1956), modified on other grounds in Reed v. Melnick, 81 N.M. 608, 611, 471 P.2d 178 (1970).
Conversion
The conversion claim on appeal is that plaintiff, as a partner, had a right to control and manage the scrap metal as partnership property. The challenge to the tri al court’s holding as to the conversion claim is argued in two parts. One part attacks the propriety of defendants’ action in withholding delivery to plaintiff after learning that the plaintiff and Srader disagreed as to which of them was entitled to possess the scrap metal. This first part involves the “reasonableness” of defendants’ action, see Burroughs v. Garrett, 67 N.M. 66, 352 P.2d 644 (1960), and the rather startling claim that defendants were liable for conversion because defendants did not file a lawsuit to resolve the conflicting claims of the disputing partners. It is unnecessary to discuss or decide the contentions involving the conduct of defendants.
The second part of the conversion claim involves plaintiff’s right to recover for conversion. Plaintiff could not recover damages for conversion unless he had a right to immediate possession of the scrap metal. Such a right is generally based on some form of ownership interest. See Wray v. Pennington, 62 N.M. 203, 307 P.2d 536 (1956); 89 C.J.S. Trover & Conversion §§ 72-73 (1955); cf. Aragon v. General Electric Credit Corp., 89 N.M. 723, 557 P.2d 572 (CLApp.1976); O’Dell v. Garrett, 82 N.M. 240, 478 P.2d 568 (Ct.App.1970).
Plaintiff asserts he had a right to immediate possession as a partner. He relies on the following provisions of the Uniform Partnership Act.
NMSA 1978, Section 54-l-9(A) provides:
A. Every partner is an agent of the partnership for the purpose of its business, and the act of every partner, including the execution in the partnership name of any instrument, for apparently carrying on in the usual way the business of the partnership of which he is a member binds the partnership, unless the partner so acting has in fact no authority to act for the partnership in the particular matter, and the person with whom he is dealing has knowledge of the fact that he has no such authority. (Emphasis added.)
NMSA 1978, Section 54-1-25 provides:
A. A partner is co-owner with his partners of specific partnership property holding as a tenant in partnership.
B. The incidents of this tenancy are such that:
(1) a partner, subject to the provisions of this act [54-1-1 to 54-1-43 NMSA 1978] and to any agreement between the partners, has an equal right with his partners to possess specific partnership property for partnership purposes; but he has no right to possess such property for any other purpose without the consent of his partners * * *. (Emphasis added.)
Plaintiff states:
As long as Mr. Stephen was using the scrap metal for partnership purposes, he was entitled to access to the property. There is no allegation in the record that Mr. Stephen was endeavoring to obtain the scrap for any purpose other than to resell it, which was the purpose for which the partnership was formed. * * Because Mr. Stephen was engaged in a legitimate partnership enterprise, he had the right to manage the partnership property and the defendant was under a contractual obligation to deliver the goods to him.
Plaintiff’s contention is a fiction. Plaintiff did not seek damages on behalf of the partnership. In the trial court he denied any partnership interest in the scrap metal. Plaintiff claimed that he was the sole buyer, and that the partnership involved only the sale of property that plaintiff owned individually. See the review of the evidence in our discussion of the “proper party” issue. Under the evidence, particularly plaintiff’s own testimony, plaintiff did not seek possession of the scrap metal for partnership purposes. Rather, plaintiff sought to possess the scrap metal for other purposes without the consent of his partners. Under Section 54-l-25(A), plaintiff’s ownership interest was that of a tenant in partnership. Under Section 54-l-25(B)(l), he had no right to possession.
Plaintiff was not entitled to individual damages for conversion, and he did not assert, in the trial court, a claim to possession on behalf of the partnership. The trial court properly dismissed the conversion claim with prejudice.
Modification of Judgment Because of a Deceased Defendant
Although plaintiffs brief-in-chief attacks the trial court’s finding of an accord and satisfaction, the reply brief states: “If the Court rejects plaintiff’s point that the [trial] court was in error in [its] decision that plaintiff failed to prove his case then, the issue of accord and satisfaction need not be reached.” There being no cross-appeal, we accede to plaintiff’s request and do not consider the merits of the finding that there was an accord and satisfaction.
We do, however, consider the judgment based on the accord and satisfaction because the judgment provides that defendants pay plaintiff pursuant to the accord and satisfaction. One of the defendants died prior to trial.
The complaint was filed April 10, 1981; the amended complaint was filed May 7, 1981. Answers were filed by both defendants on July 17 and 20, 1981. Stella Phillips testified that Felix died in March 1982; that she was the “executrix” of Felix’ estate and handled the settlement of his estate.
Plaintiff filed a suggestion of death on November 24, 1982, serving Stella Phillips “acting pro se.” There has been no motion for substitution of parties. We do not, however, dismiss the suit against Felix under NMSA 1978, Civ.P. Rule 25(a) (Repl. Pamp.1980) because there is nothing indicating that the suggestion of death was served on a representative of Felix’ estate. See the wording of Civ.P. Rule 25(a).
We dispose of the question of Felix’ death, while a party, pursuant to our revivor statutes. NMSA 1978, Section 37-2-1 provides that causes of action for fraud and injury to personal estate survive. Plaintiff’s claims for fraud, constructive fraud and conversion survived Felix’ death. See A.J. Armstrong Co. v. Hufstedler, 75 N.M. 408, 405 P.2d 411 (1965). Plaintiff’s claims against Felix could have been revived against Felix’ personal representative. NMSA 1978, § 37-2-11. “[A] pending action cannot be prosecuted after the death of a party defendant thereto, so as to affect the decedent’s estate, until it is revived against his personal representative or successor in interest.” A.J. Armstrong Co., 75 N.M. at 410, 405 P.2d 411. As to the claims against Felix, his personal representative became an indispensable party. There having been no revivor against Felix’ personal representative, plaintiff's claims against Felix must be dismissed and the provision in the judgment requiring Felix to pay pursuant to the accord and satisfaction must be modified. A.J. Armstrong Co.
There is nothing suggesting plaintiff's claims against Stella could not be pursued. NMSA 1978, § 37-2-5.
The judgment dismissing' plaintiff’s claims against Stella and requiring Stella to pay pursuant to the accord and satisfaction is affirmed. The provisions of the judgment pertaining to Felix are reversed. The cause is remanded with instructions to dismiss plaintiff’s claims against Felix, and to delete from the judgment the provision requiring Felix to pay pursuant to the accord and satisfaction.
Plaintiff is to bear the appellate costs.
IT IS SO ORDERED.
DONNELLY, C.J., and HENDLEY, J., concur.
. By defendants, we mean the two Phillips defendants. Plaintiff also sued Srader, but the claims against Srader were not tried, and the record on appeal indicates the claims against Srader are pending in the trial court. | [
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OPINION
BIVINS, Judge.
We consolidated these appeals to consider NMSA 1978, Section 52-1-22 (Repl. Pamp.1991), sometimes referred to as the “statutory-employer” or “contractor-under” provision of the Workers’ Compensation Act, NMSA 1978, Section 52-1-1 to -70 (Repl. Pamp.1991). In the first case on appeal, Romero v. Shumate Constructors, Inc., a workers’ compensation case, the Administrative Law Judge (ALJ) granted summary judgment in favor of the general contractor, Shumate Constructors, Inc. (Shumate), and its carrier. The ALJ determined that Romero’s immediate employer, Fay’s Painting Company (Fay’s), was an independent contractor, and therefore Shumate was not liable to pay compensation benefits to Romero. Romero appeals that ruling. In the second case on appeal, Harger v. Structural Services, Inc., a common law tort action, Harger sued Jaynes Corporation (Jaynes), the primary contractor, and Structural Services, Inc. (SSI), a subcontractor, for personal injuries suffered while Harger was working for another subcontractor, Superior Mechanical Contractors, Inc. (Superior). The district court of Bernalillo County granted summary judgment in favor of Jaynes and SSI. The court determined Jaynes to be a statutory employer and thus immune from suit. SSI was determined to be a co-employee of Harger and also immune. Because different results occurred under similar facts in these two cases and because of the confusion emanating from the statutory-employer provision, we consolidated these appeals in order to revisit this enigmatic section of the Workers’ Compensation Act.
FACTS
In Romero, Shumate was the general contractor in the construction and renovation of several primary clarifier units at the City of Albuquerque’s wastewater treatment plant. Shumate hired and entered into a written contract with Fay’s to sandblast and apply protective coatings to those clarifier units. Shumate never engages in sandblasting or coating on wastewater treatment projects, but rather uses subcontractors to do such work when necessary.
Romero was an employee of Fay’s. He alleges that he was injured in the course and scope of his employment. Shumate required Fay’s to carry workers’ compensation insurance and other insurance for its workers. Fay’s provided Shumate with a certificate of insurance, but Romero alleges that Fay’s did not actually carry workers’ compensation insurance. The question of whether Fay’s carried workers’ compensation insurance was unresolved at the time Shumate was granted summary judgment, and we have not been informed of any subsequent resolution of this issue.
While Shumate made a lump-sum payment of $84,708 to Fay’s and did not specify how many workers there would be or how much each worker would be paid, the contract required Fay’s to pay a certain scale of wages and to use any payment by Shumate to pay for labor and materials before spending it elsewhere. In addition, the contract required Fay’s to use only its own equipment unless it received permission from Shumate. The contract also required Fay’s to follow Shumate’s safety policy, which included the requirement to leave safety equipment in place. Shumate also reserved the right to clean up the project site if Fay’s failed to do so, and it could charge Fay’s if it had to do the cleanup.
In Harger, Jaynes was the general contractor on the construction of a school in Zuni, New Mexico. Superior subcontracted with Jaynes to perform mechanical work on the school, and SSI was Jaynes’s structural steel subcontractor on the project. Harger was employed by Superior and was injured in the course of his employment by a steel beam that SSI was moving at the time. Jaynes required Superior to carry workers’ compensation insurance, and Superior did so. At the time Jaynes and Superior entered their contract, Superior already had workers’ compensation insurance.
The contract between Jaynes and Superior specifically referred to Superior as an independent contractor. It also required Superi- or to furnish its own labor, materials, and equipment for its work on the project. The contract price was a lump sum of $227,262. Furthermore, Harger alleges that Superior had control over its own employees, had the power to hire and fire Harger, and paid Harger an hourly salary. On the other hand, the contract required Superior to clean up the site. If Superior failed to do so, Jaynes was permitted to do the cleanup and charge Superior for the work. The contract also required Superior to complete its work according to a schedule set and modifiable by Jaynes and to coordinate its activities with Jaynes and all other employees and subcontractors of Jaynes. As was the case with Shumate in Romero, Superior was contractually required to follow safety measures established by Jaynes and those mandated by state and federal law. Finally, if Superior “failfed] to supply enough properly skilled workers, proper materials, or maintain the Schedule of Work, or it fail[ed] to make prompt payment for its workers, ... disregarded] laws, ordinances, rules, regulations or orders of any public authority having jur isdiction,” Jaynes could supply workers or other subcontractors to perform a portion of Superior’s work or terminate the contract after expiration of a period of time within which Superior could cure its default. If Jaynes chose to terminate the contract, it could use Superior’s equipment and materials to complete the project.
DISCUSSION
The questions we consider here are: (1) whether the concept of “casual employment” as referred to in Section 52-1-22 is relevant to the disposition of these cases; (2) whether summary judgment as to the existence or non-existence of a statutory-employment relationship was proper in either Romero or Harger; and (3) whether summary judgment that SSI was Harger’s co-employee was proper.
I. Casual Employment
Section 52-1-22, captioned “Work not casual employment,” provides:
As used in the Workers’ Compensation Act [this article], unless the context otherwise requires, where any employer procures any work to be done wholly or in part for him by a contractor other than an independent contractor and the work so procured to be done is a part or process in the trade or business or undertaking of such employer, then such employer shall be liable to pay all compensation under the Workers’ Compensation Act to the same extent as if the work were done without the intervention of such contractor. The work so procured to be done shall not be construed to be “casual employment.” (Emphasis added.)
Shumate argues that the work done by Romero was casual employment as to Shumate, and that Romero was therefore not a statutory employee of Shumate. Part of the confusion in applying this section arises, we believe, because of the caption and the last sentence of Section 52-1-22. Ignoring that caption and sentence for the moment, the remaining language of the section (one sentence) deals with circumstances in which an employer of a subcontractor shall become liable to pay workers’ compensation benefits under the Workers’ Compensation Act. As we stated in Quintana v. University of California, 111 N.M. 679, 681, 808 P.2d 964, 966 (Ct.App.), cert. denied, 111 N.M. 678, 808 P.2d 963 (1991), “it is the relationship between the general contractor and the employer of the claimant [worker] that is dis-positive [of whether the general contractor is a statutory employer] and not the relationship between the general contractor and the claimant.” See also Rivera v. Sagebrush Sales, Inc., 118 N.M. 676, 680, 884 P.2d 832, 836 (Ct.App.1994). “Casual employment,” in contrast, ordinarily deals with the relationship between the claimant’s alleged immediate employer and the claimant. See generally § 52-l-16(A) and -23; 1C Arthur Larson, The Law of Workmen’s Compensation § 51.00-51.23 (1993).
As we see it, the purpose of the sentence on casual employment is to make clear that, once the two key requirements of statutory employment under Section 52-1-22 are met, i.e., that (1) the subcontractor in question is not an independent contractor and (2) the subcontractor’s work is “part or process in the trade or business or undertaking” of the general contractor, see Quintana, 111 N.M. at 681, 808 P.2d at 966, such work will not be deemed casual employment as to the general contractor for purposes of Sections 52-l-16(A) and -23. In ease the reader had any doubt about the consistency of the statutory-employer provision and the rest of the Act, that doubt should be laid to rest by the sentence on casual employment. In the two appeals before us, therefore, we need not be concerned with casual employment, but rather with the above-mentioned two requirements of the statutory-employer provision.
II. Statutory-Employer Provision
The parties in the respective cases seem to agree that Romero was an employee of Fay’s and that Harger was an employee of Superi- or. In Romero, Worker seeks compensation benefits from Shumate, the general contractor and employer of Fay’s. Romero sued Shumate because Fay’s may not have carried workers’ compensation insurance. In Harger, Worker obtained compensation benefits from his principal employer, Superior, and now seeks damages through a tort action against Jaynes, the general contractor and employer of Superior, and another subcontractor, SSI. The issues that surround these two actions reflect the dual purpose of the statutory-employer provision.
A Dual Purpose of Section 52-1-22
The primary purpose of the statutory-employer provision is to make the general or prime contractor liable for compensation benefits to employees of its subcontractor. This provision is usually invoked when the subcontractor is uninsured. See 2A Larson, supra, § 72.31(a). Romero sought to benefit from this provision in the event his principal employer is determined to be uninsured. The second function of the statute is to allow a general or prime contractor who qualifies as a statutory employer to take refuge under the Workers’ Compensation Act’s exclusivity provision, which makes it immune from a tort action. See § 52-1-8; Quintana, 111 N.M. at 681, 808 P.2d at 966; 2A Larson, supra, §§ 72.31(a), (b). In Harger, the general contractor, Jaynes, sought to take advantage of that benefit. Similarly, SSI, a subcontractor, also sought refuge from the suit as a co-employee under the exclusivity provision of the Act.
Although such exclusivity provisions have traditionally been applied only to situations in which the subcontractor is uninsured, there is a significant trend toward granting immunity in cases where the subcontractor is insured and even where the worker has received benefits under the subcontractor’s policy. Id. § 72.31(b), at 14-209 to -224. The rationale behind this trend is that the general contractor retains a back-up liability for workers’ compensation benefits as a means of encouraging it to ensure that its subcontractors maintain their insurance coverage. See id. at 14-231 to -238. Quintana went part of the way toward adopting this trend by holding that general contractors who qualify as statutory employers are immune if they contractually assure insurance coverage to employees of the subcontractor. Quintana, 111 N.M. at 682, 808 P.2d at 967. See also Rivera, 118 N.M. at 680-681, 884 P.2d at 836-37.
Jaynes did contractually assure such coverage. Therefore, if Jaynes was a statutory employer, it was also immune from suit in tort by Harger. Harger asks that we narrow the statutory-employer doctrine to provide immunity only to employers who actually pay workers’ compensation benefits. In light of the Larson rationale and the holding in Quintana, we decline to do this. We point out that, in deciding these cases, we need not go as far as Larson seems to suggest, although Rivera appeared to do that in dicta. Rivera, 118 N.M. at 680-681, 884 P.2d at 836-37. We leave for another day the question of whether a statutory employer who does not contractually assure coverage to employees of its subcontractor is nonetheless immune under the exclusivity provision of the Act.
B. Requirement that Subcontractor not be Independent
This Court has struggled with the distinction between an employee and an independent contractor, but cases that have addressed this distinction have generally not involved the relationship between a general contractor and a subcontractor for purposes of determining whether the employee of the subcontractor was a statutory employee of the general contractor. Yerbich v. Heald, 89 N.M. 67, 547 P.2d 72 (Ct.App.1976), was one such case, and it established a two-prong test for determining the existence of an independent-contractor status: (1) whether the employer has the right to control the purported employee; and (2) whether the work being done is “an integral part of the employer’s business.” Id. at 69, 547 P.2d at 74. Less than five months after Yerbich was decided, Burton v. Crawford & Co., 89 N.M. 436, 553 P.2d 716 (Ct.App.), cert. denied, 90 N.M. 7, 558 P.2d 619 (1976), without mentioning Yerbich at all, adopted a more complex test to determine independent-contractor status. Because the Burton court believed that the right-to-control test had lost its precision as applied to the distinction between employee and independent contractor and because the test had been criticized by Larson, the court adopted Larson’s “relative nature of the work” test to use in its place. Id. at 439-40, 553 P.2d at 719-20; see also IB Larson, supra, §§ 43.42-43.54. This test was explained as follows:
The “relative nature of the work” test has two parts: first, the character of the claimant’s work or business; and second, the relationship of the claimant’s work or business to the purported employer’s business ____ With reference to the character of claimant’s work or business the factors are: (a) the degree of skill involved; (b) the degree to which it is a separate calling or business; and (c) the extent to which it can be expected to carry its own accident burden. The relationship of the claimant’s work or business to the purported employer’s business requires consideration of[:] (a) the extent to which claimant’s work is a regular part of the employer’s regular work; (b) whether claimant’s work is continuous or intermittent; and (c) whether the duration is sufficient to amount to the hiring of continuing services as distinguished from contracting for the completion of the particular job.
Burton, 89 N.M. at 440, 553 P.2d at 720 (quoting Ostrem v. Alaska Workmen’s Compensation Board, 511 P.2d 1061, 1063 (Alaska 1973)); see also 1B Larson, supra, § 43.52, at 8-27 to -28.
Unlike Yerbich, Burton did weave into its opinion the predecessor provision to Section 52-1-22, but it referred to that provision only as a prelude to setting forth the several “avenues” for distinguishing employees from independent contractors. Burton, 89 N.M. at 438, 553 P.2d at 718. Like Yerbich, the purported employee in Burton was not a subcontractor.
Dibble v. Garcia, 98 N.M. 21, 644 P.2d 535 (Ct.App.), cert. denied, 98 N.M. 50, 644 P.2d 1039 (1982), was yet another case that grappled with the distinction between employee and independent contractor for purposes of workers’ compensation. There the court used four tests: (1) the conventional-relationship test; (2) the right-to-control test; (3) the “right to employ and discharge at will” test; and (4) the “relative nature of the work” test. Id. 98 N.M. at 24-25, 644 P.2d at 538-39. The court determined that under each test there was substantial evidence that the plaintiff was an independent contractor. Id. However, it is not clear whether the court was suggesting that it was sufficient to use any one of the four tests in making the determination or if more than one would be necessary. The plaintiff in Tafoya v. Casa Vieja, Inc., 104 N.M. 775, 727 P.2d 83 (Ct.App.1986), was also determined to be an independent contractor, but under the Yerbich test. Tafoya, 104 N.M. at 776-78, 727 P.2d at 84-86. It is not clear if it was necessary for both prongs of Yerbich to be satisfied for the plaintiff to be deemed an independent contractor.
The Tafoya court referred to the second prong of the Yerbich test as the “relative nature of the work test”, Tafoya, 104 N.M. at 777, 727 P.2d at 85, but this language unfortunately blurs the distinction between Yerbich and the relative-nature test as set forth in Burton and Larson. Neither Dibble nor Tafoya involved employees of a subcontractor in relation to the general contractor or consideration of the statutory-employer provision, nor does any other case cited by Shumate and Harger in support of their interpretation of independent-contractor status, with the sole exception of Quintana.
Quintana sought to apply the Yerbich test to a situation where the existence of statutory employment was in question, and the court concluded that the two prongs of this test were functionally equivalent to the two requirements of Section 52-1-22. Quintana, 111 N.M. at 681-82, 808 P.2d at 966-67. However, in doing so, Quintana relied on the Tafoya court’s mislabelling of the second prong of the Yerbich test as “the relative nature of the work” test. Quintana, 111 N.M. at 681-82, 808 P.2d at 966-67. Perhaps because the outcome of Quintana turned in large part on a procedural question relating to the dismissal of the complaint (which was deemed to be the equivalent of a grant of summary judgment), see id. at 681-83, 808 P.2d at 966-68, the court did not find it necessary to show clearly how it applied Yerbich to the facts of the case, and it is not clear if the court used the “relative nature” test as set forth in Burton and Larson rather than the second prong of Yerbich. It is our task, therefore, to clarify the test of indepen dent-contractor status as applied to Section 52-1-22.
If the Quintana court truly meant to use the Yerbich test not as a test of independent-contractor status alone, but rather as a substitute for the two requirements of Section 52-1-22, then it would seem that the right-to-control prong of the test would be the test of independent-contractor status, while the “integral part of the business” prong would be a substitute wording for the “part or process” requirement of Section 52-1-22. This would leave out the “relative nature” test entirely. On the other hand, if Quintana did mean to use the “relative nature” test, it either used that test as part of the determination of independeni>eontractor status, in which case it bypassed the “part or process” requirement, or it used the “relative nature” test instead of the “part or process” requirement. Neither possibility squares with what we believe to be the intent of Section 52-1-22. Regarding the latter possibility, we point out that Larson’s discussion of the relative nature test refers, as in Burton, Dibble, and Tafoya, to the determination of actual rather than statutory employment, and is considerably more complex in its calculus than the “part or process” test, which is commonly found in statutory-employer provisions. See IB Larson, supra, §§ 43.50-43.54 (distinguishing employee from independent contractor); 1C Larson, supra, §§ 49.16(a)-(j) (what constitutes a statutory employer — part of the category of “Inclusions and Exemptions”). That brings us back to the question of whether to apply the right-to-control test or the relative-nature test or both in determining independent-contractor status in the context of statutory employment.
Part of the difficulty in deciding which test to choose or what test to fashion is that the common-law test of independence is aimed at an interest that is different from that addressed by the Workers’ Compensation Act. In the common-law situation, we apply the right-to-control test to determine if an employer should be held vicariously liable for the negligent acts of its employees. See SCRA 1986, 13-404 (Repl.Pamp.1991); Savinsky v. Bromley Group, Ltd., 106 N.M. 175, 740 P.2d 1159 (Ct.App.), cert. denied, 106 N.M. 174, 740 P.2d 1158 (1987). If the employee is found to be an independent contractor, then the employer is not liable. On the other hand, the question under the Workers’ Compensation Act is entitlement to benefits. Specifically, under Section 52-1-22, we seek to determine if the employer of a subcontractor is responsible for workers’ compensation benefits to employees of the subcontractor. As already noted, the statutory-employer provision is usually invoked by a worker when the subcontractor is uninsured. See 2A Larson, supra, § 72.31(a), at 14-197 to -198. Under that provision, if the subcontractor is found not to be an independent contractor and the work so procured to be done was part or process in the trade or business or undertaking of the general contractor, then the general contractor is liable to pay compensation benefits to the subcontractor’s employee as if that employee were an employee of the general contractor. This comparison raises the question of whether “independent contractor” as used in Section 52-1-22 means something different from “independent contractor” as used at common law. Romero argues that the term has different meanings in the two contexts. We agree.
In keeping with the basic purpose of the Workers’ Compensation Act, which is to ensure that the industry carry the burden of compensating injuries suffered by workers in the course of employment, Yerbich, 89 N.M. at 68-69, 547 P.2d at 73-74, we believe that the legislature intended a narrower class of employers to escape workers’ compensation liability than can escape vicarious tort liability under the common law. See IB Larson, supra, § 43.42. Professor Larson observes that
a recognition of the difference between compensation law and vicarious liability in the purpose and function of the employment concept has been reflected both in statutory extensions of the term “employee” beyond the common-law concept and in a gradual broadening of the interpretation of the term to bring within compensation coverage borderline classes for whom compensation protection is appropriate and practical.
Id. § 43.00, at 8-1. He goes on to say that the common-law right-to-control test of independent contractorship would leave uncompensated those people who are not controlled by those for whom they are performing the work, even though their work is a regular and continuous part of their purported employers’ work and even though they cannot afford to insure themselves. Id. § 43.42. It is for this reason that Larson suggested the use of the “relative nature of the work” test. Id.
In suggesting the relative-nature test, we believe that Larson meant to broaden the category of workers that should be covered by workers’ compensation insurance. This would militate against simply replacing the right-to-control test with the relative-nature test, because there may be workers who would be independent under the latter test but not under the former test. Although there appears to be a trend towards such a replacement, in almost all the cases cited by Larson to demonstrate the existence of this trend, the court found the worker to be an employee rather than an independent contractor. Id. § 43.54, at 8-32 to -40. In this spirit of broadening workers’ compensation coverage, one commentator, cited by Larson, suggests that “[w]hen control is suspiciously absent or the results of applying the control test are inconclusive, the ‘relative nature of the work’ test should be used.” Id. § 43.54, at 8-39 n. 20 (citing Dean Stern, Comment, The Employment Relation in Workmen’s Compensation and Employer’s Liability Legislation, 10 U.C.L.A.L.Rev. 161, 173-74 (1962)). This suggestion seems sound to us. It leads to the conclusion that, in the context of the Workers’ Compensation Act, either test of independence can be used to demonstrate that a worker or a subcontractor is not an independent contractor, from which it follows that both tests must be met for a worker or subcontractor to be considered independent.
If a broad interpretation of “employment” is appropriate in the context of workers’ compensation, we believe that a broad interpretation of “statutory employment” is at least as appropriate. Larson observes that in the process of statutory and judicial broadening of the classes of workers covered by workers’ compensation, “[t]he largest single category so brought within coverage is that of the employees of uninsured subcontractors.” Id. § 43.41, at 8-21. He points out that the purpose of statutory employment provisions is to prevent evasion of the Workers’ Compensation Act “by those who might be tempted to subdivide their regular operations among subcontractors, thus escaping direct employment relations with the workers and relegating them for compensation protection to small contractors who fail to carry ... compensation insurance.” 1C Larson, supra, § 49.15, at 9-29 to -31 (footnote omitted).
In keeping with the purpose of the Workers’ Compensation Act and the particular purpose of the statutory-employer provision, we hold that both the right-to-control test and the relative-nature test must point to independence before a contractor will be deemed an independent contractor for purposes of Section 52-1-22. We suggest that trial courts and Workers’ Compensation Administration ALJs first determine whether a subcontractor meets the right-to-control test. If that test fails to point to independence, then the subcontractor is definitively not independent, and there is no need to apply the relative-nature test. If the test does point to independence, then the court should apply the relative-nature test. If that second test fails to demonstrate independence, then the subcontractor is once again not independent. Only if both tests point to independence is the subcontractor deemed independent for purposes of Section 52-1-22.
If it is determined by this method that a subcontractor is not independent, then the first requirement of Section 52-1-22 is satisfied. To show that the general contractor is . a statutory employer, the second requirement of Section 52-1-22, the “part or process” requirement, must still be satisfied.
In discussing the factors evidencing right of control, Professor Larson identifies four: (1) direct evidence of the right or exercise of control; (2) the method of payment; (3) furnishing of equipment; and (4) the right to fire. IB Larson, supra, § 44.31, at 8-89. See also Yerbich, 89 N.M. at 69, 547 P.2d at 74. Larson also notes that “[i]t is commonly assumed that these tests work with equal force in both directions.” IB Larson, supra, § 44.31, at 8-89. In practice, however, if any single factor evidences the right to control, that factor will be dispositive; “while, in the opposite direction, contrary evidence is as to any one factor at best only mildly persuasive evidence of contractorship, and sometimes is of almost no such force at all.” Id. § 44.31, at 8-90. Larson sums it up:
Independent contractorship, then, is established usually only by a convincing accumulation of these and other tests, while employment, although a similar accumulation is often attempted, can if necessary often be solidly proved on the strength of one of the four [factors.]
Id. This means that if one is attempting to prove the existence of an independent-contractor relationship, the proponent bears a heavier burden than one who attempts to prove its non-existence. This principle is also part of the broadening of the classes of workers covered by workers’ compensation, and we hereby adopt it.
Thus, in the cases before us, Romero will succeed in attaching liability to Shumate for compensation benefits if he can prove any one of the factors evidencing right of control and then go on to prove that the “part or process” requirement of Section 52-1-22 is met. If Jaynes proves any of these factors and then proves the “part or process” requirement, it will be a statutory employer of the employees of Superior and thus immune from suit in tort by Harger. In both cases, the method-of-payment and fumishing-of-equipment factors point toward independence, because the payments to the subcontractors were by lump sum and the subcontractors had to furnish their own equipment. However, a number of provisions in the two contracts furnish evidence of the general contractor’s right to control. For example, the contract between Shumate and Fay’s required Fay’s to pay a certain scale of wages and to use monies from Shumate to pay for labor and materials before spending it elsewhere; it required Fay’s to carry workers’ compensation insurance; it required Fay’s to follow Shumate’s safety policy; and it allowed Shumate to clean up Fay’s project site if Fay’s failed to do so and to charge Fay’s in such event. Similarly, the contract between Jaynes and Superior required Superior to carry workers’ compensation insurance; it required Superior to follow a set schedule, which Jaynes could modify, and to coordinate its activities with Jaynes and other employees and subcontractors; it required Superior to follow safety measures established by Jaynes; it allowed Jaynes to hold Superior in default for not having enough properly skilled workers and proper materials; and it required Superior to clean up the site and permitted Jaynes to charge Superior for any cleanup Superior failed to do.
Many of these contractual requirements demonstrate the extent to which the general contractor needed the power to exercise control in order to coordinate a myriad of interdependent details. Professor Larson cites similar cases in which it was necessary to coordinate such details. IB Larson, supra, § 44.23. He observes that in such cases, “the modem tendency is to infer that the employer must necessarily have reserved the right to control as many details as are necessary to keep all the gears in his production machine smoothly meshed together.” Id. § 44.23, at 8-88 (footnote omitted). Therefore, we hold, as a matter of law, that the first factor of the right-to-control test evidences an employment relationship in both Romero and Harger.
Larson also points out that the right to fire is generally the most important of the four right-to-control factors. Id. § 44.35(b). Jaynes had the power to terminate the contract with Superior and hold it in default, not just for failure to properly complete the finished product, but also for failing to follow Jaynes’s safety codes or “fail[ing] to supply enough properly skilled workers, proper materials, or ... to make prompt payment for its workers.” A similar provision exists in the contract between Fay’s and Shumate. As Larson asserts, “[t]he absolute right to terminate the relationship without liability is not consistent with the concept of independent contract, under which the [independent] contractor should have the legal right to complete the project contracted for and to treat any attempt to prevent completion as a breach of contract.” Id. § 44.35(a), at 8-167, -177 (footnotes omitted). We hold as a matter of law, therefore, that this factor also evidences an employment relationship in each of the two cases. The fact that the first and fourth factors both point to an employment relationship leads us to hold, as a matter of law, that neither Fay’s nor Superior were independent contractors for purposes of Section 52-1-22. Because we base this conclusion on the right-to-control test, we need not analyze these cases in terms of the relative-nature test.
Before moving to the second requirement of Section 52-1-22, the “part or process” requirement, we wish to address briefly several arguments that Harger makes. First, Harger argues that because the contract between Jaynes and Superior specifically refers to Superior as an independent contractor, we must conclude that Superior was in fact independent. Yerbich pointedly refutes this argument. Yerbich, 89 N.M. at 68-69, 547 P.2d at 73-74. Second, Harger argues that by referring to Superior as independent, Jaynes waived the exclusivity provisions of the Workers’ Compensation Act. He relies in part on Matkins v. Zero Refrigerated Lines, Inc., 93 N.M. 511, 602 P.2d 195 (Ct.App.1979), in support of his argument. However, Matkins did not involve a subcontractor; rather it involved one employer who lent its employees to another: Although the Matkins court did not describe the relationship as one of master to borrowed servant, the facts of the case strongly suggest that. The decedent in that case was working for a trucking company that leased its trucks to Zero and provided drivers, including the decedent, to Zero as well. Id. at 512-13, 602 P.2d at 196-97. Professor Larson says that the statutory-employer provisions do not apply to lent-employee relationships. 2A Larson, supra, § 72.31(d), at 14-246 to -248. See also Rivera, 118 N.M. at 676-677, 884 P.2d at 835-36. Thus, Matkins is sufficiently distinguishable from the present case. Finally, Harger argues that Jaynes did not “procure” the work done by Superior, because it was the Zuni Public Schools that solicited the bids of all the subcontractors on the project. Therefore, Harger claims that Section 52-1-22 does not apply to Jaynes. We hold that any contractual arrangement satisfies the meaning of “procure” in the context of Section 52-1-22, no matter who solicited the work. To hold otherwise would be to decide workers’ compensation liability on the basis of who originally solicited the work in question, and this we think the legislature did not intend.
C. Part or Process in the Trade or Business or Undertaking
This brings us to the second requirement vof Section 52-1-22. Professor Larson observes that cases applying statutory-employer provisions that include variants of the ■requirement that the work in question be “part or process in the trade or business ... of such employer”, see § 52-1-22, generally hold that the provision “covers all situations in which work is accomplished which [the] employer, or employers in a similar business, would ordinarily do through employees.” 1C Larson, supra, § 49.16(a), at 9-38 to -43 (emphasis added) (footnote omitted). Shumate alleges that its employees- do not normally engage in sandblasting and refinishing and that the company is not equipped to do so. However, whether or not employers in similar businesses ordinarily perform that work through employees is a question of fact. It is also a fact question whether contractors in construction projects such as schools ordinarily perform their own mechanical work.
It is not necessary, however, for us to limit our discussion to what kind of work these contractors, or contractors like them, do. Although a number of states incorporate the concept of “undertaking” into their definitions of statutory employer, see, e.g., Md. Ann.Code § 9-508(a)(l) (1991) (“undertake” refers to work that the general contractor does by contract for another party, but the work done must be part of the contractor’s trade, business or occupation); Va.Code Ann. § 65.2-302 (Michie 1991) (same); Kan.Stat. Ann. § 44-503(a) (1993) (virtually the same), according to our research, New Mexico is unique in having added the words “or undertaking” to the commonly used phrase “part of the trade or business.” Section 52-1-22.
Even if a given kind of work is not “part or process of the trade or business” of the contractor, it meets the second requirement of Section 52-1-22 if it is part of the contractor’s “undertaking”. See Abbott v. Donathon, 86 N.M. 477, 479, 525 P.2d 404, 406 (Ct.App.1974). Jaynes argues that the added phrase should be read expansively. We agree. In Abbott, the claimant’s decedent was hauling dirt for the contractor defendant, who was undertaking the project of deepening an irrigation pond for a customer. Id. Even though the contractor contended that he was engaged in a project that was not part of his normal business and therefore the work by the decedent was not part of his trade or business, the court held that it was an undertaking within the meaning of the predecessor statute to Section 52-1-22. Id. The meaning of “undertaking” to be used in this context is the ordinary dictionary meaning. Id.
In the cases before us, the undisputed facts about the nature of Fay’s and Superior’s work convince us that the work is part or process of the undertaking of their respective general contractors. Both contractors undertook large or substantial construction projects, and they subcontracted out parts of those projects — sandblasting and refinishing in one case and mechanical installation in the other. The subcontracted work was an integral part of the projects in the sense that they would not have been complete without that work. Neither case is about a contractor or subcontractor who performs occasional work for an owner of a business, such as in Tafoya. Nor do the cases involve repairs to completed structures. Rather, they involve projects that have definite time frames and include a number of necessary components, and those components were parcelled out to subcontractors such as Fay’s and Superior. We hold that the undertaking of such projects by general contractors falls within the meaning of the second requirement of Section 52-1-22. Therefore, Jaynes was properly granted summary judgment against Harger, who was seeking common law damages, and Shumate was not properly granted summary judgment against Romero, who was seeking workers’ compensation benefits.
III. SSI was not a Co-employee of Superior
SSI argues that it and Superior were co-statutory employees of Jaynes, and therefore SSI is covered under the exclusivity provision of the Workers’ Compensation Act by virtue of its status in relation to Jaynes. If SSI were correct, then it would follow that the company would be immune to suit in tort by Harger, thus justifying the trial court’s grant of summary judgment in SSI’s favor. Section 52-l-6(E) (effective January 1, 1992). However, in none of the cases cited by SSI in support of its argument are the employees in question corporations or subcontractors. See, e.g., Roseberry v. Phillips Petroleum Co., 70 N.M. 19, 369 P.2d 403 (1962); Hockett v. Chapman, 69 N.M. 324, 366 P.2d 850 (1961); Gallegos v. Chastain, 95 N.M. 551, 624 P.2d 60 (Ct.App.1981); Matkins v. Zero Refrigerated Lines, 93 N.M. 511, 602 P.2d 195 (Ct.App.1979).
There is no New Mexico precedent creating a concept of co-statutory employee or using the co-employee concept in a context where an employee of one subcontractor of a general contractor sues another subcontractor in tort. There is also very little support for this idea in other jurisdictions. 2A Larson, supra, § 72.32. The reason as given by Professor Larson is that “the general contractor has a statutory liability to the subcontractor’s employee, actual or potential, while the subcontractor has no comparable statutory liability to the general contractor’s employee.” Id. § 72.32, at 14-269 to -274. In other words, the quid pro quo for the protection afforded to the workers, whether that protection is used or not, provides the basis for the immunity granted by the Worker’s Compensation Act. SSI, as a subcontractor who neither provided nor was required to provide insurance protection for the employees of other subcontractors, should not enjoy the same immunity.
CONCLUSION
We therefore reverse summary judgment in favor of SSI. For reasons given above, we also reverse summary judgment in favor of Shumate, and we affirm summary' judgment in favor of Jaynes. Harger shall recover one-half his cost of appeal against SSI.
IT IS SO ORDERED.
PICKARD, J., concurs.
BOSSON, J., (dissenting). | [
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] |
OPINION
BIVINS, Judge.
Defendant appeals from the judgment entered on her plea of no contest to charges of harboring a felon and conspiracy to harbor a felon, contrary to NMSA 1978, Sections 30-22-4 and 30-28-2 (Repl. Pamp.1984). The sole issue as stated in defendant’s brief is “[wjhether the crimes of harboring a felon and conspiracy to harbor a felon merge under the facts of this case?” One other issue, listed in the docketing statement but not briefed, is abandoned. State v. Vogenthaler, 89 N.M. 150, 548 P.2d 112 (Ct.App.1976). We affirm. FACTS
The facts necessary for our review come from (1) a memorandum opinion issued by this court in a murder trial involving defendant, State v. Smith, Ct.App. No. 7267 (Filed April 5, 1984), as to which we take judicial notice, State v. Turner, 81 N.M. 571, 469 P.2d 720 (Ct.App.1970), and from (2) facts related by the prosecutor at the time the plea of no contest was entered. See NMSA 1978, Crim.P.R. 21(h) (Cum. Supp.1984).
In State v. Smith defendant appealed her conviction of involuntary manslaughter and we reversed. That case recites that defendant and Bernie Smith were interviewed by the police on February 12, 1982 concerning the disappearance of defendant’s former husband, Ralph Pierro. Defendant and Smith told the police that they had seen Pierro in Las Cruces on January 29, 1982, and that Pierro had made a phone call to one of defendant’s sons a week later. At trial, defendant testified that Smith had fabricated this story, and that she went along with it because she had been frightened. On March 12, 1982, the police again interviewed defendant. She told them she knew nothing of Pierro’s whereabouts. On or about January 30, 1982, inquiries were made concerning Pierro’s whereabouts. His body was discovered in September, 1982 in a mine shaft east of Deming. Defendant testified that Smith, acting alone, had killed Pierro. She admitted that she had given false information to the authorities by denying knowledge of Pierro’s death out of fear for her family and because Smith had persuaded her to do so.
The prosecutor related essentially the above facts, adding, “And finally, and separately, that she had agreed on that story with Bernie Smith.” The defense offered nothing to this factual basis at the time the plea was entered.
MERGER
Under this heading defendant argues, first, that “Wharton’s Rule” requires reversal and vacation of the crime of conspiracy to harbor a felon, and second, violation of constitutional protection against double jeopardy requires the same result.
(A) “Wharton’s Rule”
In State v. Carr, 95 N.M. 755, 626 P.2d 292 (Ct.App.1981), we said that “Wharton’s Rule provides that an agreement by two persons to commit a particular crime cannot be prosecuted as a conspiracy when the particular crime is of such a nature as to necessarily require the participation of two persons for its commission. 1 R. Anderson, Wharton’s Criminal Law and Procedure § 89 (1957).” 95 N.M. at 766, 626 P.2d 292.
Defendant argues that because her convictions for harboring Bernie Smith and for conspiracy with Smith to harbor him arose out of the same concert of action, i.e., assisting Smith by lying for him, Wharton's Rule precludes convictions and sentences for both crimes. In a case on point, the court in United States v. Hagan, 27 F.Supp. 814 (W.D.Ky.1939), held that conspiracy with fugitives to harbor those fugitives merged with the substantive offense since the substantive offense required concert of action or plurality of agents. While recognizing that the rule has usually been applied in cases such as rioting, dueling and those of a sexual nature, the court in Hagan saw no good reason why it should not be applied to harboring a fugitive from justice. In light of more recent decisions which have interpreted Wharton’s Rule, we reject defendant’s argument and the cases she relies on to support it.
In State v. Carr, this court followed Iannelli v. United States, 420 U.S. 770, 95 S.Ct. 1284, 43 L.Ed.2d 616 (1975), and held that Wharton’s Rule only has current vitality as a judicial presumption in the absence of legislative intent to the contrary. Further, the rule applies: (1) when the parties to the agreement are the only persons who participate in the offense and the immediate consequences of the crime rest only on themselves; and (2) when the agreement that attends the substantive offense does not appear likely to pose the sort of threat to society that the law of conspiracy was designed to avert.
Neither of these factors is present in the context of harboring a felon. The consequences of harboring rest on society, which has strong interest in enforcement of its laws. And harboring will likely be more successful if the felon knows that someone intends to help him. Thus, the danger to society is increased with the agreement.
The most important factor of Wharton’s Rule, however, is that concerted action must be logically necessary to the substantive offense. This is similar to saying that conspiracy and the substantive offense are the same crime; however, as we will more fully develop, concerted action is not logically necessary to harboring.
The next question which must be addressed is whether the logic is to be applied in the abstract or with regard to the specific facts of the case. If it is applied in the abstract, then it is applied in a manner similar to the “elements of the crime” test for double jeopardy. Iannelli indicates that it should be so applied. The rule focuses on the statutory requirements of the substantive offense rather than the evidence offered to prove those elements at trial. 420 U.S. at 780, 95 S.Ct. at 1291. It only applies to offenses that require concerted criminal activity. 420 U.S. at 785, 95 S.Ct. at 1293.
State v. Sandoval, 90 N.M. 260, 561 P.2d 1353 (Ct.App.1977), teaches that the included offense concept, the same evidence concept, and the merger concept all look to the elements of the offense charged. Here, conspiracy requires an agreement, see Section 30-28-2, while harboring does not, see Section 30-22-4. Harboring requires knowingly concealing or aiding a felon with the intent that the felon avoid arrest, trial, conviction, or sentence. A conspiracy does not require an actual agreement; a mutually implied understanding is sufficient. State v. Armijo, 90 N.M. 12, 558 P.2d 1151 (Ct.App.1976). Such an understanding may be proved by the cooperative actions of the people involved. State v. Johnston, 98 N.M. 92, 645 P.2d 448 (Ct.App.1982).
Thus, the question is whether it is possible to conceal or aid a felon without at least the felon’s implicit understanding. Concealing or aiding means any kind of assist anee, help, or support. State v. Lucero, 88 N.M. 441, 541 P.2d 430 (1975). It is possible to knowingly conceal or aid a felon with intent that the felon escape the consequences of the felony without the felon’s knowledge. For example, the leader of Gang A witnesses a fight between the leaders of Gang B and C. The leader of Gang B kills the leader of Gang C and runs away. When the police come upon leader C’s body, leader A tells the police that leader B ran in the opposite direction of the one in which he ran because leader A does not want the police involved in any gang business. In such a ease, while a jury could find, based on the circumstances, that there was a mutually implied understanding between the gang leaders, the jury could also believe leader A, that he gave assistance independently, and without the knowledge, consent, approval, or understanding of leader B. Leader A would still be guilty of harboring because the knowledge, consent, approval, or understanding of leader B is no part of the elements of the crime of harboring.
Finally, harboring requires a felon and the intent that the felon avoid the consequences of his felony. These elements are not necessarily part of the crime of conspiracy, which can include any agreement. Thus, the threshold elements of the crime test are not met for the crimes of conspiracy and harboring.
We agree with the court in United States v. Previte, 648 F.2d 73 (1st Cir.1981) that “Wharton’s Rule is, to some extent, a relic of the discredited merger doctrine and should be interpreted narrowly.” 648 F.2d at 77. We do so here and hold that the rule does not prohibit prosecution, conviction or separate punishment of the conspiracy charge against defendant.
(B) Double jeopardy
In addition, defendant maintains that under the circumstances of this case her constitutional right to protection against double jeopardy has been violated by the imposition of consecutive terms of imprisonment for the two crimes.
Generally, the plea of double jeopardy is no defense to convictions for a substantive offense and a conspiracy to commit that offense. Pinkerton v. United States, 328 U.S. 640, 66 S.Ct. 1180, 90 L.Ed. 1489 (1946); State v. Armijo.
As already discussed, the crimes of harboring a felon and conspiracy to harbor are separate crimes requiring different elements for conviction. Thus, defendant was not placed in double jeopardy. Under these circumstances, the trial judge did not err in imposing consecutive terms of imprisonment. See State v. Deats, 82 N.M. 711, 487 P.2d 139 (Ct.App.1971).
We affirm the judgment and sentence.
IT IS SO ORDERED.
WOOD and MINZNER, JJ., concur. | [
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OPINION
RIORDAN, Justice.
David Leon Cheadle (Cheadle), was convicted of murder in the first degree for which he received a sentence of death. Cheadle was also convicted of kidnapping in the first degree for which he received nineteen years imprisonment, kidnapping in the second degree for which he received ten years imprisonment, two counts of armed robbery in the second degree for which he received ten years imprisonment for each count, and criminal sexual penetration in the second degree for which he received four years imprisonment. Cheadle appeals. We affirm.
The issues on appeal are:
I. Whether the trial court erred in denying Cheadle’s motion to strike certain identification testimony.
II. Whether the trial court erred in refusing to grant immunity to a defense witness.
III. Whether the jury instructions used for sentencing were inconsistent and confusing thereby providing inadequate standards for the jury to use in deciding between the death penalty and life imprisonment.
IV. Whether Cheadle is entitled to a new sentencing proceeding because one of the two aggravating circumstances submitted to the jury was not justified by the evidence.
V. Whether Cheadle’s sentence of death should be set aside as excessive and/or disproportionate under the circumstances.
VI. Whether New Mexico’s Capital Felony Sentencing Act, NMSA 1978, Sections 31-20A-1 through 31-20A-6 (Repl.Pamp. 1981), is unconstitutional because the death penalty is cruel and unusual punishment.
Leslie Goodwin (Goodwin) testified that on September 10, 1981, at approximately 2:15 a.m., she and Gabe Nava (Nava) left Ned’s El Portal (Ned’s), a bar in Albuquerque, New Mexico. They walked over to Nava’s car and stood there in the parking lot talking. Cheadle approached them branishing a gun. Cheadle stated, “Come on let’s go, * * * I will kill you if you don’t,” and then by waving a silver-colored gun instructed them in which direction to proceed. After walking a short distance and stopping between buildings, Cheadle instructed Nava and Goodwin to stand facing the wall of the building in a “spread eagle” position with their backs to Cheadle. Cheadle then demanded money which they both gave to him. Nava was then instructed to take off his jeans and shirt, which he did. Nava and Goodwin were then ordered to move about ten to twelve feet down the alley. They moved to a fence, when again they were ordered to put their hands on the fence and stand in a “spread eagle” position. Cheadle then ordered Goodwin to remove her clothes. At about that time, Cheadle shot Nava for the first time. Cheadle again demanded that Goodwin remove her clothes and told her that he would kill her if she did not. She complied. Cheadle then attempted to rape Goodwin, but could not get an erection. Goodwin was then instructed to put her clothes back on. At that time, Cheadle shot Nava a second time. Cheadle ordered Goodwin back to Nava’s car. Upon arriving at Nava’s car, Cheadle then got. into the front seat and reached over to unlock the driver’s door for Goodwin. Goodwin ran and stopped a passing police car, explained what happened and gave a description of the offender to the police.
Nava died later that morning from gunshot wounds to the head.
I. Identification Testimony.
A. Out-of-Court Identification
Cheadle moved to “strike the identification of all the witnesses.” The basis of the motion was that the identifications were unreliable because the witnesses had viewed Cheadle’s picture furnished to the media by the police before they made the identification from a photographic lineup or the in-court identification. The trial court denied the motion.
The test with respect to suppression of out-of-court photographic identification is “whether the ‘photographic identification procedure was so impermissibly suggestive as to give rise to a very substantial likelihood of irreparable misidentification.’ ” State v. Nolan, 93 N.M. 472, 476, 601 P.2d 442, 447 (Ct.App.), cert. denied, 93 N.M. 683, 604 P.2d 821 (1979) (citations omitted.) To determine this, we must decide whether under the “totality of the circumstances” the identification was reliable, even if the confrontation procedure was suggestive. Manson, Correction Commissioner v. Brathwaite, 432 U.S. 98, 97 S.Ct. 2243, 53 L.Ed.2d 140 (1977); State v. Nolan. In Manson, Correction Commissioner v. Brathwaite, the United States Supreme Court set forth five factors to weigh in deciding whether out of court identification was suggestive:
1) The opportunity to view * * *.
2) The degree of attention * * *.
3) The accuracy of the description * * *.
4) The witness’ level of certainty * * *.
5) The time between the crime and the confrontation * * *.
Id. at 114 & 115, 97 S.Ct. at 2253.
Four witnesses were shown a photographic array of five or six pictures which included Cheadle, after Cheadle’s picture had been on television and in the newspaper, as the person responsible for Nava’s killing.
We will first apply this test to Goodwin. Goodwin testified that she saw Cheadle’s face clearly. Goodwin also testified that at times during the incident, she talked directly to Cheadle, face to face, at a distance of inches. Goodwin gave a description of the offender at the scene and later to Officer Putman of the Albuquerque Police Department, before the photographic identification. At the hospital, Goodwin was shown a photographic array which did not contain Cheadle’s picture. Upon viewing the array, Goodwin told the police officer that the assailant was not among the pictures. - The day following the incident, after she was released from the hospital, two friends of Goodwin testified that they stopped by Goodwin’s home. During a news broadcast, Goodwin saw Cheadle’s picture on television. She told her friends, “Oh, my God that’s him except he’s got an afro in the picture.” Goodwin immediately called the police station. Approximately six days later, Goodwin picked Cheadle’s picture from a photographic array that contained a picture of Cheadle that was different from the one shown on television. At the trial, Goodwin made a positive in-court identification of Cheadle, as the man that killed Nava and attempted to rape her.
Julie Jones (Jones), a patron at Ned’s the night of the incident, also identified Cheadle. Jones testified that Cheadle was sitting at the bar when Jones walked over to the bar to speak to Nava at approximately 1:15 a.m. Cheadle said something to her which she ignored. Jones, a hairdresser, remembers Cheadle particularly because of his slicked back hair style. On September 14, 1981, after seeing a picture of Cheadle on television, Jones picked Cheadle’s picture from a photographic array. At trial, Jones positively identified Cheadle as being in Ned’s the night of the incident. She also testified that when she picked Cheadle’s picture from the photographic array, she was relying only on what she saw at Ned’s the evening of the incident.
Ken Gaddis (Gaddis), the manager of Ned’s, also identified Cheadle. Gaddis remembers Cheadle coming into Ned’s around 1:00 a.m. the night of the incident. Ned’s.closes at 2:00 a.m., and Gaddis testified that he always starts noticing people around closing time. Gaddis testified that he remembers Cheadle’s hair style and his eyes. Between the time of the incident and when he made his identification, Gaddis testified that he saw Cheadle’s picture on television and in the newspapers approximately five times. On September 17, 1981, Gaddis was shown a photographic array which contained a picture of Cheadle different from the pictures shown on and in the media. Gaddis tentatively identified Cheadle from this photographic array. At the time of trial, Gaddis made a positive in-court identification of Cheadle as the person he saw in Ned’s the night Nava was killed.
The last witness who identified Cheadle from a photographic array was Eobert Mayes (Mayes). At trial, Mayes testified about and identified Cheadle as the person who came to his apartment a few days before the Nava murder, demanded money, and fired three shots at him with a chrome plated automatic pistol. Mayes identified Cheadle from a photographic array after Cheadle’s picture appeared in the newspaper; however, he testified that his identification of Cheadle was from his own recognition concerning the night of the shooting at his apartment.
In determining whether there has been a violation of due process in the conduct of a confrontation, we must look to the totality of the circumstances. State v. Torres, 81 N.M. 521, 469 P.2d 166 (Ct. App.), cert. denied, 81 N.M. 506, 469 P.2d 151 (1970). After examining the record, we find that the trial court did not err in allowing the out-of-court identification testimony. Manson, Correction Commissioner v. Bruthwaite; State v. Gilliam, 83 N.M. 325, 491 P.2d 1080 (Ct.App.1971).
B. In-Court Identification
In-court identification which is independent of and not tainted by the extra-judicial identification is admissible. State v. Torres. The in-court testimony from the record before us supports the trial court’s ruling that it was independent.
Other witnesses who made in-court identifications of Cheadle without being shown photo arrays were: Jim Ewing, who was the doorman at Ned’s the night of the incident, and remembers Cheadle coming in around midnight, showing his I.D. and paying the cover charge; and Hal Bereberg, a friend of Jim Ewing, who was approached by Cheadle outside Ned’s after Ned’s had closed.
After a review of the above identification testimony, we find that there was no error by the trial court in denying the motion to suppress identification testimony, and the trial court correctly ruled that the in-court identification testimony was independent. State v. Aguirre, 84 N.M. 376, 503 P.2d 1154 (1972); State v. Beachum, 97 N.M. 682, 643 P.2d 246 (Ct.App.1981), cert. quashed, 98 N.M. 51, 644 P.2d 1040 (1982). Once a court finds that the evidence is admissible, it becomes a jury determination as to the accuracy of a witness’ identification. State v. Ortega, 79 N.M. 744, 449 P.2d 346 (Ct.App.1968).
II. Defense Witness Immunity.
At the close of presentation of the evidence, Cheadle moved to re-open his case, pursuant to NMSA 1978, Crim.P.Rule 40(j) (Repl.Pamp.1980), because a defense witness, John Archie (Archie), had been located. The trial court agreed to do so. Counsel was appointed for Archie because it appeared that his testimony could incriminate him for harboring a fugitive. NMSA 1978, § 30-22-4.
Outside the presence of the jury, Archie took the stand and indicated that if he was called to testify, he would only state his name and address. He would then invoke his Fifth Amendment privilege and refuse to answer questions. At this time, Cheadle made an offer of proof concerning what Archie would say if he took the stand, provided he was granted immunity. According to the offer of proof, Archie would testify that Cheadle spent the night of September 10, 1981, at Archie’s house, and that the following day, while watching television at Archie’s house, he first became aware that the police were looking for him. Therefore, Cheadle requested that the trial court on its own initiative grant Archie immunity. The trial court denied the request.
At the time of Cheadle’s trial, New Mexico had two provisions that referred to immunity. NMSA 1978, Section 31-3A-1 (Cum.Supp.1981), applies to grand jury proceedings and is recompiled as Section 31-6-15, NMSA 1978 (Cum.Supp.1983). Section 31-6-15 states:
If a witness is granted immunity in return for evidence, none of his testimony or any evidence obtained as a fruit of his testimony shall be used against him in any criminal prosecution except that such person may be prosecuted for any perjury committed in such testimony or in producing such evidence, or for contempt for failing to give an answer or produce evidence.
NMSA 1978, Crim.P.Rule 58 (Repl.Pamp. 1980), sets forth the procedure for obtaining immunity for a witness. Rule 58 (emphasis added), provides in pertinent part:
(a) Issuance of Order. If a person has been or may be called to testify or to produce a record, document, or other object in an official proceeding conducted under the authority of a court or grand jury, the district court for the judicial district in which the official proceeding is or may be held may, upon the written application of the prosecuting attorney, issue a written order requiring the person to testify or to produce the record, document, or other object notwithstanding his privilege against self-incrimination * * *.
Since there is no constitutional provision or statute in this State allowing application for the granting of immunity to defense witnesses, we must follow the rule of criminal procedure set forth above. State v. Sanchez, 98 N.M. 428, 649 P.2d 496 (Ct. App.), cert. denied, 98 N.M. 478, 649 P.2d 1391 (1982); Campos v. State, 91 N.M. 745, 580 P.2d 966 (1978). Rule 58 requires a written application by the district attorney and a written order by the trial court ordering the person to testify. State v. Sanchez. This order must also contain a specific condition that New Mexico will forego the prosecution of the person for criminal conduct about which he is questioned and testifies. Campos v. State. The law requires the district attorney to undertake that obligation. See NMSA 1978, § 36-l-18(A) annot.
Cheadle made an oral request to the trial court for immunity, there was no written application. However, even if Cheadle had complied with Rule 58, there is little precedent for granting defense witnesses immunity. Like New Mexico, the federal government allows prosecution witnesses to be immunized but does not have a rule or statute concerning the granting of immunity to defense witnesses. See 18 U.S.C. § 6002, § 6003, § 6005 (1976).
A majority of federal case law has held that the federal district court has no authority to grant immunity or to demand that the government seek immunity for a defense witness. United States v. Hunter, 672 F.2d 815 (10th Cir.1982); United States v. Berrigan, 482 F.2d 171 (3rd Cir.1973).
Cheadle relies on Government of Virgin Islands v. Smith, 615 F.2d 964 (3rd Cir. 1980), which suggests that under certain circumstances due process may require that the government afford immunity for a defense witness. The opinion sets forth four rules to follow:
1. The immunity must be properly sought in district court.
2. The defense witness must be available to testify.
3. The testimony must be clearly exculpatory and essential to the defendant’s case.
4. There must be no strong government interest which countervails against a grant of immunity.
Id. at 972-973 (footnote omitted).
Even if this Court chose to adopt the decision in Government of Virgin Islands v. Smith, Cheadle did not comply with the four requirements. The request for immunity was not properly sought. The testimony was not clearly exculpatory and essential. Cheadle’s offer of proof showed that Archie would testify that Cheadle slept at his residence the night of September 10, 1981. The murder of Nava was committed in the early morning of September 10, 1981.
However, we decline to follow Government of Virgin Islands v. Smith and hold that in New Mexico there is no authority to demand immunity for a witness by the defense. See State v. Sanchez.
The trial court properly denied Cheadle’s request for granting immunity to Archie.
III. Jury Instruction.
Cheadle claims that the jury instructions, NMSA 1978, UJI Crim. 39.30, 39.31, and 39.33 (Repl.Pamp.1982), were incomplete and confusing, thereby providing the jury with inadequate objective standards for weighing their decision as to whether death or life imprisonment was appropriate.
At the instructions’ conference, the trial court asked both the State and Cheadle whether there were any objections to the proposed instructions to be given to the jury in the sentencing phase. Cheadle made no objections. On appeal, Cheadle, for the first time, objected to the giving of the three jury instructions.
We have repeatedly held that absent fundamental error that is jurisdictional, objections to jury instructions cannot be raised for the first time on appeal when the defendant did not object to the instructions at trial. State v. Garcia, 99 N.M. 771, 664 P.2d 969, cert. denied, — U.S. -, 103 S.Ct. 2464, 77 L.Ed.2d 1341 (1983); State v. Noble, 90 N.M. 360, 563 P.2d 1153 (1977). We still adhere to this procedure in death penalty cases. State v. Garcia; see Vaught v. State, 410 So.2d 147 (Fla.1982).
We point out that in State v. Garcia, we reviewed two of the challenged instructions and found no fault with them. We also point out that the United States Supreme Court has recently held that there is no requirement that a state adopt specific standards for the weighing process in deciding whether to impose the death penalty. In Zant v. Stephens, 462 U.S. 862, 103 S.Ct. 2733, 77 L.Ed.2d 235, 258 (1983) (citations omitted) (emphasis added), the United States Supreme Court stated that:
[W]e note that in deciding this case we do not express any opinion concerning the possible significance of a holding that a particular aggravating circumstance is ‘invalid’ under a statutory scheme in which the judge or jury is specifically instructed to weigh statutory aggravat ing and mitigating circumstances in exercising its discretion whether to impose the death penalty. * * * [T]he Constitution does not require a State to adopt specific standards for instructing the jury in its consideration of aggravating and mitigating circumstances * * *.
Therefore, although New Mexico has adopted the standard that a defendant cannot be sentenced to death if the mitigating circumstances outweigh the aggravating circumstances, the Constitution does not require the adoption of a specific standard for instructing the jury in its consideration of aggravating and mitigating circumstances.
IV. Aggravating Circumstances.
Cheadle was charged with two aggravating circumstances. N.M.S.A.1978, §§ 31-20A-5(B) and (G) (Repl.Pamp.1981). Both aggravating circumstances were submitted to the jury. The jury^ unanimously found beyond a reasonable doubt that aggravating circumstance Section 31-20A-5(B) existed and that Cheadle should be sentenced to death. The jury also unanimously found beyond a reasonable doubt that aggravating circumstance Section 31-20A-5(G) existed and that Cheadle should be sentenced to death for that crime also.
Cheadle does not dispute that there was sufficient evidence to sustain the submission of Section 31-20A-5(B) to the jury. Section 31-20A-5(B) provides that:
[T]he murder was committed with intent to kill in the commission of or attempt to commit kidnaping, criminal sexual contact of a minor or criminal sexual penetration.
Cheadle does assert that aggravating circumstance Section 31-20A-5(G) was not justified by the evidence; therefore, he should be granted a new sentencing proceeding. Section 31-20A-5(G) provides that:
[T]he capital felony was murder of a witness to a crime or any person likely to become a witness to a crime, for the purpose of preventing report of the crime or testimony in any criminal proceeding, or for retaliation for the victim having testified in any criminal proceeding.
The jury was instructed on “murder of a witness” as follows:
Before you may find the aggravating circumstance of murder of a witness to a crime or a person likely to become a witness to a crime, you must find that the state has proved to your satisfaction beyond a reasonable doubt each of the following elements:
1. Gabe Nava was a witness to a crime or likely to become a witness to a crime; and
2. Gabe Nava was murdered to prevent Gabe Nava from reporting the crime.
Accord, NMSA 1978, UJI Crim. 39.20 (Repl.Pamp.1981).
Cheadle raises this objection for the first time on appeal. Objections to jury instructions cannot be raised for the first time on appeal. State v. Garcia; Vaught v. State. Therefore, since this objection was not raised at the trial court level, Cheadle is precluded from raising it now. However, even if he were correct, when two or more aggravating circumstances are found, the invalidation of one will not invalidate the sentencing proceeding unless the invalidation is due to constitutionally protected conduct. Zant v. Stephens.
V. Proportionality Review.
A deeply rooted principle is that a punishment should be proportionate to the crime. Solem v. Helm, 463 U.S. 277, 103 S.Ct. 3001, 77 L.Ed.2d 637 (1983). If not, then the punishment is considered cruel and unusual in violation of the United States and New Mexico Constitutions. U.S. Const, amend. VIH and XIV; N.M. Const, art. II, § 13. Gregg v. Georgia, 428 U.S. 153, 96 S.Ct. 2909, 49 L.Ed.2d 859 (1976), held that the imposition of the death penalty for a deliberate murder is neither the purposeless imposition of severe pun ishment nor punishment grossly disproportionate for the crime.
Under New Mexico’s Capital Felony Sentencing Act, Section 31-20A-4(C), we are to review the sentence of death to determine if it is “excessive or disproportionate to the penalty imposed in similar cases, considering both the crime and the defendant.” In State v. Garcia 99 N.M. at 780, 664 P.2d at 978 (1982), we set up guidelines for such review.
These guidelines are to apply prospectively to cases that were decided in any court within New Mexico after the mandate in State v. Garcia. Because Cheadle’s case was already before this Court when State v. Garcia was decided, we contacted the State and the defense requesting their submission of cases for comparisons. Two cases have been brought to our attention. State v. Hutchinson, 99 N.M. 616, 661 P.2d 1315 (1983), and State v. Garrison, No. 14,313. We will also consider the recently decided cases of State v. Simonson, 22 SBB 1125 (1983), and State v. Gilbert, 22 SBB 1173 (1983).
In State v. Hutchinson, the defendant was charged with aggravating circumstances Section 31-20A-5(B) and (G). The jury found both aggravating circumstances existed, but did not impose the death sentence. Hutchinson was convicted of first degree murder for which he received life imprisonment, of first degree kidnapping for which he received eighteen years imprisonment, and of armed robbery for which he received nine years imprisonment.
Cheadle urges us to also compare State v. Garrison, No. 14,313, which was disposed of by unpublished decision. Garrison was charged with one aggravating circumstance. § 31-20A-5(G). The jury did not find that this aggravating circumstance existed. Therefore, pursuant to our standard in State v. Garcia, State v. Garrison is not to be compared and is not applicable to this analysis.
In State v. Simonson, aggravating circumstance Section 31-20A-5(G) was given for two separate murders. The jury found that each aggravating circumstance existed but after weighing the mitigating and aggravating circumstances and considering the defendant and the crime, the jury did not impose the death penalty. Simonson was convicted of two counts of first degree murder for which he received two life sentences, and he was also convicted of attempted murder for which he received nine years.
In State v. Gilbert, aggravating circumstance Section 31-20A-5(B) was given for two separate murders. Section 31-20A-5(G) was also given. The jury found that all three aggravating circumstances existed and unanimously voted to impose the death penalty. Gilbert’s death penalty was recently upheld. State v. Gilbert.
Proportionality review in New Mexico is first and foremost directed to the particular circumstances of a crime and the specific character of the defendant. State v. Garcia. It is our duty to review the determination by the jury; we will not retry the case for what may be a better result. Id.
We have compared the sentences imposed in Hutchinson, Simonson and Gilbert to see if Cheadle’s sentence is excessive or disproportionate. The facts, circumstances and crimes in each case are different, as well as the defendants and their histories. After a thorough review of the record and transcripts in Cheadle’s trial, we find that Cheadle’s sentence of death for the deliberate murder of Nava is neither excessive nor disproportionate.
VI. Death Penalty.
Cheadle contends that the death penalty constitutes cruel and unusual punishment under the United States’ and New Mexico’s Constitutions. U.S. Const, amend. VIII and XIV; N.M. Const., art. II, § 13.
In State v. Garcia, we held that pursuant to Gregg v. Georgia, 428 U.S. 153, 96 S.Ct. 2909, 49 L.Ed.2d 859 (1976), the punishment of death does not violate the United States Constitution. We also held in State v. Garcia, that pursuant to State v. Rondeau, 89 N.M. 408, 553 P.2d 688 (1976), the death penalty is not cruel and unusual punishment per se within the prohibition of the Eighth and Fourteenth Amendment of the United States Constitution or Article II, Section 13 of New Mexico’s Constitution. New Mexico’s current capital punishment statutes, Sections 31-20A-1 through 31-20A-6, are modeled after Florida’s, Georgia’s and Texas’ death penalty statutes, which havewithstood United States Supreme Court scrutiny. Therefore, we again find that New Mexico’s Capital Felony Sentencing Act is constitutional.
VII. Conclusion.
After having carefully reviewed the record and transcript in the case before us, we conclude that there was no error committed on the issues presented in this case and that the death sentence was validly imposed. Therefore, the judgment of the jury that Cheadle be punished by death is affirmed. This case is remanded to the trial court to set the date of execution, not less than sixty days nor more than ninety days from the issuance of the mandate on our judgment.
IT IS SO ORDERED.
PAYNE, C.J., and FEDERICI, J., concur.
SOSA, Senior Justice, dissenting in part.
STOWERS, not participating.
. Robinson v. California, 370 U.S. 660, 82 S.Ct. 1417, 8 L.Ed.2d 758 (1962), held that the Eighth Amendment to the United States Constitution was applicable to the states through the Fourteenth Amendment to the United States Constitution.
. Fla.Stat. § 921.141 (1981); Ga.Code Ann. § 27-2534.1 and § 27-2537 (Cum.Supp.1982); Texas Stat.Ann. art. 37.071 (Vernon 1981).
. Proffitt v. Florida, 428 U.S. 242, 96 S.Ct. 2960, 49 L.Ed.2d 913 (1976); Gregg v. Georgia, 428 U.S. 153, 96 S.Ct. 2909, 49 L.Ed.2d 859 (1976); Jurek v. Texas, 428 U.S. 262, 96 S.Ct. 2950, 49 L.Ed.2d 929 (1976). | [
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OPINION
DONNELLY, Judge.
Appellants, Seven Rivers Cattle and Commodities, Inc. and Zia Feedlot, Inc., appeal from a judgment of the district court declaring Dallas M. and Irene A. McCasland (the McCaslands) to be the owners of 28.74 acre-feet of Hagerman Canal irrigation ditch water rights and upholding the transfer of such water rights to other realty. We discuss whether the district court erred (1) in finding that the McCaslands were the owners of the disputed water rights, and (2) in determining that the disputed water rights were properly transferred for use upon other land. For the reasons discussed herein, we reverse. FACTS
The facts underlying the dispute between the parties are complex, and the property involved herein has been the subject of repeated litigation. The genesis of the current litigation began when V.R. Barnett and Bessie M. Barnett (the Barnetts) acquired ownership of most of the Northwest Quarter of Section 9 in Township 14 South, Range 26 East, N.M.P.M., in Chaves County, together with the water rights appurtenant thereto. A portion of the water rights owned by the Barnetts consisted of 28.74 acre-feet of Hagerman Canal irrigation ditch water rights. In addition to the irrigation ditch water rights, the Barnetts also owned 134.0 acre-feet of irrigation well water rights that were appurtenant to such tract. The Barnetts built a feed yard and mill on a 70-aere parcel (the feed yard property), situated within the quarter section owned by them. They transferred the water rights for the 134.0 acre-feet, held under State Engineer File No. RA-4942, to this 70-acre parcel. Following the budding of the feed yard and mill, they transferred ownership of the feed yard property to Barnett Feed Yards, Inc. by a deed dated March 1, 1967. Thereafter, the Barnetts mortgaged both the feed yard property and the remaining land in the quarter section owned by them to the Federal Land Bank of Wichita (the Federal Land Bank).
In 1975 Barnett Feed Yards, Inc. filed bankruptcy. On October 27,1981, the Trustee in Bankruptcy (the Trustee) conveyed the feed yard property to Weldon and Dixie Wagner (the Wagners). The Federal Land Bank consented to the sale to the Wagners. The deed from the Trustee to the Wagners did not contain any reservation of water rights. Approximately one month later, the Trustee executed and delivered a special warranty deed to the Wagners for the same property. The latter deed specifically conveyed. to the Wagners 134.0 acre-feet of irrigation well water rights described in State Engineer File No. RA-4942, but the deed did not mention the 28.74 acre-feet of ditch water rights which were also appurtenant to the feed yard property. After acquisition of the feed yard property, the Wagners filed an application for a change of ownership of water rights with the State Engineer. The application only referred to the 134.0 acre-feet of irrigation well water rights, and did not mention the 28.74 acre-feet of irrigation ditch water rights.
In 1982 the Federal Land Bank filed suit to foreclose its mortgage on the lands owned by the Barnetts. The Wagners and the Trustee were also joined as defendants in the action. In May 1983 a final decree of foreclosure was entered by the district court of Chaves County in the foreclosure action. The court also found that the deed from the Barnetts to Barnett Feed Yards, Inc., dated March 1,1967, was “a nullity, the description being inadequate to define the property being conveyed; [and that] the parties herein acquiesced in the submission of the [feed yard property] to sale at auction in the bankruptcy [proceeding].” Additionally, the court found that the real property “less and except the [feed yard property] should be sold in the manner and form prescribed by law.”
The McCaslands were the successful bidders at the Federal Land Bank foreclosure sale and, on July 7, 1983, a special master’s deed was issued to them conveying the property previously owned by the Wagners, except for the feed yard property and the well water rights appurtenant to the feed yard property as contained in State Engineer File No. RA-4942. The McCaslands thereafter filed an application for a change of ownership of water rights with the State Engineer for 184.9 acre-feet of water rights. The application included the 28.74 acre-feet of irrigation ditch water rights, which are the subject of this appeal. Following the filing of their application, the McCaslands began using the 28.74 acre-feet of irrigation ditch water rights upon property owned by them.
In August 1984 the Wagners, as owners of the feed yard property, deeded the tract to Wagner Alfalfa Mill, Inc., “together with all improvements thereon, [and] all water rights appurtenant thereto.” Following this conveyance, Wagner Alfalfa Mill, Inc. mortgaged the feed yard property and the appurtenant water rights to the First Interstate Bank of Roswell. The bank subsequently foreclosed its mortgage, and the bank was the successful bidder at the special master’s sale. Thereafter, the bank sold the feed yard property to Jack T. Miskell.
On April 25, 1990, Gene Cary, doing business as Mill & Elevator Supply Co., filed a mechanic’s and materialman’s lien against the property owned by Miskell. The lien was subsequently foreclosed against Miskell and his interest in the feed yard property. At the ensuing special master’s sale, Seven Rivers Cattle and Commodities, Inc. (Seven Rivers) was the successful bidder, and title to the property again changed hands. Following its acquisition of the feed yard property, Seven Rivers conveyed title to the property to Zia Feedlot, Inc.
In July 1992 the McCaslands filed suit seeking to have the district court declare that they were the owners of the water rights claiméd by Seven Rivers, and requesting an order compelling the owners of the feed yard property to consent to the severance of the water rights from the feed yard property. Following a trial on the merits, the district court entered judgment in favor of the McCaslands. Appellants have filed a timely appeal therefrom.
OWNERSHIP OF WATER RIGHTS
Appellants contend that they acquired title to the feed yard property originally owned by the Barnetts, together with the 28.74 acre-feet of Hagerman Canal irrigation ditch water rights, which they assert remained appurtenant to the property. Appellants also argue that neither the McCaslands nor any of their predecessors in title ever legally severed the water rights from the feed yard property or validly changed the location or the place of use of such water rights. Thus, Appellants contend that the district court erred in finding that the McCaslands were the owners of the disputed water rights.
Responding to Appellants’ contentions, the McCaslands argue that the special warranty deed from the Trustee only conveyed 134.0 acre-feet of water rights under State Engineer File No. RA-4942, and the Trustee retained all other water rights held by Barnett Feed Yards, Inc., so that title to the retained rights passed to the McCaslands as purchasers at the Federal Land Bank mortgage foreclosure sale.
In order to evaluate the merits of these contentions we must first examine the chains of title relied upon by the respective parties. We start with the fact that it is undisputed that the 28.74 acre-feet of Hagerman Canal irrigation ditch water rights were appurtenant to the feed yard property. Following the bankruptcy action involving Barnett Feed Yards, Inc., the Trustee gave a quitclaim deed to the Wagners conveying the feed yard property to them. The quitclaim deed did not contain any reservation or exception of any of the water rights appurte nant to such property. The Federal Land Bank also acquiesced in the sale of the feed yard property by the Trustee to the Wagners. The special warranty deed subse-' quently issued by the Trustee to the Wagners covering the feed yard property, although specifically conveying 134.0' acre-feet of water rights “appurtenant thereto under State Engineer File No. RA-4942,” did not contain any exception or reservation concerning the 28.74 acre-feet of Hagerman Canal irrigation ditch water rights. Similarly, the quitclaim deed from the Trustee to the Wagners for the feed yard property did not contain any reservation of rights; hence, under NMSA 1978, Section 47-1-34 (Repl. Pamp.1991), title to the feed yard property, together with all appurtenant rights, passed to the Wagners, as grantees. The fact that the Trustee later gave a special warranty deed to the Wagners for the same property, and which expressly conveyed an interest in other water rights, did not have the effect of reserving any interest in the 28.74 acre-feet of irrigation ditch water rights. See id
The Federal Land Bank’s foreclosure proceeding expressly excepted any title to the feed yard property, and the special master’s deed to the McCaslands provided that the conveyance included water rights appurtenant to the lands conveyed “LESS AND EXCEPT ... the water rights appurtenant [to the feed yard property].” Thus, we conclude that the 28.74 acre-feet of irrigation ditch water rights remained appurtenant to the feed yard property subsequently acquired by Zia Feedlot, Inc., one of the Appellants herein.
The chain of title of the McCaslands and their claim to the disputed water rights devolves from the deed issued by the special master following the mortgage foreclosure action brought by the Federal Land Bank. The deed given by the special master to the McCaslands recited that the property conveyed included:
[A]ll water rights and all wells and equipment used for irrigation of said land, including, but not limited to RA-1333-E, RA-1410-A, HC-56(A), RA-4942-S, HC- ' 71 (ABCD), RA-5399, RA-4942, HC-1(A), HC-84. Subject to Exception as to RA-4942.
Together with a pro rata interest in the water and water rights of the Hagerman Irrigation Company by reason of the inclusion of the above described land, or a portion thereof, within said project.
The deed, however, specifically excepted from the property conveyed, the feed yard property “and the water rights appurtenant thereto.” Following the McCaslands’ purchase of the property at the foreclosure action, they filed an application for change of ownership of water right with the State Engineer’s office relating to the irrigation water rights, including the 28.74 acre-feet of Hagerman Canal irrigation ditch water rights.
A water right is appurtenant to the land of a landowner who has applied it to a beneficial use. Middle Rio Grande Water Users Ass’n v. Middle Rio Grande Conservancy Dist., 57 N.M. 287, 299, 258 P.2d 391, 398 (1953); see Murphy v. Kerr, 296 F. 536, 541 (D.N.M.1923), aff'd 5 F.2d 908 (8th Cir.1925). Absent evidence indicating a contrary intention, a conveyance of land carries with it the water rights appurtenant to such land. First State Bank v. McNew, 33 N.M. 414, 423, 269 P. 56, 60 (1928); see Silverstein v. Carlson, 118 Idaho 456, 797 P.2d 856, 860 (1990); Department of State Lands v. Pettibone, 216 Mont. 361, 702 P.2d 948, 955 (1985); Foster v. Sunnyside Valley Irrigation Dist., 102 Wash.2d 395, 687 P.2d 841, 844 (1984) (en banc); see also 78 Am.Jur.2d Waters § 243 (1975) (discussing passage of water rights with land).
The parties stipulated that the disputed water rights were never used on the feed yard property after 1984 and that the McCaslands have used the water on the larger tract since then. Examining the respective chains of title upon which the McCaslands and Appellants rely in light of the above authorities, we think it is clear that, although the McCaslands used the 28.74 acre-feet of Hagerman Canal irrigation ditch water rights on lands other than the feed yard property, the water rights remained appurtenant to the feed yard and thus passed to Appellants. No deed or judicial decree has effected a valid transfer or severance of the water rights to the lands acquired by the McCaslands.
The McCaslands alternatively argue that even if the disputed water rights are determined to be appurtenant to the feed yard property, the water rights were in fact used by the Barnetts and the McCaslands on other lands owned by them, and that the trial court in the exercise of its equitable power could properly determine that the long-continued use of such water rights at a different location was sufficient to permit a finding of a de facto transfer of such water rights. The McCaslands, although conceding that the Barnetts failed to follow the procedural requirements of NMSA 1978, Section 72-5-23 (Repl.1985), for transferring the water rights in question, argue that the Barnetts in fact began using the ditch water rights on adjacent land over twenty years ago.
Appellants counter the arguments of the McCaslands by asserting that absent the consent of a landowner or valid court action, a water right may not be legally severed or transferred from the land to which it is appurtenant. Appellants also argue that a landowner or other party seeking to sever a water right from the land to which it is appurtenant must comply with the statutory method for severing such water right before any transfer becomes effective. We agree.
The method for transferring an existing water right is governed by NMSA 1978, Section 72-5-22 (Repl.1985) and Section 72-5-23. Section 72-5-22 recognizes the right of a party holding a water right to assign such right, but specifies that no assignment “shall be binding except upon the parties thereto, unless filed for record in the office of the state engineer.” Section 72-5-22 also provides, in pertinent part:
[N]o right to appropriate water, except water for storage reservoirs, for irrigation purposes shall be assigned, or the ownership thereof in anywise transformed, apart from the land to which it is appurtenant, except in the manner specially provided by law[;] provided, further, that the transfer of title of land in any manner whatsoever shall carry with it all rights to the use of water appurtenant thereto for irrigation purposes, unless previously alienated in the manner provided by law. [Emphasis added.]
We think the phrases “in the manner specially provided by law,” or “in the manner provided by law,” used by the legislature in the Section 72-5-22, mean in accordance with existing statutory procedure. See Trujillo v. Tanuz, 85 N.M. 35, 40, 508 P.2d 1332, 1337 (Ct.App.1973) (phrase “‘provided by law”’ construed to mean “ ‘provided by [statutory] law’ ”); see also Black’s Law Dictionary 1224 (6th ed. 1990) (phrase “provided by law,” when used in a statute, “generally means prescribed or provided by some statute”).
The State Engineer, appearing as Amicus herein, concurs in this portion of Appellants’ argument. The State Engineer asserts that absent compliance with Section 72-5-23, the use of the disputed water rights by the Barnetts at a location away from the feed yard property, irrespective of the length of such use, was insufficient to effect a valid change in the place of use of such rights or a valid transfer of such rights. Section 72-5-23 sets out the mechanism for severing and transferring water rights from the lands to which they are appurtenant. Section 72-5-23 provides:
All water used in this state for irrigation purposes, except as otherwise provided in this article, shall be considered appurtenant to the land upon which it is used, and the right to use it upon the land shall never be severed from the land without the consent of the owner of the land, but, by and with the consent of the owner of the land, all or any part of the right may be severed from the land, simultaneously transferred and become appurtenant to other land, or may be transferred for other purposes, without losing priority of right theretofore established, if such changes can be made without detriment to existing water rights and are not contrary to conservation of water within the state and not detrimental to the public welfare of the state, on the approval of an application of the owner by the state engineer. Publication of notice of application, opportunity for the filing of objections or protests and a hearing on the application shall be pro vided as required by Sections 72-5-4 and 72-5-5 NMSA 1978.
The State Engineer also points out that the 28.74 acre-feet of irrigation ditch water rights were previously adjudicated to be appurtenant to specific tracts of land described in Subfile Order No. 71 entered by the district court of Chaves County in State of New Mexico ex rel. State Engineer and Pecos Valley Artesian Conservancy District v. Lewis, Nos. 20294 and 22600 (Apr. 2, 1963), as consolidated. The State Engineer further reasons that a change in the place of use of a water right may lawfully be made in only one of two ways: (1) by amending Subfile Order No. 71 by showing that the place of beneficial use was wrong at the time the order was entered; or (2) by complying with the statutory and administrative procedures regulating a change in place of use. The State Engineer also contends that despite the application of the disputed water rights to beneficial use at a location different from the adjudicated place of use, the transfer is not valid until the requirements of Section 72-5-23 have been met. We agree. Cf. Charles T. DuMars, New Mexico Water Law: An Overview and Discussion of Current Issues, 22 Nat.Resources J. 1045, 1047 (1982) (“Although an individual can assign his water rights to another, such an assignment is binding only between those two parties unless the procedures of the State Engineer are followed.”).
In enacting Section 72-5-23, the legislature created a statutory procedure governing the manner by which appropriators may change the place of use of water rights. Under this statute applications to change the place of use must be filed with the State Engineer. Thereafter, the State Engineer is required to determine whether the change would adversely affect the water rights of existing water users or would be contrary to the public welfare and conservation of water. See Honey Boy Haven v. Roybal, 92 N.M. 603, 604-05, 592 P.2d 959, 960-61 (1978) (party seeking to change point of diversion of use of water is required to seek approval of state engineer before it utilizes water at different location); Garbagni v. Metropolitan Investments, Inc., 110 N.M. 436, 441, 796 P.2d 1132, 1137 (Ct.App.) (in order to perfect water right, party must make application with and obtain approval from state engineer and establish a valid right), cert. denied, 110 N.M. 330, 795 P.2d 1022 (1990); Ensenada Land & Water Ass’n v. Sleeper, 107 N.M. 494, 498, 760 P.2d 787, 791 (Ct.App.) (right to change the place of diversion is subject to limitation that rights of other water users not be impaired), cert. quashed, 107 N.M. 413, 759 P.2d 200 (1988); see also Eldorado at Santa Fe, Inc. v. Cook, 113 N.M. 33, 36, 822 P.2d 672, 675 (Ct.App.) (due process requires that holders of water rights are entitled to notice and opportunity to be heard), cert. denied, 113 N.M. 1, 820 P.2d 435 (1991). See generally George A. Gould, Transfer of Water Rights, 29 Nat.Resources J. 457 (1989).
As observed by Professor Charles T. Du-Mars in an article in 6 Waters and Water Rights 293 (Robert E. Beck, editor-in-chief, 1991 ed.): ‘Water rights can be transferred. Transfers must be approved by the State Engineer through the same process used for approving permits to appropriate. [NMSA 1978, §§ 72-5-23, -24, 72-12-7].” Unless the statutory procedures for changing a place of use are complied with, however, no lawful change can be effected. Cf. Sun Vineyards, Inc. v. Luna County Wine Dev. Corp., 107 N.M. 524, 527, 760 P.2d 1290, 1293 (1988) (validity of water right is based upon application to beneficial use and compliance with lawful procedure); Eldorado at Santa Fe, Inc., 113 N.M. at 36, 822 P.2d at 675 (failure to follow statutory procedure renders action invalid).
Thus, mere use of the 28.74 acre-feet of Hagerman Canal irrigation water on another parcel did not effect a transfer of those water rights from the feed yard to the other tract. The state district court adjudications in State of New Mexico ex rel. State Engineer and Pecos Valley Artesian Conservancy District v. Lewis fixed the amount of water appurtenant to the feed yard property and that adjudication was binding. Cf. W.& Ranch Co. v. Kaiser Steel Corp., 79 N.M. 65, 68, 439 P.2d 714, 717 (1968) (once water right fixed by court, party wishing to transfer that right can rely on the adjudication). Where, as here, one party uses water which is appurtenant to one tract on lands other than the tract to which it is appurtenant, without the approval of the State Engineer and in violation of statute, the party suffering the wrong has a remedy. Chavez v. Gutierrez, 54 N.M. 76, 83, 213 P.2d 597, 601 (1950). In the present case, Zia Feedlot, Inc., owner of the appurtenant land, is entitled to judgment upholding its ownership of-the 28.74 acre-feet of Hagerman Canal irrigation water appurtenant to the feed yard property.
CONCLUSION
The judgment of the district court is reversed and the cause is remanded for further proceedings consistent with this opinion. Appellants are awarded their costs on appeal.
IT IS SO ORDERED.
APODACA and BLACK, JJ., concur. | [
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OPINION
PER CURIAM.
Once again this Court is presented with a disciplinary matter in which a licensed New Mexico attorney has wholly failed to comply with the requirements for maintaining his trust account. See SCRA 1986, 16-115 (Repl.Pamp.1991 & Cum.Supp.1994) (safekeeping property); SCRA 1986, 17-204 (Repl.Pamp.1991 & Cum.Supp.1994) (required records). The matter comes before the Court for consideration of a conditional agreement not to contest and consent to discipline executed by Stephen D. Turpén, approval of which has been recommended by the Disciplinary Board. See SCRA 1986,17-211 (Repl.Pamp.1991) (discipline by consent). We have determined that the resolution set forth in the consent agreement is appropriate, and hereby impose the recommended discipline of a two-year deferred suspension, with probation throughout the deferral period. If Turpén successfully completes his probation and the other conditions included in the discipline being imposed, he will be automatically reinstated to full licensure at the conclusion of the two-year period.
Over at least a two-year period of time, Turpén commingled earned fees with client funds and issued trust account checks for personal disbursements in violation of Rule 16-115(A). In addition, Turpén failed to maintain the records required by Rules 16-115(A) and 17-204. Numerous transactions occurred in which no information on the check stub, cancelled check, or deposit slip properly identified the source of the deposit, the purpose of the withdrawal, or the client. Turpén failed to maintain a separate ledger for each client whose funds were on deposit in his trust account and failed to maintain complete information on the ledgers he did keep. He did not prepare statements to clients reflecting transactions in the trust account. Turpén also failed to perform quarterly reconciliations of his trust account checkbook balance, bank statement balance, and client trust ledger sheet balances. On at least one occasion, Turpén withdrew funds from the trust account by means of a check made out to cash in violation of Rule 16-115(A).
In In re Ruybalid, 118 N.M. 587, 884 P.2d 478 (1994), we stated that “[a]ttorneys in this state should have no misconception about this Court’s opinion of an attorney’s failure to properly maintain an attorney trust account. The Court views such transgressions as be ing of the most serious in nature.” Id. at 589, 884 P.2d at 480. Moreover, we recommended that all licensed New Mexico attorneys take steps to ensure that their trust accounts are in compliance with the provisions of Rules 16-115 and 17-204. Id. at 589, 884 P.2d at 480.
The obligation to properly maintain one’s trust account is an affirmative one. Every attorney is charged with the obligation to determine recordkeeping requirements and to maintain his or her trust account in compliance with the requirements. Rule 17-204 sets forth recordkeeping requirements in great detail. Attorneys who fail to maintain a trust account as required under our rules run the risk of finding themselves before this Court, with their license to practice law in jeopardy.
No allegation of conversion of client funds was raised in this proceeding. Nonetheless, Turpén now finds himself on the brink of losing the privilege to practice law for a two-year period. Only his successful completion of probation and compliance with the other conditions imposed, including bearing the cost of two trust account audits during the probationary period, stand between him and actual suspension. This should be ample evidence to other attorneys that honest utilization of one’s trust account is not enough. While conversion of trust funds will surely result in the most severe discipline, see, e.g., In re Rawson, 113 N.M. 758, 833 P.2d 235 (1992), commingling funds and failing to maintain the proper records also place a lawyer’s license at risk.
NOW, THEREFORE, IT IS ORDERED that Stephen D. Turpén be suspended from the practice of law in the state of New Mexico for a period of two-years, effective January 19, 1995.
IT IS FURTHER ORDERED that imposition of the period of suspension shall be deferred on the following terms and conditions:
1.Turpén shall be on probation throughout the deferral period under the supervision of Earl R. Norris, a licensed New Mexico attorney;
2. Turpén shall meet with his supervising attorney as often as the supervisor deems necessary or advisable. Turpén shall accept instruction from and comply with all directives of his supervisor concerning trust account record keeping and management procedures. Turpén shall demonstrate to the satisfaction of his supervising attorney that his trust account is in compliance with the requirements of Rules 16-115 and 17-204. The supervisor shall provide quarterly reports to disciplinary counsel concerning Turpen’s compliance with supervision. Thirty (30) days prior to the conclusion of the two-year probationary period, the supervisor shall advise disciplinary counsel whether Turpén has satisfactorily complied with the supervisor’s instructions and directives;
3. Turpén shall submit to and bear the expense of two audits of his current trust account during the probationary period, conducted at times and by auditors selected by or approved by disciplinary counsel. If either audit reveals further violations of Rule 16-115 or Rule 17-204, Turpén un-' derstands that disciplinary counsel may seek to have the deferral of his suspension revoked and may file additional charges of misconduct based upon the findings of the audit;
4. Turpén shall successfully complete the Multistate Professional Responsibility Exam during the probationary period;
5. Turpén shall pay the costs of this proceeding in the amount of $1,521.61 on or before January 19, 1996, and any amount unpaid by that date shall accrue interest at the rate of fifteen percent (15%) per annum; and
6. Turpén shall observe all provisions of the Rules of Professional Conduct and Rules Governing Discipline during the term of this agreement.
IT IS FURTHER ORDERED that at the conclusion of the two-year period, reinstatement to full licensure will be automatic if Turpén has fulfilled all the conditions set forth in this agreement.
IT IS FURTHER ORDERED that this opinion be published in New Mexico Reports and Bar Bulletin.
IT IS SO ORDERED.
/s/ Joseph F. Baca Joseph F. Baca, Chief Justice
/s/ Richard E. Ransom Richard E. Ransom, Justice
/s/ Gene E. Franchini Gene E. Franchini, Justice
/s/ Stanley F. Frost Stanley F. Frost, Justice
/s/ Pamela B. Minzner Pamela B. Minzner, Justice | [
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] |
OPINION
PICKARD, Judge.
Worker appeals from an order dismissing with prejudice his complaint for workers’ compensation. The sole issue on appeal is whether Worker was a “farm laborer” for purposes of the Workers’ Compensation Act. See NMSA 1978, § 52-l-6(A) (Repl.Pamp.1991) (effective January 1, 1992). We hold that the workers’ compensation judge did not err in finding that Worker was a farm laborer and dismissing Worker’s complaint. Accordingly, we affirm.
Many of the judge’s findings are not challenged on appeal. Therefore, they are deemed true for purposes of our analysis. See SCRA 1986, 12-213(A)(3) (Cum.Supp. 1994); see also Sanchez v. Memorial Gen. Hosp., 110 N.M. 683, 689, 798 P.2d 1069, 1075 (Ct.App.), cert. denied, 110 N.M. 653, 798 P.2d 1039 (1990). The findings not challenged are the following:
1. Bosque Honey Farm, Inc. (“Employer”), is engaged in the business of beekeeping and maintains a honey farm in Bosque Farm, New Mexico.
2. Beekeeping is regulated by the New Mexico Department of Agriculture____
3. Employer’s beekeeping operation is regulated by the New Mexico Department of Agriculture.
4. Beekeeping is an important agricultural pursuit that produces a raw agricultural product, honey.
5. Beekeeping provides pollination services essential for numerous seed, fruit and nut crops.
6. Employer’s farm is located on property zoned for agricultural use.
7. The crop of honey is harvested upon Employer’s farm, following completion of an extraction process.
8. A “super” is a wooden box that is removable from the bee hive. The super contains frames of honey combs. The bees produce and store honey in numerous cells on the frames. Once filled with honey, the bees typically seal the cells with bees wax.
9. Extraction of honey from the frames is necessary to harvest honey: The harvest of honey requires:
1. The bees wax layer is cut to uncap the cells;
2. The frames are spun’in a centrifuge to allow the honey to be thrown out of the cells;
3. The honey is drained into a sump and pumped into storage tanks; and
4. The honey is drained into barrels for storage or sale.
10. Honey is not harvested until it has been extracted from the frames and collected in barrels or other containers and is ready for sale.
11. At all times during his employment with Employer, Craig Tanner (“Worker”) worked as a beekeeper’s assistant.
12. Worker’s primary job responsibility was to assist with the extraction of honey from the frames. Worker’s job normally involved uncapping the frames, the first part of the extraction process.
13. When Worker’s job was complete, honey still remained in the cells of the frames and had yet to be harvested.
14. The general nature of Worker’s employment was to assist in the harvesting of honey.
15. Worker’s secondary job responsibilities included maintaining the bee hives, the honey farm and farm equipment.
16. Worker’s secondary job responsibilities are essential functions related to the harvesting of honey.
Instead of attacking any of the above findings, Worker makes a general contention that because he did not participate in the cultivation or production of honey in the field, he should not be called a farm worker. We will treat this contention as a challenge to the judge’s last finding, that “Worker was employed by Employer as a farm laborer.”
The Act provides that “[t]he provisions of [the Act] shall not apply to employers of private domestic servants and farm and ranch laborers.” Section 52-l-6(A). Worker contends that the judge erred in finding that he was a farm laborer for purposes of the Act.
While no New Mexico case is directly on point, two cases are factually similar to the instant one and are instructive on the issue presented in this case. In the first, Holguin v. Billy the Kid Produce, Inc., 110 N.M. 287, 795 P.2d 92 (Ct.App.1990), the worker sorted the employer’s onions in an onion shed, placing them into sacks. The shed was located on property that was owned by the employer, but was zoned as commercial property and was not crop-producing land. Id. at 288, 795 P.2d at 93. The Holguin court held that the worker was not a farm laborer because “[the] worker’s primary responsibilities were not performed on land where crops were grown, nor were his duties an essential part of the ... cultivation process such as irrigation or fertilization.” Id. at 289, 795 P.2d at 94. Significant in Holguin is the fact that the court rejected an expansive definition of “farm laborer,” one that would have included within its purview “‘all things incident to farming in the widest sense of that term.’ ” Id. (quoting Anaya v. Industrial Comm'n, 512 P.2d 625, 626 (Colo.1973).
The Holguin court relied primarily upon the precedent established in Cueto v. Stahmann Farms, Inc., 94 N.M. 223, 608 P.2d 535 (Ct.App.1980). In Cueto, the worker’s primary duty was to maintain a compost heap which was used to fertilize his employer’s pecan trees located on the farming premises of the employer. Id. at 224, 608 P.2d at 536. The Cueto court held that the worker was a farm laborer because “[t]he undisputed evidence in the record indicates that [workerj’s primary responsibility was to manufacture fertilizer for fanning operations. This was done on the farming premises of [employer], and was an essential part of the cultivation of the pecans; it is farm labor under the exclusion.” Id.
As the Holguin court observed, “[w]hat is a ‘farm laborer’ within the meaning of the Act is a question of law. Whether a worker fits the definition is ordinarily a question of fact. If, however, the facts are undisputed, then the question becomes one purely of law.” Holguin, 110 N.M. at 288, 795 P.2d at 93. In this case, the facts as set out above are undisputed. Therefore, the question that we must answer is whether Worker was a farm laborer under the undisputed facts as presented in this case. Id.
In contrast to Holguin, Worker was not merely sorting an agricultural product that was already harvested. Instead, he was participating in the harvesting itself on land on which some bees were kept for purposes of producing honey. Neither Holguin nor Cue-to addressed the question of whether harvesting was an essential part of cultivating crops.
Although Holguin relied upon the fact that the worker was not involved with the cultivation of crops, id. at 290, 795 P.2d at 95, we do not think that the narrow definition of the farm labor exception endorsed by the Holguin court excludes persons involved in harvesting. Indeed, eases from other jurisdictions, some cited by Worker, that discuss a farm labor exception to their workers’ compensation schemes, refer to the word “harvesting” as being included in the term “farm labor.” See, e.g., Hefley v. Morales, 595 P.2d 233, 235 (Colo.1979) (en banc); Hinson v. Creech, 286 N.C. 156, 209 S.E.2d 471, 473 (1974); United States Fire Ins. Co. v. Alvarez, 657 S.W.2d 463, 467-68 (Tex.Ct.App.1983).
Other cases, while not rejecting the concept that harvesting is included in the term “farm labor,” focus on whether the product being handled by the worker has left the stage of agricultural production and entered the stage of “industrial processing.” See, e.g., Dobbins v. S.A.F. Farms, Inc., 137 So.2d 838, 839-41 (Fla.Dist.Ct.App.1962); Robichaux v. Realty Operators, Inc., 195 La. 70, 196 So. 23, 26 (1940); Cowiche Growers, Inc. v. Bates, 10 Wash.2d 585, 117 P.2d 624, 631-32 (1941). The focus on the distinction between farm labor and industrial processing is consistent with Professor Larson’s discussion of the proper definition of farm labor:
The exemption of farm labor is construed according to the character of the work regularly performed by the employee, not according to the nature of the employer’s business. But if a process performed on the farm is merely the first stage in the processing of a commodity by an industrial employer, such as a cannery or sugar refinery, the work may be held nonagrieultural.
1C Arthur Larson, The Law of Workmen’s Compensation § 53.00 at 9-209 (1993). Thus, we follow these authorities and hold that harvesting is farm labor while processing is not.
Professor Larson also points out that activities incidental to farming, such as sorting potatoes, may be within the exemption. Id. § 53.33 at 9-225 to 9-226. However, we have expressly rejected Professor Larson’s latter proposition insofar as it relates to activities incidental to farming that are con ducted in a packing-house operation. Holguin, 110 N.M. at 290, 795 P.2d at 95. That is not to say that a worker is not a farm laborer simply because the worker’s primary job responsibilities are conducted in a structure in which packing is also performed. We stressed in Holguin that whether a worker is a farm laborer is a determination to be made by reference to the “general character of the worker’s work, rather than his activity on any particular day.” Id. at 289, 795 P.2d at 94. We again point out that the dispositive factor in determining whether the worker is a farm laborer is the general character of the worker’s work, and while the location on which a worker performs his work is a factor to be considered, id., it is not dispositive.
In the instant case, Employer does not argue, and the evidence at trial did not show, that Worker’s primary job responsibilities were incidental to honey farming. Rather, Employer argues that they were an integral part of such farming. Neither of the parties directed us to any authority that would provide any guidance delineating what “harvesting” is as a matter of law or at what point harvesting ends and processing begins. Nor were we able to find any such authority through our independent research. However, we need not answer that question in this case, as Worker testified at trial that the honey produced by Employer could not be extracted until Worker’s primary job responsibility was completed. Moreover, Employer introduced at trial the deposition testimony of an expert witness, Dr. Gordon Waller. That uneontradicted testimony established that honey was not harvested until it was extracted. Just as an apple is not harvested until it is severed from the tree, the honey in this case was not harvested until it was severed from the frame. While there may be cases in which the evidence is conflicting on the question of whether a worker’s primary job responsibilities are part of harvesting or processing, that scenario is not presented in this case. See Holguin, 110 N.M. at 290, 795 P.2d at 95.
In this case, the judge’s conclusion that Worker was a farm laborer was based on the undisputed testimony that Worker’s primary job responsibility was part of the harvesting process. Worker did not provide any evidence that would have pointed the judge to a contrary conclusion. Therefore, we find no error in the judge’s determination that Worker was a farm laborer for purposes of the Act. See Cueto, 94 N.M. at 224, 608 P.2d at 536 (when undisputed evidence indicates that worker involved in farm labor, worker has no cause of action for workers’ compensation).
We have also reviewed Employer’s motion to dismiss Worker’s appeal. Employer is correct in asserting that, under our rules of appellate procedure, Worker should have referred us to portions of Dr. Waller’s deposition testimony. See SCRA 1986, 12-208(B)(3) (Repl.1992) and SCRA 1986, 12-213(A)(2) (Cum.Supp.1994) (docketing statement and briefs shall contain summary of all facts relevant to the issues presented for review). We did find the portion of Dr. Waller’s deposition testimony that indicated that Worker was involved in harvesting to be essential to our disposition on appeal. However, Worker’s brief in chief is directed at the Holguin court’s holding that farm labor does not include every activity incidental to farming. As noted above, neither Holguin, Cueto, nor any of the out-of-state cases cited in this opinion directly addressed the issue of whether farm labor includes harvesting. In light of our reliance on this previously unconsidered distinction, Worker’s failure to refer to that portion of Dr. Waller’s deposition testimony that classified extraction of honey as harvesting is understandable. Employer’s motion to dismiss Worker’s appeal is denied.
The order dismissing with prejudice Worker’s complaint for compensation is affirmed.
IT IS SO ORDERED.
ALARID and BOSSON, JJ., concur. | [
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OPINION
RANSOM, Justice.
Amrep Southwest, Inc., appeals from a district court order granting summary judgment in favor of Shollenbarger Wood Treating, Inc., on Amrep’s third-party complaint seeking indemnification and damages for negligence and strict liability in the supply of inadequate building materials. Amrep had used the materials in the construction of homes that were thereby rendered defective to the damage of the homeowners. The trial court concluded that because Amrep was partially at fault for any damages awarded against it in favor of the homeowners, it was precluded from seeking indemnification from the supplier. The court also concluded that the economic-loss rule barred Amrep’s claim for indemnification and other business-loss damages. Because we believe there is a factual issue yet to be resolved, and because we adopt a doctrine of proportional indemnification, we reverse and remand.
Facts. Amrep built 180 homes into the slope of a hill in a Rio Rancho development. Amrep designed the exterior wall of the homes to support and retain six to thirty-six inches of soil on the uphill side of each home. To prevent rot and attack by insects, the portion of the exterior wall below the soil was to be built with pressure-treated wood. . The pressure treatment process involves the infusion of chemicals into wood. Amrep contracted with Baldridge Lumber Company to provide the pressure-treated wood for most of the homes. Baldridge, in turn, contracted with Shollenbarger either to supply already treated wood or to treat wood supplied by Baldridge. Amrep did not have a contract with Shollenbarger.
By May 1986 Amrep had entered into purchase agreements for ten of the homes and had closed on the sale of five others. On May 5 representatives from Amrep and Baldridge met with Donn Keefe, a representative of the American Wood Preservers Bureau (“AWPB”). Keefe informed Amrep .that he believed the wood being used for the retaining walls was not adequately treated. The type of wood being used was spruce, and spruce generally is untreatable. After the meeting Amrep asked Baldridge to investí gate whether the treatment level of the wood in question was adequate. Baldridge consulted with Shollenbarger and then gave oral and written assurances to Amrep that the supplied lumber was acceptable for use in retaining walls. Baldridge gave the same assurances to the Construction Industries Division inspector who approved Amrep’s construction of the homes. Relying on Baldridge’s assurances, Amrep took no further action.
Proceedings. In 1990 the New Mexico Attorney General sued Amrep under the Unfair Practices Act, NMSA 1978, §§ 57-12-1 to -22 (Repl.Pamp.1987 & Cum.Supp.1994). The Attorney General alleged that Amrep made misleading statements regarding the quality of wood used in its homebuilding. In 1992 the parties settled the lawsuit. In exchange for the Attorney General dropping the charges, Amrep agreed to offer to inspect all of the 180 homes and to perform necessary repairs on any home that showed test results below a certain level. Individual homeowners could reject this offer and pursue individual claims; however, if the homeowners accepted the offer, they waived any other claims that they might pursue against Amrep. All but nineteen homeowners accepted the offer, and the others pursued individual litigation. Two of the nineteen settled their claims with Amrep; the remaining seventeen are still pursuing their actions, alleging breach of warranty, negligence, fraud, negligent misrepresentation, and violation of the Unfair Practices Act. One plaintiff also has alleged strict liability in tort. None of the homeowners have sued Baldridge or Shollenbarger.
In its third-party complaint against Baldridge and Shollenbarger, Amrep seeks traditional indemnification or proportional indemnification for any liability that it may have to the homeowners and for its expenses in carrying out the terms of the settlement agreement with the Attorney General. Am-rep also seeks punitive damages and attorney’s fees. Amrep sought compensatory business-loss damages against either Baldridge or Shollenbarger but has not pursued an appeal, from dismissal of that claim.
Shollenbarger filed several motions for summary judgment, arguing that it had no duty to indemnify Amrep and that the economic-loss rule barred Amrep’s compensatory business-loss claims. The trial court dismissed all of Amrep’s claims against Shollenbarger on the basis that Amrep participated with Shollenbarger in any alleged wrongdoing and was not entitled to indemnification. The'trial court also concluded that the economic-loss rule prevented recovery of both strict liability and negligence damages, including indemnification. Amrep appeals to this Court pursuant to SCRA 1986, 1-054(C)(2) (Repl.Pamp.1992) (stating that judgment dismissing all claims against one party in multiple-party litigation is a final judgment), and SCRA 1986, 12-102(A)(1) (Repl.Pamp.1992) (giving Supreme Court jurisdiction over claims sounding in contract).
Traditional indemnification. Under traditional indemnification an indemnitee is entitled to be made whole by a third party such as the primary wrongdoer. Rio Grande Gas Co. v. Stahmann Farms, Inc., 80 N.M. 432, 436, 457 P.2d 364, 368 (1969). Traditional indemnification differs from contribution in that contribution requires each joint tortfeasor to share a common liability. See id. Further, contribution was not recognized at common law. See id. at 434, 457 P.2d at 366. In essence, traditional indemnification is a judicially created common-law right that grants to one who is held liable an all-or-nothing right of recovery from a third party; contribution is a statutorily created right that allows proportional distribution of liability as between the parties at fault.
Traditional indemnification would appear to apply only when there is some independent, preexisting legal relationship between the indemnitee and indemnitor. See Peak Drilling Co. v. Halliburton Oil Well Cementing Co., 215 F.2d 368, 370 (10th Cir.1954) (stating relationship is one “under which the indemnitor owes a duty either in contract or tort to the indemnitee apart from the joint duty they owe to the injured party”). The right to indemnification may be established through an express or implied contract, or “may ... arise without agreement, and by operation of law to prevent a result which is regarded as unjust or unsatisfactory.” W. Page Keeton et al., Prosser and Keeton on the Law of Torts § 51, at 341 (5th ed. 1984); see also 42 C.J.S. Indemnity § 3, at 74 (1991) (stating that indemnification is based on equitable principles).
The right to indemnification may arise through vicarious or derivative liability, as when an employer must pay for the negligent conduct of its employee under the doctrine of respondeat superior or when a person is directed by another to do something that appears innocent but is in fact wrongful. Rio Grande Gas Co., 80 N.M. at 436, 457 P.2d at 368. Further, traditional indemnification principles apply in both negligence and strict liability cases involving persons in the chain of supply of a product, 2A Louis R. Frumer & Melvin I. Friedman, Products Liability § 15.03[1], at 15-32 to -34 (1990), and in breach of warranty cases, Schneider Nat'l Inc. v. Holland Hitch Co., 843 P.2d 561, 587 (Wyo.1992). See generally Restatement (Second) of Torts § 886B (1977) (listing situations in which parties may be entitled to indemnification). In this case an independent, preexisting legal relationship between Amrep and Shollenbarger is established by their respective positions in the chain of distribution of a product. Thus, provided it could prove all of the requisite elements, Amrep would be entitled to seek indemnification.
The purpose of traditional indemnification is to allow a party who has been held liable without active fault to seek recovery from one who was actively at fault. Thus the right to indemnification involves whether the conduct of the party seeking indemnification was passive and not active or in pari delicto with the indemnitor. New Mexico first adopted the active/passive and in pari delicto tests in Krametbauer v. McDonald, 44 N.M. 473, 104 P.2d 900 (1940). Krametbauer involved a situation in which a child, crossing a highway after exiting a school bus, was struck and killed by a speeding motorist. The trial court found that the negligence of both the bus driver and the motorist had contributed to the death of the child. The bus driver sought indemnification from the motorist claiming the former was only “passively negligent” whereas the latter was “actively negligent and therefore primarily liable.” Id. at 480, 104 P.2d at 904. The Court held each was an active tortfeasor and therefore in pari delicto and primarily liable. Id. at 481, 104 P.2d at 905. The Court denied indemnification for that reason without consideration of whether active/passive concurrent tortfeasors must nonetheless have some independent, preexisting legal relationship to support indemnification. Although we find such a relationship in the chain of supply of the product in question here, we do observe that no New Mexico case actually has denied indemnification to a passive wrongdoer because of the absence of an independent, preexisting legal relationship.
Other cases from New Mexico and from the Tenth Circuit Court of Appeals interpreting New Mexico law have held that New Mexico continues to follow the Krametbauer active/passive and in pari delicto doctrines. The doctrine of in pari delicto, we note, has reference to nothing more than the active fault of each wrongdoer or the passive fault of each. See, e.g., Rio Grande Gas Co., 80 N.M. at 436-37, 457 P.2d at 368-69; Trujillo v. Berry, 106 N.M. 86, 88-89, 738 P.2d 1331, 1333-34 (Ct.App.) (stating that New Mexico adheres to traditional indemnification principles in some circumstances), cert. denied, 106 N.M. 24, 738 P.2d 518 (1987); cf. Morris v. Uhl & Lopez Eng’rs, Inc., 442 F.2d 1247, 1254 (10th Cir.1971) (stating that under New Mexico law party could not recover indemnification because its negligence was of the same kind as that of another party and therefore the parties were in pari delicto); United States v. Reilly, 385 F.2d 225, 229 (10th Cir.1967) (following New Mexico law as established in Krametbauer). In one case, however, the Tenth Circuit anticipated that, if given the chance, New Mexico would eliminate the active/passive distinction in favor of proportional indemnification principles. Herndon v. Seven Bar Flying Serv., Inc., 716 F.2d 1322, 1332 (10th Cir.1983), cert. denied, 466 U.S. 958, 104 S.Ct. 2170, 80 L.Ed.2d 553 (1984). The Herndon court based its opinion on the fact that New Mexico adopted comparative negligence and other states that have adopted comparative negligence have adopted comparative indemnification. Id.
Active and passive conduct defined. Active conduct “is found if an indemnitee has personally participated in an affirmative act of negligence, was connected with negligent acts or omissions by knowledge or acquiescence, or has failed to perform a precise duty which the indemnitee had agreed to perform.” Schneider Nat'l, Inc., 843 P.2d at 574 (quoting Rossmoor Sanitation, Inc. v. Pylon, Inc., 13 Cal.3d 622, 119 Cal.Rptr. 449, 453, 532 P.2d 97, 101 (1975) (in bank)). Passive conduct occurs when the party seeking indemnification fails to discover and remedy a dangerous situation created by the negligence or wrongdoing of another. See Rio Grande Gas Co., 80 N.M. at 436, 457 P.2d at 368; Robert A. Leflar, Contribution and Indemnity Between Tortfeasors, 81 U.Pa. L.Rev. 130, 154 (1932). Passive conduct may also occur when a party is nothing more than the retailer in the chain of distribution of a product. See Trujillo, 106 N.M. at 90, 738 P.2d at 1335.
There is a subtle distinction between the situation in which a party fails to discover and remedy a dangerous condition and the situation in which a party discovers a dangerous condition created by another but does nothing to remedy it. In the first instance, the conduct of the party not discovering the dangerous condition is passive. That party is entitled to indemnification from the one creating the condition because “as between the two parties the courts have clearly seen the greater responsibility of the one who created the dangerous situation.” Leflar at 157. In the second instance, the conduct of the party who does nothing after discovering the dangerous condition is active. That party is not entitled to traditional indemnification from the one creating the condition because to do so “would be to shift the whole burden of loss onto one tortfeasor from another whose improper conduct is fully as odious.” Id. at 158.
Amrep’s traditional indemnification claim. Amrep argues that the trial court erred by dismissing its traditional indemnification claim because there still exists a question of fact whether Amrep’s conduct was active or passive. Alternatively, Amrep contends that it would still be entitled to indemnification under a strict liability theory even if its conduct was active. Shollenbarger argues that Amrep’s negligence was determined conclusively in companion litigation, and Amrep is barred by the doctrine of collateral estoppel from relitigating this claim. Shollenbarger also argues that, as a matter of law, Amrep’s conduct was active, and this conduct bars traditional indemnification for both negligence and strict liability damages.
-Collateral estoppel. In the companion litigation, Hicks v. Amrep Construction Corp., No. 20,690 (N.M. Apr. 5, 1994), this Court filed an unpublished decision reviewing, among other issues, whether a jury verdict entered against Amrep was supported by substantial evidence. We held that the award of compensatory damages for breach of contract and negligence was supported by the evidence, and we affirmed the jury verdict. In particular, we stated that “Amrep does not dispute the validity of the jury’s award for breach of contract on appeal [and] Amrep does not argue that the jury wrongfully determined that it was liable for negligence.” Id. at 11.
Shollenbarger posits that this Court should give collateral estoppel effect to Hicks and hold that Amrep is precluded from contesting its negligence in this case. For collateral estoppel to apply, an issue must have been “actually and necessarily determined” in a prior action. Silva v. State, 106 N.M. 472, 474, 745 P.2d 380, 382 (1987). Collateral estoppel will not apply if “the record is insufficient to determine what issues were actually and necessarily determined by prior litigation.” . Id. at 476, 745 P.2d at 384. Shollenbarger specifically attempts to use Hicks to preclude Amrep from arguing that its conduct was not active. The Hicks decision, however, does not discuss the active/passive distinction in any way. As discussed below, it is not known whether liability in Hicks was based on a passive negligent failure to discover or an active negligent omission to correct a known defect. Although the decision involved an indemnification claim against Baldridge, the Court did not discuss that issue in the context of whether Amrep’s conduct was active. A finding of negligence is not necessarily a finding of active conduct. Thus the record is insufficient to determine whether the issue of Amrep’s active conduct was actually and necessarily determined; collateral estoppel does not apply.
-Factual issue: active and passive conduct. Shollenbarger cites ten facts to support its argument that Amrep’s conduct was active as a matter of law. In particular, Shollenbarger alleges that Amrep owned and developed the real estate known as the Vista Hills Subdivision; Amrep designed the retaining walls for the houses; Amrep built all of the houses; Amrep’s plans required wood that would be pressure treated to a certain retention level; lumber treated to the requisite level should be stamped with an AWPBFDN stamp (signifying that the wood is “foundation” quality) that would be clearly visible (although wood may be treated to the requisite level without the stamp); Shollenbarger carried wood that had been treated to the requisite level in its inventory; Amrep did not give a copy of its plans to Baldridge; Amrep contracted with Baldridge to supply framing packages for the houses; Amrep did not have a contract with Shollenbarger; and Baldridge did not tell Shollenbarger that the wood was to be used below the level of the soil. Amrep does not dispute the facts but argues that the facts lead to several possible interpretations, including the conclusion that Amrep’s conduct was passive.
Whether a factual issue exists depends on application of the definitions of active and passive conduct to the facts of this case. Applying these definitions to the facts provided, it is difficult for this Court to determine whether Amrep’s conduct was active or passive. Many of the facts alleged by Shollenbarger are inapposite to whether Amrep’s conduct was active, including the facts that Amrep owned and developed the real estate, that Amrep designed the retaining walls (the design is not at issue, the wood used is at issue), and that Amrep did not have a contract with Shollenbarger. Other facts tend to show that Shollenbarger was not negligent, including the facts that Amrep did not give a copy of its plans to Baldridge, that Amrep contracted with Baldridge, and that Shollenbarger was not told that the wood would be used below the soil. Shollenbarger’s negligence, however, is not at issue in this appeal.
The remaining facts may be interpreted as active conduct or they may be interpreted as passive failure to discover and remedy a dangerous condition. The facts all relate to whether Amrep knew or should have known that it was using the wrong wood in building the retaining walls. None of the facts, however, conclusively prove that Amrep knew or should have known that it was using the wrong wood. As Shollenbarger admits, the wood could have been of adequate quality even though it did not carry the requisite stamps. Further, other facts show that Am-rep investigated the adequacy of the wood after it was alleged that the wood did not meet the requisite standards.
Thus, on the one hand, Amrep may have knowingly used inadequate wood, and it would not be proper under the principles of traditional indemnification to hold Shollenbarger responsible for something that was at least partially the fault of Amrep. On the other hand, Amrep may have conducted a thorough investigation of the quality of the wood, satisfied itself that the wood was adequate, and may not thereafter have knowingly used poor materials. While such use of inadequate materials may subject Amrep to liability because of its position as contractor or because it nonetheless should have known the materials were inadequate, neither theory of liability would bar Amrep’s claim for indemnification. Because the facts are open to contradictory interpretations, the trial court improperly granted summary judgment in favor of ShoUenbarger on Amrep’s traditional indemnification claim.
-Indemnification in strict liability. Amrep cites several cases for the proposition that it may seek indemnification from the original manufacturer under a theory of strict liability, even if its conduct is found to be “active”. The basis for its argument is that a manufacturer may be held strictly liable without proof of fault or negligence, and thus concepts of fault or negligence or active/passive conduct should not be considered in determining indemnification claims based on strict liability.
In Trujillo, 106 N.M. at 89, 738 P.2d at 1334, our Court of Appeals addressed the question whether a retañer could seek indemnification from a manufacturer if the retailer was found strictly liable for injuries caused by a defective product. The Court held that “[when] the manufacturer and retaüer are held strictly liable in tort and the latter’s liabüity resulted solely from its passive role as the retaüer of the product furnished it by the manufacturer, indemni[fication] may lie in favor of the retaüer against the manufacturer.” Id. at 90, 738 P.2d at 1335. Although the Court recognized that there may be situations in which a retaüer could not recover indemnification against a manufacturer, it specifically held that the retaüer may recover indemnification when its conduct was passive. Id.
Amrep relies on Trujillo for support because the Court stated that “concepts such as active-passive negligence are the antithesis of strict liability.” Id. at 89, 738 P.2d at 1334. Indeed, other authorities have stated that “[t]he active-passive negligence distinction does not apply to strict liability in tort.” 2A Frumer & Friedman § 15.03[1], at 15-34 (citing cases for same proposition). These statements are made, however, in the context of determining liability to the victim. See Trujillo, 106 N.M. at 89, 738 P.2d at 1334; 2A Frumer & Friedman § 15.03[1], at 15-34. In that sense, a court is not trying to determine fault because “liability may be imputed to the supplier of the product without the presence of negligence, or fault, on his part.” Trujillo, 106 N.M. at 89, 738 P.2d at 1334. Rather, the purpose of strict liabüity is to provide an injured party with several sources from which the victim may recover damages without proving negligence. Id. at 88, 738 P.2d at 1333. Thus in determining liabüity to the victim in strict liability, the active/passive distinction does not apply.
By contrast, the whole purpose of traditional indemnification is to shift liabüity from one who is not at fault to one who is at fault. Thus the active/passive distinction does apply. Traditional indemnification has its genesis in equitable principles of unjust enrichment and restitution. 2 George E. Palmer, The Law of Restitution § 10.6(c), at 410-11 (1978). It would be improper to aüow fuU indemnification in strict liabüity when the party seeking indemnification is partially at fault; one is not entitled to restitution for that part of the damages for which the party is responsible. Therefore, in all strict liabüity cases the conduct of the party seeking traditional indemnification must have been passive before that party may recover full indemnification from the manufacturer of a defective product.
Economic-loss rule. The trial court dismissed Amrep’s negligence and strict liabüity action against ShoUenbarger for business losses, other than damages and expenses paid on third-party claims, ruling that such an action is barred by the economic-loss rule. Amrep does not appeal that dismissal, and we do not address the validity of the trial court’s ruling on that issue. Amrep argues, however, that the trial court also relied on the economic-loss ride to dismiss Amrep’s claims for indemnification. Although it is not clear whether, in moving for summary judgment, ShoUenbarger argued that the economic-loss rule barred Amrep’s claim for indemnification, and although the trial court did rule at one point that Amrep’s claim for indemnification was barred because its conduct was active, the court later elaborated on this ruling by stating that “the economic-loss doctrine prohibits ... an indemnification claim.” We now address the merits of that ruling.
Our Court of Appeals adopted the economic-loss rule in Utah International, Inc. v. Caterpillar Tractor Co., 108 N.M. 539, 775 P.2d 741 (Ct.App.), cert. denied, 108 N.M. 354, 772 P.2d 884 (1989). The Court held that “in commercial transactions, when there is no great disparity in bargaining power of the parties, economic losses from injury of a product to itself are not recoverable in tort actions; damages for such economic losses in commercial settings in New Mexico may only be recovered in contract actions.” Id. at 542, 775 P.2d at 744 (citation omitted). The Court adopted the rule “in order to allow commercial parties to freely contract and allocate the risk of defective products as they wish.” Id.
Amrep argues that this Court should overrule Utah International because it is inconsistent with New Mexico law regarding strict liability and negligence. Citing for support SCRA 1986,13-1406 (Repl.Pamp.1991) (holding supplier “liable for harm proximately caused by an unreasonable risk of injury”), Amrep contends that a party is entitled to recover in strict liability all damages, including economic loss. In addition, citing for support Solon v. WEK Drilling Co., 113 N.M. 566, 829 P.2d 645 (1992), Amrep contends that a party is entitled to recover all foreseeable damages, including economic loss.
The purpose of the economic-loss rule, however, is “to preserve the bedrock principle that contract damages be limited to those “within the contemplation and control of the parties in framing their agreement.’ ” City of Richmond v. Madison Management Group, Inc., 918 F.2d 438, 446 (4th Cir.1990) (quoting Kamlar Corp. v. Haley, 224 Va. 699, 299 S.E.2d 514, 517 (1983)). The law of contract allows parties to bargain and allocate the risk that the product will self-destruct. As a matter of policy, the parties should not be allowed to use tort law to alter or avoid the bargain struck in the contract. The law of contract provides an adequate remedy. If we overrule Utah International, contract law would be subsumed by strict liability and negligence. In order to preserve the line between contract law and tort law, we decline to overrule Utah International.
Only a handful of courts have ruled on whether the economic-loss rule prohibits a party from seeking indemnification. Amrep cites two California cases for the proposition that an indemnification claim differs from a claim for economic-loss damages. See GEM Developers v. Hallcraft Homes of San Diego, Inc., 213 Cal.App.3d 419, 261 Cal.Rptr. 626, 631, review denied (Nov. 15, 1989); Gentry Constr. Co. v. Superior Court, 212 Cal. App.3d 177, 260 Cal.Rptr. 421, 423 (1989). In these cases the California Court of Appeals determined that if concurrent tortfeasors were held liable to a consumer for damages caused by a defective product, the economic-loss rule would not prevent one tortfeasor from seeking indemnification from another tortfeasor for the latter’s proportional share of all damages. The California system of “equitable indemnification,” however, is the equivalent of “contribution” in New Mexico under the Uniform Contribution Among Tortfeasors Act, NMSA 1978, §§ 41-3-1 to - 8 (Repl.Pamp.1989 & Cum.Supp.1994). Thus those cases are instructive but distinguishable.
Given the paucity of authority in this area, we must turn to policy considerations to determine whether the economic-loss rule bars indemnification claims. As stated above, the purpose of indemnification is to allow a party who has been held liable for an injury but who was not at fault to seek recovery from one who was at fault. Indemnification is based on the fact of liability. As a matter of policy, if there is liability, the one held liable but not at fault should be entitled to recover from the one at fault. Cf. East Miss. Elec. Power Ass’n v. Porcelain Prods. Co., 757 F.Supp. 748, 751-52 (S.D.Miss.1990) (dismissing indemnification claim because party seeking indemnification was not liable to plaintiff); 41 Am.Jur.2d Indemnity § 33, at 723 (1968) (“Indemnity against losses does not cover losses for which the indemnitee is not liable to a third person, and which he improperly pays.”).
The purpose of the economic-loss rule is not to bar the recovery of economic-loss damages; rather, the rule bars recovery of such damages in tort. An indemnitee thus may be held liable for economic-loss damages under a contract-based theory. By contrast, the purpose of indemnification is to prevent an unjust result by shifting liability from one not at fault to one at fault. See Keeton et al. § 51, at 341. Although a person cannot be held liable for economic-loss damages in tort because of the economic-loss rule, when that person is held liable for economic-loss damages in contract, and that person’s liability is attributable to the fault of another, it would be unjust not to allow indemnification. We therefore hold that the economic-loss rule does not bar a claim for indemnification. If a party is held liable for damages that are the fault of another, the former may seek indemnification from the latter regardless of the basis for the former’s liability. This does not abrogate the economic-loss rule because parties are still bound by their contractual agreements (including indemnification agreements) and because allowing indemnification in this context would in no way blur the fine between contract and tort.
Proportional indemnification. A growing number of courts are applying comparative fault principles to indemnification claims and replacing the all-or-nothing rule of traditional indemnification with a system of apportioning damages according to relative fault. See, e.g., Allison v. Shell Oil Co., 113 Ill.2d 26, 99 Ill.Dec. 115, 119-20, 495 N.E.2d 496, 500-01 (1986) (declaring that active/passive doctrine is replaced by system applying comparative-fault principles); Schneider Nat'l Inc. v. Holland Hitch Co., 843 P.2d 561, 576-77 (Wyo.1992) (recognizing Wyoming’s acceptance of relative-fault doctrine over the “all-or-nothing rule”). Amrep refers to the application of comparative fault to indemnification claims as “comparative indemnification”; Shollenbarger entitles it “equitable implied comparative indemnity”; we shall refer to the doctrine as “proportional indemnification”.
Proportional indemnification has its genesis in jurisdictions that did not adopt a system of contribution among tortfeasors. See Schneider Nat'l Inc., 843 P.2d at 573. Other state courts adopted proportional indemnification because they were frustrated with inadequate contribution statutes. Restatement (Second) of Torts § 886B cmt. m (1977). In most cases the adoption of proportional indemnification has followed a state’s legislative or judicial rejection of contributory negligence and adoption of comparative fault. See, e.g., American Motorcycle Ass’n v. Superior Court, 20 Cal.3d 578, 146 Cal.Rptr. 182, 201, 578 P.2d 899, 918 (1978) (in bank); Allison, 495 N.E.2d at 501 (“Active-passive indemnity, like contributory negligence, perpetuates inequality by its inability to apportion loss and its refusal to grant any relief whatsoever to a party whose conduct is considered ‘active’ regardless of how much or little other tortfeasors are at fault.”); cf. Herndon, 716 F.2d at 1332 (stating that when “states have adopted the comparative negligence approach, the indemnity principles in those states have changed from the traditional all or nothing approach [to] damages measured by the degree of comparative fault of all the parties”).
New Mexico has adopted by judicial fiat a system of comparative fault. See Scott v. Rizzo, 96 N.M. 682, 690, 634 P.2d 1234, 1242 (1981). In Scott the Court based its abandonment of contributory negligence “upon the undeniable inequity and injustice in casting an entire accidental loss upon a plaintiff whose negligence combined with another’s negligence in causing the loss suffered, no matter how trifling plaintiff’s negligence might be.” Id. at 689, 634 P.2d at 1241. The Court concluded that “justice is not achieved by the anachronistic and inequitable contributory negligence rule of law.” Id.
Following Scott, our Court of Appeals abrogated joint and several liability among concurrent tortfeasors. See Bartlett v. New Mexico Welding Supply, Inc., 98 N.M. 152, 159, 646 P.2d 579, 586 (Ct.App.), cert. denied 98 N.M. 336, 648 P.2d 794 (1982). The Court determined that joint and several liability could not survive our adoption of pure comparative negligence and explained that “damages are to be apportioned on the basis of fault.” Id.
Thus, to establish an equitable system in which a plaintiff would not have to bear the whole burden of a loss when another was also at fault, we adopted in Scott the doctrine of comparative negligence. To establish an equitable system in which in most cases a party is only liable to the extent that it was to blame for the damages to the victim, our Court of Appeals adopted in Bartlett the doctrine of several liability. Now, to establish an equitable system in which a defendant who cannot raise the fault of a concurrent tortfeasor as a defense because of the plaintiffs choice of remedy, we adopt the doctrine of proportional indemnification under which a defendant who is otherwise denied apportionment of fault may seek partial recovery from another at fault.
Proportional indemnification applies in limited circumstances only. Shollenbarger argues that this Court should not adopt proportional indemnification because fault is already apportioned among joint tortfeasors through our doctrines of comparative fault and several liability and through the Uniform Contribution Among Tortfeasors Act, NMSA 1978, §§ 41-3-1 to -8 (Repl.Pamp.1989 & Cum.Supp.1994). We agree with Shollenbarger that proportional indemnification need not apply when a factfinder makes a determination that a concurrent tortfeasor is proportionally liable to an injured party. By adopting pure comparative negligence in Scott and several liability in Bartlett, we have already created a system in which each concurrent tortfeasor is liable only for the percentage of damages that is attributable to his or her fault. Similarly, proportional indemnification does not apply when the Act provides for proration of damages among joint tortfeasors. See § 41-3-2. Under the Act, if one tortfeasor has been held liable for more than that his or her share of the fault, that tortfeasor may seek contribution from others who were at fault. Id.
Amrep argues that neither proportional liability nor the Act encompass situations in which the one seeking indemnification has been adjudged liable for full damages on a third-party claim that is not susceptible under law to proration of fault among joint tortfeasors. This situation is created, as here, when the plaintiff chooses to sue only one defendant and sues that defendant on a contract theory. Here the homeowners have sued Amrep under theories of breach of contract and breach of warranty.
Regardless of whether the Act is available for proportional contribution, in order to establish an equitable system in which all parties are held liable for damages in proportion to their respective fault, we must modify the common-law right to indemnification when an indemnitee has been adjudged liable for full damages on a third-party claim that was not susceptible under law to proration of fault among concurrent tortfeasors. Such proportional indemnification applies only when contribution or some other form of proration of fault among tortfeasors is not available.
Amrep urges this Court to replace completely traditional indemnification with proportional indemnification, but we decline to do so. Traditional indemnification addresses other considerations of contractual right or of restitution to which a passive wrongdoer is entitled. With the adoption of proportional indemnification we are filling a void in the overall picture that contemplates proration of liability among all those at fault. That void occurs in this case because the homeowners chose to sue only Amrep under a cause of action that does not allow proration.
By embracing proportional indemnification, this Court takes comparative fault and several liability another logical step. We now have a system in which, in almost every instance, liability among concurrent tortfeasors will be apportioned according to fault, regardless of the plaintiffs choice of remedy. As applied to this case, if Shollenbarger’s alleged negligence caused Amrep to breach its contract with the homeowners, Amrep should be able to seek proportional indemnification for that percentage of fault attributable to Shollenbarger.
Application of indemnification to Unfair Practices Act claim. As to the Unfair Practices Act claim, we agree with Shollenbarger that Amrep does not have the right to seek indemnification for any portion of its settlement with the Attorney General that would constitute civil penalties. One purpose of any penalty is to punish the wrongdoer; another is to prevent the wrongdoer from engaging in similar wrongful conduct. Both of these goals would be undermined if a party could seek indemnification for damages imposed as punishment. In this case, however, Amrep settled the unfair practices claim with the Attorney General pursuant to NMSA 1978, Section 57-12-9(A) (Repl.Pamp.1987). It is unclear whether the terms of the settlement included assessment of a civil penalty or whether Amrep volunteered to repair the homes in exchange for the Attorney General dropping the charges. To the extent the settlement did not include the assessment of civil penalties and Shollenbarger is responsible for the damage to the homes, Amrep may seek indemnification against Shollenbarger.
Punitive damages. Amrep also seeks punitive damages from Shollenbarger. It is unclear whether Amrep seeks indemnification for punitive damages assessed against it or seeks punitive damages in addition to its indemnification claim.
Amrep may not seek indemnification for punitive damages assessed against it. To be found liable for punitive damages, a party must engage in wrongful conduct that rises to a willful, wanton, malicious, reckless, oppressive, or fraudulent level. Loucks v. Albuquerque Nat’l Bank, 76 N.M. 735, 747, 418 P.2d 191, 199 (1966). Under both traditional and proportional indemnification a party is barred because of unclean hands from seeking indemnification for punitive damages, just as it is barred from seeking civil penalties. See 2 James D. Ghiardi & John J. Kircher, Punitive Damages § 16.07 (1985) (discussing cases that find that allowing apportionment of punitive damages would defeat purpose.of award).
It is more likely, however, that Am-rep is seeking punitive damages in addition to its indemnification claim. Amrep contends that indemnification is a form of compensatory damages and an award of indemnification would support an award of punitive damages, citing for support Gonzales v. Sansoy, 103 N.M. 127, 129, 703 P.2d 904, 906 (Ct.App.1984) (stating that award of punitive damages must be supported by award of compensatory damages). See also Sanchez v. Clayton, 117 N.M. 761, 765-67, 877 P.2d 567, 572-74 (1994) (stating that award of. punitive damages must be supported by cause of action for compensatory or nominal damages). While we agree that indemnification is a form of compensatory damages, generally a party entitled to indemnification may recover only damages paid to the injured party and reasonable attorney’s fees and costs. See 6 Marilyn Minzer et al., Damages in Tort Actions § 50.02, at 50-8 (1994). We cannot find any support, and none has been provided, for the proposition that punitive damages are available to one seeking indemnification. Because the purpose of indemnification is merely to reimburse one who has paid damages to an injured party, we hold that an award of indemnification does not support an award for punitive damages.
Conclusion. Because a factual issue exists whether Amrep’s conduct was active or passive, the trial court erroneously dismissed Amrep’s traditional indemnification claim. Further, the economic-loss rule does not bar Amrep’s claim for indemnification. Finally, Amrep may pursue a claim of proportional indemnification for compensation and costs based on any damages incurred by and paid to the homeowners on contract claims but may not pursue a punitive damages award. Thus the judgment of the trial court is reversed and this matter is remanded for proceedings consistent with this opinion.
IT IS SO ORDERED.
FRANCHINI and FROST, JJ., concur.
. Some courts and commentators have suggested that in exceptional circumstances indemnification should be allowed between concurrent tortfeasors who do not have an independent, preexisting legal relationship. See W. Page Keeton et al., Prosser and Keeton on the Law of Torts § 51, at 343-44 (5th ed.1984). These exceptional circumstances typically are defined as when there is a great difference in the degree of fault between concurrent tortfeasors or when the character of the duties owed by the tortfeasor to the plaintiffs is vastly different or disproportionate. Id.
. We note that we are not here dealing with a contractual right to indemnification for active conduct.
. We have carefully reviewed the whole record in this case and it is not clear to us whether the trial court made alternative rulings or whether the court applied different doctrines to different counts. Our resolution of the issue before us, however, makes the distinction immaterial.
. The right to indemnification may arise simply from the fact that the indemnitee had to defend the action brought by the third-party and the proposed indemnitor refused or failed to proffer a defense. See Bloom v. Hendricks, 111 N.M. 250, 256, 804 P.2d 1069, 1075 (1991). The innocent indemnitee should not have to bear the burden of defending the claim.
. The Act defines "joint tortfeasors” as two or more persons jointly or severally liable in tort for the same injury irrespective of any adjudication. Section 41-3-1. It does appear this Court has held that parties who have been sued under different theories (tort and non-tort) are not joint tortfeasors when one enters into a prejudgment settlement and the other is held liable under the different cause of action. See Sanchez v. Clayton, 117 N.M. 761, 765, 877 P.2d 567, 571 (1994) (interpreting prior case as holding that a party making a prejudgment settlement of negligence claim was not a joint tortfeasor with one held liable by jury for breach of contract); McConal Aviation, Inc. v. Commercial Aviation Ins. Co., 110 N.M. 697, 699-700, 799 P.2d 133, 135-36 (1990) (holding that party liable in contract was not entitled to credit prejudgment settlement of another defendant who was sued in tort); Exum v. Ferguson, 97 N.M. 122, 125, 637 P.2d 553, 556 (1981) (holding that party liable in tort was not entitled to credit prejudgment settlement of another who was sued only in contract).
Under the Act a tortfeasor is entitled to proportional contribution if that tortfeasor has discharged liability of a joint tortfeasor. Sections 41-3-2. If the Act is not applicable here, an issue we do not further address, we nonetheless provide the same relief under proportional indemnification as contemplated by the Act.
. We note that we are not here dealing with a contractual right to indemnification for civil penalties. | [
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] |
OPINION
STOWERS, Justice.
Richard J. Montoya (defendant) was tried by jury and convicted of first degree felony-murder and armed robbery of Robert P. Larson. The jury, pursuant to NMSA 1978, Section 31-20A-5(A) (Repl.Pamp. 1981) unanimously found that the victim was a peace officer who was performing the lawful discharge of his duties at the time of the murder. However, the jury was unable to unanimously agree that defendant be sentenced to death pursuant to NMSA 1978, Sections 31-20A-2 and -3 (Repl.Pamp.1981). Defendant was sentenced to life imprisonment for the first degree murder conviction and to nine years for the armed robbery conviction. The two sentences were to run consecutively. Defendant appeals. We affirm.
Defendant raises the following issues:
I. Whether there was sufficient proof of armed robbery to satisfy the due process minimum;
II. Whether the prosecution’s failure to produce logs which indicated the amounts of money received by the deceased from the metro narcotics agency denied defendant a fair trial; and
III. Whether the introduction of photographs of the victim unfairly prejudiced defendant.
I. Sufficiency of proof.
Defendant contends that the armed robbery conviction should be reversed because the State failed to prove that defendant took and carried away money from the victim. Defendant asserts that only by speculating could the jury reach the conclusion that he took money from the victim.
The test to determine the sufficiency of evidence is whether substantial evidence of either a direct or circumstantial nature exists to support a verdict of guilt beyond a reasonable doubt with respect to every element essential to a conviction. State v. Carter, 93 N.M. 500, 601 P.2d 733 (Ct.App.), cert. denied, 93 N.M. 683, 604 P.2d 821 (1979). In the present case, the jury had substantial evidence from which it could conclude that the armed robbery had occurred. A co-defendant stated that defendant had indicated that he was going to “rip-off some guy.” The co-defendant told the police that he agreed to accompany defendant to help him out in ease anything happened. He then described the events that transpired. Other acquaintances of defendant testified that prior to the mur der, defendant had told them that he was going to “rip-off” and rob.someone. Another acquaintance also testified that after the murder, defendant had told him that he had “burned a dude for money.” The victim, a narcotics agent, had access to a contingency fund and had told his supervisor that he was going to make a drug buy from defendant. There was testimony that money was missing from the contingency fund after the murder. Furthermore, no money was found on victim at the scene of the crime.
The evidence must be viewed in the light most favorable to the jury’s verdict. Furthermore, all reasonable inferences must be allowed in support thereof. State v. Tovar, 98 N.M. 655, 651 P.2d 1299 (1982). A material fact may be proven by inference. State v. Brown, 100 N.M. 726, 676 P.2d 253 (1984). The jury could have reasonably made an inference that defendant had stolen money from the victim. Viewing the record as a whole, there was substantial evidence introduced for the jury to find that defendant committed armed robbery.
II. Failure to produce logs.
Defendant asserts that it was reversible error to withhold from the defense additional records of the metro agency. The defense wanted to show that the contemplated drug buy of the victim was not an official transaction. Defendant contends that the entries and reports of money from the fund would have a direct bearing on establishing that fact. Defendant must be able to show that prejudice resulted from the failure to receive that report. State v. Sandoval, 99 N.M. 173, 655 P.2d 1017 (1982). In this case, no prejudice has been shown; whether the victim was engaged in an unauthorized practice is irrelevant to defendant’s conviction of armed robbery and murder. The victim’s alleged unauthorized behavior can in no way justify armed robbery and murder. Defendant asserts prejudice, but the mere claim of prejudice is insufficient to establish it. See State v. Smith, 92 N.M. 533, 591 P.2d 664 (1979).
III. Admission of photographs.
Defendant complains that the trial court abused its discretion by admitting photographs of the deceased, which defendant alleges made one juror physically ill. Defendant asserts that the photographs are exhibits 62, 63, and 64. Our review of the record indicates that exhibits 62, 63, and 64 are bullet or projectile fragments found at the crime scene, and not photographs. Although the exhibits were released for a co-defendant’s trial, it is defendant’s responsibility to ascertain from the record the nature of the exhibits which he requests this Court to review. It was clear from the record that the exhibits defendant cites in his brief were not photographs. We admonish counsel to be more careful in the future.
Although defendant cited to incorrect exhibits, we have reviewed all the photographs which were introduced and the related portions of the record. The trial court admitted photographs which served to explain, illustrate, or corroborate the testimony of the witnesses concerning the scene of the crime and the wounds of the victim. Photographs are relevant and admissible for the purpose of clarifying and illustrating testimony. State v. Hutchinson, 99 N.M. 616, 661 P.2d 1315 (1983); State v. Upton, 60 N.M. 205, 290 P.2d 440 (1955). The photographs were properly admitted. State v. Stephens, 93 N.M. 368, 600 P.2d 820 (1979).
Having found no error by the trial court, we hereby affirm defendant’s conviction.
IT IS SO ORDERED.
FEDERICI, C.J., and RIORDAN, J., concur. | [
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OPINION
PER CURIAM.
This is a removal proceeding under N.M. Const, art. XI, Section 7 (Cum.Supp.198B), from the New Mexico State Corporation Commission’s (Commission) Order Number 3741(h) denying a motion for interim rate relief filed by Mountain States Telephone and Telegraph Company (Mountain States). We affirm.
The issue we address is whether the Commission erred in denying interim rate relief to Mountain States.
On June 17, 1983, Mountain States applied to the Commission for a permanent rate increase. Included in its application was the motion for interim rate relief and supporting written testimony. The motion requested that an interim rate schedule, which would provide approximately 31.9 million dollars of additional annual revenues, be placed into effect under bond and subject to refund until the Commission made its final decision on Mountain States’ permanent rate increase application, or until the end of the six month suspension period under N.M. Const, art. XI, Section 8, whichever occurred first.
On August 22, 1983, the Commission held a hearing on the motion. At the conclusion of the hearing, the Commission announced its decision denying the motion and thereafter entered the order denying interim rate relief. Mountain States filed an application for order of removal which the Commission granted.
On appeal, Mountain States claims that Bluefield Water Works & Improvement Co. v. Public Service Commission, 262 U.S. 679, 43 S.Ct. 675, 67 L.Ed. 1176 (1923), In re Rates & Charges of Mountain States Telephone & Telegraph Co., 99 N.M. 1, 653 P.2d 501 (1982) (Mountain States 1982), and Mountain States Telephone & Telegraph Co. v. New Mexico State Corporation Commission, 90 N.M. 325, 563 P.2d 588 (1977) (Mountain States 1977), require the Commission to award interim rate relief when a public utility shows confiscation as defined by Bluefield. Mountain States further claims that it has shown through uncontroverted testimony that confiscation of its property was occurring at the time it sought interim rate relief. Mountain States therefore argues that the Commission erred in denying interim rate relief.
In Bluefield, the United States Supreme Court determined that confiscation of a public utility company’s property occurs if rates “are not sufficient to yield a reasonable return on the value of the property used at the time it is being used to render the service.” 262 U.S. at 690, 43 S.Ct. at 678. The Supreme Court also determined that a public utility is entitled to rates that provide a rate of return equal to that being made on similar investments at the same time and in the same part of the country. Id. at 692, 43 S.Ct. at 678. The Supreme Court further determined that the return should be reasonably sufficient to assure confidence in the public utility company's “financial soundness,” adequate to support and maintain its credit, and enable it to raise the funds necessary to discharge its public duties. Id. at 693, 43 S.Ct. at 679.
Bluefield involved a state public service commission’s order setting permanent water rates. The case did not involve the setting of interim rates. Thus, in Mountain States 1982, this Court agreed with Bluefield's definition of confiscation but declined to hold that confiscatory rates require the Commission to grant interim rate relief. 99 N.M. at 10, 653 P.2d at 510. However, we determined that “interim relief is permissible if present rates are confiscatory.” Id. (emphasis added).
One set of circumstances under which this Court held that the Commission should have set interim rates was presented in Mountain States 1977. In that case, the Commission established permanent rates through a two-phase process: the first phase determined the adequacy of Mountain States’ rate of return; the second phase determined the schedule of rates. In the first phase, the Commission concluded that Mountain States was entitled to an increased rate of return. After more than six months, however, the Commission had not agreed to Mountain States’ proposed schedule of rates nor had it fixed a rate schedule of its own. On removal, this Court determined that once the Commission found that Mountain States was entitled to an increase on its rate of return, and when it became obvious that permanent rates would not be set for a “considerable length of time,” (i.e., beyond the six-month limitation promulgated in N.M. Const, art. XI, Section 8) the Commission had a constitutional duty to set interim rates. 90 N.M. at 336, 563 P.2d at 599. In the present case, the “two-phase” process was not followed by the Commission. Thus, the Commission had not determined that Mountain States was entitled to an increased rate of return nor was there any indication that the Commission’s decision on a permanent rate schedule would exceed the six-month constitutional limitation. Furthermore, Mountain States had the constitutional safeguard of having its proposed rates placed in effect, under bond, if the Commission failed to act within the six-month period. N.M. Const, art. XI, § 8; Mountain States 1982, 99 N.M. at 7, 653 P.2d at 507; Mountain States 1977, 90 N.M. at 333-34, 563 P.2d at 596-97. Therefore, Mountain States 1977 cannot be relied on to hold that the Commission should have granted interim rate relief in the present case.
In addition, Mountain States did not prove that, under Bluefield, interim rates are necessary because it has not shown that its “financial soundness” has been impaired. 262 U.S. at 693, 43 S.Ct. at 679. That is, Mountain States has failed to prove that its present rates do not permit it to earn a return “equal to that generally being made at the same time and in the same general part of the country on investments in other business undertakings which are attended by corresponding risks and uncertainties,” id. at 692, 43 S.Ct. at 678; nor has it proven that its rate of return is inadequate “to maintain and support its credit and enable it to raise the money necessary for the proper discharge of its public duties.” Id. at 693, 43 S.Ct. at 679. To the contrary, the record shows that the projected rate of return on Mountain States’ common equity for the final four months of 1983, the period for which interim rate relief was sought, was 10.94%, which compares favorably with Mountain States’ 1982 overall average rate of return of 10.5% in all states. The record further shows that earnings at lower than projected levels have permitted Mountain States to make dividend payments of more than 85 million dollars to AT & T (Mountain States’ sole shareholder) and AT & T shareholders. Moreover, the record does not show that denial of interim rate relief would cause curtailment of planned construction and facilities acquisition during the interim period, or that there would be any adverse impact on maintenance of company equipment and on customer service.
We conclude that Mountain States did not prove confiscation warranting interim rate relief. We therefore determine that the Commission did not err in its decision.
IT IS SO ORDERED.
. On December 16, 1983, the Commission entered its final order, concluding that Mountain States required additional revenues of $33,693,-289 and summarizing the spread of rates for generating those additional revenues. | [
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OPINION
WALTERS, Justice.
We granted plaintiff’s petition for certiorari to the Court of Appeals to review the interaction of case law, the New Mexico Rules of Civil Procedure, and the Medical Malpractice Act, NMSA 1978, §§ 41-5-1 through 41-5-28 (Repl.Pamp.1982). The details of this case are set forth in the opinion of the Court of Appeals.
Health care providers licensed to practice in New Mexico are separated by the Medical Malpractice Act into two classes, “qualified” and “non-qualified.” To be classified as “qualified,” a health care provider must establish financial responsibility by filing proof of $100,000 in insurance coverage or by depositing that amount with the state superintendent of insurance. § 41-5-5.
Medical malpractice suits are subject to a three-year statute of limitations; the statute begins to run on the date of the act of malpractice. § 41-5-13. The Act specifies, however, that “[n]o malpractice action may be filed in any court against a qualifying health care provider before application is made to the medical review commission and its decision is rendered.” § 41-5-15(A). Submission of an application to the medical review commission tolls the statute of limitations, as to that particular “qualified” defendant, until 30 days after the commission has entered its decision, § 41-5-22, but it has no effect on tolling the statute of limitations applicable to any “non-qualified” health provider co-defendant.
Of the three defendants named in this suit, there was no dispute that one, Dr. Zouhar, was and is a qualified health provider. The remaining two are also qualified, although Otero was advised at the time he filed suit that they were not. '
Four days before the three-year limitation would have run, plaintiff filed a complaint in district court, naming both the qualified and presumably nonqualified defendants. Three days later he mailed an application for review by the commission of his claim against the qualified provider and, shortly thereafter, moved the district court to stay proceedings until the commission had acted on that claim.
We discuss the procedural morass involving the three defendants separately.
A. Defendant Zouhar
Defendant Zouhar is a qualified health care provider as to whom the Act requires plaintiff to submit an application for review to the medical review commission. On the last day before the running of the statute of limitations, plaintiff mailed an application which apparently was received by the commission three days after the statute had run. Defendant argues that the application was not “submitted” until it was received and, as receipt occurred after the limitations period had expired, he asserts that plaintiff’s claim was barred. Plaintiff, on the other hand, contends that his act of mailing constituted “submission.”
The Act is silent regarding the procedure required to “submit” an application. § 41-5-14(D). However, by using the term “submit” rather than “file,” we can infer that the requirements of filing a suit in the district court are not the requirements for submitting an application to the review commission.
In Saiz v. Barham, 100 N.M. 596, 673 P.2d 1329 (Ct.App.), cert. denied, 100 N.M. 689, 675 P.2d 421 (1983), the Court of Appeals held that the medical review commission’s act of mailing its decision to the plaintiff triggered the commencement of the thirty-day period after which the statute of limitations begins to run again, even though plaintiff had not received the decision until ten days after it had been mailed by the commission.
In the instant case, we think it significant that even though the commission maintains an office at which applications may be submitted in person, because there is only one office for the entire state, plaintiffs are encouraged to use the mails. It seems reasonable, therefore, to apply to a plaintiff the same rule that has been applied to the commission — that the act of placing either an application, or a decision, in the mail constitutes the triggering event. Saiz. We thus hold that the date of mailing the application constitutes submission. Consequently, the application was timely made.
Defendant Zouhar’s second argument is that the trial court erroneously refused dismissal of the suit against him, in that the complaint was filed in district court three days before the application was submitted to the medical review commission and, of course, before the commission procedures had been completed. Section 41-5-15(A) of the Act prohibits the filing of a complaint until after the commission has made its decision.
Recognizing the requirement to join necessary and indispensable parties in a single suit or risk dismissal if they could not later be joined, NMSA 1978, Civ.P.R. 19 (Repl. Pamp.1980), and having been informed by the superintendent of insurance that two defendants were not qualified health providers, plaintiff filed his suit joining all defendants in order to observe the joinder requirement and to preserve his cause of action against the non-qualified parties before the statute ran.
Relying on Perez v. Brubaker, 99 N.M. 529, 660 P.2d 619 (Ct.App.1983), defendant Zouhar contends that the statutory commission review is a jurisdictional prerequisite to filing suit in the district court. In Perez, the trial court granted defendant’s motion for summary judgment when plaintiff filed his complaint before applying to the commission, dismissing the suit with prejudice. The Court of Appeals reversed the dismissal with prejudice, holding that the district court “only had authority to determine if it had the power to act on the merits.” Id. at 531, 660 P.2d at 621.
Upon the authority of Perez, defendant Zouhar is correct, and he was entitled to dismissal of the suit without prejudice. The submission of plaintiff’s application to the commission before the statute expired would then have tolled the limitation period until after the commission had rendered its decision several months later, and suit then could have been re-filed within 30 days following the decision.
Nonetheless, although according to Perez the district court should have granted dismissal without prejudice on defendant Zouhar’s motion, its order granting a stay of proceedings on the complaint that was filed prior to the time the commission had considered the matter acted to allow review and also to preserve the complaint and to obviate the necessity of plaintiff’s refiling the complaint or obtaining an order to reinstate it within 30 days following the commission’s decision. Were we now to require dismissal of the complaint, long past the 30 days within which a new complaint could have been filed, we would be holding the plaintiff responsible for the trial court’s error and denying plaintiff the opportunity to make a timely filing after the commission had acted. We see no justice in strictly applying the Act now to void the complaint filed and thus circumvent the tolling provision of the Act that would have applied to save plaintiff’s cause of action if the trial court’s ruling and the time consumed in appellate proceedings had not intervened. Such “Catch-22’s” are procedural anomalies that do not deserve perpetuation. Cf. Swallows v. City of Albuquerque, 61 N.M. 265, 298 P.2d 945 (1956) (period during pendency of appeal of suit ultimately determined on appeal to have been prematurely filed held not to toll statute of limitations). Plaintiffs should not be denied their day in court because of incorrect rulings and attendant delays incurred by appellate procedures.
In Jiron v. Mahlab, 99 N.M. 425, 659 P.2d 311 (1983), this Court approved plaintiff’s filing his complaint in the district court before applying for review by the medical review commission. Because unbending adherence to the timing requirements of the Act would likely have eliminated plaintiff’s right of action there, we held that such strict application of the Act would unconstitutionally infringe on plaintiff’s right of access to the courts.
Similarly in this case, because of a mistaken ruling by the trial court and an appellate decision rendered long after timely refiling would have been possible, we hold that, as in Jirón, strict adherence to the procedures required by the Act, without regard to the circumstances creating the procedural bind within which plaintiff now finds himself as a result of the appellate process, would improperly elevate procedural considerations over plaintiff’s constitutional right to petition for redress of grievance. Particularly is this true when the reason for the preliminary screening has been fulfilled. “[W]hen a statute or rule operates to deprive an individual of a protected right, it may be held constitutionally invalid as applied to that individual.” Jiron, 99 N.M. at 426, 659 P.2d at 312.
Additionally, we once again affirm our exclusive constitutional power under N.M. Const, art. Ill, § 1 and art. VI, § 3 to regulate all pleading, practice and procedure affecting the judicial branch of government. State v. McBride, 88 N.M. 244, 539 P.2d 1006 (1975). Clearly, the district courts have jurisdiction to hear tort actions and to grant relief. N.M. Const, art. VI, § 13; NMSA 1978, § 37-1-7. The statutory provision that claimants against health care providers first submit their claims to the commission before filing suit is a purely procedural requirement and cannot, therefore, be deemed binding. See Ammerman v. Hubbard Broadcasting, Inc., 89 N.M. 307, 551 P.2d 1354 (1976); McBride, 88 N.M. at 247, 539 P.2d at 1009.
Consequently, with respect to defendant Zouhar the procedural provisions of the Medical Malpractice Act, to the extent of denying plaintiff access to the courts, shall not control. Zouhar has not been prejudiced; action was stayed while the complaint against him was reviewed by the medical commission and he is in no worse position then he would have been in had the complaint been filed after the commission acted. By staying proceedings pending the commission’s decision, the paramount intent of the statute (in addition to making liability insurance available to health care providers), i.e., to prevent filing of non-meritorious malpractice lawsuits (see Kovnat, Medical Malpractice Legislation, 7 N.M.L.R. 5, 31 (1976-77)), was served in this case regardless of the premature filing of the complaint. See Vaughn v. United Nuclear Corp., 98 N.M. 481, 485, 487, 650 P.2d 3, 7, 9 (Ct.App.1982), and cases therein cited. The Court of Appeals is reversed with respect to plaintiff’s claim made against defendant Zouhar.
B. Defendants Albuquerque Anesthesia Services, Ltd. and Louise Layne
Shortly before plaintiff's complaint was filed and in response to an inquiry made of the state superintendent of insurance, plaintiff was informed that neither Albuquerque Anesthesia Services, Ltd. (Anesthesia Services) nor Louise Layne were qualified health care providers. As it turned out, the records of the superintendent’s office were incomplete and in disorder and both defendants were, indeed, qualified health care providers. Consequently, an application for review of plaintiff’s claim against those defendants was not filed before the statute of limitations ran, but was filed with the commission as soon as it was shown that plaintiff had received incorrect information from the superintendent of insurance.
The Court of Appeals held that plaintiff had an obligation to seek information elsewhere regarding the status of those defendants, and that misinformation supplied by the office of the state superintendent of insurance would not excuse plaintiff’s failure to file his claim with the commission before filing his complaint in district court.
The Act imposes upon a health care provider the obligation to submit specified proof of financial responsibility to the state superintendent of insurance, upon the doing of which that person or entity becomes a “qualified” provider to whom the screening provisions of the Act apply. § 41-5-5. That is the only reference in the Act to the manner of establishing whether a plaintiff must obtain commission review before filing his claim for trial in the district court. The provision clearly, in our view, creates in the superintendent of insurance some requirement to maintain a list of those whose qualified status affects suits against them, and it names the ultimate and only source from which injured claimants should be able to obtain the in formation that would govern whether or not their claims must first be submitted to the medical review panel. If this provision were not so viewed, then injured medical malpractice claimants would be deprived of their constitutional right to notice, under the equal protection and due process clause, of identifiable health care providers against whom claims would be treated differently than they would be if made against other providers. See Bokum Resources Corp. v. New Mexico Water Quality Control Comm., 93 N.M. 546, 603 P.2d 285 (1979); State v. Mead, 100 N.M. 27, 665 P.2d 289 (Ct.App.1983). Contrary to the holding of the Court of Appeals that plaintiffs reliance on information supplied by the superintendent of insurance does not constitute excuse for non-compliance with the screening procedures of the Act, we believe that the rationale for excuse set forth in Hayes v. Hagemeier, 75 N.M. 70, 400 P.2d 945 (1963) (referred to by the Court of Appeals), was satisfied: Plaintiff, by inquiring of the entity named by the statute whether defendants Anesthesia Services and Layne were qualified providers, “did what might reasonably be expected of a person of ordinary prudence, acting under similar circumstances, who desired to comply with the law.” Id. at 76, 400 P.2d 949 (quoting Alarid v. Vanier, 50 Cal.2d 617, 624, 327 P.2d 897, 900 (1958)).
Contending that plaintiffs justification of “excuse” is really a claim of “estoppel,” defendants argue that they cannot be bound by the representations of a third party — the superintendent of insurance. What is overlooked is the principal-agent relationship essentially created by the statutory requirement that certain providers deposit insurance funds or a policy with the superintendent of insurance to assure themselves of the special protection of a preliminary hearing, thereby accepting the superintendent as their agent for the limited purpose of providing notice of their conversion to the qualified status. It is immaterial that the agency relationship is implicit rather than express; to the extent that a third party deals with an agent (the superintendent of insurance), the agent’s scope of authority includes that which has ' apparently been delegated to him. 3 Am. ; Jur.2d, Agency, § 73, at 475 (1962). The legislature delegated the office of the superintendent as the agency through which health care providers would record their entitlement to the benefits of the Medical Malpractice Act. When the superintendent acted to provide information on behalf of and for the benefit of the health care providers, he was acting as the statutorily-named agent of the providers, notwithstanding that he was not so called. Chevron Oil Co. v. Sutton, 85 N.M. 679, 515 P.2d 1283 (1973).
Even though the misinformation was supplied by the superintendent’s office and not by the defendants themselves, as between innocent parties, one of whom must suffer some loss, the loss must fall upon the one whose agent created the climate for the loss. See Raulie v. Jackson-Horne Grocery, 48 N.M. 556, 154 P.2d 231 (1944).
Plaintiff was entitled to rely on the representations of the superintendent. Consequently, reinstatement of plaintiff’s claims against defendants Anesthesia Services and Layne should be made — because those claims also have been reviewed by the medical panel — for the same reasons that we have applied to the claim against Zouhar.
We reverse the decisions of the trial court and Court of Appeals to the extent necessary to permit the claims against Zouhar, Layne and Albuquerque Anesthesia Services, Ltd., to proceed to trial. We affirm the Court of Appeals on plaintiff’s standing to raise other constitutional issues in this appeal.
IT IS SO ORDERED.
SOSA, Senior Justice, and LOUIS E. DePAULI, District Judge, concur.
RIORDAN, J., specially concurs in the result.
STOWERS, J., dissents. | [
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OPINION
RIORDAN, Justice.
Thomas G. Lazo (Lazo) brought suit against the Bernalillo Board of County Commissioners and William E. Jimerson, Bernalillo County Sheriff, (County) for breach of collective bargaining agreement, declaratory judgment, and injunctive relief. Lazo requested back pay, restoration of seniority, and reinstatement of employment. After a non-jury trial, judgment was entered in favor of Lazo. The County appeals. We reverse.
The issue on appeal is whether the district court erred in granting judgment in favor of Lazo.
Lazo was employed by the County as a court security officer on March 14, 1977, and became a member of the Bernalillo County Clerical and Technical Employees Union (Union). The Union and the County operated under a collective bargaining agreement, which specifies a three step grievance procedure, step one being that an aggrieved employee must submit a written grievance to the department head within five working days of the alleged occurrence.
During the 1981 legislative session, NMSA 1978, Section 4-41-11.1 (Repl.Pamp. 1984), was enacted. It provides:
A. Court security officers of county sheriff departments of class A counties shall meet all the prerequisites for permanent appointment as peace officers as stated in Section 29-7-8 NMSA 1978.
B. All court security officers provided for pursuant to Subsection A of this section shall be commissioned as peace officers with full powers and responsibilities while within the confines of the county courthouse or as otherwise specified by the court.
C. Court security officers employed by county sheriff departments of class A counties on January 1, 1977 shall be exempted from the provisions of Subsection A of this section. (Emphasis added.)
NMSA 1978, Section 29-7-8 (Repl.Pamp. 1984), provides in pertinent part:
A. Notwithstanding any provisions of any general, special or local law to the contrary, no person shall receive an original appointment on a permanent basis as a police officer to any law enforcement agency in this state unless such person: * * * * * *
(4) is found, after examination by a licensed physician, to be free of any physical, emotional or mental condition which might adversely affect his performance as a police officer;
* * # * * sjt
(6) has previously been awarded a certificate by the director attesting to such person’s satisfactory completion of an approved basic law enforcement training program.
The maximum age for attendance at the New Mexico Law Enforcement Academy basic law enforcement training program is thirty-five years. Lazo was forty-nine years old when he was hired by the County and was fifty-three years old in 1981 when Section 4-41-11.1 was enacted. Lazo also suffers from high blood pressure which renders him unqualified for the physical exertion required by the academy training program. However, under Subsection 4-
41-11.1(C), other court security officers in worse health and older than Lazo were exempted from the Section’s requirements. Had Lazo been hired a mere ten weeks earlier or had the effective date been different, he too would have been exempted under the statute.
By letter dated Monday, July 26, 1982, the County terminated Lazo’s employment for his failure to complete the required basic law enforcement training program. On Friday, July 30, 1982 (the fourth working day after his termination), Lazo met with various Union officials who expressed a desire to aid Lazo in his first-step grievance procedure, prepared the necessary written grievance, and agreed to submit Lazo’s grievance to the undersheriff on the following Monday, August 2, 1982 (the fifth and final working day after Lazo’s termination for submission of the grievance). A Union steward was responsible for the timely delivery of the grievance to the undersheriff. However, on Wednesday, August 4, 1982, it was discovered that the Union steward had forgotten to timely deliver Lazo’s grievance. The grievance was subsequently delivered on that same day, but the undersheriff refused to waive the time limits and rejected the grievance. For a two and one-half month period, the Union attempted to rectify the situation, but to no avail. Lazo was subsequently advised by Union officials to seek the aid of an attorney, and the instant case was commenced on October 22, 1982.
Lazo sought, among other things, a declaratory judgment that Section 4-41-11.1 was prospective in its application and, thus, Lazo should not be required to attend and complete the basic law enforcement training program. During trial, Lazo also argued that Section 4-41-11.1 was unconstitutional as applied to him. As an affirmative defense to Lazo’s claims, the County asserted that Lazo was barred from recovery for failure to exhaust his administrative remedies.
The district court concluded that it had jurisdiction over the parties and the subject matter, that the doctrine of exhaustion of administrative remedies was inapplicable in this case, that Section 4-41-11.1 operated prospectively only, and that, as applied in this case, Section 4-41-11.1 violated both the equal protection and due process clauses of the federal and state constitutions.
On appeal, the County alleges three points as error:
I. The district court’s refusal to find that Lazo failed to serve the attorney general, pursuant"' to NMSA 1978, Section 44-6-12, despite allegations that Section 4-41-11.1 is unconstitutional.
II. The district court’s refusal to conclude that it lacked jurisdiction due to Lazo’s failure to serve the attorney general and to comply with administrative procedures.
III.The district court’s failure to conclude that Section 4-41-11.1 applies to all employees hired after January 1, 1977 and that reinstatement of Lazo would require the County to violate state law.
Points I and II are dispositive of this appeal. Therefore, we do not address point III.
I. Failure to Serve the Attorney General.
NMSA 1978, Section 44-6-12 of the Declaratory Judgment Act, NMSA 1978, Sections 44-6-1 to 15, provides in pertinent part:
When declaratory relief is sought, all persons shall be made parties who have or claim any interest which would be affected by the declaration, and no declaration shall prejudice the rights of persons not parties to the proceeding * * *. [A]nd if the statute, ordinance or franchise is alleged to be unconstitutional, the attorney general shall also be served with a copy of the proceeding and be entitled to be heard. (Emphasis added.)
Section 44-6-12 has not been construed by New Mexico courts. Thus, Lazo urges this Court to interpret Section 44-6-12 as requiring service upon the attorney general only when it is alleged that a statute, on its face, is unconstitutional; not where, as in this case, a statute is alleged to be unconstitutional only in its application to a particular person. We cannot accept this interpretation.
Section 44-6-12 makes no such distinction. It simply states that when constitutionality of a statute is at issue, the attorney general shall be served and given an opportunity to be heard. While we are sympathetic to Lazo’s present situation as the only court security officer adversely affected by the operation of Section 4-41-11.1, and although it appears that his constitutional challenges to the statute have merit, “[w]e are bound by the rule that courts are not free to construe unambiguous legislation; they may not read language into a statute that is not there, particularly if it makes sense as written.” Hansman v. Bernalillo County Assessor, 95 N.M. 697, 700, 625 P.2d 1214, 1217 (Ct. App.1980). Thus, under Section 44-6-12, the judgment of the district court must be reversed for Lazo’s failure to serve the attorney general.
II. Failure to Comply with Administrative Procedures.
Section 39 of the collective bargaining agreement dictates procedures for aggrieved employees such as Lazo. It provides in pertinent part:
Step 1 — The aggrieved Employee must, within five (5) working days of the alleged occurrence, submit a written grievance form to the department head. (Emphasis added.)
It further provides that failure by either management or the employee to follow the requirements of the grievance procedure mandates adjudication of the matter in the other’s respective favor.
It is undisputed that the Union, acting on Lazo’s behalf, failed to timely deliver Lazo’s grievance to the department head. Thus, step one of the grievance procedure was not followed by Lazo, and therefore, under the terms of the contract, this failure ends the matter. “It is not within the province of the courts to write a new contract for the parties. Absent any ambiguity, our duty is confined to interpreting the contract which they made for themselves.” Thompson v. Occidental Life Insurance Co., 90 N.M. 620, 621, 567 P.2d 62, 63 (Ct.App.), cert. denied, 91 N.M. 4, 569 P.2d 414 (1977).
Thus, although we are sympathetic to Lazo’s plight under the circumstances as they exist in this case, Section 44-6-12 and the Union contract are clear and unambiguous. The matter should have been adjudicated in favor of the County. The district court judgment is reversed.
IT IS SO ORDERED.
FEDERICI, C.J., and WALTERS, J., concur. | [
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OPINION
FEDERICI, Chief Justice.
Plaintiffs-appellants, Gene Boatwright and Elaine Boatwright (Boatwrights), brought suit in the District Court of Curry County against defendants-appellees, Thomas Howard and Sandra Howard (Howards), for breach of a real estate contract, breach of property restrictions, harassment, and money due on an open account. The Boatwrights sought restitution of the property, damages, an injunction, and the money due. The Howards counterclaimed seeking damages for trespass, threats of death and bodily harm, slander, contractual interference, and storage charges. The district court granted the Howards’ motion for summary judgment and dismissed that portion of the complaint requesting restitution of the property. The Boatwrights appeal from this summary judgment. We affirm.
The Boatwrights sold land and improvements to the Howards on a real estate contract. In Count I of their complaint, the Boatwrights alleged that the Howards had failed to maintain the insurance on the property as specified in the contract and had destroyed certain improvements and pasture. As a result of these actions, the Boatwrights sought to accelerate the balance due of $7,850. When that demand was not met, they initiated this suit to terminate the Howards’ rights under the contract and to regain possession of the property. The district court held that, as a matter of law, these alleged breaches of the contract on the part of the Howards did not constitute a default under the terms of the contract and that the Boatwrights, therefore, did not have a right to regain possession. We agree.
The real estate contract provides for a purchase price of $17,850 to be paid as follows: $10,000 within one year and the balance of $7,850 in seven equal annual payments. The Howards have made the $10,000 payment. Paragraph 4 of the contract requires the Howards to maintain insurance on the property in the amount of $5,000 for the benefit of the Boatwrights. Paragraph 5 provides that the Boatwrights pay all current taxes, “liens and charges now against said Real Estate” and that the Howards thereafter pay all taxes, assessments, and street improvements “that may hereafter be levied or ordered by lawful authority and which would in the event of failure so to do, create a charge against the said Real Estate.” (Emphasis added.) Paragraph 6, the default provision, reads:
6. It is mutually agreed that time is the essence of this contract and in the event that the said Vendee should refuse or neglect to pay said several sums of money at the times above specified and remain in default for thirty days after any payment shall become due and payable, or in case the said Vendee shall fail or refuse to pay said taxes, assessments or other charges against said Real Estate within thirty days after the same shall become due, the Vendor may, at his option declare this contract void and no longer binding, and thereupon all payments which have been made in pursuance of this contract shall be considered liquidated damages for failure of the said Vendee to perform his contract and the said Vendee shall forever forfeit his right to said Real Estate or the payments so made as aforesaid. (Emphasis added.)
The Boatwrights raise two points in support of their contention that they are entitled to terminate the real estate contract and regain possession as a result of the alleged breaches. First, they argue that the cost of insurance is a charge within the meaning of the phrase “other charges against the Real Estate” contained in Paragraph 6 and that the meaning of this phrase presents a factual question which should not be decided on a summary judgment motion. We disagree.
Absent any ambiguity, the construction of a contract is a question of law. Shaeffer v. Kelton, 95 N.M. 182, 619 P.2d 1226 (1980). Whether an agreement contains an ambiguity is also a question of law. Young v. Thomas, 93 N.M. 677, 604 P.2d 370 (1979). It is the role of the courts to interpret and enforce a contract as written by the parties. Schaefer v. Hinkle, 93 N.M. 129, 597 P.2d 314 (1979). The entire contract must be considered in determining whether an ambiguity exists in a contract. Lindbeck v. Bendziunas, 84 N.M. 21, 498 P.2d 1364 (Ct.App.1972).
The district court properly applied these principles to the contract in the present case. When Paragraphs 5 and 6 are considered together, it is clear that the term “charges against the Real Estate” means those costs that are levied on the real estate which, if not paid, could become liens or affect the title to the real estate by casting a cloud upon it. Insurance is not such a cost. It is not a cost against the real estate that could be satisfied out of the real estate. The Boatwrights had other adequate remedies under the agreement. They could have sued to enforce the insurance provision or, in the alternative, they could have paid the insurance premiums and then sought reimbursement from the Howards.
The Boatwrights also contend that a security agreement entered into by the parties after the real estate contract was executed helps clarify what the parties intended to constitute default under the real estate contract. This security agreement was entered into by the parties approximately four months after the real estate contract was signed. It attempts to secure payment of $7,850, the balance of the purchase price under the real estate contract, by giving the Boatwrights a security interest in the very property conveyed by the real estate contract and also in certain fixtures appurtenant to that property. Because the Boatwrights retain legal title to the property under the real estate contract until the purchase price is completely paid, we do not understand why they also sought a security interest in what is still their property. It is the Boatwrights’ contention that the default clause of this standard form security agreement should be used to construe the default clause of the real estate contract. We disagree.
The intent of the parties in executing the real estate contract should be ascertained from the contract itself. Since we determined that the real estate contract was unambiguous, it is unnecessary to resort to extrinsic facts. Otero v. Buslee, 695 F.2d 1244 (10th Cir.1982); Greer v. Stanolind Oil & Gas Co., 200 F.2d 920 (10th Cir.1952). Under the facts in this case, it is not necessary to consider the effect of the security agreement.
In addition, we do not find this to be a situation where two separate documents should be treated as a single contract. Although the two instruments were executed by the same parties and concern the same subject matter, there is no evidence to indicate that the parties intended for them to be merged. See Master Builders, Inc. v. Cabbell, 95 N.M. 371, 622 P.2d 276 (Ct.App.1980), cert. denied, 95 N.M. 426, 622 P.2d 1046 (1981). Nor do we find support in the record that the parties intended for the default provision in the security agreement to replace the default provision in the real estate contract. A clause in a subsequent invalid agreement ought not be used to alter the meaning of a valid, prior and unambiguous contract.
The district court properly granted summary judgment. We affirm.
IT IS SO ORDERED.
DAN SOSA, Jr., Senior Justice, and STOWERS, J., concur. | [
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OPINION
STOWERS, Justice.
On April 19, 1985, defendant-appellant Chris Taylor, two youths and the mother of one of them drove to a particular laundromat in Santa Fe with the intent of “breaking some bones” of one of its employees. Upon entering the laundromat, the three youths discovered that their intended victim was not present. When they came out, the mother, who was the driver of the vehicle, told them to go back inside and rob the laundromat. They put masks over their faces and one of them carried a gun. During the robbery the gun was fired, killing a laundry attendant. The youths immediately ran outside, hopped into the car and drove off. Shortly thereafter, all were apprehended.
One of the three youths agreed to testify for the state in exchange for treatment as a child in children’s court. Defendant and the third youth were initially charged in children’s court and then, as a result of the granting of a motion to transfer, were both transferred to district court to be tried as adults.
At the conclusion of the jury trial, defendant was convicted on all three counts: count one of first degree murder, contrary to NMSA 1978, Sections 30-2-1, 30-1-13 and 30-16-2 (Repl.Pamp.1984); count two of robbery by use of or threatened use of violence while armed with a deadly weapon, contrary to NMSA 1978, Sections 30-16-2 and 30-1-13 (Repl.Pamp.1984) and Section 31-18-16 (Repl.Pamp.1987); count three of conspiracy for the purpose of committing a felony, contrary to NMSA 1978, Sections 30-28-2 and 30-16-2 (Repl.Pamp.1984). Defendant was sentenced to a life term. It is from this judgment of conviction that defendant now appeals. We affirm.
The issues argued by defendant are:
1. The trial court lacked jurisdiction to proceed against defendant as an adult.
2. The trial court erred in refusing defendant’s proffered jury instructions on involuntary manslaughter.
3. The removal of the children’s court judge was improper.
4. The sentence imposed was not proper.
5. The prosecutor’s offered plea bargain with a fixed minimum sentence was an abuse of discretion.
6. Defendant was denied effective assistance of counsel.
We discuss these issues in the order presented.
1. Lack of Jurisdiction.
Defendant argues that the district court lacked subject matter jurisdiction to proceed against him on two grounds: the transfer hearing was not timely held, and there was no statutory authorization for the transfer of the robbery and conspiracy offenses along with the murder offense.
On April 22, 1986, the state filed a petition in children’s court, which has exclusive jurisdiction of a child under the age of eighteen, alleging that defendant was delinquent, in need of care, supervision and rehabilitation, and that he and two other children had committed murder, robbery and conspiracy. See NMSA 1978, § 32-1-9 (Repl.Pamp.1986). That same day, the state filed a petition for a detention hearing; consequently, defendant remained in continuous custody since April 20, 1986. On the following day, April 23, the state filed a motion for a discretionary transfer under Section 32-1-30, NMSA 1978 (Repl. Pamp.1986), to transfer the matter to district court and to prosecute defendant as an adult.
The transfer hearing started on May 15, 1986, in children’s court within the necessary time period. At the beginning of this hearing, the state indicated its readiness to proceed on the probable cause determination but sought a continuance on the issue of defendant’s amenability to treatment as a child. The state claimed that this continuance was required to review a recently completed psychological profile on defendant and a codefendant. Defense counsel did not object to the request nor to the bifurcation of the transfer hearing. The probable cause determination proceeded to conclusion on May 15 with the presentment of evidence and arguments by counsel. Pursuant to Section 32-l-30(A)(5), NMSA 1978 (Repl.Pamp.1986), the court found that there were reasonable grounds to believe that the child, defendant, committed the alleged delinquent acts. The remainder of the hearing was continued until July 16 and 17,1986, to resolve the issue of defendant’s amenability to treatment as a child. The defendant contends that since a portion of the hearing was delayed for more than thirty days from the date of the filing of the motion to transfer, the resultant transfer order dated July 17, 1986, did not confer jurisdiction on the district court.
Rule 10-223, SCRA 1986 (formerly NMSA 1978, Child Ct.R. 43.1 (Repl.Pamp. 1982)), reads:
A. Respondent in detention. If the respondent is in detention, the transfer hearing shall be commenced within thirty (SO) days from whichever of the following events occurs latest:
(1) the date the motion for transfer is filed;
(2) if the proceedings have been stayed on a finding of incompetency to participate in the transfer hearing, the date an order is filed finding the defendant competent to participate in a transfer hearing; or
(3) if the respondent fails to appear at any time required by the court, the date the respondent is taken into custody after the failure to appear. [Emphasis added.]
The plain meaning of this rule suggests an interpretation contrary to defendant’s claim. Since the state filed its motion to transfer on April 23,1986, and the transfer hearing was commenced within thirty days thereafter, the requirements of Rule 10-223 were complied with. No words in the rule mandate that the hearing be commenced and completed within thirty days. The requirement is met even if the hearing is not completed within that time period.
Moreover, defendant relies on State v. Doe, 94 N.M. 446, 612 P.2d 238 (Ct.App.1980), but this case is inapplicable. At the time Doe was decided, neither the Rules of Procedure for the Children’s Court nor the Children’s Code set a time limitation for when a transfer hearing had to be held other than stating it must be prior to an adjudicatory hearing on the petition. The court of appeals held therein that when a child is in detention, the transfer had to be commenced within thirty days from the date the motion to transfer is filed. Id. at 449, 612 P.2d at 241. Nowhere did the court state that the hearing had to be completed within those thirty days.
Since the decision in Doe, Rule 10-223 was adopted to prescribe time limits for holding a transfer hearing. The rule requires that the hearing must be commenced within the thirty-day period. The purpose of the rule is to provide early hearings, but does not preclude continuances when reasonable grounds are shown.
Next, defendant claims that there was no statutory authorization for the transfer of the offenses of robbery and conspiracy since NMSA 1978, Section 32-1-30(A)(1) (Repl.Pamp.1986), provides only for the transfer of the offense of murder when the child, as in this case, was fifteen years of age at the time of the conduct. We held in State v. Garcia, 93 N.M. 51, 53-54, 596 P.2d 264, 266-67 (1979), that if the children’s court finds at the hearing that the juvenile should be prosecuted as an adult, then the district court obtains personal jurisdiction over the child and subject matter jurisdiction over the entire case. Thus, in the instant case, the entire matter was properly transferred, not merely the offense of murder, to prevent fragmentation of the criminal proceedings on offenses arising from the same criminal charges. Garcia, 93 N.M. at 54, 596 P.2d at 267.
2. Requested Jury Instructions on Involuntary Manslaughter.
At trial, defendant tendered requested jury instructions on involuntary manslaughter as a lesser included offense of murder in the commission of a felony. The district court refused to give these instructions and defendant claims reversible error.
“Murder in the first degree is the killing of one human being by another without lawful justification or excuse * * * in the commission of or attempt to commit any felony.” NMSA 1978, § 30-2-l(A)(2) (Repl.Pamp.1984). “Involuntary manslaughter consists of manslaughter committed in the commission of an unlawful act not amounting to felony; or in the commission of a lawful act which might produce death, in an unlawful manner or without due caution and circumspection.” NMSA 1978, § 30-2-3(B) (Repl.Pamp.1984). Only where the evidence could support a conviction of the lesser offense must the trial court instruct the jury on a lesser included. State v. Omar-Muhammad, 105 N.M. 788, 791, 737 P.2d 1165, 1168 (1987); State v. Gutierrez, 88 N.M. 448, 451, 541 P.2d 628, 631 (Ct.App.1975); see also State v. Fero, 105 N.M. 339, 343, 732 P.2d 866, 870 (1987). The evidence relied on by defendant in support of his tendered instructions is a statement given by an accomplice. In one of his versions, the accomplice stated that another accomplice had the cash drawer in his left hand and a gun in his right hand; that he was unable to balance both; and as a result he dropped the gun, the butt hit the counter and discharged, killing the laundry attendant.
There are three separate courses of conduct that constitute involuntary manslaughter: one, the commission of an unlawful act not amounting to a felony; two, the commission of a lawful act that might produce death, in an unlawful manner; and three, the commission of a lawful act that might produce death without due caution and circumspection. La Barge v. Stewart, 84 N.M. 222, 224, 501 P.2d 666, 668 (Ct. App.), cert. denied, 84 N.M. 219, 501 P.2d 663 (1972).
The court’s refusal to give the instructions was correct, since none of the conduct which constitutes involuntary manslaughter was present. As to the first course of conduct, the commission of an unlawful act not amounting to a felony is not supported in the evidence. Robbery while armed with a firearm is a felony. See NMSA 1978, § 30-16-2 (Repl.Pamp. 1984). There is no evidence of the commission of any lawful act during which the gun discharged that would have permitted an instruction under the second or third circumstance of involuntary manslaughter. The act involved here, the discharge of the gun during the commission of a robbery, was the unlawful act. To have given the requested instruction, which included acts for which there was no evidentiary support, would have introduced false issues and misled the jury. The facts herein do not fit the definition of involuntary manslaughter and the proposed jury instructions were correctly refused by the trial court.
3. Removal of the Children’s Court Judge.
The record does not support defendant’s claim that the state did not object to the children's court judge’s presiding in the district court as required by NMSA 1978, Section 32-l-30(C) (Repl.Pamp.1986). The state did object orally at the arraignment and in writing on August 13,1986, by filing its election to excuse the children’s court judge. The objection was timely filed occurring more than ten days before the adjudicatory hearing on the merits. See State v. Doe, 95 N.M. 369, 622 P.2d 274 (Ct.App.1980). Notwithstanding, it also appears from the record that defendant failed to properly preserve this issue for appeal. See SCRA 1986, 12-216(A); State v. Hovey, 106 N.M. 300, 742 P.2d 512 (1987).
4. Sentence.
We do not agree with defendant that the trial court had discretion not to sentence defendant to a life term after a conviction of a first degree capital felony. Defendant claims that the Children’s Code, Section 32-l-30(B) (Repl.Pamp.1986) NMSA 1978, permits the trial judge to impose “any conditions” on defendant’s sentence including altering the term of that sentence.
Section 32-l-30(B) states in relevant part:
In the event the child after such transfer [to the district court] is convicted and sentenced to confinement, he shall be remanded to the custody of the secretary of corrections for confinement at the facility or institution most appropriate with regard to the age of the child and the execution.of the sentence; provided, such confinement shall be subject to any conditions the court may impose.
Since defendant, however, was convicted of a first degree capital felony, Section 32-1-30(B) must be read in conjunction with Section 31-18-14(A) (Repl.Pamp.1984) NMSA 1978. Section 31-18-14(A) provides that “if the defendant has not reached the age of majority at the time of the commission of the capital felony for which he was convicted, he shall be sentenced to life imprisonment.” The use of the word “shall” in Section 31-18-14(A) is mandatory; therefore, the trial judge had no discretion in sentencing defendant to a life term. See Jaramillo v. O’Toole, 97 N.M. 345, 639 P.2d 1199 (1982); State v. Davis, 97 N.M. 745, 643 P.2d 614 (Ct.App.1982). “Conditions” of confinement as used in the Children’s Code Section 32-l-30(B) may encompass methods of rehabilitation imposed by the sentencing judge, but does not refer to any alteration of the term of confinement. Alterations of basic sentences are permitted only for noncapital felonies and noncapital, nonfirst degree felonies. NMSA 1978, §§ 31-18-15 and -15.1 (Repl.Pamp.1987); NMSA 1978, § 31-20-3 (Repl.Pamp.1987).
Next, defendant claims, without citation to any applicable authority, that he was denied due process because the transferring judge’s understanding of the district court’s sentencing discretion was not honored by the sentencing judge. It appears that defendant is arguing that the transferring judge believed that the district court could use its discretion in fashioning a sentence for defendant. This belief might have been correct if defendant had not been found guilty of a first degree capital felony which mandates a life sentence. It probably would have been helpful had defense counsel clarified that distinction to the transferring judge. In any event, we conclude that defendant’s due process rights were not denied.
In defendant’s final subpoint, he claims that his sentence to the adult detention center was improper since he was already serving a prior commitment at the Boy’s School in Springer in an unrelated case. This court will not consider arguments on this issue because it was not raised in defendant’s docketing statement and may not be raised for the first time in defendant’s briefs. State v. Smith, 104 N.M. 329, 334, 721 P.2d 397, 402 (1986); State v. Hoxsie, 101 N.M. 7, 9, 677 P.2d 620, 622 (1984).
5. The State’s Plea Offer,
Defendant claims that the prosecutor’s offered plea with a mandatory minimum of twelve years was an abuse of prosecutorial discretion. Defendant presented this issue for the first time to the trial court during sentencing. The prosecutor, at that time, declared that the state was forced to go to trial because defendant did not accept the plea offer. In response, defendant argued that the state, by offering a mandatory minimum sentence, proposed an illegal plea bargain. This offer was defended by the state as a common practice in New Mexico.
In the plea offer the state was willing to accept a plea of guilty from defendant to murder in the second degree with a firearm, armed robbery in the second degree with a firearm, conspiracy in the third degree to commit armed robbery, for a total term of twelve to twenty-six years and to dismiss the first degree capital murder charge. Not until sentencing did defendant object to the offer. At that time and in his brief, defendant incorrectly characterized the offer as a plea bargain and contends that the prosecutor invaded the trial court’s sentencing province. We conclude that this was not an illegal plea offer.
Plea bargaining has two aspects: the entering into an agreement and its acceptance by the court. Plea negotiations between defendant and the state must be governed by fair play on both sides. A defendant may enter into an agreement with the state to plead guilty to any proper condition and the state may recommend a particular sentence to the court. The integral part of the plea bargaining process is negotiation and compromise which results in a negotiated sentence satisfying the law enforcement demands of the state and the ends of justice. See generally 21 Am.Jur.2d Criminal Law §§ 481-85 (1981). The parties thereafter submit the plea agreement proposing a particular sentence, disposition or other action to a judge for consideration. The recommendation of the state is not binding on the court. The judge may accept or reject the agreement. The court is always free to exercise its discretion at sentencing, notwithstanding that a sentence was negotiated at the time of the plea. See SCRA 1986, 5-304; 21 Am.Jur.2d Criminal Law § 484 (1981).
In the instant case, there was no prosecutorial misconduct. When the offer was made, defendant had the right to enter into negotiations with the prosecutor to reach a compromise. Instead, defendant did not attempt to negotiate, but rejected the offer. Thus, there never was a plea agreement. Even if defendant had accepted the plea offer, the prosecutor did no more than recommend the imposition of a particular sentence as permitted by Rule 5-304, SCRA 1986. Each recommended sentence was consistent with the sentencing guidelines set out for second- and third-degree offenses. See NMSA 1978, § 31-18-15 (Repl.Pamp.1987). The trial court still would have retained the right to accept or reject the plea bargain and make an independent decision regarding the appropriate sentence.
Further, the plea offer herein differs from the “open-ended” plea bargain disapproved by the Indiana Court of Appeals and relied upon by defendant to bolster his argument. See Spalding v. State, 165 Ind. App. 64, 330 N.E.2d 774 (1975); Gersham, Prosecutorial Misconduct § 7.2(c) (1987). In Spalding, the trial court was deprived of its sentencing discretion because the prosecutor, not the judge, determined the sentence he deemed appropriate for the charges. Spalding, 165 Ind.App. at 68, 330 N.E.2d at 777. In other words, if the sentence believed to be appropriate by the prosecutor was obtained upon the first charge, the remaining charges would be dismissed; otherwise, the prosecutor would continue to prosecute the subsequent charges until the minimum figure of nine years which he wanted defendant to serve was met. Id. The court held therein that the objectionable practice was the wholesale disposition of unrelated charges against a defendant through an “open-ended” plea bargain in which the prosecution required the imposition of a certain minimum sentence. Id. at 69, 330 N.E.2d at 777-78.
6. Ineffective Assistance of Counsel.
In defendant’s final argument, he claims that he was denied effective assistance of counsel because the public defender’s office did not timely provide him with an investigator to contact potential witnesses and because he was not granted a continuance by the trial court.
The right to be represented by counsel is a fundamental component of our criminal justice system and encompasses the right to effective assistance of counsel. Strickland v. Washington, 466 U.S. 668, 686, 104 S.Ct. 2052, 2063, 80 L.Ed.2d 674 (1984); United States v. Cronic, 466 U.S. 648, 653-54, 104. S.Ct. 2039, 2043-44, 80 L.Ed.2d 657 (1984). The standard for ineffective assistance of counsel in New Mexico is whether defense counsel exercised the skill of a reasonably competent attorney. State v. Orona, 97 N.M. 232, 233, 638 P.2d 1077, 1078 (1982); State v. Talley, 103 N.M. 33, 35-36, 702 P.2d at 353, 355-56 (Ct.App.1985). Defendant has the burden of showing both the incompetence of his attorney and the proof of prejudice. Talley, 103 N.M. at 36, 702 P.2d at 356. Further, absent this showing by defendant, counsel is presumed competent. In considering an ineffectiveness claim, the entire proceeding must be reviewed as a whole. Id.; see also State v. Hernandez, 104 N.M. 268, 272, 720 P.2d 303, 307 (Ct.App.), cert. denied, 104 N.M. 201, 718 P.2d 1349 (1986).
The “benchmark for judging an incompetency claim is whether counsel’s conduct so undermined the proper function of the adversarial process that the trial cannot be relied on as having produced a just result. Strickland, 466 U.S. at 686, 104 S.Ct. at 2063. In other words, there must be a reasonable probability that “but for” counsel’s unprofessional error, the result of the proceeding would have been different. Id. at 694, 104 S.Ct. at 2068.
The trial court has discretion in ruling on a motion for continuance and this court will not interfere with that decision absent an abuse of discretion. State v. Tovar, 98 N.M. 655, 658, 651 P.2d 1299, 1302 (1982). Not every restriction on an attorney’s time or opportunity to investigate or otherwise prepare violates a defendant’s sixth amendment right to counsel. Morris v. Slappy, 461 U.S. 1, 11, 103 S.Ct. 1610, 1616, 75 L.Ed.2d 610 (1983). The burden of scheduling trials which includes assembling the witnesses, lawyers and jurors all at the same time counsels against continuances except for compelling reasons. Id. Although access to an investigator until the morning of trial was beyond defense counsel’s control, and the record indicates that one of defendant’s accomplices had the benefit of at least two investigators, our review of the record does not indicate that counsel’s inability to interview all potential witnesses prejudices defendant’s case. To the contrary, the record sustains a conviction that defendant was well represented at trial. And, absent proof that defense counsel’s representations fell below the standard of a reasonably competent attorney and that but for counsel’s error, the result would have been different, counsel is presumed competent. Thus, the Strickland test was not satisfied and defendant received a fair trial.
The judgment of conviction is AFFIRMED.
IT IS SO ORDERED.
WALTERS and RANSOM, JJ., concur. | [
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] |
OPINION
FEDERICI, Chief Justice.
This case is before us on writ of certiorari from the Court of Appeals. The only issue raised is whether the defendant’s contacts with the State of New Mexico were sufficient to constitute a “transaction of business” within the State, so that the defendant is subject to personal jurisdiction under the New Mexico long-arm statute, NMSA 1978, Section 38-1-16. The trial court denied a motion to dismiss for lack of jurisdiction and certified the question to the Court of Appeals. The Court of Appeals stated that the defendant’s activities within New Mexico did not rise to the level of transacting business, and held that the defendant’s motion to dismiss the complaint for lack of jurisdiction should be granted. We reverse.
Barbara Kathrein, the plaintiff-petitioner (plaintiff), is a New Mexico resident. Park-view Meadows, Inc., the defendant-respondent (defendant) is a Minnesota corporation which operates an alcoholism treatment center, known as “The Meadows,” in Arizo- ' na. At the time this cause of action arose, defendant carried on certain activities in New Mexico: defendant advertised its alcoholism treatment center in the yellow pages of the Albuquerque telephone directory for the years 1981 and 1982, and defendant contacted the director of the Albuquerque affiliate of the National Council on Alcoholism to solicit his referral of patients to the treatment center. Plaintiffs husband attended the treatment program in Arizona, in August 1982. While her husband was undergoing treatment, plaintiff herself received in the mail a brochure from defendant, inviting her to attend the treatment program’s “Family Week.” An employee of defendant also telephoned plaintiff from Arizona, to encourage her attendance. In response to this solicitation, plaintiff attended Family Week, for which she was charged a fee.
The complaint alleges that as a result of her participation in Family Week, plaintiff suffered personal injury in the form of emotional and psychological trauma. Because process was served in Arizona and service was not obtained under NMSA 1978, Section 38-1-6, jurisdiction must be established under the long-arm statute, NMSA 1978, Section 38-1-16. The relevant portion of the statute provides for jurisdiction over any person who transacts “any business” within the state, as to any cause of action “arising from” that transaction of business. NMSA 1978, § 38-l-16(A)(l).
The Court of Appeals held that defendant’s ongoing solicitation activities in New Mexico — its solicitation of referrals and its advertising in the phone directory — did not bear a close relationship to the plaintiff’s cause of action, and therefore could not be the basis of long-arm jurisdiction over defendant. The long-arm statute requires that the cause of action arise from the defendant’s transaction of business within the State. However, defendant’s invitation to plaintiff to attend the program’s Family Week, and plaintiff’s subsequent attendance, were an integral part of defendant’s overall program of alcoholic treatment. The invitation followed by attendance were a direct outgrowth of defendant’s general solicitation for business in New Mexico. This cause of action does arise out of defendant’s solicitation of business in New Mexico.
The Court of Appeals further held that defendant’s phone call to the plaintiff, and mailing of a brochure to her, were insufficient to constitute a transaction of business within New Mexico. The Court of Appeals apparently reasoned that some further impact within the State, beyond mere solicitation, is necessary if jurisdiction over defendant is to meet statutory and constitutional standards. Those acts, however, taken together with defendant’s general solicitation activities within the State, were of sufficient magnitude, and were sufficiently related to the cause of action, that exercise by New Mexico courts of jurisdiction over defendant is proper.
The constitutional requirement relating to personal jurisdiction was announced in International Shoe Co. v. State of Washington, 326 U.S. 310, 316, 66 S.Ct. 154, 158, 90 L.Ed. 95 (1945), in which the Court stated that, for due process standards to be met, the defendant need have only “certain minimum contacts” with the forum state “such that the maintenance of the suit does not offend ‘traditional notions of fair play and substantial justice.’ ” Such minimum contacts clearly existed in this case. Defendant’s activities within the State were continuous and purposeful. Defendant availed itself “of the privilege of conducting activities within the forum State, thus invoking the benefits and protections of its laws.” Hanson v. Denckla, 357 U.S. 235, 253, 78 S.Ct. 1228, 1240, 2 L.Ed.2d 1283 (1958).
New Mexico’s statutory standard for obtaining long-arm jurisdiction has been “repeatedly equated” with the due process standard of “minimum contacts.” Telephonic, Inc. v. Rosenblum, 88 N.M. 532, 534, 543 P.2d 825, 827 (1975). The Court of Appeals correctly noted that various factors are relevant in determining whether a' nonresident defendant transacted any busi ness within the State, including the voluntariness of the defendant’s contact with the State, the nature of the transaction, the applicability of New Mexico law, the contemplation of the parties, and the location of likely witnesses. See Empress International, Ltd. v. Riverside Seafoods, Inc., 112 Ill.App.3d 149, 67 Ill.Dec. 891, 445 N.E.2d 371 (1983).
Given the level of defendant’s activity within New Mexico, it seems fair to say that its conduct in this State was entirely voluntary, and that it reasonably could have contemplated being subject to New Mexico jurisdiction. In this respect the instant case is distinguishable from Telephonic, Inc. v. Rosenblum, 88 N.M. 532, 543 P.2d 825 (1975) (nonresident defendant was contacted in California by resident plaintiff and parties entered into contract; no jurisdiction over defendant), and is more analogous to Winward v. Holly Creek Mills, Inc., 83 N.M. 469, 493 P.2d 954 (1972) (nonresident defendant hired resident plaintiff to arrange advertising and solicit orders for defendant’s products in New Mexico, defendant paid a salary to plaintiff in New Mexico and shipped products to New Mexico; jurisdiction asserted over defendant). Also, while the factors listed by the Court of Appeals are generally relevant, the applicability of the long-arm statute “must be determined by the facts in each case.” Telephonic, Inc., 88 N.M. at 534, 543 P.2d at 827. Under the facts in this case, defendant’s activity within the State clearly rose to the level of transacting business. It is not singly significant to the result we reach that plaintiff travelled to Arizona to attend “Family Week.” Plaintiff went there to participate in the treatment program which her husband was attending as a result of defendant’s earlier solicitation in New Mexico. Defendant’s total activities in New Mexico were sufficient to subject defendant to the jurisdiction of the New Mexico court in this case.
For reasons stated, we reverse the Court of Appeals, affirm the trial court, and remand the cause for further proceedings consistent with this opinion.
IT IS SO ORDERED.
SOSA, Senior Justice, and RIORDAN, and WALTERS, JJ., concur.
STOWERS, J., dissents. | [
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OPINION
FEDERICI, Chief Justice.
Gertrude P. Slemmons, plaintiff-appellee (Slemmons), brought suit in the District Court of Torrance County to quiet title to approximately 320 acres of land and to eject Letha Massie, Billie W. Harless and Joanna B. Harless, defendants-appellants (Massie and Harless) from the property. Massie and Harless answered that they had obtained title to the entire property by adverse possession. On cross motions for summary judgment, the district court held that Slemmons and Massie were tenants in common with each other, each with a one-half undivided interest and that now Harless, as Massie’s grantee, is a tenant in common with Slemmons. Massie and Harless appeal. We affirm the district court.
Slemmons and her late husband, L.C. Slemmons, purchased the property in 1945 for approximately $12,000 and gave a note and mortgage on it to the First National Bank of Belen in the amount of approximately $3,000. On February 10, 1950, Mr. Slemmons’ sister, Massie paid off the note in full for her brother, and the bank assigned the mortgage to her. No payment was ever made to Massie on the mortgage. Massie maintains that her brother orally agreed that title to the property was thereupon vested in her. Slemmons, however, says that she and her husband intended for Massie to have only a one-half interest.
Massie claims that she paid taxes from 1960 through 1978. Slemmons claims that she and her husband paid at least half the taxes until 1960 and thereafter paid their share of taxes until 1978 by virtue of their waiving their share to one-half of the rental income. It is undisputed, however, that L.C. Slemmons placed the property in the USDA Soil Bank Program from 1958 through 1963 and that the proceeds from this program were divided equally between L.C. Slemmons and Massie. Massie deeded the entire property by warranty deed to her daughter and son-in-law, Joanna B. Harless and Billie W. Harless in 1978.
To support their adverse possession claim under NMSA 1978, Section 37-1-22, Massie and Harless argue that the mortgage which was assigned to Massie by the bank constitutes color of title. We disagree. A mortgage does not constitute col- or of title for purposes of acquiring title by adverse possession. In New Mexico, color of title must purport to convey title to the property. Currier v. Gonzales, 78 N.M. 541, 434 P.2d 66 (1967); Sanchez v. Garcia, 72 N.M. 406, 384 P.2d 681 (1963). It must attempt to give title to the adverse occupant, but for some reason fails to do so. Brylinski v. Cooper, 95 N.M. 580, 624 P.2d 522 (1981). We recognize that a void or voidable instrument may be sufficient for color of title. Baker v. Baker, 90 N.M. 38, 559 P.2d 415 (1977). However, such an instrument on its face must profess to pass title. Currier v. Gonzales.
It is well established in New Mexico that a mortgage is merely a lien and passes no title to the mortgaged property. State ex rel. Hill v. District Court of Eighth Judicial District, 79 N.M. 33, 439 P.2d 551 (1968); Griffith v. Humble, 46 N.M. 113, 122 P.2d 134 (1942); Eccles v. Will, 23 N.M. 623, 170 P. 748 (1918). The mortgage, both on its face and under New Mexico law, only gives the mortgagee the right to enforce the lien by foreclosing on the property. NMSA 1978, §§ 39-5-1 to -23; NMSA 1978, § 48-7-7. A mortgage, therefore, does not purport to convey title to the property and cannot constitute color of title. To hold otherwise would allow a mortgagee in possession a remedy that is neither provided for by the instrument nor by law and which could greatly exceed the indebtedness to the possible exclusion of other lienholders.
If any one of the necessary elements required to establish title by adverse possession is lacking, title by adverse possession cannot be proven. Birtrong v. Coronado Building Corporation, 90 N.M. 670, 568 P.2d 196 (1977). Although it appears that the element of hostility is also lacking, we need not address that issue. Since we find no color of title, the adverse possession claim of Harless and Massie must fail.
Having concluded that Massie and Harless do not have title to the property through adverse possession, we must determine what interest, if any, they own in the premises. In both the briefs and argu ments presented to this Court, Slemmons conceded that Massie held a one-half undivided interest in the property. Facts admitted in a pleading by an adverse party do not need to be proven, Panzer v. Panzer, 87 N.M. 29, 528 P.2d 888 (quoting Chavez v. Gribble, 83 N.M. 688, 496 P.2d 1084 (1972)).
The sharing of proceeds from the soil bank program, the payment of taxes by Slemmons and Massie, and the joint use of the property are also facts which support a finding of cotenancy. It is the duty of all cotenants to pay the tax on the property when due. Reed v. Nevins, 77 N.M. 587, 425 P.2d 813 (1967). Considering these facts together with Slemmons’ admission, we conclude that the district court properly held that Slemmons and Harless are tenants in common, each owning a one-half undivided interest. The judgment of the district court is affirmed.
IT IS SO ORDERED.
SOSA, Senior Justice, and RIORDAN, J., concur. | [
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] |
OPINION
DONNELLY, Chief Judge.
United Nuclear Corporation (UNC) appeals from an order of the district court dismissing its complaint on the basis of improper venue in McKinley County. UNC filed suit against the Director of the Environmental Improvement Division (Director) and the Environmental Improvement Division (Division), seeking appellate review of administrative proceedings by the Director and the Division, damages for the alleged taking of property, declaratory and injunctive relief, and mandamus. Three issues are raised on appeal: (1) whether the district court had appellate jurisdiction to review actions of the Environmental Improvement Board under the Radiation Protection Act; (2) whether venue for claims against state officers properly lies in McKinley County; and (3) what venue statute controls when inconsistent venue statutes apply to multiple claims. Reversed in part and affirmed in part.
FACTS
UNC operates a uranium mill at its Churchrock mine in McKinley County. In 1977, the Division issued a license to UNC for operation of its mill pursuant to the Radiation Protection Act. NMSA 1978, § 74-3-1 et seq. (Repl.Pamp.1983).
In 1983, UNC suspended its mining and milling operations at Churchrock and applied to the Division for an exemption from the radiation regulations issued by the Division that required UNC to stabilize and provide liquid treatment for uranium tailings and tailings pond. The Division, without holding a hearing or receiving evidence, denied UNO’s request for an exemption, noting that “[t]he Division [did] not anticipate the resumption [by UNC] * * * of tailings disposal at the present site.”
On February 1, 1983, the Division held a hearing, pursuant to its radiation regulations, to determine whether UNC was exceeding the limits for release of thorium. UNC presented evidence at the hearing that it would not allow any wells to be drilled in certain areas adjoining its tailings disposal area or tailings pond which could endanger individuals due to exposure from radiation and radioactive materials. The Division presented evidence that levels of thorium, in excess of that permitted by law, had been found in underground water supplies in the vicinity of UNO’s mill and tailings pond. The Division sought a cease and desist order against UNC. UNC presented evidence challenging whether one of the areas where thorium had been found was an unrestricted area. UNC argued that even if in the past its release of thorium, due to its mining operation, exceeded permissible levels a cease and desist order was not appropriate. UNC explained that it had undertaken a program to precipitate the thorium out of its tailings pond and that no significant amounts of thorium were currently being released in the area.
On May 23, 1983, the Division issued a cease and desist order which also directed UNC to take certain corrective measures, including the construction and modification of its extraction wells, investigation of well completion information and development procedures, submission of proposals for disposal of seepage captured from extraction wells, ground-water testing, and presentation of an interpretive report to the Division explaining UNO’s compliance with the Radiation Protection Regulations.
Following the issuance of the cease and desist order by the Division, UNC filed suit in the McKinley County District Court. The complaint- sought relief under three different counts. Count I alleged that the Division’s denial of its application for an exemption was unlawful, and sought review of the Division’s administrative denial of the exemption and its subsequent issuance of a cease and desist order. Count II alleged that the Division’s cease and desist order was unlawful and exceeded the Division’s authority. Count III alleged that the action taken by the Division deprived UNC of its property without due process of law. UNC requested that the court prohibit enforcement of the cease and desist order.
The Division moved to dismiss the entire action filed by UNC claiming, inter alia, improper venue. On April 13, 1984, the district court granted Division’s motion to dismiss “without prejudice.” The court did not rule upon the merits of the claims raised by UNC, but did adopt findings of fact and conclusions of law. The court’s findings and conclusions of law determined that the May 23, 1983 cease and desist order and the May 26, 1983 denial of UNO’s request for an exemption, were administrative decisions of the Division but were not “licensing actions” within the meaning of NMSA 1978, Section 74-3-9(E) (Repl.Pamp.1983). Based upon its findings of fact, the lower court concluded that it had no jurisdiction to review either UNO’s claim of error regarding the Division’s cease and desist order or the Division’s denial of UNO’s request for an exemption. The court further concluded that the court of appeals had “exclusive jurisdiction under Sec. 34-5-8, NMSA, 1978, as amended * * to review on appeal decisions of administrative agencies of the State.” The court also dismissed UNO’s remaining claims on the basis that the proper venue for claims against state officers lies in Santa Fe County, not McKinley County.
I. APPELLATE JURISDICTION OF THE DISTRICT COURTS
UNC argues that the dismissal of its claims for review of the Division’s denial of its exemption request and its cease and desist order was improper. UNC claims that the district court has original jurisdiction over these actions pursuant to Section 74-3-9.
Section 74-3-9, contained in the Radiation Protection Act, provides in applicable part:
A. It is unlawful for any person to possess, use, store, dispose of, manufacture, process, repair or alter any radioactive material unless he holds:
(1) a license issued by the nuclear regulatory commission, and notification by the licensee to the agency of license identification;
* Ht * * * *
(3) a license issued by the agency.
‡ sfc if! jfc ifc #
C. The board may, by regulation, exempt from the requirements of licensure specific quantities of any radioactive material determined by the board not to constitute a health or environmental hazard.
* * * * * *
E. Any person who is or may be affected by licensing action of the agency may appeal for further relief to the district court in which the subject facilities or activities are located. All such appeals shall be upon the agency’s administrative records and shall be taken within thirty days from the date the decision is final. [Emphasis added.]
Under the Radiation Protection Act, a license is required in order to carry on the activities enumerated in Section 74-3-9. The words “licensing action,” as used in the Radiation Protection Act, refer to the process of issuing a license under the Act, as well as the denial, suspension, exemption, modification, or revocation of a license. Section 74-3-9. Cf. Nuclear Data, Inc. v. Atomic Energy Commission, 344 F.Supp. 719 (N.D.Ill.1972) (“agency action” regarding licensing includes grant or denial of exemption). A license bestows authority to carry on an activity which the state may deny. Western Electric Co. v. Pacent Reproducer Corp., 42 F.2d 116 (2d Cir.1930).
Since the purpose of licensing under the Radiation Protection Act is to supervise the use and disposal of radioactive material in New Mexico, denial of an exemption under the Act, or Division orders directing the means used for use and disposal of radioactive material, is “licensing action” within the meaning of Section 74-3-9. The trial court erroneously concluded that the Division’s actions did not comprise “licensing action” within the meaning of Section 74-3-9. The district court had appellate jurisdiction to review the Division’s denial of UNO’s exemption request.
The court of appeals is a court of limited jurisdiction and exercises appellate jurisdiction as provided by law. State ex rel. Department of Human Services v. Manfre, 102 N.M. 241, 693 P.2d 1273 (Ct.App.1984). Specific statutes govern general statutes. Id. Thus, the statute providing for district court review of licensing actions of the Division is controlling because the right of appeal in Section 74-3-9(E) designates the court to conduct the appeal. See State ex rel. Pilot Development Northwest, Inc. v. New Mexico Health Planning & Development Bureau, 102 N.M. 791, 701 P.2d 390, (Ct.App.1985).
II. VENUE OF CLAIMS AGAINST STATE OFFICERS
NMSA 1978, Section 38-3-l(G) (Cum. Supp.1984) is the general venue statute governing the filing of claims against state officers. Subsection G provides that “suits against any state officers as such shall be brought in the court of the county wherein their offices are located, at the capital [Santa Fe] and not elsewhere ” (emphasis added).
UNC argues that, under Section 38-3-1(G), venue of their claims against state officers lies in McKinley County due to UNC’s allegations that specific state officers acted illegally and in an unauthorized manner. UNC argues that venue is only proper in Santa Fe County, pursuant to Section 38-3-l(G), if the complaint alleged that the wrongful acts were committed within the state officers’ lawful authority.
UNC’s position is without merit. UNC bases its argument on a rule established in Allen v. McClellan, 77 N.M. 801, 427 P.2d 677 (1967), which has been expressly overruled in part by New Mexico Livestock Board v. Dose, 94 N.M. 68, 607 P.2d 606 (1980).
Jones v. New Mexico State Highway Department, 92 N.M. 671, 593 P.2d 1074 (1979) explained venue within the context of Section 38-3-1 and held that the legislature intended that actions against state officers be brought only in Santa Fe County. However, the court stated that this venue statute should not be equated with jurisdiction; unlike jurisdiction, venue can be waived if not timely or properly raised before the trial court. Id.
In determining venue, the court must look to the complaint and the character of the judgment which may be rendered. Davey v. Davey, 77 N.M. 303, 422 P.2d 38 (1967). UNC’s complaint characterized the three counts as a petition “for review of administrative action by appeal, declaratory and injunctive relief, or mandamus.” The Environmental Improvement Division and its Director were named as defendants. Venue, according to Section 38-3-l(G) therefore, applies to the claims made against the Director. Although the complaint sought damages, no specific allegation of tortious conduct within the Tort Claims Act was alleged; hence, the venue provisions of the Tort Claims Act are not applicable to the present case.
The trial court correctly determined that Section 38-3-l(G) controlled as to venue for the portions of the complaint containing claims against state officials. UNC’s attempt to take its claims outside of the purview of Section 38-3-l(G) by alleging that the state officials acted illegally and therefore outside of their official capacity, is based on Allen. The court in Allen held that Section 38-3-l(G) did not apply to the acts of the defendants as individuals. The complaint in this case makes no distinction between the Division and the Director. The complaint and the character of the judgment that may be rendered, see Davey, does not involve the Director as an individual, but the Director, qua Director. Section 38-3-l(G) governs the venue of the suit against the Director.
III. VENUE FOR MULTIPLE CLAIMS WITH INCONSISTENT VENUE STATUTES
Under our rules of civil procedure, a party may file pleadings alleging multiple claims or stating inconsistent causes of action. NMSA 1978, Civ.P.R. 8(e) (Repl. Pamp.1980). The issue of what statute is controlling as to venue when multiple or inconsistent claims are alleged, each governed by separate venue statutes, is a matter of first impression in New Mexico. Cf Lopez v. Clothier, 24 SBB 193 (Ct.App.1985) (cert. granted February 20, 1985).
UNC brought claims against the Environmental Improvement Division and Director regarding ' their actions affecting UNC’s use and disposal of radioactive material. Two venue statutes are at issue:
1) Section 38-3-l(G) requiring venue in Santa Fe County for claims against state officials and,
2) Section 74-3-9(E) allows claims by persons affected by “licensing actions” to be brought in the county where the facilities or activities are located (McKinley County in the present case).
As a general rule where separate causes of action are plead and each are subject to different venue provisions, the court in which the principal action is brought, being the proper court to hear that action, may determine ancillary or incidental proceedings, notwithstanding that venue as to certain other alleged actions would otherwise lie in another county. If venue is proper in the principal claim, it continues to be proper with respect to other pendant claims. E.g. Hughes v. Joe G. Maloof & Co., 84 N.M. 516, 505 P.2d 859 (Ct.App.1973) (venue was proper where original suit was filed; cross-claimant not entitled to change of venue when original suit dismissed).
The law disfavors splitting causes of action or conducting separate trials between the same parties in different localities. See Carlton v. Superior Court for Butte County, 240 Cal.App.2d 586, 49 Cal.Rptr. 759 (1966); Alamida v. Wilson, 53 Haw. 398, 495 P.2d 585 (1972). This rule is grounded upon public policy designed to avoid a multiplicity of suits. Wester v. Smith, 213 S.W.2d 550 (Tex.Civ. App.1948); Dickson v. Klett, 211 S.W.2d 381 (Tex.Civ.App.1948). E.g., Lougee v. New Mexico Bureau of Revenue Commissioner, 42 N.M. 115, 76 P.2d 6 (1937). Where a pleader has properly joined two or more causes of action, suit may be brought in the county in which a suit on either of the causes may be filed. Ellsworth v. Layton, 97 Ariz. 115, 397 P.2d 450 (1964) (en banc); Twin Lakes Reservoir & Canal Co. v. Bond, 156 Colo. 433, 399 P.2d 793 (1965) (en banc).
A plaintiff may not, however, by combining different causes of action having different venues, manipulate venue where a statute specifically mandates that a particular action must be heard in a particular county. See Keithly v. Lacey, 77 Cal.App.2d 339, 175 P.2d 235 (1946); Campbell v. Deddens, 21 Ariz.App. 295, 518 P.2d 1012 (1974). In order to remove a case from the application of a general venue statute there must be a cause of action which falls within an exception to the statute or is governed by a separate mandatory venue statute. A permissive venue statute must yield to a mandatory venue provision. Transit Casualty Co. v. Bell, 491 P.2d 771 (Okl.1971); Massengill v. Superior Court in and for Maricopa County, 3 Ariz.App. 588, 416 P.2d 1009 (1966).
We interpret Section 38-3-l(G) to constitute a mandatory venue statute and the language “suits against any state officers as such shall be brought in the court of the county wherein their offices are located, at the capital and not elsewhere” to be controlling as to the proper venue for plaintiff’s claims against state officials. (Emphasis added.) Section 38-3-1(G) has previously been held to be controlling as to every action brought against state officers. Jones v. New Mexico State Highway Department. Joinder of the several claims in UNO’s complaint, in the interest of judicial economy, required suit to be brought in Santa Fe County due to the venue requirement of Section 38-3-l(G) inasmuch as venue under Section 74-3-9(E) is not written in terms of a specific mandate.
As discussed previously, the denial of the request for exemption by UNC was “licensing action” subject to review by the district court under the Radiation Protection Act. The trial court’s order determining the inappropriateness of its appellate jurisdiction over the denial of the requested exemption issue is reversed. However, because UNC joined its claim seeking administrative review with other claims against a state officer, the trial court properly determined that the controlling venue provision in the present case required the suit to be brought in Santa Fe County pursuant to Section 38-3-l(G). The Santa Fe District Court may properly hear all of UNC’s claims. The order of the trial court determining that venue does not exist in McKinley County is affirmed.
IT IS SO ORDERED.
WOOD and ALARID, JJ., concur.
. Denise Fort has been substituted as a defendant for Steven Asher.
. NMSA 1978, Section 41-4-18(B) (Repl.Pamp. 1982) of the Tort Claims Act provides that “[v]enue for any claim against the state or its public employees, pursuant to the Tort Claims Act, shall be the district court for the county in which a plaintiff resides, or in which the cause of action arose, or in Santa Fe county. Venue for all other claims pursuant to the Tort Claims Act, shall be in the county in which the principal offices of the governing body of the local public body are located." | [
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OPINION
MINZNER, Judge.
Appellant Barbara Penny (“Penny”) appeals from the district court’s order granting appellee Frederick H. Sherman (“Sherman”), an attorney, summary judgment in a libel action. The lawsuit involved an allegedly defamatory letter Sherman published by sending a copy to Penny’s employer. The district court granted summary judgment on grounds of absolute privilege. We affirm.
FACTS
Florence Spencer died in Deming, New Mexico on April 24, 1979, devising all of her estate by will to Anita Downey, her sister, and Louis Zapf, her nephew. The beneficiaries of the will, who are domiciled outside New Mexico, went to Deming shortly after Ms. Spencer’s death to settle the estate. While in Deming, they met Penny, an employee of the Deming Senior Citizens Center (“Center”), who was identified to them as a friend of the decedent who had known her through the Center. The beneficiaries and Penny discussed the disposition of various items of tangible personal property that had belonged to the decedent. The beneficiaries claim that Penny agreed to sell certain items and account for the proceeds. Penny claims that she agreed only to distribute some items to anyone who might be able to use them, and that the beneficiaries gave her one item in exchange for services she rendered to the estate.
Sherman was hired to represent the estate, and the personal representative, Mr. Zapf, gave him authority to collect the assets and distribute the residue to the beneficiaries. During the administration of the estate, the beneficiaries became concerned when Penny had not accounted for the property they believed she had agreed to sell. They requested that Sherman contact Penny and demand the return of the property or its value. Sherman had some contact with Penny and then wrote her a demand letter on October 9, 1979.
The letter, which references the Florence Spencer Estate, states, “Unfortunately we are missing a significant amount of property and everyone I talked to indicates you have the property.” The letter details the various items at issue, and informs Penny that if satisfaction is not forthcoming, the estate will take legal action. The letter concludes:
If I do not hear from you by the 17th day of October, I will assume that you have these items and do not desire to pay the value or return the items to the estate and that suit will be necessary to resolve this one uncompleted matter within the estate. The choice is yours.
Penny responded by letter on October 15. Her letter summarizes the items in dispute and states that the items either were not left in her possession, were given to her in consideration for work done for the deceased, or had been disposed of pursuant to the beneficiaries’ request.
Sherman sent the personal representative a copy of Penny’s letter. Thereafter, the beneficiaries requested that Sherman contact the Center in an effort to collect the property or the money from its sale and in order to advise the Center of their problems with Penny.
As a result, Sherman communicated with Mr. Merrill Haines (“Haines”), director of the Center, in either the winter of 1979 or in January 1980, regarding the dispute between Penny and the estate. The nature of the communication does not appear in the record. Thereafter, at Haines’ request, Sherman sent him a copy of the demand letter. Penny based her action for libel on this act.
The probate proceeding was closed February 19, 1980. Sherman never brought action against Penny on behalf of the estate.
The trial court granted summary judgment on the grounds that Sherman’s letter was absolutely privileged, relying on Romero v. Prince, 85 N.M. 474, 513 P.2d 717 (Ct.App.1973). In granting summary judgment, the trial court noted that the publication was not libelous per se and expressed the view that the complaint was subject to dismissal for failure to allege either the requisite knowledge of extrinsic circumstances or special damages. We assume, but do not decide for purposes of this appeal, that the statements in the letter are libelous.
ABSOLUTE IMMUNITY
In Romero, we held an attorney’s letter absolutely privileged because it was reasonably related to the judicial proceeding in the course of which the statement was made. The Romero court relied on the Restatement of Torts Section 586 (1938) for the rule that:
“An attorney at law is absolutely privileged to publish false and defamatory matter of another in communications preliminary to a proposed judicial proceeding, or in the institution of, or during the course and as a part of a judicial proceeding in which he participates as counsel, if it has some relation thereto.”
85 N.M. at 476, 513 P.2d at 719. The Restatement (Second) of Torts Section 586 (1977) states essentially the same rule.
Penny contends that the trial court’s reliance on Romero in support of summary judgment was erroneous. She contends that Romero held that an essential element necessary to support the application of absolute privilege was “publication to a person with a direct interest in the judicial proceeding.” Penny contends that because Haines had no direct interest in the probate proceeding, publication of the letter to him was not privileged. We disagree.
Romero stands for the proposition that any letter from an attorney that is reasonably related to an ongoing or contemplated judicial proceeding is absolutely privileged. Those are the only requirements Romero applied to the question of whether a publication is absolutely privileged. Publication to a person with a direct interest in the judicial proceeding is not an independent element in the absolute privilege analysis. The direct interest of the recipient is one factor in the analysis of whether a publication has such a relation to a judicial proceeding that the absolute privilege applies.
Several courts have recognized absolute immunity for publication to an individual or organization without a direct interest in the relevant proceeding where the recipient nonetheless had some interest in the proceeding. See Libco Corp. v. Adams, 100 Ill.App.3d 314, 55 Ill.Dec. 805, 426 N.E.2d 1130 (1981) (holding that attorney’s letter to another attorney involved in a separate proceeding against a common defendant was privileged); Sriberg v. Raymond, 544
F.2d 15 (1st Cir.1976) (holding that an attorney was privileged in sending a copy of a demand letter to an escrow agent when the letter might have persuaded the agent to release disputed funds to the attorney’s client); Hagendorf v. Brown, 699 F.2d 478 (9th Cir.), modified, 707 F.2d 1018 (1983) (holding that an attorney was privileged in sending a demand letter that alleged copyright infringement not only to the author but also to the author’s publisher, which was a potential defendant in the prospective suit for infringement). The cases which have considered similar out-of-court communications to a third party have required that the recipient have an interest in or connection to the judicial proceeding and that the attorney’s communication have a sufficient relationship to the subject matter of the proceeding. See generally Annot., 23 A.L.R.4th 932 (1983).
The absolute privilege is based upon a public policy of securing to attorneys as officers of the court the utmost freedom in their efforts to secure justice for their clients. Restatement (Second) of Torts § 586 comment a. All doubt should be resolved in favor of recognizing the privilege. Russell v. Clark, 620 S.W.2d 865 (Tex.Civ.App.1981). Only in extreme cases will a publication made in connection with a judicial proceeding serve as the basis for a defamation action. Richeson v. Kessler, 73 Idaho 548, 255 P.2d 707 (1953).
The question of the relationship between the alleged defamatory matter and the proposed or existing judicial proceeding is a question of law to be determined by the court. Romero. If the communication to Haines was within the absolute immunity, summary judgment was proper. Given the principles governing the recognition of absolute immunity, we hold that the privilege applies in the circumstances of this case.
By its terms, the letter was a communication during the course of the probate of the estate designed to achieve the interests of Sherman’s clients. It was a demand letter written on behalf of the personal representative in an effort to accomplish his legal obligation to collect estate assets. Under the New Mexico Probate Code, the personal representative “shall take all steps reasonably necessary for the management, protection and preservation of the estate in his possession. He may maintain an action to recover possession of property or to determine the title thereto.” NMSA 1978, § 45-3-709. The substance of the letter related to the ongoing probate proceedings and to a potential suit related to those proceedings.
The question of the recipient’s interest in the probate proceeding or the potential suit is much more difficult. There is no allegation in the various affidavits filed with respect to the motion for summary judgment that the Center had any of the property.
There is, however, an allegation in an affidavit that prior to her death Ms. Spencer was a “client” of the Center. There are also allegations in the affidavits that Penny became acquainted with the decedent through the Center. Penny’s affidavit indicates that the heirs came to Deming before Ms. Spencer died and that she gave the personal representative information about the Deming area and services available to them and to Ms. Spencer. There is also an allegation that Haines asked for a copy of the letter after having been contacted by Sherman. Finally, the affidavits indicate that the Center has some public responsibility for the affairs of senior citizens and that the beneficiaries perceived Penny’s dealings with them as related to her job with the Center.
These allegations provide a basis for the Center’s interest in the probate proceedings. The Center is an organization with which the decedent had been associated. The beneficiaries were domiciled in another state. It was reasonable for the personal representative to consider the Center as a local resource for information and assistance in administering the estate. It was reasonable for the personal representative to complain to the Center about the dispute. Sherman was entitled to use the letter in confirming the existence, nature, and status of the dispute. Cf. Dempsky v. Double, 386 Pa. 542, 126 A.2d 915 (1956) (in which the court sustained publication of a letter to an organization which the writer hoped would cooperate in the letter’s request for an investigation).
Publication of the letter to Haines as the director of the Center was reasonably related to the ongoing judicial proceeding and, consequently, was absolutely privileged. We recognize that courts have refused to apply the absolute privilege to communications made to recipients wholly unrelated to the proceeding. Compare Kennedy v. Cannon, 229 Md. 92, 182 A.2d 54 (Ct.App.1962) (attorney’s communication with newspaper was outside absolute immunity) and Converters Equipment Corp. v. Condes Corp., 80 Wis.2d 257, 258 N.W.2d 712 (1977) (letters addressed by attorney to defendant’s customers, none of whom was connected with the lawsuit, was outside privilege). This is not such a case. Application of the privilege under these circumstances is consistent with the policy of according an attorney the utmost freedom in the legitimate pursuit of his client’s interests.
CONCLUSION
Under these circumstances, Sherman has established that he is entitled to judgment as a matter of law. Summary judgment for Sherman was proper.
Because we affirm on the absolute privilege issue, we do not reach the question of the sufficiency of Penny’s allegations of special damages.
IT IS SO ORDERED.
WOOD and HENDLEY, JJ., concur. | [
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OPINION
DONNELLY, Chief Judge.
Respondent appeals from a judgment of the district court in an action brought under the Revised Uniform Reciprocal Enforcement of Support Act (RURESA), NMSA 1978, Sections 40-6-1 to 40-6-41 (Repl.Pamp.1983), ordering him to pay monthly child support for his two minor children. Two issues are raised on appeal: (1) lack of jurisdiction; and (2) abuse of discretion in amount of award. We affirm.
The State of New Mexico, on behalf of Janulee Alleman (petitioner), filed a petition to enforce child support obligations against respondent, who resides in Bernalillo County. Petitioner’s amended petition alleged that she and the respondent were married in El Paso, Texas, in 1964, and that four children were born of their marriage, two of whom are still minors. Petitioner further alleged that the two minor children reside with her in Missouri and that respondent has refused and neglected to pay reasonable child support. Petitioner alleged that respondent was “in arrears with his child support in the amount of $11,325.00 as of August 31, 1982,” but that petitioner was willing to waive all but $5,850.00 of past due support.
Attached to the petition was an exemplified copy of a divorce decree filed February 5, 1979, entered by the Circuit Court of Cass County, Missouri. The decree dissolved the marriage relationship of the parties, awarded custody of the minor children to petitioner, and ordered respondent to pay child support in the amount of $75.00 per month for each of the two minor children. Also accompanying the amended petition was a copy of a document entitled “Testimony of Petitioner,” which contains petitioner’s sworn testimony relating to her action.
Respondent did not deny that he is the father of the two minor children, or owes a duty of support. However, he challenged the jurisdiction of the New Mexico court in the RURESA action to order child support. He also attacked the validity of the Missouri divorce decree on the grounds that the provisions of the judgment ordering the payment of child support were void for lack of personal jurisdiction.
Following the filing of the RURESA petition on November 23, 1982, in New Mexico, the district court appointed a special master to conduct a hearing. Respondent testified at the hearing. Respondent argued that no arrearages should be awarded because the Missouri court lacked personal jurisdiction over him at the time the divorce decree had been entered.
Following the hearing the special master filed his report with the district court. The special master found that service of process had not been effected so as to confer personal jurisdiction upon respondent by the Missouri court in the divorce proceeding and that the Missouri court was without sufficient jurisdiction to enter a valid judgment against respondent requiring the payment of child support. The special master also found that “Respondent is the father of and responsible for the support of the following minor children: Tonya Shoats born November 20, 1973 and Jana Shoats born February 25, 1975.” The findings further determined' that respondent had subsequently remarried, he now has a stepchild, and his net income is $457.08 every two weeks. The special master additional ly found that petitioner had also remarried, was residing in the house awarded to her by the Missouri court, and that the only evidence concerning the needs of the children was contained in the “Testimony of Petitioner.” In that document, petitioner stated that she needed “$75.00 per month per child, plus arrearages____”
The special master recommended that respondent be ordered to pay $275.00 per month beginning November 15, 1983, as child support, and that he be adjudicated to owe arrearages in the sum of $3,025.00 for the period from November, 1982, through October, 1983. . No child support arrearages based upon the Missouri divorce decree were approved. The amount of the arrearages determined to be owing were computed in accordance with the child support guidelines adopted by the Second Judicial District. Arrearages were ordered to be paid in the amount which respondent was found able to pay, effective from the date of the filing of the RURESA action in New Mexico.
I. Jurisdiction
Respondent contends that the district court lacked jurisdiction to order him to pay child support and to grant a judgment for child support arrearages because the Missouri court had not obtained in person-am jurisdiction over him at the time of the divorce proceeding, and because the New Mexico court found that the provisions of the Missouri decree ordering the payment of child support were not entitled to full faith and credit. Respondent was served in the Missouri divorce proceeding by constructive service. Respondent further asserts that the district court in New Mexico exhausted its jurisdiction when it refused to give full faith and credit to the Missouri court decree.
Respondent misconstrues the effect of proceedings brought to enforce child support obligations under the provisions of RURESA as adopted in this state. The purpose of RURESA is to enable a dependent in one state to initiate proceedings in the state of his or her domicile for the purpose of securing money for support from a person residing in another state (the responding state) who is legally liable for the support of a dependent. State ex rel. Arvayo v. Guerrero, 21 Ariz.App. 173, 517 P.2d 526 (1973); see also Annot., 42 A.L. R.2d 768 (1955).
A RURESA action envisages the commencement of the action by the obligee in the initiating state and a determination that the obligor owes a duty of support and that his property may be subject to the jurisdiction in a responding state. NMSA 1978, § 40-6-14 (Repl.Pamp.1983).
The legislation is intended to provide an inexpensive means to enforce support obligations. Altman v. Altman, 101 N.M. 380, 683 P.2d 62 (Ct.App.1984). The act provides remedies in addition to, and not in substitution for, any and all other remedies existing in the initiating and responding states, and furnishes an auxiliary or supplementary remedy in the responding state for the enforcement of orders of support. NMSA 1978, § 40-6-3 (Repl.Pamp.1983). See also Ray v. Pentlicki, 375 So.2d 875 (Fla.App.1979); State ex rel. Arvayo v. Guerrero.
The role of the trial court in the responding state is to determine whether the parent owes a duty of support and, if duty is found to exist, to order enforcement of that duty. NMSA 1978, §§ 40-6-18, 40-6-19 and 40-6-23 (Repl.Pamp.1983). The RURESA authorizes both the finding and enforcement of a duty of child support by the responding state, even where a duty of support has not been previously adjudicated in the initiating state, Clarkston v. Bridge, 273 Or. 68, 539 P.2d 1094 (1975); Daly v. Daly, 21 N.J. 599, 123 A.2d 3 (1956); and irrespective of the existing relationship between the parties. Davis v. Davis, 246 Iowa 262, 67 N.W.2d 566 (1954).
In a RURESA proceeding initiated in another state and filed in the district court in New Mexico as the responding state, all that is needed for proper jurisdiction is the presence of the person owing support in New Mexico, the presence of the child or person owed support in another state, and the existence of a duty of support under the laws of the responding state. Natewa v. Natewa, 84 N.M. 69, 499 P.2d 691 (1972). Under NMSA 1978, Sections 40-6-4 and 40-6-7 (Repl.Pamp.1983), the duty of support imposed by the laws of this state or. the laws of the state where respondent was present for any period during which support is sought are binding upon the respondent regardless of the presence or residence of the petitioner-obligee.
The requisites spelled out in Natewa were present in the instant case. In State ex rel. Terry v. Terry, 80 N.M. 185, 453 P.2d 206 (1969), it was held that under New Mexico law a parent has a duty to support his or her minor children, the obligation is enforceable under RURESA, and such obligation is not dependent upon the prior entry of a decree of legal separation or dissolution of marriage. A petition filed in this state under RURESA seeking enforcement of child support is not barred by a showing that there is a pending action in New Mexico or some other state for divorce, separation, annulment, dissolution, habeas corpus, adoption or custody between the same parties, or by the fact that another court may have already issued a support order in another proceeding and retained jurisdiction for its enforcement. NMSA 1978, § 40-6-ll(B) (Repl.Pamp. 1983).
The district court had subject matter jurisdiction to order respondent to pay child support. NMSA 1978, § 40-4-7 (Repl. Pamp.1983). The power of the district court in this state acting as the responding court is not limited to enforcement of the support order of the initiating state. See Olson v. Olson, 534 S.W.2d 526 (Mo.App. 1976).
Respondent also contends under his first point that the district court erred in finding duty of support independent of the purported order of the Missouri court. Respondent contends that under the holding in Zarges v. Zarges, 79 N.M. 494, 445 P.2d 97 (1968), even when a court has general jurisdiction, it does not have the power to determine questions which are not presented to it by the parties in their pleadings and in the manner and form prescribed by law. The petition in this case, however, reveals that petitioner sought the entry of “an order for support, directed to * * * respondent, as shall be deemed to be fair and reasonable * * * and for such other and further relief as the law provides.”
In this posture the district court had jurisdiction to order respondent to pay monthly child support. Moreover, nothing in the record before us indicates that respondent raised the issue of the sufficiency of the pleadings on this matter in the trial court. Issues may not be raised for the first time on appeal unless they come within one of the exceptions enumerated in NMSA 1978, Crim., Child.Ct., Dom.Rel. & W/C App. Rule 308 (Repl.Pamp.1983). State v. Aranda, 94 N.M. 784, 617 P.2d 173 (Ct.App.1980). The exceptions stated in Rule 308 do not apply to the case at bar.
The district court had both subject matter and personal jurisdiction in the action herein.
II. Amount of Award
Respondent contends that, even if the district court had jurisdiction to order the payment of child support under the RURESA action, the court erred in setting the amount of the award and the award was not supported by evidence.
In considering this contention we are confronted at the outset with a defect in the record before us. The record on appeal does not contain any testimony presented before the special master and no timely objection to the failure to transcribe the proceedings appears of record. It is the duty of a party on appeal to see that a proper record has been made of the trial court’s proceedings. Niederstadt v. Ancho Rico Consolidated Mines, 88 N.M. 48, 536 P.2d 1104 (Ct.App.), cert. denied, 88 N.M. 29, 536 P.2d 1085 (1975). Respondent had the duty to request a record of the testimony and evidence before the special master. See NMSA 1978, Civ.P.R. 53(c) (Repl.Pamp. 1980).
Where the record is incomplete, the ruling of the trial court is presumed to be supported by the evidence, and one seeking to challenge the sufficiency of the evidence on appeal has the burden of establishing the error in the record below. See Michael v. Warner/Chilcott, 91 N.M. 651, 579 P.2d 183 (Ct.App.), cert. denied, Robbins v. Michael, 91 N.M. 610, 577 P.2d 1256 (1978). Because this court cannot review matters outside the record, State v. Gilbert, 100 N.M. 392, 671 P.2d 640 (1983), cert. denied, — U.S. -, 104 S.Ct. 1429, 79 L.Ed.2d 753 (1984), there is nothing to review regarding respondent’s attack on the validity of the award. The award was based upon evidence not before this court and accordingly, the ruling of the trial court will not be disturbed.
Respondent further asserts that since the Missouri court found that the amount of child support which was needed by petitioner was $75.00 per month per child, it was error for the New Mexico court to award a different sum, an amount in excess of that which the Missouri tribunal found was needed or to grant arrearages. We disagree.
The responding state in a RURESA proceeding has the authority to make an independent finding on the amount of support necessary for the maintenance of a minor child, regardless of the amount which may have been set by another court. Jaramillo v. Jaramillo, 27 Wash.App. 391, 618 P.2d 528 (1980); Olson v. Olson; Whittlesey v. Bellah, 130 Cal.App.2d 182, 278 P.2d 511 (1955). Moreover, in a RURESA action a responding court has discretionary equitable power to make an order of child support retroactive to the date a complaint is received and filed with the responding state. Sedelmeyer v. Sedelmeyer, 167 N.J.Super. 175, 400 A.2d 571 (1979); see also Henderson v. Lekvold, 99 N.M. 269, 657 P.2d 125 (1983); Chavez v. Chavez, 98 N.M. 678, 652 P.2d 228 (1982); Montoya v. Montoya, 95 N.M. 189, 619 P.2d 1233 (1980).
The order of the district court ordering the payment of child support commencing as of the date of the filing of the petition for RURESA in this state is affirmed.
IT IS SO ORDERED.
HENDLEY and ALARID, JJ., concur. | [
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OPINION
ALARID, Judge.
Chavez Concrete & Excavation Contractors, Inc., and Rockwood Insurance Company (defendants) appeal the decision of the trial court in favor of Santiago Roybal (plaintiff). In their appeal defendants raise two issues: first, that the court’s judgment, which granted plaintiff full worker’s compensation benefits for the period required by Section 52-1-43 of the Workmen’s Compensation Act, NMSA 1978, Sections 52-1-1 to -69 (Orig.Pamp. and Cum. Supp.1984), was in conflict with the court’s earlier findings of fact, and, second, that credit should have been given to defendants for pre-judgment overpayments. We find the first issue to have merit, and we reverse and remand for entry of a new judgment which conforms to the court’s findings. Upon remand, the trial court is to decide the credit issue identified in this opinion.
FACTS
Plaintiff was injured while working as a cement finisher on May 21, 1980, when he fell half the way down a 75-foot stairway. As a result of the fall, plaintiff fractured his ribs and injured his knee and underwent surgery to repair his knee the next day. He had two more surgical procedures on his leg, the last occurring in December of 1980. Plaintiff's surgeon, Dr. Barry Marón, testified that he was not totally disabled after the third surgery, but rather suffered from a permanent fifteen to twenty percent impairment of his knee. This lawsuit involves only the knee injury.
Plaintiff was paid total temporary disability from the date of the accident to September 10, 1982, the date when defendants reduced plaintiff’s compensation to $28.01 — fifteen percent of the maximum compensation rate. Suit was filed on January 15, 1982 for medical transportation expenses. After the reduction of benefits, the complaint was amended to contest the reduction.
After trial, the court found that “[a]s a natural and direct result of his left knee injury, Plaintiff has a 15-20% impairment (loss of use) of the left leg between the knee and ankle.” The trial court further concluded that “[pjlaintiff’s sole injury was to a scheduled member * * *.” Defendants then moved to amend conclusion of law number eight to reflect the percentage — either fifteen or twenty percent — of the scheduled member award. The trial court reserved judgment on this motion, although it indicated at the hearing on this motion that it believed its intent was to keep the fifteen to twenty percent impairment. At the hearing on attorney fees, conducted after entry of the court’s findings and conclusions, defendants moved orally for an award of credit for prior over-payments. The trial court denied this motion for the reason that it was not presented to the court earlier and, thus, not preserved. Defendants then moved for a rehearing on this issue. The court never acted on this motion. On appeal, the parties proceed on the assumption that the unruled on motion was denied by operation of law. Without considering the propriety of the assumption, we proceed on the same basis.
The court’s judgment directed that plaintiff should recover the full compensation benefits for the maximum number of weeks allowable on the schedule for injuries to a leg between a knee and an ankle from September 10, 1982, pursuant to Section 52-l-43(A)(31).
DISCUSSION
I. A JUDGMENT, WHICH CONFLICTS WITH THE COURT’S FINDINGS OF FACT AND CONCLUSIONS OF LAW, MUST BE REDRAFTED TO CONFORM.
Defendants contend that the trial court’s findings and conclusions generally, and particularly numbers sixteen and seventeen and conclusion number eight, conflict with the court’s judgment. Finding sixteen declared that the knee injury left plaintiff with “a 15-20% impairment (loss of use) of the left leg between the knee and ankle.” Finding seventeen determined that plaintiff had no other separate and distinct injury to any other part of his body. In conclusion eight, the trial court states that plaintiff’s recovery is set forth in the schedule, plus total temporary disability from the date of the accident to December 22, 1980.
Section 52-l-43(B) provides that for a partial loss of use of one of the body members or physical functions listed in the schedule, “the workman shall receive compensation computed on the basis of the degree of such partial loss of use, payable for the number of weeks applicable to total loss or loss of use of that body member * * *.” Id. (emphasis added).
The trial court’s finding number sixteen of fifteen to twenty percent loss of use effectively compels the trial court to order a judgment accordingly. See Sachs v. Board of Trustees of Town of Cebolleta Land Grant, 89 N.M. 712, 557 P.2d 209 (1976). The judgment ordering payment of 100% of the amount of the compensation rate is in conflict with the court’s findings. When a finding supported by substantial evidence conflicts with an opinion, the finding prevails. In Re Will of Carson, 87 N.M. 43, 529 P.2d 269 (1974). The testimony of Dr. Marón supported the finding as to partial loss of use and the finding on the absence of a separate and distinct impairment to another part of the body.
This finding also conflicts with conclusion number eight, which grants recovery as set out in the schedule. The section cited, Section 52-l-43(A)(31), contemplates that defendant receive compensation for total loss of use. The provision for a percentage payment for a partial loss of use is contained in Section 52-l-43(B). Because the finding also prevails over a conflicting conclusion, In Re Will of Carson, the finding of only a percentage of impairment must prevail.
Therefore, the finding must prevail and this portion of the trial court’s judgment which awards full compensation for 130 weeks is reversed and remanded with directions to vacate the order and to enter judgment for compensation based on a specific percentage of loss of use as the “degree of such partial use,” see Section 52-1-43(B), must be determined in order to compute the monetary amount of compensation to which plaintiff was entitled. Thus, upon remand, the trial court is directed to delete “15-20%” from its finding sixteen and substitute a specific percentage amount. A trial court, when requested, must find one way or another on a material fact issue. Aguayo v. Village of Chama, 79 N.M. 729, 449 P.2d 331 (1969).
However, a further modification of the judgment is required. In its conclusion number eight, the trial court determined that the healing period ended on December 22,1980. We read this as a finding of fact. See Clark v. Duval Corp., 82 N.M. 720, 487 P.2d 148 (Ct.App.1971). In the court’s judgment, the healing period can only be interpreted as ending on September 10, 1982. Defendants do not challenge this finding; neither does plaintiff, who reminds us that the district court findings must be accepted as true. Unless findings are directly attacked, they are the facts on appeal. Wood v. Citizens Standard Life Insurance Co., 82 N.M. 271, 480 P.2d 161 (1971). In his answer brief, plaintiff asserts the trial court’s judgment was correct because of an asserted lack of evidence “establishing Plaintiffs’ [sic] non-disability during the time he was paid.” If this was intended as an attack on the finding it was deficient under State ex rel. Newsome v. Aland, 90 N.M. 790, 568 P.2d 1236 (1977). However, even if there was an attack on the finding, it will not be reviewed because plaintiff has not proceeded under NMSA 1978, Civ.App.Rule 3(b) (Repl.Pamp.1984).
We accept as true the finding that the healing period ended on December 22,1980. Accordingly, the judgment on remand shall provide that the scheduled number of weeks of compensation is to run from December 22, 1980.
Plaintiff’s main argument, in defense of the judgment, is based on a misreading of the findings. He asserts that in finding seventeen the trial court found a total loss of use, and in finding sixteen the trial court found a fifteen to twenty percent impairment. We disagree. Finding sixteen, previously quoted, clearly states a fifteen to ■twenty percent loss of use. Finding seventeen refers to the injury and “resulting loss of use.” Finding seventeen must be read in conjunction with finding sixteen.
II. CREDIT FOR PRE-JUDGMENT OVERPAYMENTS.
Defendants further argue that the trial court erred in not crediting them with past overpayments of benefits. Defendants assert that they “do not seek to recover from Plaintiff overpayments paid to Plaintiff,” but rather “simply seek to have the * * * overpayments credited against their obligations to Plaintiff as determined by the trial court.”
The trial judge denied the motion for credit at the attorney fees hearing on the basis that it was untimely. We disagree for two reasons. First, in their answer defendants pled the affirmative defense of payment:
Defendant, Rockwood Insurance Company, has paid any and all compensation and medical payments due for any accidents suffered by Plaintiff, and Plaintiff has no claim against these Defendants.
The “credit” sought was credit for payments that had been made, and, as such, was not an issue separate from the payments. Therefore, the issue of credit was properly before the trial court throughout the litigation. Defendants then properly invoked a decision by the court at the attorney fees hearing. NMSA 1978, Crim., Child.Ct., Dom.Rel. & W/C App.R. 308 (Repl.Pamp.1983). The issue is also properly before this court. Id.
Second, we agree, as defendants contend, that the credit issue is not new and “goes only to the interpretation of the judgment and the reconciliation of the judgment with the Court’s findings and conclusions.” As we understand the credit argument preserved by defendants, it is limited to the credit that the judgment should have reflected had it been consistent with the findings of fact.
Defendants’ requested findings presented the court with two alternative theories: that plaintiff did not sustain compensable injury, or that plaintiff suffered a fifteen to twenty percent impairment to his left leg between the knee and ankle after his healing period which lasted until December 22, 1980. The trial court accepted defendants’ second theory.
The findings of fact and conclusions that the trial judge entered were consistent with the second theory. See NMSA 1978, Civ.P.R. 52(B)(1)(b) (Repl.Pamp.1980). Until the attorney fee hearing, defendants ap parently believed, and were entitled to assume, that the judgment would be consistent with the findings and conclusions. Under the circumstances, the fact that defendants did not request specific findings does not preclude our review on appeal. See App.R. 308.
A judgment cannot be sustained on appeal unless the conclusion on which it is based finds support in one or more findings of fact. Thompson v. H.B. Zachry Co., 75 N.M. 715, 410 P.2d 740 (1966). The parties appeared to discover the ambiguity in the trial court’s decision at the hearing on attorney fees. The hearing reflects the confusion between the parties and the court as to what the findings and conclusions meant. Defendants argued for a credit based on the amount of the award mandated by the findings and conclusions. Plaintiff’s counsel then observed that there was a “misunderstanding” about the amount of the award. Defendants brought the ambiguity to the trial judge’s attention and thereafter, at his suggestion, defendants moved for rehearing. These actions were sufficient to preserve the issue of whether the judgment was consistent with the findings and conclusions. That issue includes the question of whether the trial judge correctly credited defendants with payments made prior to judgment. See § 52-l-38(A).
Under the trial court’s findings, plaintiff was entitled to total disability payments from May 21, 1980, to December 22, 1980. Thereafter, plaintiff was entitled to a partial loss of use for 130 weeks. Section 52-l-43(A)(31). Plaintiff’s entitlement to compensation ended on June 22, 1983. Defendants paid total disability through September 10, 1982. Clearly, this covered partial loss of use payments through September 10, 1982.
The trial court also found that defendants paid at the rate of fifteen percent, or $28.01 per week, from September 10, 1982, to the time of trial, which was August 29, 1983. Defendants paid past the time that compensation should have ended.
If, on remand, the trial court determines that fifteen percent applies, there is no credit issue left to determine because that amount has been paid.
If, on remand, the trial court determines that twenty percent applies, there is a limited credit issue. The twenty percent figure (twenty percent of $186.76) equals $37.35 per week. The difference amounts to $9.34 per week. From September 10, 1982 to June 22, 1983, under the twenty percent figure, plaintiff was entitled to $37.35 for 285 days, or 40-% weeks. This equals a total of $1,520.68. Because defendants paid $28.01 from September 10, 1982 to August 29, 1983, a period of 50-% weeks, plaintiff received a total of $1,412.50. The difference is $108.18, or the amount of compensation owed if credit is given for payments made after June 22, 1983. If credit for payments made after June 22, 1983 is not given, the difference is $272.09 (50-% minus 40-% times $28.01).
Two credit issues are involved on remand: First, whether credit is to be given to defendants’ payments made after June 22, 1983 (the end of the entitlement), and, second, whether credit is to be given for overpayments of total disability during the time plaintiff was only entitled to partial loss of use, December 22, 1980 to September 10, 1982. These issues are to be decided pursuant to Paternoster v. La Cuesta Cabinets, Inc., 101 N.M. 773, 689 P.2d 289 (Ct.App.1984).
Reversed and remanded for entry of a new judgment which conforms to the findings, for a determination of the exact percentage of loss of use, and for a determination of the form of credit should the twenty percent figure be adopted.
No attorney fees are awarded on appeal. Upon remand, the trial court may reconsider its attorney fees award. No costs are to be awarded.
IT IS SO ORDERED.
WOOD and MINZNER, JJ., concur. | [
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OPINION
BLACK, J.
The previous opinion is withdrawn and the following is substituted in its place.
Defendants Margaret Guzman and Linda Gutierrez were convicted of possession of marijuana with intent to distribute, see NMSA 1978, § 30-31-22(A) (Cum.Supp. 1994), conspiracy to commit distribution of marijuana, see NMSA 1978, § 30-28-2 (Repl. Pamp.1994), and possession of drug paraphernalia, see NMSA 1978, § 30-31-25.1(A) (Repl.Pamp.1989). On appeal, Defendants argue that: (1) the State’s use of all of its peremptory challenges against Hispanic prospective jurors established a prima facie case of discrimination and the district court erred in accepting the State’s racially neutral explanations; (2) there was insufficient evidence to support the convictions; (3) Guzman’s right to confront witnesses against her was violated by the admission of hearsay statements by Gutierrez; and (4) the closing argument of the prosecutor referring to Defendants’ receipt of welfare denied Defendants a fair trial. We reverse and remand on the first issue, which is the only one which merits publication. We consider the other issues in a memorandum opinion only as they may arise on remand.
I. BACKGROUND
Detective Brian Sallee of the Albuquerque Police Department testified that he executed a search warrant for the residence in question on March 25, 1992. In the southeast bedroom, Detective Sallee found and seized a “water bong,” a device used to smoke marijuana. In the southwest bedroom, Detective Sallee found and seized four sandwich bags containing a total of .55 ounces of marijuana and a letter addressed to Guzman. In a third bedroom, Detective Sallee found and seized a scale, four sandwich bags containing 1.9 ounces of marijuana, and a pipe used to smoke marijuana.
Detective Donavon Roberts testified that he was present for the search and handled the paperwork. He stated that he found a bag of marijuana, weighing .05 ounces, sitting on top of a box in a kitchen cabinet. He also stated that he seized marijuana found on the kitchen counter.
Officer Cindy Sallee testified that she was called to search Guzman and that she found three baggies of marijuana in Guzman’s bra, one packaged by itself and two in a sandwich bag. The total weight of this marijuana was 1.5 ounces.
Detective Jim Zamora testified that he surveilled the residence before the search. He testified that he watched for approximately two hours because he wanted to make sure someone was there when police executed the warrant. He also stated that two to four times people drove up to the apartment, went in for three to four minutes, and came out.
Following voir dire, the prosecutor used all five of his peremptory challenges against Hispanic prospective jurors. Counsel for Gutierrez objected, noting: “The State has exerted five strikes. So far, each and every one has been a Hispanic venireman.” Although the district court did not rule that counsel for Gutierrez had made a prima facie showing of discriminatory intent, the prosecutor immediately advanced a “racially neutral” explanation for each strike.
After counsel for Gutierrez used his last peremptory challenge, the prosecution also raised an objection to the Defendants’ use of peremptory challenges, noting that six out of the seven strikes used by the two Defendants were against individuals with “Anglo surnames.” Defense counsel responded that Anglos are not a recognized class, Anglos remained on the jury, and the prosecutor had failed to make a record on ethnicity. The court noted, however, that while there was not a specific record on ethnicity, the jurors struck by the defense were “not Hispanic.”
II. PEREMPTORY CHALLENGES
Defendants argue that the State’s use of five out of five peremptory challenges against Hispanic prospective jurors was racially motivated and violated Defendants’ constitutional rights. In response, the State argues that Defendants failed to establish a prima facie case that the State purposefully discriminated against Hispanic prospective jurors, and, even if Defendants had established a prima facie case of purposeful discrimination, the prosecutor satisfied his burden of providing race-neutral explanations for his peremptory challenges.
A review of United States Supreme Court cases establishing the constitutional parameters of the limitations on peremptory challenges indicates the prohibition is grounded not only in a defendant’s right to a fair cross-section of jurors but also in the principle that all citizens have the right to participate in jury service. The Supreme Court first dealt with this issue more than a century ago in Strauder v. West Virginia, 100 U.S. 303, 25 L.Ed. 664 (1879). In that case, the Supreme Court held a state statute which denied “colored people” the right to act as jurors violated the equal protection provision of the Fourteenth Amendment to the United States Constitution. Id. at 307-OS.
Ninety years later, the Supreme Court again emphasized the importance of the right of prospective jurors not to be excluded from-service on the basis of race in Carter v. Jury Commission, 396 U.S. 320, 90 S.Ct. 518, 24 L.Ed.2d 549 (1970). In that case, black citizens of Greene County, Alabama, filed suit alleging they were qualified and willing to serve as jurors but had never been summoned. In holding that the petitioners had standing to bring the claim, the Supreme Court made it clear that it was not only the criminal defendants’ constitutional rights that must be protected: “Defendants in criminal proceedings do not have the only cognizable legal interest in nondiscriminatory jury selection. People excluded from juries because of their race are as much aggrieved as those indicted and tried by juries chosen under a system of racial exclusion.” Id. at 329, 90 S.Ct. at 523.
In 1986, the Supreme Court decided Batson v. Kentucky, 476 U.S. 79, 106 S.Ct. 1712, 90 L.Ed.2d 69 (1986). In Batson the Court held that the Equal Protection Clause of the Fourteenth Amendment prohibits a state from using peremptory challenges to eliminate prospective jurors on the basis of race. Once again, the Supreme Court noted this prohibition protected both defendants and prospective jurors:
Racial discrimination in selection of jurors harms not only the accused whose life or liberty they are summoned to try. Competence to serve as a juror ultimately depends on an assessment of individual qualifications and ability impartially to consider evidence presented at a trial. A person’s race simply “is unrelated to his fitness as a juror.” As long ago as Strauder, therefore, the Court recognized that by denying a person participation in jury service on account of his race, the State unconstitutionally discriminated against the excluded juror.
Id. at 87, 106 S.Ct. at 1718 (citations omitted).
In Powers v. Ohio, 499 U.S. 400, 111 S.Ct. 1364, 113 L.Ed.2d 411 (1991), the Supreme Court recognized that parties to the litigation were often the logical ones to protect the rights of prospective jurors to be free from unseen discrimination. Speaking for the Court, Justice Kennedy stated the nature of the right: “An individual juror does not have a right to sit on any particular petit jury, but he or she does possess the right not to be excluded from one on account of race.” Id. at 409, 111 S.Ct. at 1370. Justice Kennedy then noted that the result of active discrimination in jury selection “condones violations of the United States Constitution within the very institution entrusted with its enforcement, and so invites cynicism respecting the jury’s neutrality and its obligation to adhere to the law.” Id. at 412, 111 S.Ct. at 1371. Finally, he explained the nexus between a defendant’s light to an impartial jury and the right of prospective jurors not to be subjected to unconstitutional discrimination:
Both the excluded juror and the criminal defendant have a common interest in eliminating racial discrimination from the courtroom. A venireperson excluded from jury service because of race suffers a profound personal humiliation heightened by its public character. The rejected juror may lose confidence in the court and its verdicts, as may the defendant if his or her objections cannot be heard. This congruence of interests makes it necessary and appropriate for the defendant to raise the rights of the juror. And, there can be no doubt that petitioner will be a motivated, effective advocate for the excluded venirepersons’ rights. Petitioner has much at stake in proving that his jury was improperly constituted due to an equal protection violation, for we have recognized that discrimination in the jury selection process may lead to the reversal of a conviction.
Id. at 413-14, 111 S.Ct. at 1372.
The following year the Supreme Court again considered the significance of the Fourteenth Amendment’s equal protection mandate on the jury selection process. In Georgia v. McCollum, 505 U.S. 42, 112 S.Ct. 2348, 120 L.Ed.2d 33 (1992), the Supreme Court held that a criminal defendant’s use' of peremptory challenges was “state action” for equal protection clause purposes and therefore a defendant could not purposefully discriminate in the exercise of such challenges. Id. at 49-57, 112 S.Ct. at 2354-57. In so holding, the Supreme Court recognized the logical converse of Powers, i.e., that the state also had standing to protect the rights of prospective jurors to equal protection of the law. Id. at 57, 112 S.Ct. at 2357. Finally, the Court rejected the argument that defendant’s right to a fair trial would be compromised by any limitation on the use of peremptory challenges. “It is an affront to justice to argue that a fair trial includes the right to discriminate against a group of citizens based upon their race.” Id. at 57, 112 S.Ct. at 2358.
The United States Supreme Court has made it clear that each prospective juror has the right not to be discriminated against. Various states, including New Mexico, have also recognized that the Batson rationale not only protects a defendant’s right to an impartial jury, but also protects prospective jurors from discriminatory exclusion. See, e.g., State v. Gonzales, 111 N.M. 590, 595, 808 P.2d 40, 45 (Ct.App.), cert. denied, 111 N.M. 416, 806 P.2d 65 (1991); State v. Parker, 836 S.W.2d 930, 933 (Mo.) (en banc), cert. denied, — U.S. -, 113 S.Ct. 636, 121 L.Ed.2d 566 (1992); People v. Jenkins, 75 N.Y.2d 550, 555 N.Y.S.2d 10, 554 N.E.2d 47, 51 (1990). See also Albert W. Alschuler, The Supreme Court and the Jury: Voir Dire, Peremptory Challenges, and the Review of Jury Verdicts, 56 U.Chi.L.Rev. 153, 193 (1989).
The record indicates that the district court may have operated under a misapprehension that the prohibition against using peremptory challenges to discriminate against prospective jurors on racial or ethnic grounds is based exclusively on a defendant’s right to have a representative cross-section of the community on the jury. In rejecting Defendants’ challenge, for example, the district court made several observations relevant to our determination of this issue. Initially, the district court ruled: “I don’t find any eon[e]erted plan to restrict the make up of the jury. I find that the stated reasons are sufficient, particularly in view of the preponderance of accepted Hispanic surnamed jurors.” (Emphasis added.) After further argument by counsel, the court observed:
The jury process is to obtain a fair jury and Batson dealt with that issue of fairness and ruled that there was a very limited number of one category of juror and that was all eliminated, but that’s not true here. They are not all eliminated, quite the contrary. A majority is retained.
(Emphasis added.)
The district court appears to have focused primarily on whether the actual jury fairly reflected the ethnicity of the venire. The district court specifically found “the stated reasons are sufficient, particularly in view of the preponderance of accepted Hispanic surnamed jurors.” While this is relevant to the immediate concerns of Defendants as to whether they had a jury representative of a cross-section of the community, it does not address the right of the stricken prospective jurors to equal protection of the law. Indeed, it is the stigma attached to the disqualification of a juror because he or she appears to be of a particular racial or ethnic group that the Supreme Court has has attempted to prevent since Strauder.
In its motion for rehearing the State, for the first time, argued that State v. Neely, 112 N.M. 702, 713, 819 P.2d 249, 260 (1991), “expressly held that ‘[a]n analysis of hispanic surnames, without more, is not an adequate indicator of whether an individual is of híspame descent.’” However, in Neely, our Supreme Court was dealing with the defendant’s challenge to the jury venire because it was not compiled from driver’s license records and therefore “her right to a jury comprised of a fair cross[-]section of the community was denied.” Id. Once again, then, the State confuses Defendants’ right to a jury drawn from a representative cross-section of the community and the right of prospective jurors not to be rejected on the basis of ethnicity, real or perceived. In any event, when defense counsel identified the challenged jurors as Hispanic based on their surnames, the prosecutor did not contest that identification. Even granting the State’s contention that Defendants have the burden of establishing the ethnicity of stricken jurors when making a Batson claim, identification by surname is sufficiently reliable to satisfy that burden in the absence of any objection by opposing counsel.
Each of the prospective jurors stricken by the State had a Hispanic surname. Hispanies are a cognizable group for purposes of Batson inquiry. See United States v. Rudas, 905 F.2d 38, 41 (2d Cir.1990); see also People v. Sanders, 51 Cal.3d 471, 273 Cal.Rptr. 537, 550, 797 P.2d 561, 574 (Cal.1990) (en banc) (Spanish surname sufficient proof of ethnicity under Batson), cert. denied, 500 U.S. 948, 111 S.Ct. 2249, 114 L.Ed.2d 490 (1991). On the other hand, the defense used six out of seven of its peremptory strikes on “Anglos,” i.e., those with non-Hispanic surnames. While Batson prevents intentional discrimination against “whites,” see, e.g., Government of the Virgin Islands v. Forte, 865 F.2d 59, 64 (3d Cir.1989), aff'd, 904 F.2d 694 (1990), cert. denied, 500 U.S. 954, 111 S.Ct. 2262, 114 L.Ed.2d 714 (1991); Roman v. Abrams, 822 F.2d 214, 227-28 (2d Cir.1987), cert. denied, 489 U.S. 1052, 109 S.Ct. 1311, 103 L.Ed.2d 580 (1989), no reported cases have been found using the “Anglo” label, which appears largely unique to the Southwest, see Rubén Cobos, A Dictionary of New Mexico and Southern Colorado Spanish 10 (defining “anglo” as an adjective or noun “applied loosely in New Mexico and southern Colorado to any white European mixture”). Nonetheless, Anglos are a cognizable racial group in New Mexico, and disqualification of prospective Anglo jurors because they are of one ethnicity, or are not of another, is prohibited.
We now apply these principles to the record before us. In the present case, the prosecutor offered several explanations other than race for his exclusion of Hispanic surnamed prospective jurors. He argued that two were “young,” and, since Guzman was young, they might identify with her. This does not pass Batson scrutiny, since Defendants were a mother and daughter, and older prospective jurors who might identify with Gutierrez were allowed to sit. Moreover, the prosecutor did not use peremptory strikes to eliminate two Anglo prospective jurors who were also in their twenties. The prosecution also argued that two of the Hispanic prospective jurors were stricken because they had “less responsible jobs involving less education.” Again, however, two of the Anglo prospective jurors accepted had education and jobs somewhat comparable to the stricken Hispanies. Because of the presence of Anglo jurors whose characteristics were comparable to those relied upon to exclude Hispanic jurors, the State failed to satisfy its burden of providing a racially neutral explanation. See Jones v. Ryan, 987 F.2d 960, 973 (3d Cir.1993); United States v. Chinchilla, 874 F.2d 695, 699 (9th Cir.1989). A new trial is the appropriate remedy on the present record. See Jackson v. State, 594 So.2d 1289, 1294 (Ala.Crim.App.1991), cert. denied (Ala. Feb. 28, 1992).
The State argues that Guzman waived this issue because only counsel for Gutierrez raised the issue in the district court. While a defendant can waive this issue, we read the record to indicate counsel for Gutierrez to be raising the issue on behalf of both Defendants. For example, immediately after the process of challenging prospective jurors resumed, counsel for Gutierrez said, “[w]e strike[,]” to which the court responded: “Which Ve?’ ” A new trial is therefore required for both Defendants.
III. CONCLUSION
For the above reasons, a new trial is required. This case is therefore reversed and remanded for a new trial.
IT IS SO ORDERED.
HARTZ and FLORES, JJ., concur. | [
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] |
OPINION
WOOD, Judge.
Ellis Loyd Foster (decedent) died July 13, 1983. The trial court denied probate of his alleged will and ruled that he died intestate. The trial court awarded attorney fees to respondents, who opposed probate of the alleged will. Price, the sister of decedent, had offered the alleged will for probate. Price appeals, contending (1) the alleged will should have been admitted to probate; (2) the trial court lacked subject matter jurisdiction to consider the question of attorney fees; and (3) the trial court lacked authority to award attorney fees. Statutory references are to NMSA 1978.
Upon her petition filed July 18, 1983, Price was appointed special administrator until a personal representative was appointed. Respondents are nephews and nieces of decedent. Foster, one of the respondents, petitioned for appointment as special administrator on September 15, 1983. Respondents, by joint motion filed September 29^ 1983, sought the removal of Price as special administrator. Price and Moore (another respondent) were appointed special co-administrators on November 1,1983. In January 1984, respondents alleged that Price was not complying with the requirement of joint action contained in the order of November 1, 1983. The trial court, on January 30, 1984, divided the duties of Price and Moore. Price was to be responsible for managing the oil and gas properties and liquid assets of the estate; Moore was to be responsible for managing the ranch.
The activities of Price and Moore as special co-administrators are not issues in this appeal. The fact of co-administration, pending appointment of a personal representative, illustrates the division of the heirs into two factions — Price and respondents. The co-administration is pertinent to the issue of subject matter jurisdiction.
PROPRIETY OF REFUSING PROBATE OF THE ALLEGED WILL
On October 13, 1983, Price, as an individual, petitioned for formal probate of an alleged will said to have been discovered subsequent to the petition filed on July 18, 1983, which sought an adjudication of intestacy. The alleged will left decedent’s entire estate to Price if Price survived decedent.
Respondents opposed admission of the alleged will to probate on the ground that “the alleged will was not executed by” decedent. See § 45-3-404. After trial on the issue of “due execution,” the trial court found that the name of the decedent appearing on the alleged will “is a non-genuine simulated signature, is not the signature of the decedent ... and is not in the handwriting of” decedent.
Price’s attack on the propriety of the trial court’s ruling is directed to the evidence. However, Price’s discussion of the evidence is on the basis that respondents had the burden of persuasion. This is incorrect; respondents did not have the burden of persuasion. Because they did not, a detailed review of the evidence is not necessary.
Section 45-3-407 provides:
In contested cases, petitioners who seek to establish intestacy have the burden of establishing prima facie proof of death, venue and heirship. Proponents of a will have the burden of establishing prima facie proof of due execution in all cases, and if they are also petitioners, prima facie proof of death and venue. Contestants of a will have the burden of establishing lack of testamentary intent or capacity, undue influence, fraud, duress, mistake or revocation. Parties have the ultimate burden of persuasion as to matters with respect to which they have the initial burden of proof. If a will is opposed by the petition for probate of a later will revoking the former, it shall be determined first whether the later will is entitled to probate. If a will is opposed by a petition for a declaration of intestacy, it shall be determined first whether the will is entitled to probate.
Price recognizes that she had the initial burden of “establishing prima facie proof of due execution ____” She asserts that she met this initial burden. We assume, but do not decide, that she did. She states: “The burden then shifted to the Respondents who were contesting the will.” Which burden? Price does not say.
We have assumed that Price met her initial burden of prima facie proof of due execution. We now assume, but do not decide, that at this point respondents had the burden of presenting evidence in opposition to Price’s prima facie proof and if respondents did not meet this burden, the evidence would have required a finding of due execution. Respondents did present evidence which conflicted with the evidence presented by Price on the issue of due execution.
Price seems to contend that the burden on respondents was more than the burden of coming forward with evidence, that respondents had the burden of persuasion. Under this approach, respondents had the burden of persuading the trial court that decedent had not signed the alleged will. This is incorrect, being contrary to the statute. Section 45-3-407 states: “Parties have the ultimate burden of persuasion as to matters with respect to which they have the initial burden of proof.” In Re Estate of Kelly, 99 N.M. 482, 489, 660 P.2d 124 (Ct.App.1983), states: “The burden is upon the proponent of a document purported to be a will, to prove [persuade] that the instrument was executed by the decedent ----” The burden of persuasion did not shift to respondents; rather, it remained with Price. Cf. Witzke v. Dettweiler, 83 N.M. 802, 498 P.2d 689 (Ct.App.1972); Mayfield v. Keeth Gas Co., 81 N.M. 313, 466 P.2d 879 (Ct.App.1970).
Price claims the issue is forgery and that respondents had the burden of persuading the trial court that decedent’s signature was forged. She likens “forgery” to “fraud” and points out that under Section 45-3-407 a contestant claiming fraud has the burden of persuasion. We need not determine whether a claim of forgery is to be equated with fraud so as to effect the burden of persuasion.
Price fails to recognize that the issue is “due execution,” not “forgery.” We are not concerned with identifying a person who falsely made decedent’s signature in violation of the criminal law. See § 30-16-10 (Repl.Pamp.1984). We are not concerned with “the crime of falsely and with fraudulent intent making ... a writing ... that if genuine might apparently be of legal effect on the rights of another.” Webster’s Third New International Dictionary (1966). Specifically, we are not concerned with who placed decedent’s apparent signature on the alleged will. Respondents did not claim “forgery,” they claimed that the alleged will was not executed by decedent. Price is the one who asserted the issue was “forgery.” Price’s claim of forgery is a conclusion, and her conclusion is correct; someone forged decedent’s name. However, we are not concerned with that someone. Price’s conclusion is dependent on an underlying fact. The underlying fact is whether decedent duly executed the will. There is no forgery issue in this case separable from the factual issue of “due execution.” By claiming forgery, Price may not avoid her statutory burden of persuading the trial court of “due execution” of the alleged will.
We now answer Price’s arguments directed to the evidence.
(a) The trial court did not believe the testimony of Price’s expert witness, finding it “non-persuasive.” It found the testimony of respondents' expert to be persuasive. Price asserts this is the only evidence on which the trial court ruled arid refers us to the trial court’s oral remarks at the conclusion of the trial. Price overlooks the finding that the testimony of respondents’ expert questioned documents examiner “plus other testimony” was persuasive. The trial court’s oral remarks were not a decision of the court and error cannot be predicated upon the oral remarks. Fox v. Doak, 78 N.M. 743, 438 P.2d 153 (1968).
(b) Ignoring the rule that the trial court’s oral remarks do not amount to a decision upon which error can be predicated, Price asserts that the finding that decedent did not execute the alleged will is based entirely upon the testimony of respondents’ expert witness. Price then argues, as a matter of law, that the testimony of a handwriting expert is insufficient to overcome the testimony of witnesses. Such a rule does exist in some jurisdictions, see Dozier v. Smith, 446 So.2d 1107 (Fla. App. 2d Dist.1984), and seems to be based on a distrust in the evidentiary value of the opinions of handwriting experts. See Jones v. Jones, 406 Ill. 448, 94 N.E.2d 314 (1950). This view is contrary to New Mexico law.
NMSA 1978, Evid.Rules 702, 703 and 704 (Repl.Pamp.1983) provide for the admission of expert testimony. These rules do not characterize the opinions of experts as a lesser type of evidence, as does Jones. Once an expert has been qualified to give his opinion on a particular issue, the weight to be given the expert’s opinion is for the trier of the facts. Wood v. Citizens Standard Life Insurance Co., 82 N.M. 271, 480 P.2d 161 (1971). See also Crownover v. National Farmers Union Property & Casualty Co., 100 N.M. 568, 673 P.2d 1301 (1983); Gonzales v. General Motors Corp., 89 N.M. 474, 553 P.2d 1281 (Ct.App.1976). The weight to be given the testimony of an expert on handwriting is for the trier of fact. The expert’s testimony that a signature is not genuine, in contradiction of the testimony of attesting witnesses, is sufficient to sustain a finding of lack of due execution. In Re Estate of Sylvestri, 44 N.Y.2d 260, 405 N.Y.S.2d 424, 376 N.E.2d 897 (1978); In Re Estate of Bogan, 541 P.2d 854 (Okl.1975).
(c) Price contends respondents did not prove the “forgery” by clear and convincing evidence and, therefore, the evidence was insufficient to support the finding that decedent did not execute the alleged will. This contention mixes up several concepts. We have pointed out that respondents did not have the burden of persuasion, that burden was on Price. We have pointed out that the issue is “due execution” and not “forgery.” Nevertheless, the trial court concluded that respondents had proved by clear and convincing evidence that decedent did not sign the alleged will. Assuming, but not deciding, that the trial court placed the burden of persuasion on respondents and assuming, but not deciding, that the burden of persuasion was by clear and convincing evidence, that burden was met..
Under the assumptions in the preceding paragraph, we are to view the evidence in the light most favorable to the prevailing party and to determine therefrom if the trial court could properly have reached an abiding conviction as to the truth of the facts found. Duke City Lumber Co. v. Terrel, 88 N.M. 299, 540 P.2d 229 (1975).
The trial court found that the testimony of respondents’ expert witness, and other testimony, was persuasive. It also found: “The total testimony of the Respondents was of such weight that it would have satisfied the criminal evidence requirement of beyond a reasonable doubt.” The trial court could properly arrive at this view on the basis of respondents' evidence. There was the detailed evidence of the expert, giving reasons for his opinion, that decedent did not sign the alleged will. There was testimony discrediting the testimony of the attesting witnesses. This testimony went to whether these witnesses were actually present on the day they said the decedent signed the will.
Our discussion in this issue has not decided whether proof of due execution must be proved by a' preponderance or by clear and convincing evidence. The reason is there is no issue in this appeal as to the quantum of proof to show due execution of the will. However, see NMSA 1978, UJI Civ. 3.6 (Repl.Pamp.1980) and § 45-3-406.
The trial court did not err in its finding that decedent did not sign the will.
SUBJECT MATTER JURISDICTION
The judgment of June 4, 1984, denied probate of the alleged will, ruled that decedent died intestate, and ruled that distribution of decedent’s estate should be in accordance with the law of intestate succession. Price, in open court, immediately filed a notice of appeal from the June 4, 1984, judgment. She claims the trial court lacked subject matter jurisdiction to decide the motion for attorney fees once the notice of appeal was filed. Price relies on Luna v. Homestake Mining Co., 100 N.M. 265, 669 P.2d 741 (Ct.App.1983).
In Homestake a judgment of July 20, 1982, awarded attorney fees. On August 12, 1982, plaintiff moved to amend the judgment by increasing the amount of attorney fees. On August 13, 1982, defendant filed a notice of appeal. On September 27, 1982, the trial court amended the judgment by increasing the award of attorney fees. Homestake held that plaintiffs motion to amend the judgment was not timely and the trial court lost jurisdiction to rule on the motion to amend upon the filing of the notice of appeal from the final judgment. Homestake is not applicable. In this case there was no motion to amend the judgment.
Respondents, in turn, rely on the statement in State v. White, 71 N.M. 342, 378 P.2d 379 (1962), that the trial court loses jurisdiction, once a notice of appeal is filed, “except ... for the purpose of passing upon motions pending when the appeal is taken____” See also State ex rel. Bell v. Hansen Lumber Co., 86 N.M. 312, 523 P.2d 810 (1974). These cases involved motions to amend a judgment under NMSA 1978, Civ.P.Rule 59 (Repl.Pamp.1980). Inasmuch as NMSA 1978, Civ.App. Rule 3(d) (Repl.Pamp.1984) now provides for suspending the finality of a judgment in connection with Civ.P.Rule 59 motions, but did not when White was decided, there is a question as to whether the statement in White is applicable. It is unnecessary to decide that question in this case.
A judgment is not final “unless all issues of law and of fact necessary to be determined have been determined, and the case has been completely disposed of to the extent the court has power to dispose of it____ To determine whether an order is final, we will give the term ‘finality’ a practical, rather than a technical construction.” Clancy v. Gooding, 98 N.M. 252, 254, 647 P.2d 885 (Ct.App.1982) (citations omitted). We look to the substance, not the form, of the judgment sought to be appealed. “Where no further judicial action on the part of the court is essential, then the decree entered by the court is a final one____” Rio Arriba County Board of Education v. Martinez, 74 N.M. 674, 678, 397 P.2d 471 (1964) (citations omitted).
The June 4, 1984, judgment was not a final judgment, for several reasons.
(1) Special administrators had been appointed “to preserve the estate and to secure its proper administration until such time as a general Personal Representative is appointed____” Both Price and Foster had petitioned the court that a personal representative be appointed. Such an appointment was delayed until it was decided whether decedent died intestate.
(2) The trial on the question of whether the alleged will should be admitted to probate concluded in April 1984. The June 4, 1984, judgment went only to this issue. After the trial was concluded several motions were filed, and were pending at the time of entry of the June 4th judgment. Price moved for a supervised administration and that any personal representative appointed be required to furnish bond. Foster renewed his petition for appointment as personal representative. Respondents moved for a partial distribution of the estate. Price moved that special co-administrator Moore render a full accounting as to the ranching operations and that she be awarded compensation for her services as a special co-administrator. Respondents moved that an accounting be required from special co-administrator Price and that Moore be awarded compensation for his services. The motion for an award of attorney fees was also filed.
(3) The court proceedings reflect that further proceedings were contemplated on the day the June 4, 1984, judgment was filed. The trial court pointed out that a personal representative needed to be appointed; it referred to the motion for partial distribution; it remarked there was a need to get something done; that it would start hearing the pending motions that day (June 4) and continue on June 5, 1984; “I will give you whatever time you need to finish this up.” Hearings were held on those days. The trial court’s order of June 14, 1984, dealt with the personal representative and termination of the special co-ad ministrators. Its order of June 19, 1984, granted the motion for attorney fees, denied the motion for partial distribution, directed Price to provide an accounting for her activities as special co-administrator and held the question of compensation for the co-administrators in abeyance. Price filed an amended notice of appeal on June 28, 1984. The amended notice appealed from the judgment of June 4,1984, and the orders of June 14 and 19, 1984.
The issues in this intestate matter had not been completely disposed of on June 4, 1984; further proceedings were necessary. The final judgment in this appeal did not occur until the order of June 19,1984. The trial court had jurisdiction to decide the question of attorney fees on June 19, 1984.
AUTHORITY TO AWARD ATTORNEY FEES
This issue involves a jurisdictional question — the authority of the trial court to award attorney fees. Heckathorn v. Heckathorn, 77 N.M. 369, 423 P.2d 410 (1967). Price does not challenge the amount of the fee award as excessive. She does not contend that the award was based on services unrelated to opposing probate of the alleged will. The trial court found that respondents provided a substantial benefit to the estate by preventing the false will from being admitted to probate “and prevented the estate ... from being distributed unlawfully, and they are therefore entitled to a reasonable attorney’s fee out of the estate.” Price asserts that no substantial benefit was provided to the estate and therefore the trial court lacked authority to make the fee award. Respondents state that equitable considerations authorize a fee award in this case.
The general rule is that attorney fees may not be awarded in the absence of a statute or rule of court. Aboud v. Adams, 84 N.M. 683, 507 P.2d 430 (1973).
In the case of In Re Ferrill, 99 N.M. 503, 660 P.2d 593 (1983), attorney fees were approved for a special administrator who hired an attorney to defend, in good faith, a contested will. The fees were held to be authorized by statutory provisions cited in the opinion. Ferrill is not applicable to this case. Respondents did not defend the alleged will, they challenged it. Price has sought attorney fees only for her services as special administrator. She offered the alleged will for probate and defended it, but as an individual and not as special administrator. We add that Moore, one of the respondents, but also a special administrator, does not defend the fee award in contention on the basis of his position as special administrator.
In Re Hamilton, 97 N.M. 111, 637 P.2d 542 (1981), holds that attorney fees may not be allowed out of the estate for services rendered in personal suits between the heirs. This case is not a personal suit between heirs. This case is concerned with the propriety of an award of attorney fees for services rendered in opposing an alleged will held not to have been duly executed.
Gregg v. Gardner, 73 N.M. 347, 388 P.2d 68 (1963), involved the construction of the will and the declaration of rights of parties under the will. There was no issue as to the validity of the will; the issue was how the will disposed of the property. In holding that attorney fees were not authorized, Gregg refers to a general rule that
denies the right to an allowance of an attorney fee out of an estate to an attorney whose services were rendered on behalf of an interested individual or group of individuals without employment by the personal representative of the estate____ There are exceptions to the general rule discussed in the annotations cited above [79 A.L.R. 522; 142 A.L.R. 1459], one of which we adopted in Merrick v. Deering [30 N.M. 431, 236 P. 735 (1925)], but the instant case does not come within them.
73 N.M. at 361 (citations omitted). This case does not involve construction of a valid will; the facts in Gregg are not applicable. The importance of Gregg to this case is the recognition of exceptions to the general rule.
The annotations to which Gregg refers state an exception where a will is so ambiguous it is advisable to bring suit to obtain a construction of the will. But there are limitations to the exception. One limitation is where the suit is for the sole benefit of the claimant and not for the interest or benefit of the estate. We understand Gregg as applying this limitation. This exception is not applicable because no will is being construed in this case.
Another exception, followed in Merrick v. Deering, is described in Gregg: “[A]n attorney fee was allowed on behalf of lawyers who had brought large sums into a trust through litigation involving construction of a will.” 73 N.M. at 360-61, 388 P.2d 68. Again no will is being construed. Although no sums have been brought into the estate in this case, the reference to this result involves benefits to the estate.
Gregg also refers to Las Vegas Railway & Power Co. v. Trust Co. of St. Louis County, 17 N.M. 286, 126 P. 1009 (1912). Las Vegas recognized an equitable doctrine, well established that
“where one of many parties having a common interest in a trust fund, at his own expense takes proper proceedings to save it from distribution and to restore it to the purposes of the trust, he is entitled to reimbursement, either out of the fund itself, or by proportional contribution from those who accept the benefits of his efforts.”
Id. at 291, 126 P. 1009. Application of this exception was denied in Las Vegas on the basis that there was no benefit to the common fund. It is the recognition of this exception, an equitable doctrine, that is of importance to this case.
Annot., 40 A.L.R.2d 1407, 1448 (1955) discusses cases where “one successfully contesting an alleged will has been held entitled to recover his counsel fees from the estate on the theory that the contest benefited the entire estate, which therefore should bear the burden of the expense.”
An exception exists which authorizes an award of attorney fees for services rendered which confer a benefit upon the estate. We have pointed out that this exception has been recognized in New Mexico decisions and is an equitable doctrine. The recognition of the equitable doctrine in New Mexico decisions was not on the basis that authority for the recognition could be found in a statute or rule of court; rather, the doctrine was recognized without regard to statute or rule of court. Our Probate Code, however, obviates considering the exception as independent of authority conferred by statute or rule of court. Section 45-1-103 states: “The principles of law and equity supplement the Probate Code’s provisions, unless specifically displaced by particular provisions of the code.” This exception, an equitable doctrine, supplements the Probate Code’s provisions concerning an award of attorney fees because the doctrine is not specifically displaced by code provisions. See In Re Estate of Brown, 137 Ariz.App. 309, 670 P.2d 414 (1983).
The exception, which permits an award of attorney fees, requires that the entire estate be benefited. Price contends that respondents’ contest of the alleged will did not benefit the estate. She asserts the contest “did not increase the assets or protect the assets of the estate in any manner.” According to Price, “the only thing they [respondents] did was to have themselves declared heirs entitled to share in the estate.”
We agree with Price that respondents did not increase the assets of the estate. No money or other assets were brought into the estate by the litigation. See Merrick v. Deering, as explained in Gregg. We also agree that the result of this litigation will result in respondents sharing in the estate as heirs. We do not agree that the litigation did not protect the assets of the estate in any manner. As a result of the litigation, the estate will be distributed to heirs in accordance with the law pertaining to intestacy. The litigation protected the assets of the estate from being distributed pursuant to an invalid will. The trial court found that preventing the estate from being distributed unlawfully was a substantial benefit. We agree.
In Re Wilmott’s Estate, 66 So.2d 465, 470 (Fla.1953), states: “The services of counsel in preventing distribution under invalid instruments must be held to confer a benefit upon the estate.” In Re Estate of Katschor, 637 P.2d 855 (Okl.1981), considers this statement too broad, fearing it will lead to awards of attorney fees on the basis that unsuccessful contestants have conferred a benefit to the estate. We do not share that fear. The award being equitable depends on the facts of the case and the exercise of equitable power must be used with discretion. An award of attorney fees is not automatic even if there is no dispute about the benefit. See In Re Estate of Brown.
The reason why services preventing probate of an invalid will are a benefit to the estate is set forth in In Re Limberg’s Estate, 257 App.Div. 827, 11 N.Y.S.2d 908, 909 (1939):
The estate is now being administered and is to be distributed in accordance with the statutes governing intestacy. All of those who will share in such distribution have been benefited by reason of the services of the attorneys-appellants. Thus these services conferred a benefit upon the estate, for an estate cannot be considered simply as a mass of property irrespective of and divorced from those who are entitled to share therein. If an allowance out of the general assets were denied, an anomalous situation would ensue. A contestant would then have to bear the expense for the attorneys’ fees out of his own share despite the fact that his efforts resulted in equal benefit to all remaining distributees, who would thereupon profit by their inaction.
In this case respondents have benefited themselves as heirs, and also benefited Price as an heir, although the result is a detriment to Price as the sole devisee under the false will. This was a benefit to the entire estate.
Our holding is consistent with Las Vegas which refers to the restoration of funds for the purposes of a trust (here preserving an estate for distribution in accordance with law). Our holding is also consistent with Carabajal v. Candelaria, 65 N.M. 159, 161, 333 P.2d 1058 (1958), which refers to the prevention of waste of the assets of a private corporation and holds that attorney fees may be awarded “where the unlawful expenditure of public funds has been prevented.”
The judgment of the trial court is affirmed. Price shall bear the appellate costs.
IT IS SO ORDERED.
DONNELLY, C.J., and ALARID, J., concur. | [
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ORDER
It is the order and judgment of the Supreme Court that the order of this Court entered on March 12, 1984, effective April 1, 1984, amending NMSA 1978, Code of Judicial Conduct, Canon 7 (Repl.Pamp. 1983), is reaffirmed.
This Court strongly believes that the amendment to Canon 7 is in the best interest of the public and of the judicial system in limiting, to some extent at least, participation in official duties by a judge, when that judge undertakes to enter the processes for nomination or election to a nonjudicial office, such as the office of district attorney.
The amendment made the existing language Paragraph A, and added Paragraphs B and C. The new language reads as follows:
B. Notwithstanding other provisions of the Code of Judicial Conduct, no judge may be nominated or elected to other than a judicial office. A judge must, when filing a statement of candidacy for a nonjudicial office, take a leave of absence without pay pending the results of the nominating process or until after the primary. Once nominated or placed on the ballot for a nonjudicial office, the judge must resign judicial office immediately.
C. For the purposes of this Canon, a judge is any part-time, full-time, elected or appointed person serving in any judicial office in New Mexico.
All magistrate and municipal judges were advised by letter or memorandum from the Administrative Office of the Courts of the amendment to Canon 7.
After the amendment was promulgated, a legitimate question arose as to whether filing as a candidate for the office of district attorney by Magistrate Judge Gloria Lyons of Hobbs, New Mexico, would be in violation of the amendment to Canon 7 if she did not, at the same time, take leave without pay. In a conference meeting, the Supreme Court determined that filing for office of district attorney would be subject to Canon 7. Judge Lyons was advised by letter of April 17, 1984, of the Court’s position. Thereafter, on April 23, 1984, Attorney Don Salazar, on behalf of Judge Lyons, requested that this Court reconsider its position in view of the fact that Judge Lyons had been previously advised by counsel that the office of district attorney was a “judicial office.” It was counsel’s opinion that Judge Lyons would not be subject to the provisions of Canon 7, if she were to file in the primary election as a candidate for district attorney. It appears that Judge Lyons relied in good faith upon that advice. An additional basis for the request for reconsideration was language found in State v. Collins, 28 N.M. 230, 210 P. 569 (1922).
This Court has repeatedly held that the office of district attorney is a quasi-judicial office, not a judicial office. Candelaria v. Robinson, 93 N.M. 786, 606 P.2d 196 (Ct.App.1980); State v. Chambers, 86 N.M. 383, 524 P.2d 999 (Ct.App.), cert. denied, 86 N.M. 372, 524 P.2d 988 (1974); Ward v. Romero, 17 N.M. 88, 125 P. 617 (1912); cf. State v. Collins, (assistant district attorney is “judicial officer” for purposes o/NMSA 1915, Section 1672, which made it a felony for “judicial officers” to agree to accept a bribe). It was the policy of this Court prior to the adoption of the amendment to Canon 7, and upon adoption of the existing canons, that judicial office, as that term was used in the amendment to Canon 7, includes every justice and judge enumerated in the Constitution and in the laws of the State of New Mexico. That term does not include the office of district attorney.
As we have stated previously, Judge Lyons has acted in good faith. This Court will not request any action or other proceedings be undertaken based upon her actions up to today. However, Judge Lyons is expected to comply with Canon 7, as amended, from today forward.
This Order shall be published in The State Bar of New Mexico’s News and Views and the New Mexico Reports.
IT IS SO ORDERED.
/s/ William R. Federici William R. Federici, Chief Justice
/s/ Dan Sosa, Jr. Dan Sosa, Jr., Senior Justice
/s/ William Riordan William Riordan, Justice
/s/ Harry E. Stowers, Jr. Harry E. Stowers, Jr., Justice
/s/ Mary C. Walters Mary C. Walters, Justice | [
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OPINION
SOSA, Senior Justice.
This is an appeal of an award of attorney’s fees from a default judgment in the San Juan County District Court. The plaintiff, Xorbox, a Division of Green & Kellogg, Inc. (Xorbox) originally filed suit in New York against Naturita Supply Co., Inc. (Naturita). for recovery upon a promissory note and personal guarantee. The New York court granted relief to Xorbox for the principal and interest due on the note. Two months later a complaint for recovery of the New York judgment was filed in the New Mexico district court. In addition to granting recovery on the New York judgment, the New Mexico court awarded costs and reasonable attorney’s fees as provided in the note. In each suit, judgment by default was entered against Naturita.
The principle issue before this Court is whether the affirmative defense of res judicata, raised by the defendant for the first time on appeal, has the effect of barring recovery of attorney’s fees in the New Mexico default judgment. We conclude this defense was waived by Naturita and affirm the New Mexico district court’s default judgment and granting of attorney’s fees.
Correct procedure was followed with personal service completed on Naturita in the New Mexico suit. Naturita failed to answer or appear and the district court ordered a judgment by default. The New Mexico court entered an award for the following relief requested by Xorbox: $24,-316.50 judgment as set by the New York court; $8,108.50 in attorney’s fees; and costs of $65.00.
Naturita then filed a motion to set aside the default judgment and a request for a temporary restraining order to prevent a discovery deposition. The New Mexico district court heard counsel for both parties and denied the motion. The following day a deposition to discover the assets of Naturita was held. During the deposition, the parties reached a settlement agreement which was transcribed by the court reporter and filed with the court.
Pursuant to the settlement, Naturita executed a new promissory note in favor of Xorbox secured by a real estate mortgage on property owned by Naturita. The new note called for payment by Naturita of $24,316.50 with interest at 18% per annum; attorney’s fees in the sum of $8,105.50; and $75.43 in costs. Naturita made a timely initial payment of $10,000 on the new note, 45 days after its execution. There is no record of this payment being made with reservation, a restriction or under protest. Xorbox viewed the payment as a voluntary remittance due on a freely executed promissory note.
Naturita raises the following three points of error: 1) the recovery of attorney’s fees by Xorbox in the New Mexico action was barred by the doctrine of res judicata; 2) awarding attorney’s fees in the amount of $8,100.00, without a special evidentiary hearing, was an abuse of discretion by the trial court; and 3) the compromise settlement agreement is not voluntary, as it was made after the New Mexico judgment was entered.
As to the first point, Naturita argues that under the Full Faith and Credit Clause of the United States Constitution, the judgments of any state must be accorded the same force and effect in all other states as would be accorded in the state in which the judgment was rendered. U.S. Const, art. IV, § 1; Barker v. Barker, 94 N.M. 162, 608 P.2d 138 (1980); see also, Hampton v. McConnell, 16 U.S. (3 Wheat) 233, 234, 4 L.Ed. 378 (1818) (full faith and credit given on a money judgment); Mitchell v. Pincock. 99 Idahoe 56, 577 P.2d 343 (1978) (full faith and credit includes res judicata). Naturita asserts that under the doctrine of res judicata, Xorbox was bound by the judgment of the New York court, and was not permitted to add its claims for attorney’s fees and costs when it brought the foreign judgment into New Mexico to be enforced. In addition, Naturita maintains that the procedural position in which it found itself made it impossible to raise the res judicata defense and therefore claims an exception under Rule 11. NMSA 1978, Civ.App.R 11 (Cum.Supp.1983).
New Mexico Civil Appellate Rule 11 provides in pertinent part: “if a party has no opportunity to object to a ruling or order at the time it is made, the absence of an objection does not thereafter prejudice him.” NMSA 1978, Civ.App.R. 11 (Cum. Supp.1983); Robinson v. Katz, 94 N.M. 314, 610 P.2d 201 (Ct.App.) cert. denied, 94 N.M. 675, 615 P.2d 992 (1980). This rule is inapplicable here as Naturita had ample time to complain but did not. Naturita chose to ignore the New Mexico court proceeding even after notice by personal service; additionally, the record reflects both counsel were heard at the motion to set aside the default judgment.
Naturita’s position essentially is that its res judicata defense to the default judgment award of attorney’s fees should apply despite the fact that the defense has not previously been raised. Under Rule 8(c) of New Mexico Rules of Civil Procedure, res judicata is an affirmative defense. Rule 8(c) places the burden on the defendant to raise any matter which would constitute an affirmative defense to the plaintiff’s complaint. McCasland v. Prather, 92 N.M. 192, 585 P.2d 336 (Ct.App.1978). Under certain circumstances, amended pleadings are permitted to raise an affirmative defense. Chavez v. Kitsch, 70 N.M. 439, 374 P.2d 497 (1962). Facts or issues litigated during trial may, under limited conditions, be considered an affirmative defense. Prinz v. Great Bay Casino Corp., 705 F.2d 692 (3rd Cir.1983); Terrill v. Western Am. Life Ins. Co., 85 N.M. 456, 513 P.2d 390 (1973); Posey v. Dove, 57 N.M. 200, 257 P.2d 541 (1953); but see Eslinger v. Henderson, 80 N.M. 479, 457 P.2d 998 (Ct.App.1969) (after trial closure, the opponent must not be prejudiced by permitting an affirmative defense not pleaded).
It was incumbent upon Naturita to raise the affirmative defense of res judicata at the time it received the New Mexico pleadings or at any point prior to the entry of the default judgment. Having failed to do so, Naturita cannot now raise the defense. Issues raised for the first time on appeal may not be considered. NMSA 1978, Civ.App.R. 11 (Cum.Supp.1983); Montano v. Saavedra, 70 N.M. 332, 373 P.2d 824 (1962); Phillips v. United Service Automobile Association, 91 N.M. 325, 573 P.2d 680 (Ct.App.1977). Moreover, it is well settled that an affirmative defense not pleaded or otherwise properly raised is waived. State Farm Mutual Automobile Insurance Co. v. Mid-Continent Casualty Co., 518 F.2d 292, (10th Cir.1975); Radio Corp. of America v. Radio Station KYFM, Inc., 424 F.2d 14 (10th Cir.1970); Santistevan v. Centinel Bank of Taos, 96 N.M. 730, 634 P.2d 1282 (1981); Fredenburgh v. Allied Van Lines, Inc., 79 N.M. 593, 446 P.2d 868 (1968). In applying this rule to the affirmative defense of res judicata, the federal courts also take the position that if res judicata is not pleaded in district court it is not available on appeal. Hifai v. Shell Oil Co., 704 F.2d 1425 (9th Cir.1983); Nevels v. Hanlon, 656 F.2d 372 (8th Cir.1981); Johnson v. Rogers, 621 F.2d 300 (8th Cir.1980); Sartin v. Commissioner of Public Safety of the State of Minnesota, 535 F.2d 430 (8th Cir.1976); State Farm Mutual Automobile Ins. Co. v. Mid Continent Casualty Co., 518 F.2d 292 (10th Cir.1975); Crowe v. Cherokee Won derland, Inc., 379 F.2d 51 (4th Cir.1967); see also, Huffman v. Pursue, Ltd., 420 U.S. 592 at 607 n. 19, 95 S.Ct. 1200 at 1210 n. 19, 43 L.Ed.2d 482 (1975); Prinz v. Great Bay Casino Corp., 705 F.2d 692 (3rd Cir.1983) (the rule as applied to collateral estoppel).
We have held previously that a default judgment is to be considered a final judgment. United Nuclear Corp. v. General Atomic Co., 96 N.M. 155, 629 P.2d 231 (1980). This Court takes a firm position regarding the effect of default judgments.
It would usher in a new era in the dynamics of litigation if a party could suffer a default judgment to be entered against it and then go about its business as if the judgment did not exist and as though, despite the opportunities to comply with the court’s orders and to defend on the merits which had been ignored, the slate was wiped clean and a new day had dawned. To state the proposition is to expose the folly of it.
Id. at 240, 629 P.2d at 316 (1980) (quoting Trans World Airlines, Inc. v. Hughes, 449 F.2d 51, 63, 64 (2nd Cir.1971); see also United States v. Martin, 395 F.Supp. 954 (S.D.N.Y.1975); IB Moore’s Federal Practice, ¶ 0.409[4] at 1025 (2nd ed. 1980).
In upholding the default judgment in United Nuclear, we queried in our conclusion why, if the appellant there thought the litigation was without merit, he did not promptly answer, press for an early trial, and get a judgment to that effect. United Nuclear at 253, 629 P.2d at 329. Indeed, the same can be said of the appellant here. The opportunity to defend against the claim for attorney’s fees and costs was available. We cannot reward those who sleep on their rights and ignore a summons to appear in court to defend their position. In New Mexico, res judicata is an affirmative defense which must be raised or it is permanently waived. Had a res judicata defense been raised, the proper forum would have been in the New Mexico suit. We find Naturita had ample opportunity to raise the defense and did not. We hold the defense of res judicata was waived.
In light of our disposition of this issue, we need not reach the question whether the requisite elements for the application of res judicata, Myers v. Olson, 100 N.M. 745, 676 P.2d 822 (1984), are present. We also need not consider whether the district court abused its discretion awarding attorney’s fees, Aguilar v. Peñasco Independant School District, 23 SBB 111 (1984); or whether the compromise settlement agreement was voluntary.
The district court is affirmed.
IT IS SO ORDERED.
FEDERICI, C.J., and WALTERS, J., concur. | [
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OPINION
MINZNER, Judge.
This case presents issues concerning the extent of a listing real estate broker’s liability to purchasers for representations made in connection with the sale of a townhouse. Plaintiffs (“Gouveias”) brought an action against several defendants for rescission of their contract to purchase a townhouse in Rio Rancho, New Mexico, or, alternatively, for damages suffered because of an alleged misrepresentation. Among the named defendants were Weagley Agency, Inc., the listing broker for the property, and Jeff Weagley, the broker acting on the Agency’s behalf (collectively, “Weagley”). The trial court granted a Motion for Summary Judgment as to these defendants, and the Gouveias appeal. We reverse.
The appeal raises two issues. First, because the Gouveias did not have any direct contact with Weagley, and did not discover most of the defects at issue, until several months after they entered into the Assumption Purchase Agreement (the “Agreement”) and they were residing in the house, Weagley has argued that it owed them no duty. Thus, the appeal rais es the issue of whether Weagley’s status entitles it to summary judgment as a matter of law. Second, the appeal raises the issue of whether, assuming Weagley owed the Gouveias a duty, there was any genuine issue of material fact with regard to breach of duty by Weagley.
PACTS
The Gouveias came to Albuquerque from Michigan in October or November 1982 to locate a house. Magdalena Graham, a real estate broker, on November 2, 1982, took them to the townhouse which they ultimately purchased.
Ms. Graham initially showed the property to Ms. Gouveia. Ms. Graham, Ms. Gouveia, and Mr. Gouveia subsequently conducted an inspection of the house. The Gouveias made an offer to the seller, Citicorp Person-to-Person Financial Center, Inc. (“Citicorp”), with Ms. Graham’s assistance, later the same evening. After negotiation, Citicorp accepted a subsequent offer by the Gouveias. Citicorp and the Gouveias signed the Agreement on or about November 5,1982. In accordance with the Agreement, the seller furnished the Gouveias an inspection report.
Subsequent to the Gouveias’ joint inspection of the townhouse and prior to purchase, Mr. Gouveia asked Ms. Graham for a copy of the computer listing sheet on the property. This was a listing and description prepared by Weagley on behalf of Citicorp. The computer listing sheet described the townhouse as being in “All Top Shape.”
The Gouveias argue that the townhouse was “replete with major defects.” Their complaint primarily concerns a 47' x 18' addition to the original structure, which the computer listing sheet represented to be a living room. The Gouveias do not complain of this designation. In fact, Mr. Gouveia testified during his deposition that he realized after the initial inspection that the room was actually a recreation room. The Gouveias allege, and we assume for purposes of reviewing the grant of summary judgment, that the recreation room lacked a foundation, was not heated or could not be heated as represented, had a structurally deficient roof and ceiling, that the wiring and construction of the room did not conform to New Mexico building code requirements, and that a “hot tub/spa” in the room was unusable. The Gouveias claim that the various defects were not readily apparent to them upon reasonable inspection; that Weagley, because it knew or should have known of the defects, misrepresented the condition of the house by describing it as in “All Top Shape”; and that they relied upon the “All Top Shape” representation in purchasing the townhouse.
The Gouveias moved out of the townhouse in April 1983. According to Mr. Gouveia, they moved from the house because “significant portions” of the house were “unusable.”
ASSERTED CLAIMS FOR FRAUD OR MISREPRESENTATION: DUTY OF A LISTING BROKER.
Weagley admits that it was the listing broker for the property, and does not deny that it prepared the property description contained in the multiple listing service. Weagley contends that because there was no direct contact with the Gouveias until after they purchased the house, it was not their fiduciary or agent and that New Mexico law imposed no duty to discover or to disclose the defects of which they complain. We disagree. Our case law recognizes sources of duty which preclude summary judgment as a matter of law on the basis of Weagley’s status and the nature of the defects.
A listing broker preparing a property description for a multiple listing service knows, or should know, that that description will be relied upon, both by other brokers and by prospective buyers. See generally Oates v. Eastern Bergen County Multiple Listing Service, Inc., 113 N.J.Super. 371, 273 A.2d 795 (1971). Cf. Wilson v. Albuquerque Board of Realtors, 82 N.M. 717, 487 P.2d 145 (Ct.App.1971) (declining to consider, for lack of a factual record, a broker’s claim for damages arising out of defendant’s maintenance of a multiple listing service). Listing brokers assume a duty to all those who subsequently rely on their characterizations of property by virtue of making those representations. First Church of the Open Bible v. Cline J. Dunton Realty, Inc., 19 Wash.App. 275, 574 P.2d 1211 (1978). Thus, a listing broker is potentially liable for actual or negligent misrepresentation.
We have recognized a cause of action for negligent misrepresentation against a broker if the broker fails to exercise reasonable care or competence in obtaining or communicating information. Amato v. Rathbun Realty, Inc., 98 N.M. 231, 647 P.2d 433 (Ct.App.1982). Thus, if a broker exercising reasonable care should have had, or could have gained, actual knowledge of defects in property, it may be held liable for negligent failure to discover and disclose those defects. Id. We have applied these duties based on the broker’s status as a fiduciary. Id.
There is no requirement that there have been direct contact between Weagley and the Gouveias in order that these duties be imposed. Stotlar v. Hester, 92 N.M. 26, 582 P.2d 403 (Ct.App.1978). See also Maxey v. Quintana, 84 N.M. 38, 499 P.2d 356 (Ct.App.1972). The source of liability lies in tort for negligent misrepresentation. The tort of negligent misrepresentation is described in the Restatement (Second) of Torts § 552 (1977). Under the Restatement formulation,
it is not required that the person who is to become the plaintiff be identified or known to the defendant as an individual when the information is supplied. It is enough that the maker of the representation intends it to reach and influence either a particular person or persons, known to him, or a group or class of persons, distinct from the much larger class who might reasonably be expected sooner or later to have access to the information and foreseeably to take some action in reliance upon it. It is enough, likewise, that the maker of the representation knows that his recipient intends to transmit the information to a similar person, persons or group. It is sufficient, in other words, insofar as the plaintiff’s identity is concerned, that the maker supplies the information for repetition to a certain group or class of persons and that the plaintiff proves to be one of them, even though the maker never had heard of him by name when the information was given.
Comment h, at 132-33. In this case, it is undisputed that Weagley supplied the listing to Ms. Graham, who supplied it to the Gouveias. Weagley supplied information to Ms. Graham for repetition to the Gouveias because they were prospective purchasers who utilized her services.
We see no reason to exclude a listing broker from the standard of care enunciated by the Restatement and applied in Amato. Under that standard, a listing broker is liable if it fails to exercise reasonable care or competence in obtaining or communicating information to persons within the scope of the duty owed. The particular care and competence required by one who gives information in the course of his or her business dealings will vary. See Amato v. Rathbun Realty, Inc. Under some circumstances, a broker may have a duty to disclose defects that an inspection would reveal. See Easton v. Strassburger, 152 Cal.App.3d 90, 199 Cal.Rptr. 383 (1984).
Further, a listing broker may be liable for fraud. A misrepresentation of fact, known by the maker to be untrue, made with the intent to deceive and to induce the other party to act upon it, and upon which the other party relies to his detriment, is fraud. Poorbaugh v. Mullen, 96 N.M. 598, 633 P.2d 706 (Ct.App.1981). Failure to disclose facts can be a misrepresentation in certain circumstances. For example, we have held a broker’s failure to disclose defects of which it had actual knowledge was a breach of its duty as a fiduciary. Neff v. Bud Lewis Co., 89 N.M. 145, 548 P.2d 107 (Ct.App.1976). We have also held that a seller’s failure to disclose known defects gives the buyer a right to rescind the contract or receive damages. Snell v. Cornehl, 81 N.M. 248, 466 P.2d 94 (1970). The broker representing the seller has a duty to disclose defects, of which the broker has actual knowledge, that the seller would be required to disclose. See Lingsch v. Savage, 213 Cal.App.2d 729, 29 Cal.Rptr. 201 (1963). Misrepresentations made indirectly to an injured party can serve as the basis for an action for fraud as well as an action for negligent misrepresentation. Massei v. Lettunich, 248 Cal.App.2d 68, 56 Cal.Rptr. 232 (1967). See also Restatement (Second) of Torts § 531 (1977).
For these reasons, we conclude that status as a listing broker did not relieve Weagley of its legal obligations to prospective purchasers with respect to known or discoverable defects. The grant of summary judgment as a matter of law was erroneous, notwithstanding the absence of direct contact between Weagley and the Gouveias prior to the sale. We refer to the foregoing analysis in considering further the propriety of summary judgment.
ASSERTED CLAIMS FOR FRAUD OR MISREPRESENTATION: ISSUES OF MATERIAL FACT.
Weagley, as the party moving for summary judgment, had the burden of making a prima facie showing that there were no genuine issues of material fact and that'it was entitled to judgment as a matter of law. Amato v. Rathbun Realty, Inc.; Stotlar v. Hester. Based on the record as of the date summary judgment was entered, and excluding the deposition taken after that date, we hold that Weagley has not yet made such a showing.
Weagley relied at the hearing on the motion for summary judgment and on appeal on the fact that the Gouveias admitted in deposition testimony they had no knowledge of any facts that would indicate Weagley had actual knowledge of the defects prior to purchase. Weagley did not submit any affidavit in support of the motion for summary judgment. There is no averment under oath in the record by any Weagley agent or representative that Weagley had no actual knowledge of the defects prior to purchase or at the time the property description was drafted. Weagley has not made a prima facie showing of lack of actual knowledge. Cf. Amato v. Rathbun Realty, Inc. (in which the court sustained the grant of summary judgment on the issue of actual knowledge).
Absent a prima facie showing by Weagley that it had no actual knowledge of the defects, the grant of summary judgment was premature. Weagley cannot rely on the Gouveias’ lack of knowledge to satisfy its affirmative requirement to make a prima facie showing. Until Weagley makes a prima facie showing that it had no actual knowledge, the Gouveias are not required to introduce facts in rebuttal. See Goodman v. Brock, 83 N.M. 789, 498 P.2d 676 (1972).
Weagley also failed to meet its burden with respect to the allegation of negligent misrepresentation. The Gouveias alleged that the defects in the townhouse were not readily apparent to them on reasonable inspection. Weagley assumes that this allegation conclusively establishes that the defects were latent, and cites our language from Amato that a broker is not responsible for communicating knowledge of such defects.
There are several problems with this theory. First, the allegation merely avers that the defects were not readily discoverable by the Gouveias. This does not conclusively establish that the defects were latent or not easily discoverable as to Weagley. If Weagley had actual knowledge of the defects, they were not latent as far as Weagley was concerned.
Moreover, even if Weagley had no actual knowledge of the defects, our holding in Amato required Weagley to make a prima facie showing that it did not breach the standard of care of brokers in the community as to the charge of negligent failure to know of or discover the defects. As Judge Hendley wrote in Amato, “Without an affidavit or other testimony of a qualified expert stating that Ms. Rathbun [the broker] did not breach the standard of care of brokers in the community, no prima facie showing was made.” 98 N.M. at 233, 647 P.2d at 435. Having tendered no evidence to the trial court on this issue, Weagley was not entitled to summary judgment.
Weagley contends that it was entitled to summary judgment in any event because “Plaintiffs admit by sworn deposition testimony they did not rely on the realtor-type statements made * * *.” This is not an accurate reflection of the record.
It is true that Ms. Gouveia admitted in her deposition testimony that realtors typically use vague modifiers in phrases such as “it’s a super buy,” and “it’s in top shape” when trying to sell a property. However, when asked if she put a lot of reliance on those statements, she replied, “Not too much.” This cannot be taken as factually establishing no reliance, particularly where both the Gouveias at other points in their deposition testimony indicate reliance on the listing description. There is, at best, an issue of material fact as to the Gouveias’ reliance on the “All Top Shape” representation on the record which precludes the grant of summary judgment. We cannot say, on the record before us, that no reasonable purchaser would rely on such a representation under these facts. Where the evidence permits conflicting inferences, summary judgment is not appropriate. Yeary v. Aztec Discounts, Inc., 83 N.M. 319, 491 P.2d 536 (Ct.App.1971).
Further, as we understand the Gouveias’ complaint, their claim of misrepresentation does not depend solely on the phrase “All Top Shape.” The Gouveias claim that Weagley affirmatively misrepresented the condition of the townhouse and negatively misrepresented the condition by failing to disclose facts Weagley knew or should have known. Whether the listing misrepresented the condition of the townhouse depends upon the contents of the document in light of the facts the broker knew or should have known.
Weagley finally argues that the Gouveias could not have relied on the listing description because “Plaintiffs admit they did not rely upon any ‘representations’ made by Defendants but upon the inspection made by Consumer Protection.” It is true that the Gouveias received and relied on a “Consumer Protection Report.” This does not, however, preclude the Gouveias from also relying on representations made by Weagley. The fact that the Gouveias may have relied on an additional inspection report cannot shield Weagley from liability for known or negligent misrepresentation. There is at least an issue of fact with respect to the respective capabilities of the broker and the buyer. See Bell v. Kyle, 27 N.M. 9, 192 P. 512 (1920); Sauter v. St. Michael’s College, 70 N.M. 380, 374 P.2d 134 (1962). Finally, although the Agreement includes an “as is” clause, that would not relieve Weagley as a matter of law from liability for fraud. Lingsch v. Savage. Cf. Archuleta v. Kopp, 90 N.M. 273, 562 P.2d 834 (Ct.App.1977).
CONCLUSION
Because Weagley had a duty to prospective buyers, and because genuine issues of material fact exist as to whether Weagley breached its duty, the district court’s order granting summary judgment is reversed and the cause is remanded to the district court for proceedings consistent with this opinion.
IT IS SO ORDERED.
WOOD and NEAL, JJ., concur. | [
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OPINION
DONNELLY, Chief Judge.
Defendant pursues this interlocutory appeal from the trial court’s order granting a mistrial following commencement of his trial for criminal sexual penetration, contrary to NMSA 1978, Section 30-9-11. The issue presented is whether a retrial of defendant is barred under principles of double jeopardy.
The facts as they relate to the claim of double jeopardy are as follows: Defendant was charged with criminal sexual penetration of a minor. Prior to trial the state moved to have the testimony of the alleged victim, an eleven-year-old child, videotaped in lieu of requiring her to testify at trial. The motion was granted under authority of NMSA 1978, Crim.P. Rule 29.1 (Repl.Pamp. 1980) on the ground that requiring the child to testify at trial would cause her mental or emotional harm.
On December 27, 1983, defendant’s trial commenced. After the jury was impaneled and sworn, the state presented the testimony of two witnesses. Thereafter, the state attempted to present the testimony of the child through the videotaped deposition. From the outset problems were encountered with the videotape. The videotape was inaudible; the voices of the judge and the attorneys were barely able to be heard, and the child could not be heard. Upon ascertaining that the child’s testimony could not be heard, the court ordered a recess and sought to reinquire whether alternatively the child should be required to testify in person.
After a further hearing, on December 30, 1983, the court entered an order finding that the videotape was of poor quality and could not be used as testimony; that the child was unavailable to testify as a witness due to an existing illness; and that the child had previously been ruled unable to testify without suffering harm. The court found that a mistrial should be ordered and specifically reserved the right to retry defendant. See State v. Spillmon, 89 N.M. 406, 553 P.2d 686 (1976). The order for a mistrial was entered over the defendant’s objection.
PROPRIETY OF THE MISTRIAL
Defendant contends that there was no manifest necessity for a mistrial and that any retrial upon the charge is barred by a constitutional prohibition of double jeopardy. U.S. Const.amend. V; N.M. Const, art. II, § 15.
The double jeopardy clause protects a defendant from multiple prosecutions for the same offense. State v. Spillmon. When a court sua sponte declares a mistrial, manifest necessity must be the basis. State v. Wardlow, 95 N.M. 585, 624 P.2d 527 (1981); State v. De Baca, 88 N.M. 454, 541 P.2d 634 (Ct.App.), cert. denied, 89 N.M. 6, 546 P.2d 71 (1975). The applicable test, upon appellate review, is whether the trial court exercised its sound discretion in deciding that there was manifest necessity for the declaration of a mistrial. State v. DeBaca; State v. Sedillo, 88 N.M. 240, 539 P.2d 630 (Ct.App.1975); O’Kelly v. State, 94 N.M. 74, 607 P.2d 612 (1980).
In considering whether to declare a mistrial, the trial court must also consider whether the ends of public justice would be defeated by carrying the first trial to verdict. State v. Dunn, 93 N.M. 239, 599 P.2d 392 (Ct.App.), cert. denied, 92 N.M. 675, 593 P.2d 1078 (1979); State v. De Baca. The trial court faces a difficult problem which involves evaluating competing interests. As the United States Supreme Court has observed, “a defendant’s valued right to have his trial completed by a particular tribunal must in some instances be subordinated to the public’s interest in fair trials designed to end in just judgments.” Wade v. Hunter, 336 U.S. 684, 69 S.Ct. 834, 93 L.Ed. 974 (1949). The cases applying the concepts of “manifest necessity” and “the ends of public justice” are not easy to reconcile. See, e.g., S. Schulhofer, Jeopardy and Mistrials, 125 U.Pa.L.Rev. 449 (1977) (reviewing the variety of situations involving double jeopardy and mistrials and the varying standards applied to each).
Does the record disclose a manifest necessity for declaring a mistrial under the circumstances herein? The standard requiring a showing of manifest necessity' places a heavy burden on the prosecution to show a valid basis for the trial court’s ruling. Arizona v. Washington, 434 U.S. 497, 98 S.Ct. 824, 54 L.Ed.2d 717 (1978).
The issue of whether absence or unavailability of a key prosecution witness at trial may fall within the parameters of manifest necessity is a matter of first impression in New Mexico.
A grant of a mistrial is not proper merely to allow the state to strengthen its case at a subsequent trial, or to secure the attendance of a witness which it neglected to subpoena or to have present at trial. Illinois v. Somerville, 410 U.S. 458, 93 S.Ct. 1066, 35 L.Ed.2d 425 (1973); United States v. Lynch, 467 F.Supp. 575 (D.D.C. 1978), cert. denied, 440 U.S. 939, 99 S.Ct. 1287, 59 L.Ed.2d 498 (1979), aff'd sub nom. United States v. Bruner, 657 F.2d 1278 (D.C.Cir.1981); Brown v. State, 181 Ind.App. 102, 390 N.E.2d 1058 (1979). Nor is a mistrial properly grounded upon manifest necessity where the state has acted in bad faith in seeking the mistrial. State v. Mestas, 93 N.M. 765, 605 P.2d 1164 (Ct.App. 1980); see also State v. Connery, Nev., 679 P.2d 1266 (1984).
No mechanical rule exists for determining the existence of manifest necessity. The standard involves a careful weighing of defendant’s right to have his trial completed and the public’s interest in a fair trial and just judgment. United States v. Lynch. Determination of the propriety of manifest necessity must be made under the particular facts of each individual case. United States v. Sisk, 629 F.2d 1174 (6th Cir.1980), cert. denied, 449 U.S. 1084, 101 S.Ct. 871, 66 L.Ed.2d 809 (1981); Wheeler v. State, 87 Wis.2d 626, 275 N.W.2d 651 (1979). The public interest in a fair trial and just verdict is a factor to be considered along with defendant’s dual interest in proceeding to verdict and avoiding retrial for the same offense. People v. Baca, 193 Colo. 9, 562 P.2d 411 (1977); People v. Espinoza, 666 P.2d 555 (Colo. 1983).
Manifest necessity for the declaration of a mistrial has been upheld by the courts in other jurisdictions under certain circumstances where a judge, juror or witness has become ill or unavailable. United States v. Lynch (illness of judge is an exigency justifying mistrial); State v. Riggins, 111 Ariz. 281, 528 P.2d 625 (1974) (trial judge’s illness warrants retrial); People v. Upshaw, 13 Cal.3d 29, 117 Cal.Rptr. 668, 528 P.2d 756 (1974) (illness of juror justifies retrial); People v. Castro, 657 P.2d 932 (Colo.1983) (mistrial appropriate due to sudden hospitalization of victim); Reemsnyder v. State, 46 Md.App. 249, 416 A.2d 767 (1980) (retrial was justified where juror experienced breathing difficulties during deliberations and was eventually admitted to hospital coronary unit); State v. Connery (attempted suicide of main prosecution witness warranted mistrial); Hall v. Potoker, 49 N.Y.2d 501, 427 N.Y.S.2d 211, 403 N.E.2d 1210 (1980) (injury to major prosecution witness justified mistrial); State v. Misten, 26 Or.App. 681, 554 P.2d 584 (1976) (manifest necessity existed where key witness was not available).
Where a continuance is not feasible, manifest necessity may justify the granting of a mistrial. Rasmussen v. White, 502 F.Supp. 237 (E.D.Tex.1980).
Explicit findings on the presence of manifest necessity, while strongly recommended, are not determinative of the issue involved, but the record must provide sufficient justification for the granting of the mistrial. Arizona v. Washington; Ortiz v. District Court, 626 P.2d 642 (Colo.1981). Before a mistrial is granted, other reasonable alternatives must be considered. Where a reasonable continuance may resolve the problem, it should be undertaken in lieu of granting a mistrial. State v. De Baca. See also United States v. Perez, 22 U.S. (9 Wheat.) 579, 6 L.Ed. 165 (1824). When the issue of double jeopardy is raised by a defendant, the burden rests upon the state to show the existence of manifest necessity so as to justify the declaration of mistrial. The trial court, however, is not required to make a detailed record of each alternative explored prior to declaring a mistrial. State v. De Baca. In Arizona v. Washington, the Court held that a trial judge’s declaration of mistrial is not subject to collateral attack in federal court simply because he failed to articulate all the factors which were considered in the exercise of his discretion, or failed to utilize the words “manifest necessity.”
The thrust of defendant’s contention that there was no manifest necessity justifying a mistrial centers on his claim that the state inadequately prepared for trial. Defendant contends that the state should have viewed the videotape during the three-week period from the time the videotape was made until the start of the trial. Defendant calls attention to the trial judge’s comment when the videotape was played that he “didn’t think it was [audible] the day he [the prosecutor] made it, because we couldn’t hear her then.” While it may be arguable that the prosecutor could have discovered the problem had he viewed the videotape before trial, in this age of advanced technology, we are not prepared to say the prosecutor was derelict in failing to do so. Further, two voice-only tapes taken presumably at the same time as the videotape are audible. Listening to these gives no clue that the victim could not be heard on the videotape. The prosecutor, knowing that Rule 29.1 allows use of the videotape, and being unaware that the victim’s voice could not be heard, could have reasonably acted as he did.
Defendant concedes in his brief that by continuing the trial until 9:00 a.m. the following day, the trial court “acted appropri ately in seeking an alternative to the declaration of a mistrial.” We agree. The record indicates that there was justification for the trial court to conclude at that time that reexamining whether the witness could be called in person was the only reasonable alternative. See State v. Misten.
In State v. De Baca, this court identified factors relevant to the scope of the trial judge’s inquiry when deciding whether contact with a juror requires the declaration of a mistrial: (1) the point at which proceedings would be terminated, and (2) the magnitude of prejudice to the defendant. In the case before us, the state had not completed its case, and the problem with the videotape was obvious as soon as it began to play. Further, the problem resulted from the witness’s voice being completely inaudible on the videotape. Defendant implicitly argues that the state gained some advantage by having a mistrial declared. The state did not request a mistrial, and the record does not support even an inference that it sought to gain, or would gain, any advantage from a mistrial. Thus, having considered the factors identified in State v. De Baca, we believe those factors did not require inquiry beyond that shown by this record. Cf. State v. Sedillo (trial court made no effort to assure that a manifest necessity supported the declaration of a mistrial).
Although defendant asserts that the prosecution should have viewed the videotape and, having viewed it, should have subpoenaed the victim, this contention overlooks the very purpose for which the videotaped deposition was taken. The record indicates that the victim was unable to participate in the first scheduled deposition, apparently as a result of her reaction to a pre-deposition interview. In light of the victim’s pre-trial attempts to testify, we cannot hold the trial court’s view of the situation an abuse of discretion. Cf. State v. Dunn (trial court’s view that no amount of admonition would eliminate the prejudice not disturbed on appellate review). See also People v. Castro (continuance of a few days offered no assurance that the victim would be well enough to testify); State v. Misten (trial court was entitled to conclude that the circumstances made continuing the trial physically impossible). While under the circumstances of this case, failure to preview the videotape does not rise to the level that warrants reversal, our decision should not be read as approving that practice.
As shown by the record herein the trial court expressly determined that the use of the videotape deposition of the child’s testimony was necessary because the child “is unable to testify before a jury in a public trial without suffering unreasonable and unnecessary mental or emotional harm.” Rule 29.1 and NMSA 1978, Section 30-9-17 (Repl.Pamp.1984) set forth a strong policy interest of this state in protecting children who have allegedly been sexually abused from suffering further mental and emotional damage, while balancing the rights of defendant.
The trial court also found that the child was ill and was unavailable to testify on December 28, 1983. Under these facts we find no abuse of the court’s discretion in the granting of the mistrial. As stated in State v. Cole, 286 Or. 411, 595 P.2d 466, cert. denied, 444 U.S. 968, 100 S.Ct. 458, 62 L.Ed.2d 381 (1979), there are two kinds of necessity in double jeopardy cases involving mistrials for reasons of necessity: First, those instances involving physical necessity; and second, the necessity of doing justice which arises from the duty of the court to guard the administration of justice from prejudice. See also State v. Shuler, 293 N.C. 34, 235 S.E.2d 226 (1977). From the facts herein, the defect in the videotape and the existing illness of the principal witness constituted a valid basis for the mistrial. State v. Connery.
When, taking all the circumstances into account, a basis exists in the record to support a finding of manifest necessity for a mistrial, and upon a proper balancing of defendant’s rights and the ends of public justice, the court in its sound discretion may declare a mistrial. United States v. Larry, 536 F.2d 1149 (6th Cir.), cert. denied, 429 U.S. 984, 97 S.Ct. 502, 50 L.Ed.2d 595 (1976); Pastrana v. Baker, 77 A.D.2d 653, 430 N.Y.S.2d 145 (1980), aff'd, 55 N.Y.2d 315, 449 N.Y.S.2d 461, 434 N.E.2d 697 (1982); Hall v. Potoker. The trial court properly exercised its discretion under the circumstances of this case.
The order granting the mistrial and reserving the right to retry defendant is affirmed.
IT IS SO ORDERED.
BIVINS and MINZNER, JJ., concur. | [
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OPINION
PER CURIAM.
This matter came before the Court following two separate disciplinary proceedings conducted pursuant to the Rules Governing Discipline, SCRA 1986, 17-101 to -316 (Repl.Pamp.1991 & Cum.Supp.1994), in which respondent Jake R. Evans was found to have committed various violations of the Rules of Professional Conduct, SCRA 1986, 16-101 to -805 (Repl.Pamp.1991 & Cum.Supp.1994). Pursuant to Rule 17-316(D) we adopt the disciplinary board’s findings of fact, conclusions of law, and recommendation to disbar respondent from the practice of law pursuant to Rule 17-206(A)(1). In addition, certain conditions are imposed that must be satisfied before consideration of a petition for reinstatement.
Between 1989 and 1992, Evans represented Consuelo Coyazo regarding various legal matters. The representation included assisting Coyazo in obtaining $100,000 in life insurance proceeds on her deceased husband’s policy; Coyazo was the named beneficiary on the policy. During his representation of Coyazo, Evans entered into business transactions with her consisting of three separate $20,000 loans by Coyazo to Evans between January 1990 and March 1992.
Evans prepared and delivered to Coyazo a promissory note and mortgage to secure $40,000 of the loan. The collateral listed was Evans’ residence on Hillrise Drive in Las Cruces, New Mexico. Evans represented to Coyazo that the Hillrise property was free and clear of prior liens, when in fact it had a prior mortgage. Evans also prepared and delivered to Coyazo a promissory note and mortgage to secure $20,000 of the loan. The collateral listed was 4.99 acres of real estate identified as the Fairacres property, which Evans represented was free and clear of prior liens, when in fact it also had a prior mortgage.
In the course of engaging in these business transactions with his client, Evans failed to advise Coyazo to seek independent legal advice, made no effort to obtain independent legal advice for her, and failed to advise her fully on the reasonable and appropriate protection that could be afforded by private mortgage financing. Evans also failed to advise Coyazo of the need to promptly record each mortgage and made no effort to record the mortgages for her. In fact, Evans wrongfully instructed Coyazo to file the mortgages upon his death.
On the advice of others, Coyazo finally recorded her mortgages on March 15, 1993. By the time the mortgages were recorded, a lis pendens on Evans’ Hillrise residence had been filed with respect to foreclosure proceedings by the First National Bank of Dona Ana County. Since Coyazo was not named in the foreclosure proceedings, her post-iis pendens lien effectively was foreclosed. With regard to the Fairacres property, on February 12, 1993, by a deed dated May 15, 1987, Evans conveyed the 4.99 acres in Fair-acres to a third party. A title search on the two properties confirmed that prior to the recording of Coyazo’s mortgages, Evans’ Hillrise residence as well as the Fairacres property were encumbered with two recorded transcripts of judgment and two recorded federal tax liens, in addition to the recorded first mortgage liens, all of which were superi- or to any lien of Coyazo.
Rule 16-108(A) governs business transactions with or adverse to a client and provides as follows:
A lawyer shall not enter into a business transaction with a client or knowingly acquire an ownership, possessory, security or other pecuniary interest adverse to a client unless:
(1) the transaction and terms on which the lawyer acquires the interest are fair and reasonable to the client and are fully disclosed and transmitted in writing to the client in a manner which can be reasonably understood by the client;
(2) the client is given a reasonable opportunity to seek the advice of independent counsel in the transaction; and
(3) the client consents in writing thereto.
Evans’ business transactions with Coyazo failed to comply with the provisions of Rule 16-108(A). The terms and conditions of the loans were not fair and reasonable; the terms and conditions were not fully disclosed to the client in writing; Evans’ client was not given a reasonable opportunity to seek independent counsel; and, she did not consent to the transactions in writing.
Evans’ failure to comply with the requirements of Rule 16-108(A) were further aggravated by the fact that he knowingly deceived Coyazo by failing to properly advise her of the need to record her mortgages or by failing to record the mortgages for her, and by misrepresenting that there were no prior mortgages. The disciplinary board also found that Evans knowingly deceived Coyazo or acted with a dishonest or selfish motive in transferring the 4.99 acres in Fairacres to a third party without indicating that the property was subject to Coyazo’s mortgage, thus causing serious or potentially serious injury to Coyazo. In obtaining the loans from Coyazo, Evans was dealing with a client who was particularly vulnerable, had no particular knowledge of mortgages, and lacked experience in dealing with large sums of money. Coyazo had a limited understanding of such matters and relied heavily on the guidance of Evans and the trust she placed in him.
In obtaining three separate $20,000 loans from Coyazo, Evans’ conduct caused serious or potentially serious injury to the client and violated Rule 16-108(A) on each occasion. The relationship between a debtor and a lender is inherently adversarial in nature. By entering into such a relationship with his client, without first fully apprising the client of their differing interests and without complying with the provisions of Rule 16-108(A), Evans breached his duty of professional loyalty owed to Coyazo. Furthermore, Evans’ conduct with respect to his business transactions with Coyazo violated Rules 16-804(C) and 16-804(H).
In July 1989, Jeff Knight and Jeanette L. Knight retained Evans to represent them regarding personal injuries and property damage suffered in an accident in which their vehicle collided with a cow on Interstate 25 near Hatch, New Mexico. Subsequently, Evans represented to the Knights that he was pursuing a lawsuit against the State Highway Department as well as the owners of the cow. Between April 1992 and February 1993, Ms. Knight made at least 64 long distance calls to Evans’ law office in an effort to speak with him about the status of the case. Evans failed to respond to the calls. Additionally, in May 1992 and February 1993, Ms. Knight mailed certified letters to Evans detailing efforts to contact him and requesting a response, which Evans failed to answer. Ultimately, Evans failed to file the suit on behalf of the Knights with respect to the accident or otherwise resolve the matter. As a result, the statute of limitations expired on the personal injury and property damage claims.
In representing the Knights, Evans was found to have failed to act with diligence and promptness and such failure caused serious or potentially serious injury to those clients. Evans’ conduct with respect to his representation of the Knights was, therefore, in violation of Rules 16-101, 16-103, 16-104(A), and 16-804(H).
Additionally, the disciplinary board determined that Evans properly was notified of the disciplinary complaints filed by Coyazo, Ms. Knight, and a third client, John F. Ramzy. Nevertheless, Evans failed to respond to disciplinary counsel regarding the Knight complaint and the Coyazo complaint. With regard to the Ramzy complaint, Evans failed to respond to requests for supplemental information submitted by disciplinary counsel. It was concluded that Evans engaged in bad faith obstruction of disciplinary proceedings by intentionally failing to cooperate with disciplinary counsel on multiple occasions. Evans, therefore, was found to have violated Rule 16-803(D).
In June 1991, Alan Chapman and Neil Fraembs, on behalf of Action Auto Parts & Towing, retained Evans to represent them in the purchase of a wrecker business, for which Evans was paid $3,000.00 as a retainer. Additionally, Chapman and Fraembs also paid $1,000.00 to Evans to be held in escrow for the purchase of the business. Evans subsequently drafted a purchase and sale agreement, and, as part of the agreement, Evans was appointed escrow agent for the transaction. The purchasers acknowledged in the agreement that they paid $1,000.00 to Evans as escrow agent and agreed he would hold that money in trust for the benefit of the seller upon execution of the contract. Additionally, as part of the purchase and sale agreement, Evans agreed to make application on or before September 1, 1991, to the State Corporation Commission for the transfer of certain certificates of public convenience and necessity associated with the business and to make application on behalf of the purchasers to expand the territory to be served by said certificates.
Although Evans agreed to file the application for transfer of the certificates of public convenience and necessity with the State Corporation Commission on or before September 1, 1991, the purchasers determined that the State Corporation Commission had no record of any filing made by Evans. Between September 1 and October 3, 1991, Chapman and Fraembs attempted to determine the status of the filing with the State Corporation Commission and were assured by Evans that he would fulfill his obligation to complete the filing. Evans subsequently faded to file the application for transfer of the certificates and also failed to make application to expand the proposed territory to be served by the certificates.
On or about December 10, 1991, Chapman and Fraembs terminated the representation and requested a conference with Evans to discuss the termination arrangements. Evans advised them that he would make final arrangements, send an itemized statement of account within one week, and refund any portion of the original retainer, all of which he failed to do. Additionally, Evans did not return the $1,000.00 escrow amount previously deposited with him at the time of his clients’ attempted purchase of the business. The disciplinary board found that Evans subsequently converted the escrow payment for his personal use and failed to account for it.
Based upon the above-described conduct, the disciplinary board found Evans in violation of Rule 16-104(A) by his failure to keep Chapman and Fraembs reasonably informed regarding the status of their legal matters. Evans also failed to hold the client funds belonging to Chapman and Fraembs separate from his own property in violation of Rule 16-115(A). Furthermore, Evans failed to promptly deliver to Chapman and Fraembs funds they were entitled to receive and failed to render a full accounting regarding the funds in violation of Rule 16 — 115(B).
In December 1991, Evans agreed to represent Jose Rodriguez in a child custody case and a separate case involving child support arrearage. Between December 1991 and June 1992, Rodriguez was unable to obtain information from Evans regarding the status of his cases. Rodriguez thereafter requested that Evans provide an accounting regarding a $1,500.00 retainer and refund any remaining balance. The disciplinary board subsequently determined that Evans failed to keep Rodriguez reasonably informed regarding the status of his legal matters in violation of Rule 16-104(A).
Evans was retained to represent J.M. Heck and Patricia Davis Heck in a case titled State, ex rel., Udall v. Heck, Dona Ana County Cause No. CV-88-574. In the course of the aforementioned litigation the State of New Mexico appealed the form of the district court’s judgment and permanent injunction and the matter was assigned to the summary calendar by the New Mexico Court of Appeals. The disciplinary board found that Evans discussed the appeal with the Hecks and advised them that the Court of Appeals would reverse the trial court’s form of judgment in accordance with the decision in State, ex rel., Stratton v. Alto Land & Cattle Co., 113 N.M. 276, 824 P.2d 1078 (Ct.App.1991).
On April 17, 1992, the Court of Appeals entered a memorandum opinion granting the state’s relief and summarily reversing the district court’s entry of its form of judgment and permanent injunction. The memorandum opinion noted that Evans failed to file a response on behalf of the Hecks. Subsequently, the Hecks discharged Evans by letter. However, Evans was apparently unaware of the Hecks’ letter discharging his service and agreed to the form of the amended judgment on mandate and permanent injunction prepared by the Attorney General’s office. The disciplinary board found that Evans’ approval was simply a formality as the permanent injunction was mandated by the Court of Appeals and was approved by Evans only as to form. However, the disciplinary board found that Evans failed to communicate with the Hecks regarding the summary reversal. The Hecks learned of the entry of judgment on the mandate by way of a newspaper article on June 30,1992.
The Hecks subsequently retained other counsel who attempted to recover the case file from Evans by correspondence dated August 6 and 27, 1992; however, Evans failed and refused to turn over the client files. The Hecks’ new attorney finally recovered the client files by having a subpoena issued for their return. As a result, the disciplinary board found that Evans failed to give reasonable notice to the clients and failed to surrender papers and property to which the clients were entitled. In representing the Hecks, Evans also was found to have failed to ■ keep his clients reasonably informed about the status of their legal matters in violation of Rule 16-104(A).
In September 1990, Connie S. Ledesma retained Evans to represent her regarding personal injuries arising out of an automobile collision. Evans engaged in settlement negotiations on behalf of Ledesma and reached an agreement with Teachers’ Insurance Company to settle the ease for a total sum of $50,000.00. On March 19, 1992, Teachers’ Insurance Company issued its draft in the sum of $50,000.00 payable to Ledesma and Evans. Evans subsequently requested that Ledesma endorse the draft so he could negotiate it and pay Ledesma her portion of the settlement funds. At the time Ledesma endorsed the draft, Evans told her that it would take approximately ten working days for the draft to clear after which time she would receive payment. After expiration of the ten days, Ledesma contacted Evans and was told that he was holding the draft and had not yet received payment for it. Evans advised Ledesma that as soon as the draft was negotiated she would be paid her portion of the settlement proceeds. After a period of time Ledesma again inquired as to when she would receive her settlement proceeds. Evans informed her that he had held the draft more than ninety days, that it had expired, and that he would obtain a new draft and would then pay Ledesma her portion of the settlement proceeds. Ledesma continued to inquire about the payment of her settlement proceeds and was advised by Evans that she would receive not only the proceeds of the settlement with Teachers’ Insurance Company but also additional monies in settlement of the claims arising out of the collision.
Ledesma thereafter retained new counsel and, on January 22,1993, by and through her new attorney, made formal demand upon Evans for payment of the settlement funds and for return and delivery of her file on the claim arising out of the automobile collision. Despite Ledesma’s demand, Evans failed and refused to pay her any portion of the settlement proceeds or to return her file in order to allow her to pursue her claims through new counsel.
It was subsequently determined that on March 23, 1992, Evans presented the $50,-000.00 settlement draft for collection at the First National Bank of Dona Ana County. Evans deposited the $50,000.00 settlement draft into a checking account. The draft was paid by Teachers’ Insurance Company on March 25, 1992. The disciplinary board found that Evans commingled Ledesma’s funds with his own in breach of his duty as her attorney by depositing the $50,000.00 into a personal cheeking account that was not a designated trust account. The disciplinary board also found that, between March 1992 and September 1992, Evans converted pro ceeds of his client’s settlement for personal use and failed to account for the $50,000.00 settlement. On August 21, 1992, the checking account into which Evans deposited the Ledesma settlement funds was the subject of an IRS levy. At the time Evans’ checking account was levied against by the IRS, the account had a balance of $68.04. By September 1992, the balance of Evans’ checking account at the First National Bank of Dona Ana County had been depleted and the account subsequently was closed.
In representing Ledesma, Evans was found to have failed to hold client funds belonging to his client separate from his own property in violation of Rule 16-115(A). Evans also was found to have failed to promptly deliver to Ledesma funds that she was entitled to receive and failed to properly render a full accounting regarding said funds in violation of Rule 16-115(B). Evans also was found to have converted the $50,000 settlement of the Ledesma personal injury case for his own personal use. Evans engaged in conduct involving dishonesty, fraud, deceit, and misrepresentation in violation of Rule 16-804(C), conduct prejudicial to the administration of justice in violation of Rule 16-804(D), and conduct adversely reflecting on his fitness to practice law in violation of Rule 16-804(H).
Additionally, the disciplinary board determined that Evans properly was notified of the disciplinary complaints filed by Alan Chapman and Neil Fraembs, Jose Rodriguez, and Connie Ledesma. In the course of the investigation of these complaints, Evans failed to respond to communications from disciplinary counsel and thereby failed to cooperate with disciplinary counsel in the discharge of their duties in violation of Rule 16-803(D).
The Court hereby adopts the findings of fact, conclusions of law, and recommendations of the disciplinary board. Based on the serious nature of the multiple violations committed by Evans as well as the extent of the aggravating factors present in these particular cases, the Court agrees that the discipline to be imposed is appropriate.
NOW, THEREFORE, IT IS ORDERED that the recommendation of the disciplinary board hereby is adopted and Jake R. Evans is DISBARRED from the practice of law effective August 24, 1994;
IT IS FURTHER ORDERED that, prior to the filing of a petition for reinstatement, Evans shall satisfy the following conditions:
1. Evans shall account for all funds borrowed from Consuelo Coyazo and repay these monies in full;
2. Evans shall account for all funds entrusted to him by Neil Fraembs, Alan Chapman, Jose Rodriguez, and Connie Ledesma;
3. Evans shall repay in full all monies owed to Neil Fraembs, Alan Chapman, and Connie Ledesma at an interest rate of fifteen percent (15%) per annum from the dates of the deposit of the Ledesma settlement cheek and from the date of deposit in the Chapman/Fraembs escrow fund; and
4. Evans shall take and pass the Multistate Professional Responsibility Exam.
IT IS FURTHER ORDERED that Evans shall provide notice to all of his clients of his disbarment pursuant to Rule 17-212;
IT IS FURTHER ORDERED that Michael W. Lilley hereby is appointed to inventory Evans’ files and trust accounts pursuant to Rule 17-213; and
IT IS FURTHER ORDERED that the costs of these disciplinary proceedings in the amount of $6,195.41 are assessed against Evans and shall be paid to the disciplinary board on or before August 24, 1995. Any amounts not paid by that date shall bear interest at the rate of fifteen percent (15%) per annum until paid, and a transcript of judgment will be issued by this Court for any amounts not paid by August 24, 1995.
IT IS SO ORDERED. | [
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] |
OPINION
DONNELLY, Chief Judge.
Employer, Mark Sideris d/b/a/ Buffalo Builders, appeals from the decision of a hearing officer of the Workers’ Compensation Division awarding disability benefits and finding claimant, Phillip Urioste, temporarily totally disabled as a result of two accidents: one occurring while claimant was working for Sideris and the other occurring while claimant was working for a subsequent employer, Furr’s, Inc. We answer two of employer’s claims summarily and discuss (1) whether the initial accident arose out of claimant’s employment; (2) whether there is substantial evidence to support the finding that claimant was disabled during his employment; (3) whether the hearing officer erred in allocating liability; and (4) whether the hearing officer erred in awarding attorney fees. We affirm.
Claimant was employed by Sideris during the summer of 1986 as a laborer. On August 18, 1986, claimant was working with another employee of Sideris installing insulation in a building being remodeled. Two plumbers, not employed by Sideris, were installing a bathtub at the same location. The plumbers requested claimant to help them lift the bathtub. While rendering this assistance, claimant injured his back. Although claimant worked the remainder of that day, the next morning he experienced severe lower back pain and went to a hospital emergency room for treatment. The doctor prescribed medication and advised claimant to rest.
Claimant testified that after seeing the doctor, he spoke to Sideris, informed him of the injury, and requested a wage advance to pay for medication prescribed by his physician. Thereafter, claimant missed three days of work. When he returned to work, claimant was told that he and the other laborers would only be needed on the project for the remainder of the week.
After claimant was laid off, he was hired by Furr’s. He worked first in a delicatessen section and later was assigned to prepare signs and graphics. During his employment with Furr’s, claimant complained of back pain to his supervisor. On October 4, 1986, claimant further injured his back while erecting a sign. Claimant was unable to return to work and filed a worker’s compensation claim against Sideris on March 10, 1987; on April 3, 1987, he filed an amended claim joining Furr’s in the same action.
I. ISSUES ANSWERED SUMMARILY
(a) The parties do not dispute that the applicable standard of review of an appeal from the decision of a hearing officer in a worker’s compensation action is governed by the whole record standard of review. Thus, we apply the whole record standard of review. Tallman v. ABF, N.M. (Ct.App. 1988). See also Strickland v. Coca-Cola, 107 N.M. 500, 760 P.2d 793 (Ct.App.1988).
(b) Sideris argues that the hearing officer erred in finding that he had actual knowledge of the accidental injury sustained by claimant on August 18, 1986, and that the evidence was insufficient to support the challenged finding. A claimant is not required to give written notice of an accident where the employer or any superintendent or foreman or other agent in charge of the work in connection with which the accident occurred had actual knowledge of its occurrence. NMSA 1978, § 52-l-29(B) (Repl.Pamp.1987). The determination of whether the employer had actual knowledge is made from a consideration of the totality of the facts and circumstances. Powers v. Riccobene Masonry Constr., Inc., 97 N.M. 20, 636 P.2d 291 (Ct.App.1980); Rohrer v. Eidal Int’l, 79 N.M. 711, 449 P.2d 81 (Ct.App.1968).
The record indicates a conflict in the testimony concerning whether claimant orally notified Sideris that he injured his back while lifting a bathtub at the construction site. Claimant testified that he told Sideris of the circumstances of his injury. He also testified that he gave Sideris a note from his doctor requesting that he be excused from work for several days because of his back injury. This testimony was corroborated by another workman. Sideris acknowledged that he was informed that claimant had injured his back, but testified that he did not know the cause of the injury. He also testified that he did not recall discussing claimant’s need for a prescription, nor did he recall seeing a note from claimant’s doctor.
Where the testimony is conflicting, the issue on appeal is not whether there is evidence to support a contrary result, but rather whether the evidence supports the findings of the trier of fact. Hernandez v. Mead Foods, Inc., 104 N.M. 67, 716 P.2d 645 (Ct.App.1986); Bagwell v. Shady Grove Truck Stop, 104 N.M. 14, 715 P.2d 462 (Ct.App.1986). The whole record supports the finding of the hearing officer as to this issue.
II. ARISING OUT OF THE EMPLOYMENT
The hearing officer found that claimant’s August 18,1986 injury arose out of and in the course of his employment with Sideris. The language “in the course of employment” refers to the time, place, and circumstances under which the accident occurred. Velkovitz v. Penasco Indep. School Dist., 96 N.M. 577, 633 P.2d 685 (1981). A worker’s injury arises out of his employment if the injury is caused by a risk to which the Worker has been subjected arising from his employment. Barton v. Las Cositas, 102 N.M. 312, 694 P.2d 1377 (Ct.App.1984). For an injury to arise out of the employment, it must be apparent to a rational mind, upon consideration of all the circumstances, that there is a causal connection between the conditions under which the work is required to be performed and the resulting injury. Gutierrez v. Artesia Pub. Schools, 92 N.M. 112, 583 P.2d 476 (Ct.App.1978) (quoting In re McNicol, 215 Mass. 497, 102 N.E. 697 (1913)). The question of whether a worker’s injury arises out of his employment is a question to be determined by the trier of fact. See id. Where the historical facts of the case are undisputed, however, the question of whether the accident arose out of the employment is a question of law. Edens v. New Mexico Health & Social Servs. Dep’t, 89 N.M. 60, 547 P.2d 65 (1976).
Sideris argues that the dispositive facts of this case are undisputed. Our review of the record indicates that while some of the historical facts are undisputed, other key evidence is conflicting. Sideris points to evidence that indicates claimant was working for Sideris installing insulation, that the plumbers were not employed by Sideris, and that claimant’s act of assisting the plumbers did not constitute a specifically assigned job duty. Other testimony, however, indicated that claimant had on other occasions been instructed to assist plumbers, that the project was a rush job, and that claimant had been instructed to do what was necessary in order to get the project done. Claimant also testified that he could not complete his work until the plumbers had completed their work.
Where the ultimate effect of claimant's act of helping others is to advance his own employer’s work, by removing obstacles to the work, and where the employer has not specifically prohibited the worker from giving such assistance, the employer may be held liable under the Workmen’s Compensation Act for disability resulting from an accidental injury. Cf. Feldhut v. Latham, 60 N.M. 87, 287 P.2d 615 (1955). See generally IA A. Larson, The Law of Workmen’s Compensation § 27.20 (1985). This is such a case.
Because the material facts were in dispute, it was the duty of the hearing officer to weigh the evidence and determine whether the injury arose out of and in the course of claimant’s employment. See Neel v. State Distributors, Inc., 105 N.M. 359, 732 P.2d 1382 (Ct.App.1986). The question on appeal is not whether there was evidence to support an opposite result, but instead, whether the evidence supported the trial court’s findings. Id. Based on all the testimony, there is substantial evidence in the record as a whole to support the findings.
III. TEMPORARY TOTAL DISABILITY
The hearing officer found that, except for a period of one and one-half weeks, claimant was temporarily totally disabled from August 18, 1986 until the date of the hearing. Because the disability in this case manifested itself after May 21, 1986, the provisions of 1986 N.M. Laws, ch. 22 (the Interim Act) apply. The Interim Act de fines temporary total disability as “the inability of the workman, by reason of accidental injury arising out of and in the course of his employment, to perform his duties prior to the date of his maximum medical improvement.” NMSA 1978, § 52-1-26 (Cum.Supp.1986). The parties have agreed that, as of the day of the hearing, claimant had not reached maximum medical improvement. There is also agreement that claimant was temporarily totally disabled after October 4, 1986. The dispute regarding the award of temporary total disability concerns the period from August 18, 1986, until October 4, 1986.
Under the former workmen’s compensation statute, the definition of total disability required proof of two factors: (1) the workman must be totally unable to perform work he was doing at the time of the injury; and (2) the worker must be wholly or partially unable to perform any work for which he is fitted by age, education, training, general physical and mental capacity and previous work experience. NMSA 1978, § 52-1-24 to -25 (Orig.Pamp.); Salcido v. Transamerica Ins. Group, 102 N.M. 217, 693 P.2d 583 (1985). The first prong of the former test of disability is similar to the definition of temporary total disability contained in the Interim Act. The case law applicable to the former statute states that the primary test for disability is the capacity to perform work. See Medina v. Zia Co., 88 N.M. 615, 544 P.2d 1180 (Ct.App. 1975). The issue thus presented is whether, after the accidental injury, the worker is able to perform his job duties.
Sideris argues that because claimant was able to perform his job duties between August 18, 1986, and October 4, 1986, these facts preclude a finding of disability. Sideris contends that post-injury employment is evidence relevant to whether a claimant is able to perform the work he was doing at the time of the accident. See Schober v. Mountain Bell Tel., 96 N.M. 376, 630 P.2d 1231 (Ct.App.1980). Post-injury employment, however, does not, as a matter of law, preclude a finding of total temporary disability. See Amos v. Gilbert W. Corp., 103 N.M. 631, 711 P.2d 908 (Ct.App.1985). Whether the evidence of post-injury employment is indicative of a worker’s ability to perform work turns upon the facts of each particular case. Id.
Here the evidence was uncontroverted that claimant returned to work for Sideris five days after injuring his back. Sideris presented evidence that claimant performed all his duties without any difficulty, that he did not request light duty, and that he did not ask for assistance from his co-workers. Claimant testified, however, that he did not perform the same duties, that he avoided any significant lifting, and that he only assisted in installing metal door frames. After he was laid off from work with Sideris, claimant obtained employment with Furr’s. The record indicates that claimant performed all his job duties and did not miss any time from work while working in the delicatessen department of Furr’s, but that after being assigned to prepare graphics, he complained of back pain to his supervisor and the assistant store manager. Later, while hanging a sign, he further injured his back and was unable to return to work.
Claimant was diagnosed as having a herniated disc. Sideris contends that the medical testimony is conflicting and that certain medical evidence should be disregarded. Dr. Richard Ferber, the treating physician, testified that when he examined claimant on August 19,1986, claimant did not report any specific, traumatic event. Dr. Bankat Narayan, who performed surgery to remove the herniated disc, testified that claimant’s herniated disc was caused by his assisting in lifting the bathtub. Dr. Robert W. Benson, an orthopedic surgeon who performed an independent medical examination on claimant, also testified that the cause of claimant’s back problem stemmed from his lifting of the bathtub.
Our concern, however, is whether there is evidence on the record as a whole to support the finding of disability. In reviewing the judgment of the hearing officer, the decision will be upheld if the administrative authority has correctly adhered to applicable law, see Conwell v. City of Albuquerque, 97 N.M. 136, 637 P.2d 567 (1981), and if after reviewing the record as a whole, the appellate court determines that on balance, the fact finder’s decision is supported by substantial evidence. Tallman v. ABF; Cibola Energy Corp. v. Roselli, 105 N.M. 774, 737 P.2d 555 (Ct.App.1987); Tapia v. City of Albuquerque, 104 N.M. 117, 717 P.2d 93 (Ct. App.1986). In addition to the medical testimony, claimant also testified that he was unable to work following his back injury at Furr’s. While medical testimony is not necessary to establish the extent of disability, it may, however, constitute valid evidence on such issue. See Hernandez v. Mead Foods, Inc.
Reviewing the record as a whole, we determine that there was substantial evidence supporting the hearing officer’s finding of temporary total disability.
IV. ALLOCATION OF COMPENSATION
After finding that claimant was temporarily totally disabled, the hearing officer apportioned liability between Sideris and Furr’s. Sideris contends that liability resulting from claimant’s disability arising from his second accident, regardless of any preexisting condition, is fully compensable by the employer and compensation insurer at the time of the second accident. See Gonzales v. Stanke-Brown & Assoc., Inc., 98 N.M. 379, 648 P.2d 1192 (Ct.App.1982). We disagree. Under our ruling in Gonzales, the employer and the compensation carrier at the time of the first accidental injury remain liable to claimant for compensation benefits payable to the extent of any disability resulting from the initial injury. Although the employer and the compensation carrier at the time of the second accident are liable for compensation for the disability resulting from the second accident, that amount is subject to reduction to the extent of benefits paid or payable for disability resulting from the first accidental injury. Id.
V. ATTORNEY FEES
The final issue raised on appeal challenges the hearing officer’s award of attorney fees to claimant. The judgment awarded $8,000 in attorney fees and directed that one-half of this amount be paid by each employer. All parties agreed at the hearing that in determining any award of attorney fees, the provisions of the Interim Act applied. On appeal, however, Sideris contends the provisions of the Interim Act were not applicable. In view of the fact that the parties below stipulated to the applicability of the Interim Act, we review this issue in light of the provisions of the Interim Act and determine that under the record before us the parties are bound by their stipulation. Cf. Alber v. Nolle, 98 N.M. 100, 645 P.2d 456 (Ct.App.1982) (stipulation as to amount of expenses and that expenses were reasonable and necessary held sufficient evidence to support a finding as to damages).
The Interim Act, subject to specific exceptions, placed the responsibility for payment of attorney fees upon the worker. See NMSA 1978, § 52-1-54 (Cum.Supp. 1986). It provided that “[a] workman shall be responsible for the payment of his own attorneys’ fees, except that a workman shall be entitled to recover a reasonable attorneys’ fee from an employer” where the employer has refused the payment of medical benefits under certain circumstances, without a reasonable basis, where the employer without a reasonable basis denies that an injury has occurred and the workman prevails on that issue, or where the employer has “acted in bad faith” with regard to handling the workman’s claim. The Interim Act, Section 52-1-54, effective until July 1, 1987, was amended by N.M. Laws 1987, Chapter 235, Section 24.
The hearing officer adopted supplemental findings of fact as to attorney fees finding, among other things, that: “14. Respondents [Sideris and his insurance carrier] acted in good faith with regards to this claim”; and “15. Respondents denied an injury in this cause without a reasonable basis.” The administrative order, which is the subject of this appeal and which awarded compensation and ordered payment of attorney fees, recited that “there is no finding of bad faith by the employers or its workmen’s compensation carrier but there was a denial without a reasonable basis [.]” Sideris notes that the compensation order carried forward supplemental finding no. 15. Sideris contends that supplemental finding no. 15 is not supported by substantial evidence in the record as a whole or by the remaining findings.
Both claimant and Sideris submitted requested findings of fact and conclusions of law as to liability. At the close of the hearing on attorney fees, the hearing officer advised the parties that they might submit findings of fact and conclusions of law as to attorney fees, but should do so within a stated time. Neither claimant nor Sideris did so. The findings submitted as to liability do not specifically relate to the issue of the award of attorney fees or bear upon the issue of whether respondents denied claimant’s injury without a reasonable basis.
The failure of Sideris to submit requested findings of fact and conclusions of law on the issue of the reasonableness of the award of attorney fees or as to the issue of whether it unreasonably denied claimant’s injury precludes evidentiary review of the evidence on these issues. See Pedigo v. Valley Mobile Homes, Inc., 97 N.M. 795, 643 P.2d 1247 (Ct.App.1982); Martinez v. Martinez, 101 N.M. 493, 684 P.2d 1158 (Ct.App.1984). As set forth in SCRA 1986, l-052(B)(l)(f), “[a] party will waive specific findings of fact and conclusions of law if he fails to make a general request therefor in writing, or if he fails to tender specific findings and conclusions.” (Emphasis added.) Consideration of the issue on appeal requires a review of the evidence at trial. A party who does not request findings of fact and conclusions of law cannot on appeal obtain a review of the evidence. McNabb v. Warren, 83 N.M. 247, 490 P.2d 964 (1971). Thus, we do not review Sideris’ contention. See id.
We affirm the order of the hearing officer on the award of attorney fees.
VI. CONCLUSION
The order of the administrative hearing officer is affirmed. Claimant is entitled to attorney fees on appeal against Sideris in the amount of $2,000.
IT IS SO ORDERED.
MINZNER and APODACA, JJ., concur. | [
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OPINION
SOSA, Senior Justice.
This case comes to us after our mandate to the Bernalillo County District Court in Hughes v. Hughes, 96 N.M. 719, 634 P.2d 1271 (1981). The facts are sufficiently set forth in that opinion. We need not repeat them here. The sole issue presented on this appeal is whether the district court’s determinations and order after mandate were inconsistent with our mandate and opinion in Hughes.
A major issue in the prior appeal was whether ownership in the residence had been transmuted from the separate property of respondent (Husband) to community property as the trial court had found. This Court found that there was nothing in the record to rebut the presumption established by NMSA 1978, Section 47-1-16 that a joint tenancy in the residence was created by a joint tenancy deed Husband executed to himself and petitioner (Wife). Our conclusions, insofar as they are relevant here, were that Husband was not unduly influenced by Wife at the time he executed the joint tenancy deed and that there was no substantial evidence to support the district court’s finding that the residence was transmuted from separate to community property. We therefore reversed the trial court and determined that the residence was held by the parties as joint tenants. Hughes, 96 N.M. at 725, 634 P.2d at 1277.
After mandate issued, Husband moved the district court to require that Wife quitclaim her interest in the family residence to him to terminate the joint tenancy. Wife opposed this motion. The parties were later notified by letter opinion that the trial court had concluded that the residence was the sole and separate property of Husband, subject to any community liens that could be proved at a subsequent hearing.
The Hughes opinion in the prior appeal constitutes the law of the case. Orman v. Nelson, 80 N.M. 119, 452 P.2d 188 (1969). It is binding on the district court, and is to be referred to if there is any doubt or ambiguity regarding the mandate. State ex rel. Del Curto v. District Court, 51 N.M. 297, 304, 183 P.2d 607, 611 (1947). Our mandate and opinion in the prior appeal set forth the full extent of the jurisdiction of the district court on remand. Varney v. Taylor, 79 N.M. 652, 448 P.2d 164 (1968).
On remand the district court concluded that “the residence is the separate property of the Respondent and that the only remaining issue is the extent of the community lien on such residence.” In doing so the district court construed our opinion and mandate as allowing inquiry beyond the joint tenancy form of the deed. The court determined the underlying separate property character of the residence by reviewing the evidence presented at the prior trial and tracing the nature of the funds used to acquire it.
In a hearing held after its ruling the district court considered only evidence bearing on the extent of any possible community liens arising under Portillo v. Shappie, 97 N.M. 59, 636 P.2d 878 (1981). Wife participated in this hearing without waving her standing objection that the proceedings were inconsistent with this Court’s mandate. The district court subsequently entered additional findings of fact and conclusions of law and a final decree on remand. This decree ordered that the joint tenancy be terminated and that Wife have no interest in the property except a lien in the amount of $3,113.11 to secure payment for her share of one-half interest in 1) the small community interest in mortgage payments made with community funds plus interest on those payments and 2) the community interest in improvements to the residence also made with community funds plus interest on these payments.
Wife argues that the district court proceedings on remand were inconsistent with this Court’s mandate and opinion. Husband responds that it was proper for the court to consider which particular funds were used to purchase the residence in arriving at its decision on remand.
This Court has, on occasion, looked beyond the joint tenancy form of a deed to establish the underlying separate or, community nature of property consistent with the type of funds used to purchase it. In Wiggins v. Rush, 83 N.M. 133, 489 P.2d 641 (1971) this Court affirmed on substantial evidence grounds a trial court determination that certain property was community property, notwithstanding that the parties took title as joint tenants, since the property was purchased with community funds. In Corley v. Corley, 92 N.M. 716, 594 P.2d 1172 (1979) we reversed a district court determination that property purchased with the husband’s separate funds and placed in joint tenancy with his wife was community property. There we considered not only the fact that the husband furnished the sole consideration for the purchase, but the lack of the husband's intent to own the property jointly with his wife. Finally, in LeClert v. LeClert, 80 N.M. 235, 453 P.2d 755 (1969), we affirmed a district court determination that a husband’s separate property inheritance placed in joint tenancy with his wife nevertheless remained his separate property. Again, we looked to the intent behind placing the property in joint tenancy and concluded that the record supported the district court’s finding that the property was placed in joint tenancy for inheritance purposes only.
Our opinion in Hughes pointed out in some detail that the residence was initially the separate property of Husband and that his sole purpose in executing the joint tenancy deed was to provide for a right of survivorship in Wife. Regarding Husband’s intent, the trial court on remand specifically found that “[t]he intent of the Respondent in deeding the property in joint tenancy was merely to provide for a means by which the Petitioner would own it without the necessity of probate in the event that the Respondent died before the Petitioner.” Consistent with our discussions in Hughes, Corley and LeClert, the district court could look to Husband’s intent in considering the parties’ interests in the residence. This finding is not challenged in the present appeal and is binding on the parties. NMSA 1978, Civ.App.R. 9(d) (Cum.Supp.1983).
A portion of the dissolution decree unaffected by the district court’s decree on remand allowed Wife to live in the family residence until the parties’ daughter reached majority. Husband asserts that the award of exclusive possession, in addition to the court’s order that the property eventually be sold, worked a severance of the joint tenancy that was found to exist in Hughes. We agree. While obtaining a divorce is not by itself inconsistent with joint tenancy ownership, see Witzel v. Witzel, 386 P.2d 103 (Wyo.1963); Nichols v. Nichols, 43 Wis.2d 346, 168 N.W.2d 876 (1969), a joint tenancy may be severed by a final dissolution decree which contemplates severance of the joint tenancy. Federal National Mortgage Association v. Elliott, 1 Kan.App.2d 366, 566 P.2d 21 (1977); Romero v. Melendez, 83 N.M. 776, 498 P.2d 305 (1972); see Annot. 64 A.L.R.2d 918 at 944-956. The final decree in this case which ordered the property to be sold severed the joint tenancy and a tenancy in common resulted. See 4A R. Powell, The Law of Real Property ¶ 618 (1982).
Consistent with our approaches in Corley, Wiggins and LeClert, the district court properly considered the source of the funds used to purchase the residence in determining Wife’s interest in the residence after severence. It is uncontroverted that the sole consideration for the initial purchase was furnished by the separate funds of Husband. The district court properly concluded that the residence was solely the property of Husband subject only to Wife’s lien as previously noted. The judgment of the district court is therefore affirmed.
The parties are to bear their own attorney fees and costs on appeal.
IT IS SO ORDERED.
FEDERICI, C.J., and RIORDAN, J., concur. | [
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] |
OPINION
FEDERICI, Chief Justice.
This case is before us through interlocutory appeal from the District Court of Ber nalillo County. Customwood Mfg., Inc., the plaintiff-appellee (plaintiff), a New Mexico corporation, filed a complaint for debt against Downey Construction Co., Inc., the defendant-appellant (defendant), a Nevada corporation. Process was served on defendant in Nevada. Defendant filed a motion to dismiss for lack of jurisdiction. The motion was denied by the trial court. Defendant then filed an application for an order allowing appeal. The trial court had not made findings of fact, but a review of the complaint and affidavits revealed that there was no dispute as to facts material to the jurisdictional issue, and this Court granted an interlocutory appeal. We reverse the trial court.
The issue on appeal is whether the defendant “transacted any business” within New Mexico, and is therefore subject to jurisdiction of New Mexico courts under the New Mexico long-arm statute, NMSA 1978, Section 38-l-16(A)(l). Defendant’s contacts in New Mexico were insufficient to constitute a transaction of business within the State, under the meaning of the long-arm statute, and therefore insufficient to support assertion of jurisdiction over defendant by New Mexico courts.
Defendant, a construction company, was awarded a contract to build a large house in Las Vegas, Nevada. At the time defendant bid on the contract, it was told by the architect that he and the owner had already selected plaintiff to supply all of the doors for the house. Defendant and all of the other bidders were given an allowance for the doors to be included in the bid. Once defendant was awarded the bid it placed a purchase order with plaintiff for the doors, as it had been instructed to do. As work progressed, there were also telephone calls between plaintiff and defendant, some of them initiated by defendant, and defendant periodically mailed payments to plaintiff for doors received. It is not contended that defendant has ever done business in New Mexico nor had any other contact within New Mexico except as just described. No employee or agent of defendant ever traveled to New Mexico, and defendant never solicited for business or supplies in New Mexico.
After the front doors were installed in the house they began to weather poorly. Plaintiff sent an employee to Nevada to inspect the doors, and eventually sent another employee to refinish them. This dispute arises out of expenses that plaintiff incurred in inspecting and repairing the doors. Plaintiff contends that defendant, by its contacts with plaintiff, and specifically its mailing of a purchase order to plaintiff, transacted business within New Mexico and therefore is subject to New Mexico jurisdiction under NMSA 1978, Section 38-1-16(A)(1).
Plaintiff correctly asserts that a single transaction of business within this State can be sufficient to subject a nonresident defendant to the jurisdiction of New Mexico courts, provided that the cause of action being sued upon arises from that particular transaction of business. NMSA 1978, § 38-l-16(A)(l); Moore v. Graves, 99 N.M. 129, 654 P.2d 582 (Ct.App.1982). In determining whether defendant’s activity within the State amounts to a transaction of business, though, it is necessary to keep in mind the due process constraints upon exercise of jurisdiction that were announced in International Shoe Co. v. Washington, 326 U.S. 310, 66 S.Ct. 154, 90 L.Ed. 95 (1945). “[D]ue process requires only that in order to subject a defendant to a judgment in personam, if he be not present within the territory of the forum, he have certain minimum contacts with it such that the maintenance of the suit does not offend ‘traditional notions of fair play and substantial justice.’ ” Id. at 316, 66 S.Ct. at 158. “We have repeatedly equated the ‘transaction of business’ — insofar as the acquisition of long-arm jurisdiction under our statute is concerned — with the due process standard of ‘minimum contacts’ * * Telephonic, Inc. v. Rosenblum, 88 N.M. 532, 534, 543 P.2d 825, 827 (1975). A central factor in determining whether these “minimum contacts” were established is the degree to which defendant purposefully initiated its activity within the State. “[I]t is essential in each case that there be some act by which the defendant purposefully avails itself of the privilege of conducting activities within the forum State, thus invoking the benefits and protections of its laws.” Hanson v. Denckla, 357 U.S. 235, 253, 78 S.Ct. 1228, 1239, 2 L.Ed.2d 1283 (1958) (emphasis added).
It is this purposefulness on the part of the defendant, in establishing its contact with New Mexico, that is lacking in this case. Defendant did mail a purchase order to plaintiff in New Mexico, but only pursuant to an agreement which plaintiff had already worked out with other parties. In this respect we find this case to be very similar to Artoe v. Mann, 36 Ill.App.3d 204, 343 N.E.2d 647 (1976). In Artoe the plaintiff, an Illinois resident, initiated contacts with the defendant, a California resident. After negotiations the defendant eventually mailed a purchase order to the plaintiff in Illinois. The Illinois court concluded that the purchase order was really only a confirmation of an agreement already reached by the parties, not an initiation of an agreement by the defendant, and therefore declined to assert jurisdiction over the defendant under the “transacting business” provision of the Illinois long-arm statute. Because New Mexico’s long-arm statute was adopted directly from that of Illinois, we regard Illinois cases on long-arm jurisdiction as persuasive authority. Blount v. T D Publishing Corp., 77 N.M. 384, 423 P.2d 421 (1966). We also find Artoe to be well-reasoned.
Similarly, in the instant case, the purchase order mailed by defendant is more accurately characterized as a confirmation of a business deal already established, than as an initiation of a deal by defendant. Defendant stepped into a business arrangement which plaintiff and others had already established, and did not purposefully avail itself of the “privilege of conducting activities within” New Mexico, “thus invoking the benefits and protections” of New Mexico law. Hanson v. Denckla, 357 U.S. at 253, 78 S.Ct. at 1239. The fact that defendant made several telephone calls and mailed payments to plaintiff in New Mexico does not alter this conclusion. Diamond A Cattle Co. v. Broadbent, 84 N.M. 469, 505 P.2d 64 (1973).
We reverse the trial court’s denial of the motion to dismiss for lack of personal jurisdiction, and remand the cause for proceedings consistent with this opinion.
IT IS SO ORDERED.
SOSA, Senior Justice, and RIORDAN, J., concur. | [
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OPINION
WALTERS, Chief Judge.
Defendant appeals his conviction of battery on a peace officer, in violation of NMSA 1978, § 30-22-24. Two issues are raised:
1. Whether the trial and conviction constituted double jeopardy when defendant had already been convicted of resisting arrest; and
2. Whether the court erred in failing to instruct on the lesser included offense of simple battery.
A third issue, listed in the docketing statement but not briefed, is abandoned. State v. Vogenthaler, 89 N.M. 150, 548 P.2d 112 (Ct.App.1976).
I. Double Jeopardy
Whether defendant’s double jeopardy rights were violated depends on whether resisting arrest is a lesser and necessarily included offense of battery on a peace officer and whether, because the court in which defendant was convicted of resisting arrest lacked jurisdiction over the battery charge, a jurisdictional exception as stated in State v. James, 93 N.M. 605, 603 P.2d 715 (1979), exists.
Defendant was charged in district court with battery on a peace officer. The jury was instructed that, in order to find defendant guilty, the State had to prove that defendant kicked Officer Spencer in a rude, insolent, or angry manner at a time when Officer Spencer was a peace officer performing his duties.
Officer Schmidt had noticed defendant driving erratically. He attempted for several blocks and finally was able to pull defendant over. Defendant got out of his car, appeared to faint, and the officer reached to help him. Defendant caught himself and pushed himself up and off his car, causing the officer to lose his balance and fall backwards. Defendant then got back into his car and drove off. Following a high speed chase, defendant was finally stopped again at a street corner within the municipality where Officers Couch and Spencer, together with Schmidt, had cornered defendant. At the time of the battery, Schmidt and Couch were on either side of defendant attempting to handcuff him; defendant was struggling with his body and thrashing from side to side. As Spencer approached to assist Schmidt and Couch, defendant kicked Spencer in the groin.
After Schmidt’s direct testimony, defendant moved to dismiss on grounds of double jeopardy, tendering without objection a copy of a magistrate court judgment and sentence. That judgment recites that defendant pleaded guilty to resisting arrest, among other offenses, and was sentenced separately for each separate offense. Following argument, during which defendant contended without objection from the State that resisting arrest, in violation of NMSA 1978, § 30-22-1 D (Cum.Supp.1982), was an included offense of battery on a peace officer, the trial court denied the motion because of the jurisdictional exception stated in State v. James.
The complaint for the misdemeanors does not appear to have been filed during the trial in district court, but it was made a part of the record on appeal by motion and affidavit. The State did not object to its being included, and because defendant did call the district court’s attention to the subsection of § 30-22-1 under which he had been convicted, this court considers the magistrate court complaint. It shows that defendant was charged with “resisting arrest” under § 30-22-1 (Cum.Supp.1982), in that “when stopped by police officers, [he] did resist arrest by fighting with them at 7th and Main.” Section 30-22-1 is entitled “Resisting, evading or obstructing an officer,” and consists of: (1) resisting process or court orders; (2) fleeing or evading an officer who is trying to arrest; (3) refusing to stop a vehicle when ordered to do so by police; or (4) resisting or abusing any peace officer in the lawful discharge of his duties.
Although, under the facts of this case, defendant could have been charged with violations of (2), (3), or (4), above, the charge to which he pleaded was one of resisting by fighting at 7th and Main. As his counsel argued below, that was a violation of § 30-22-1 D, the fourth means of violating the statute, as enumerated- above.
Is resisting or abusing an officer in the lawful discharge of his duties a necessarily included offense of touching or applying force to an officer in the lawful discharge of his duties when done in a rude, insolent, or angry manner? Defendant argues that when construed in the light of the evidence in this case, as required by State v. DeMary, 99 N.M. 177, 655 P.2d 1021 (1982), the battery could not have been committed without abusing the officer while resisting arrest. The State answers that the factual analysis applied in DeMary should be limited to DeMary's facts; that here we should look to the statutory elements to determine if resisting is a lesser included offense. See State v. Kraul, 90 N.M. 314, 563 P.2d 108 (Ct.App.), cert. denied, 90 N.M. 637, 567 P.2d 486 (1977). The State argues further that because peace officer battery simply requires that the officer be performing his duties, and resisting requires the officer to be engaged in the specific duty of arrest, the offenses are not the same.
Whether one uses the factual analysis of DeMary or the statutory analysis of Kraul, resisting, defined in § 30-22-1 D, is a lesser included offense of peace officer battery prohibited by § 30-22-24, even though the statutory elements of the other subsections of § 30-22-1 are not necessarily included in peace officer battery. Under the statutory analysis of Kraul, § 30-22-1 D requires (1) resisting or abusing (2) the officer (3) who is performing his duties. Section 30-22-24 refers to the same officer and the same duties. It requires a touching or application of force in a rude, insolent, or angry manner. There is a discussion in Kraul concerning “rude, insolent, or angry” which indicates that one cannot resist or abuse without being rude, insolent or angry. The only difference, then, is that battery requires the resisting or abusing to have culminated in a touching, while resisting also prohibits lesser forms of resisting. Stated otherwise, one cannot commit battery on a peace officer without also resisting or abusing that officer contrary to § 30-22-1 D. Thus, under the statutes, resisting is a lesser offense of battery. People v. Perkins, 9 Cal.App.3d 1048, 88 Cal.Rptr. 720 (1970).
Under the factual analysis of DeMary, defendant was charged in magistrate court with resisting by fighting. In district court the charge was battery by kicking. It was the same offense; the same incident. The State suggests that the resisting was struggling with Schmidt and Couch, and the battery was kicking Spencer. The double jeopardy prohibition does not allow the State to break an offense into such discrete parts. Brown v. Ohio, 432 U.S. 161, 97 S.Ct. 2221, 53 L.Ed.2d 187 (1977). Moreover, the State chose to rely on resisting by fighting in the lower court and battery by kicking in the higher court. Under Illinois v. Vitale, 447 U.S. 410, 100 S.Ct. 2260, 65 L.Ed.2d 228 (1980), defendant’s double jeopardy claim is substantial. See State v. Maes, 100 N.M. 78, 665 P.2d 1169 (Ct.App.1983), where despite a series of possible separate assaults, this court held that the assault charge merged with the robbery.
The final question which must be addressed in defendant’s double jeopardy claim is whether this court should apply the jurisdictional exception asserted in James. The State contends that it should, first because of Alexander v. Delgado, 84 N.M. 717, 507 P.2d 778 (1973); second, because resisting is not an included offense and, third, because recent United States Supreme Court cases continue to recognize this exception. The second reason has already been addressed: Resisting is a lesser included offense of battery. The first and third reasons were effectively answered in State v. Manzanares, 100 N.M. 621, 674 P.2d 511 (Ct.App.1983).
We are not required to follow New Mexico Supreme Court precedent when a contrary United States Supreme Court decision intervenes. Manzanares. Nor is the State correct in asserting that the Supreme Court continues to recognize the exception contended for. The Manzanares discussion ably outlines the development of federal and state decisions after Waller v. Florida, 397 U.S. 387, 90 S.Ct. 1184, 25 L.Ed.2d 435 (1970), which rejected the notion that two courts within a state could try a person for the same crime. Manzanares clearly discloses the inaccuracy of the State’s contention as well as the invalidity of the rule of exception first suggested in Diaz v. United States, 223 U.S. 442, 32 S.Ct. 250, 56 L.Ed. 500 (1912).
Diaz mentioned two instances when double jeopardy would not attach. One was an exception permitting a second prosecution when the necessary facts to support a greater charge had not occurred at the time of trying the lesser offense, or when those facts had not been discovered despite exercise of due diligence. The other was the jurisdictional exception as stated in State v. James, i.e., that there could be no double jeopardy if the court trying the lesser offense did not have jurisdiction to try the greater. See Culberson v. Wainwright, 453 F.2d 1219 (5th Cir.), cert. denied, 407 U.S. 913, 92 S.Ct. 2449, 32 L.Ed.2d 688 (1972). We particularly note that not one Supreme Court case after Waller has alluded to Diaz’s jurisdictional exception although they have frequently noted Diaz’s necessary facts exception, e.g., Vitale, n. 8; Brown v. Ohio, n. 7; Jeffers v. United States, 432 U.S. 137, 151, 97 S.Ct. 2207, 2216, 53 L.Ed.2d 168, 180-81 (1977). Plainly, Diaz’s jurisdictional exception is no longer a viable rationale for prosecution on the greater offense. See cases cited in Manzanares.
Prosecution of the peace officer battery charge necessarily relied on proof of resisting the officer. Defendant, having been convicted of the lesser, was subjected “for the same offense to be twice put in jeopardy of life or limb,” contrary to the Fifth and Fourteenth Amendments. His conviction must be reversed.
II. Instruction on Simple Battery
In New Mexico, simple battery is a lesser included offense of peace officer battery; defendant is entitled to an instruction on simple battery if the evidence raises a factual issue of whether the peace officer used excessive force so as to take him out of the scope of his lawful duties. State v. Gonzales, 97 N.M. 607, 642 P.2d 210 (Ct. App.1982). The question in this case is whether there was such evidence of excessive force by Officer Spencer. State v. Melendrez, 91 N.M. 259, 572 P.2d 1267 (Ct.App.1977).
The transcript shows that as Spencer approached defendant he was kicked. One of the officers thereupon put a choke-hold on defendant. Yet, even according to defendant, the choke-hold was not applied until Spencer had been kicked. Under Melendrez, this was insufficient evidence upon which to entitle defendant to a simple battery instruction for the offense against Spencer.
To the extent that defendant argues that he was entitled to the instruction based on the actions of all the officers, Melendrez instructs that battery upon a police officer who has not applied excessive force will not entitle defendant to the instruction simply because other officers may have used excessive force. The evidence was that just before Spencer was kicked, Officers Schmidt and Couch were trying to handcuff defendant. Defendant clasped his hands together and began to thrash about. The officers, one on each side, were attempting to break his handclasp to handcuff him. They testified that their grasps on defendant’s arms were not very painful and their efforts were necessary to effectuate the arrest. Defendant said the officers threw him against the car and pulled his arms back to handcuff him, but he admitted it was not painful. Later effects felt by defendant in his head and neck were from the choke-hold, not from the attempts to handcuff him, and certainly not from any conduct of Officer Spencer.
The jury was instructed on self-defense at defendant’s request. The instruction was erroneous in that it did not limit defendant’s right to use self-defense in answer to use of excessive force by the police. State v. Kraul. The State objected to the instruction, but abandoned its objection on appeal. Nevertheless, the instructions on simple battery and self-defense were both dependent upon the issue of excessive force. The simple battery instruction was correctly refused; the State’s abandonment of any contention of error in the self-defense instruction cannot offer any strength to defendant’s claim that if the self-defense instruction was correct, so would have been the simple battery instruction. Neither was supported by the evidence, and defendant received more in the way of instructions than he was entitled to.
Nevertheless, defendant’s conviction is reversed because of double jeopardy violation. The case is remanded with instructions to dismiss the information with prejudice.
IT IS SO ORDERED.
DONNELLY and NEAL, JJ., concur. | [
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] |
OPINION
HENDLEY, Judge.
Convicted of possession of heroin with intent to distribute contrary to NMSA 1978, Section 30-31-20(A)(3) (Repl.Pamp. 1980), defendant appeals. The sole issue on appeal is sufficiency of the evidence. Issues raised in the docketing statement and not briefed on appeal are deemed abandoned.
Officers went to defendant’s home to serve a search warrant. They knocked on the front door and announced their presence. They heard movement inside the house and “scurrying” activity. They forced the door open. Defendant was pulled from the bathroom with his left arm wet almost to the shoulder. The toilet was flushing. Also present at the residence at the time of the search were two women who, according to the testimony of one officer, were known users of narcotics.
On the floor near a table, the police found a syringe containing a liquid. On the table they found an open knife, a small bottle with cotton inside, pieces of balloon, two foil packets inside a plastic bag, a small measuring spoon containing liquid, a bottle cap, a box with pieces of foil, and $278.00. In a plastic bucket in the bedroom, a “cooker” (bottle cap) was found. Also found in the bedroom, in the dresser, were two gram scales. A small set of counterbalance scales was found in the living room. Open packages of balloons were also found in the bedroom and in the kitchen.
The chemist testified that the two foil packets contained approximately thirty to forty milligrams of heroin which were 2.2% pure. He also testified that the two bottle caps contained a residue of heroin.
Police Officer Boyle testified to the following: Foil is the most common way to package heroin for sale. The foil is cut into two-inch squares and the heroin wrapped in packets of approximately one-half by one-quarter of an inch. Gram scales are used by dealers and are common in heroin trade. Packets of heroin are usually one-half to one-quarter of a gram. Balloons are used to keep the heroin packets. The packets are placed in the balloons and tied off so that they are easily disposable.
At the time of the arrest of defendant, one gram of heroin in the area was selling for approximately $125.00. One-quarter of a gram of heroin was selling for about $25.00 to $40.00.
To prove possession with intent to distribute, specific intent must be shown. State v. Gonzales, 86 N.M. 556, 525 P.2d 916 (Ct.App.1974), overruled on other grounds State v. Bender, 91 N.M. 670, 579 P.2d 796 (1978); NMSA 1978, UJI Crim. 36.11 (Repl.Pamp.1982). The fact of intent to distribute can be shown through factual and circumstantial evidence. See State v. Quintana, 87 N.M. 414, 534 P.2d 1126 (Ct.App.1975); State v. Bowers, 87 N.M. 74, 529 P.2d 300 (Ct.App.1974); State v. Ortega, 79 N.M. 707, 448 P.2d 813 (Ct.App.1968).
Defendant argues that because of the small quantity of drugs recovered, and its low grade, together with the fact that personal use was indicated from the recovered paraphernalia, under the case law of New Mexico possession with intent to distribute was not demonstrated. Defendant further argues that the evidence is insufficient because nothing indicated that defendant intended to distribute the heroin of which he was found to be in possession.
In reviewing sufficiency of the evidence, the appellate court draws all reasonable inferences from the facts which support the verdict. State v. Lankford, 92 N.M. 1, 582 P.2d 378 (1978); State v. Sheets, 96 N.M. 75, 628 P.2d 320 (Ct.App.1981). The question in this case is whether the evidence of a small amount of heroin, together with the inference that more was flushed down the toilet, coupled with the presence of three sets of scales which could be used for weighing heroin, packages of balloons, cash, tinfoil, and items for personal use (syringe and “cookers”), is enough evidence to support the charge.
Resolution of this question rests on the determination of whether these facts are inconsistent with personal use of heroin. See State v. Cortez, 100 N.M. 158, 667 P.2d 963 (1983), adopting Wood, J., dissent 99 N.M. 727, 663 P.2d 703 (Ct.App.1982).
In New Mexico, possession of a large quantity of contraband has been found to be enough to allow the inference that defendant intended to distribute the controlled substance. State v. Bowers (246.15 pounds of marijuana). Possession of thirty “caps” of heroin, coupled with the fact that defendant was not a user, was found to be sufficient evidence of trafficking in heroin in State v. Quintana.
The facts of Hudson v. State, 154 Ga.App. 594, 269 S.E.2d 89 (1980), are similar to those of the instant case. In that case, the police kicked open the door and saw the defendant emerging from the bathroom with wet arms. A green, leafy substance was found in the toilet and on defendant’s wet arms and a towel. The search revealed twenty-four manila envelopes containing residue of marijuana, baggies, and between one-quarter and one-half of an ounce of marijuana. Numerous manila envelopes were found in the trunk of the car. The court ruled that the record contained evidence of intent to distribute. Similarly, in State v. Roseboro, 55 N.C.App. 205, 284 S.E.2d 725 (1981), appeal dismissed 304 N.C. 155, 289 S.E.2d 566 (1982), although only .35 grams of cocaine were recovered, the court ruled that the evidence was suffi cient to make a case for possession with intent to sell because of the packaging used and the existence of paraphernalia used to measure and package. In State v. Turner, 192 Neb. 397, 222 N.W.2d 105 (1974), aff'd 194 Neb. 252, 231 N.W.2d 345 (1975), although the court held that the heroin seized was consistent with personal use (fifteen packets), the evidence was found to be sufficient to uphold a distribution charge because of the other packaging paraphernalia seized (cutting agent, 1,000 staples, 13 envelopes, stapler, strainer, scissors, small measuring utensils and 431 tinfoil squares).
In only one case were facts discussed in which none of the flushed substance was retrieved, United States v. Thomas, 345 F.2d 431 (7th Cir.1965). In that case, defendant objected to the prosecutor's final argument that the jury could infer from evidence that, after slamming the door in the arresting officer’s face and then flushing the toilet, defendant had disposed of his supply of narcotics. The trial court ruled that, since this statement in the prosecution’s closing was reasonably inferred from the facts, it was not error.
A similar inference could be drawn in this case. “[A] permissible inference must reasonably be based upon facts established in evidence and not upon mere conjecture or other inferences.” Tapia v. Panhandle Steel Erectors Company, 78 N.M. 86, 428 P.2d 625 (1967). The facts in evidence in this case are defendant’s presence in the bathroom with a wet arm and the sound of a flushing toilet. Expert testimony and case law reveal that flushing drugs down the toilet is a common way to dispose of contraband. State v. Anaya, 89 N.M. 302, 551 P.2d 992 (Ct.App.1976). Further, possession of the flushed drugs can be attributed to the party flushing the toilet. Anaya. The question remains whether it is a reasonable inference that the defendant flushed heroin down the toilet and not some other incriminating material. See Bendorf v. Volkswagenwerk Aktiengeselischaft, 90 N.M. 414, 564 P.2d 619 (Ct. App.1977). In light of the fact that two packages of balloons were found in the house and one expert testified that balloons are used for packaging heroin and, additionally, the other paraphernalia for personal use of heroin was found in the house, we think that a reasonable inference can be drawn that defendant flushed heroin down the toilet. Circumstantial evidence is sufficient to establish the corpus delicti of a crime. State v. Paris, 76 N.M. 291, 414 P.2d 512 (1966).
Based on the cases of Hudson, Roseboro and Turner, we hold that, although the amount of heroin was small, the other evidence seized is sufficient to support the possession with intent to distribute.
Affirmed.
IT IS SO ORDERED.
NEAL and ALARID, JJ., concur. | [
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OPINION
BIVINS, Judge.
This appeal raises the question of whether evidence of an injured party’s failure to use an available seat belt may be considered by the fact finder. Because of the public interest in this question, we allowed the New Mexico Trial Lawyers Association and the Defense Lawyers Association to file amicus curiae briefs.
Plaintiffs, a mother and her two minor daughters, brought suit to recover damages sustained in an automobile accident with the defendant. The jury found defendant 100% at fault and awarded damages to the three plaintiffs.
The trial court granted plaintiffs’ pre-trial motion in limine to exclude any evidence, argument or inference relating to the plaintiffs’ failure to use available seat belts. After entry of judgment for plaintiffs, defendant filed her motion for new trial raising again the seat belt issue. From the denial of this motion and the judgment, defendant appeals.
Pursuant to NMSA 1978, Civ.App.Rule 7(d) (Repl.Pamp.1984), the parties stipulated to the record on appeal. Plaintiffs devote a significant portion of their brief to questioning the underlying facts set forth in the stipulation and suggesting the failure by defendant to preserve error. We reject these contentions as empty. Both sides stipulated to the record and agreed that:
Evidence indicated that although seat belts were installed in the Plaintiff’s vehilcle [sic], the seat belts were not being used at the time of this accident and that the non-use [sic] of available seat belts enhanced the injuries suffered by the Plaintiffs.
The parties also stipulated that the only issue on appeal is: “[W]hether evidence of non-use [sic] of seat belts should be admissible under New Mexico law.” This issue requires that we decide whether the “seat belt” defense should be adopted in New Mexico. We answer the question by holding that where there is competent evidence to prove that a person acted unreasonably in failing to use an available seat belt under the circumstances of the particular case, and that failure produced or contributed substantially to producing at least a portion of plaintiff’s damages, then the fact finder should be permitted to consider this factor together with other evidence in deciding whether damages otherwise recoverable should be reduced. Plaintiffs include counterclaimants. Because we apply this doctrine prospectively, we do not apply it to the case before us and, therefore, affirm the judgment in favor of plaintiffs.
To better understand the present state of the law on the seat belt defense, a brief reference to its early development is useful. By 1964 the majority of the states had enacted legislation requiring the installation of safety belts in automobiles manufactured or assembled after a certain date for use at least in the front seats. The New Mexico Legislature passed such legislation in 1963. See NMSA 1978, § 66-3-874 (Repl.Pamp.1984). Defendants in automobile accident cases responded immediately by raising the “seat belt” defense. Courts were initially reluctant to recognize this defense for a variety of reasons, the most notable appearing to be: under contributory negligence the injured plaintiff should not be barred from recovery for failure to use a seat belt when that failure did not cause the accident; see, e.g., Amend v. Bell, 89 Wash.2d 124, 570 P.2d 138 (1977); Miller v. Miller, 273 N.C. 228, 160 S.E.2d 65 (1968); lack of consensus as to the utility of seat belts in preventing or reducing the severity of injuries; see Petersen v. Klos, 426 F.2d 199 (5th Cir.1970); and a reluctance to impose a common law duty when the legislature had not made use of the seat belt mandatory. For a discussion of the law in this area, see generally Kircher, The Seat Belt Defense— State of the Law, 53 Marq.L.Rev. 172 (1970); Hoglund and Parsons, Caveat Via-tor: The Duty to Wear Seat Belts Under Comparative Negligence Law, 50 Wash.L. Rev. 1 (1974-75); Note, Buckling Up For Safety: Should Florida Reconsider the Seat Belt Defense?, 13 Stetson L.Rev. 160 (1983); Note, The Seat Belt Defense: A Comprehensive Guide for the Trial Lawyer and Suggested Approach for the Courts, 56 Notre Dame Law. 272 (1980-81); Note, The Seat Belt Defense: Should Coloradoans Buckle Up for Safety?, 50 U.Colo.L.Rev. 375 (1978-79); See also An-not., 80 A.L,R.3d 1033 (1977); Annot., 92 A.L.R.3d 9 (1979); and Annot., 95 A.L.R.3d 239 (1979).
With many states abandoning contributory negligence in favor of comparative negligence, the first objection has been viewed by at least one court to present no obstacle to adoption of the seat belt defense. See, e.g., Bentzler v. Braun, 34 Wis.2d 362, 149 N.W.2d 626 (1967) (recognizing nonuse of seat belt may constitute such negligence as will permit apportionment of damages under comparative negligence). 95 A.L.R.2d 239, supra, at 242. Further, more recent studies demonstrate that seat belts do indeed save lives and lessen the severity of injuries. The United States Department of Transportation, National Highway Traffic Safety Administration, National Safety Belt Usage Program, Progress and Assessment Report on the National Safety Belt Usage Program (Sept.1983) summarizes the results of its most recent study as follows:
Safety belts and child safety seats, when they are used and used properly, are estimated to be 50-60 percent effective in preventing serious or fatal injuries to persons involved in highway vehicle crashes. Use of the protection devices by all occupants last year could have saved 15,000 to 18,000 lives and avoided more than 200,000 moderate-to-severe injuries. About 180 lives are saved and about 3,000 serious injuries are avoided every year for each percentage point of occupants that use safety belts — e.g., with a usage rate of 14 percent, the current rate, about 2,500 lives are saved and 42,000 serious injuries are avoided. The monetary implications of this are astounding as it would result in an estimated savings of billions of dollars due to lives saved and injuries avoided or reduced.
Id. at 2 (emphasis in original). Report cited in footnote 3 to dissenting opinion of Shaw, J., in Insurance Co. of North America v. Pasakarnis, 451 So.2d 447, 455 (Fla. 1984). Moreover, with the wide publicity given to these facts, there no longer exists a shield of ignorance. As the authors of one article put it, “The reasonably prudent person has gained an education from which he cannot retreat.” 50 Wash.L.Rev. at 13.
Where earlier cases were reluctant to impose a duty to wear seat belts and felt that this was peculiarly a legislative matter, recent decisions from several states, either expressly or impliedly, have recognized such duty. See, e.g., Insurance Co. of North America v. Pasakamis; Spier v. Barker, 35 N.Y.2d 444, 363 N.Y.S.2d 916, 323 N.E.2d 164 (Ct.App.1974). Cf. Selgado v. Commercial Warehouse Co., 88 N.M. 579, 544 P.2d 719 (Ct.App.1975) (public policy of a state fixing a statutory duty to wear seat belts rests with legislature) (hereinafter “Selgado II”).
In response to these developments in tort law and studies as to the effectiveness of seat belts, it was inevitable that courts would be called upon to re-examine earlier opinions, as we do here, or take a look at the defense for the first time, in light of these changes. For a status of the seat belt defense as of 1980 in the different jurisdictions, see 56 Notre Dame Law. 272, supra, at 274.
It is against this background that we are asked to adopt the seat belt defense as part of the continuing development of comparative negligence law in New Mexico.
Those jurisdictions which have considered the seat belt defense as well as commentators who have addressed the subject appear to suggest at least three approaches: (1) the plaintiff’s nonuse of an available seat belt constitutes negligence per se; (2) in failing to make use of an available seat belt, plaintiff has not complied with a standard of conduct which a reasonably prudent person would have pursued under similar circumstances, and therefore may be found negligent; and (3) by not fastening the seat belt, plaintiff may, under the circumstances of a particular case, be found to have acted unreasonably and in disregard for his or her best interests and, therefore, should not be allowed to recover those damages which would not have occurred had his or her seat belt been fastened. See Spier v. Barker; Insurance Co. of North America v. Pasakamis; 53 Marq.L.Rev. 172, supra, at 173; 80 A.L.R.3d 1033, supra. In addition or as a variation of the above, the North Carolina Supreme Court in Miller v. Miller alluded to what has been referred to as the “exceptional circumstance” theory under which a plaintiff’s failure to fasten a seat belt may constitute negligence where, for example, he or she is warned in advance that the car door on his side has a defective lock and might come open at any time. See discussion of theory in 56 Notre Dame Law., supra, 278-80, 288-92.
This court has previously considered the “seat belt” defense in two separate opinions involving the same litigation. See Selgado v. Commercial Warehouse Co., 86 N.M. 633, 526 P.2d 430 (Ct.App.1974) (hereinafter “Selgado /”); and Selgado II. In both Selgado cases this court upheld the trial court’s refusal to give defendants’ requested instructions to the effect that Mrs. Selgado could not recover for any damages she could have prevented had she worn her seat belt. Thus, the seat belt defense was raised under the theory of mitigation of damages, sometimes referred to as the doctrine of “avoidable consequences.” Selgado I did not reach the question of the validity of the tendered instructions because of lack of evidence to support giving them. Selgado II squarely addressed the issue and held that the trial court properly refused to give defendants’ requested instructions; that it properly instructed the jury to disregard any evidence relating to the nonuse of seat belts; and that it properly refused defendants’ offer of expert testimony on seat belts and its application to that case. In so holding we said that the use or nonuse of a seat belt involves pre-accident conduct and therefore does not fall within the doctrine of “avoidable consequences” which covers post-accident conduct. Thus, [evidence of nonuse of a seat belt would be irrelevant on the minimization of damages.] Further, this court noted that it could find no authority, statutory or otherwise, which imposed a duty to fasten a seat belt, suggesting that the public policy of a state fixing a statutory duty to wear seat belts rests with the legislature.
Defendant in the case before us does not advocate the seat belt defense under the mitigation of damages theory or avoidable consequences doctrine addressed in Selgado II. Instead, she argues that an injured party’s nonuse of an available seat belt reflects “fault” which should be admitted for the fact finder’s consideration under New Mexico’s developing comparative negligence law.
Relying on the recent case of Duran v. General Motors Corp., 101 N.M. 742, 688 P.2d 779 (Ct.App.1983), defendant also seeks to analogize the seat belt issue to crashworthiness cases, pointing out that the fact that nonuse of seat belts does not ordinarily cause the initial collision should make no difference if it causes or enhances the ultimate injury.
Plaintiffs, on the other hand, argue that adoption of comparative negligence should not change policies implicit in Selgado II, and refer us to cases from other jurisdictions which have refused to adopt a seat belt defense notwithstanding a transition from contributory to comparative negligence. See, e.g., Melesko v. Riley, 32 Conn.Supp. 89, 339 A.2d 479 (1975); Amend v. Bell; 95 A.L.R.3d 239, supra, at 241.
The negligence per se approach has apparently been rejected by the courts because the legislation which does not require the use of seat belts “cannot be considered a safety statute in a sense that it is negligence per se for an occupant of an automobile to fail to use available seat belts.” Bentzler v. Braun, 34 Wis.2d 362, 149 N.W.2d at 639. See also Spier v. Barker; Pasakarnis; 80 A.L.R.3d 1033, supra, at 1037.
A plaintiff’s negligence is applicable only if the injured plaintiff’s failure to use due care causes, in whole or in part, the accident, as opposed to when it merely exacerbates or enhances his or her injuries. Spier v. Barker; Pasakarnis.
In arguing for the comparative negligence approach, defendant in this case refers to the following language from Claymore v. City of Albuquerque, aff'd sub nom, Scott v. Rizzo, 96 N.M. 682, 634 P.2d 1234 (1981) as authority for allowing the fact finder to consider an injured party’s nonuse of an available seat belt as a cause of his or her damages:
The thrust of the comparative negligence doctrine is to accomplish (1) apportionment of fault between or among negligent parties whose negligence proximately causes any part of a loss or injury, and (2) apportionment of the total damages resulting from such loss or injury in proportion to the fault of each party.
96 N.M. at 688, 634 P.2d 1234 (emphasis added).
NMSA 1978, UJI Civ. 16.2 (Effective until October 1, 1984) and 22.18 (Cum.Supp. 1984) defining contributory negligence and providing the form of verdict for comparative negligence cases, respectively, lend support to defendant’s argument since these instructions speak of negligence proximately causing damages as opposed to the accident or event giving rise to those damages. Further, and perhaps of even more significance, NMSA 1978, UJI Civ. 3.8 (Repl.Pamp.1980), in defining “proximate cause” speaks also in terms of the proximate cause of an injury. In addressing identical language to UJI Civ. 3.8 used in Mississippi, the United States district court in Glover v. Daniels, 310 F.Supp. 750 (N.D. Miss.1970), held that causation related to the injury rather than the accident or event, and that a jury instruction on the seat belt defense was permissible where substantial evidence showed that the plaintiffs failure to fasten the seat belt was causally connected to his injuries. In that case, defendant failed to establish a causal connection, so the court did not have to determine if the instruction correctly stated the law in. Mississippi. Cf Petersen v. Klos (taking a less favorable view toward admissibility).
Unless it can be shown that failure to use an available seat belt somehow caused the accident, an issue not before us in this case, then the seat belt defense should be considered, if at all, only in assessing damages. There remains to be determined upon what theory the defense may lie.
New York and Florida appear to have adopted the seat belt defense under the mitigation of damages, sometimes referred to as the avoidable consequences doctrine. Spier v. Barker; Pasakamis. As previously noted, this court rejected that approach in Selgado II in 1975 on the basis that use or nonuse of a seat belt invokes pre-accident conduct and the mitigation of damages doctrine applies only to post-accident conduct, such as where the injured plaintiff fails to seek proper medical care after the accident. See NMSA 1978, UJI Civ. 18.11 (Repl.Pamp.1980) and the “Directions for Use” which follow. The distinction between pre-accident and post-accident conduct has been questioned, see W. Prosser, The Law of Torts, § 65 (4th ed. 1971), and in Spier v. Barker rejected. In that case the high court of the state of New York said:
We concede that the opportunity to mitigate damages prior to the occurrence of an accident does not ordinarily arise, and that the chronological distinction, on which the concept of mitigation damages rests, is justified in most cases. However, in our opinion, the seat belt affords the automobile occupant an unusual and ordinarily unavailable means by which he or she may minimize his or her damages prior to the accident. Highway safety has become a national concern; we are told to drive defensively and to “watch out for the other driver”. When an automobile occupant may readily protect himself, at least partially, from the consequences of a collision, we think that the burden of buckling an available seat belt may, under the facts of the particular case, be found by the jury to be less than the likelihood of injury when multiplied by its accompanying severity.
363 N.Y.S.2d 920, 323 N.E.2d at 168 (emphasis in original).
While we agree with this reasoning and believe the distinction between pre-accident and post-accident is artificial, in our view, the better approach is found in the “apportionment of damages” rule. 2 Restatement (Second) of Torts, § 465, comment c (1965) provides in part:
Where ... there are distinct harms, or a reasonable basis is found for the division of a single harm, the damages may be apportioned, and the plaintiff may be barred only from recovery for so much of the harm as is attributed to his own negligence.
The comment notes that such apportionment is commonly made under the avoidable consequences rule, but goes on to state:
Such apportionment may also be made where the antecedent negligence of the plaintiff is found not to contribute in any way to the original accident or injury, but to be a substantial contributing factor in increasing the harm which ensues. There must of course be satisfactory evidence to support such a finding, and the court may properly refuse to permit the apportionment on the basis of mere speculation.
Of course, in order to adopt the apportionment of damages rule, there must be a duty imposed upon the occupant to wear an available seat belt. We have already said that Selgado II found no such duty, statutory or otherwise, and suggested that the public policy to fix a statutory duty to fasten a seat belt rests with the legislature. Plaintiffs urge us to continue that position and refrain from imposing a court-made duty. The Trial Lawyers Association concurs, suggesting that the New Mexico Leg islature soon will have to reconsider the wisdom of mandatory seat belt use as a result of a recently adopted regulation by the federal Department of Transportation. The department has decided to require automatic occupant protection in all passenger automobiles based on a phased-in schedule beginning in 1988, unless, before 1986, two-thirds of the population are covered by mandatory seat belt laws. Federal Motor Vehicle Safety Standard, 49 Fed. Reg. 28962, 28963 (July 17, 1984).
The reference to “duty” in the preceding paragraph does not mean duty in the sense of an obligation of conduct to another person. Rather, duty is used in the sense of conduct which involves an unreasonable risk of harm to the actor himself. See Prosser, supra, at 418. Such a duty exists, and has existed historically in New Mexico. See original Uniform Jury Instructions Civil 12.3 and 12.4 adopted in 1966. Current UJI Civ. 16.4 states that “[e]very person has a duty to exercise ordinary care for his own safety ,****” NMSA 1978, UJI Civ. 16.4 (Repl.Pamp. 1980). The duty to exercise care for one’s own safety had, however, been limited in its application to damages by defining avoidable consequences in terms of “due care after the commission of the tort.” Rutledge v. Johnson, 81 N.M. 217, 220, 465 P.2d 274 (1970). This opinion does not change the definition of “avoidable consequences,” Rutledge, or “mitigation of damages” as explained in the Directions for Use to UJI Civ. 18.11. Those phrases apply to post-accident conduct. Our holding does no more than apply the duty to exercise care for one’s own safety to pre-accident conduct which causes damages; here, the failure to use a seat belt. Such damages may not be recovered from a defendant because such damages resulted from plaintiff’s conduct. The method to be used in preventing recovery is to apportion the damages. To assuage the concern of the Trial Lawyers Association that pre-accident conduct will include a plaintiff’s physical conditioning, or lack thereof, we emphasize that a defendant will still take the victim as he finds him and be liable for the damages the defendant causes. Where, however, damages are caused by the plaintiff’s failure to care for his own safety (not his physical condition), plaintiff may not recover those damages.
In the past the appellate courts of this state have not shied away from their continuing responsibilities to ensure that the law remains fair and realistic as changes occur. See, e.g., Hicks v. State, 88 N.M. 588, 544 P.2d 1153 (1975) (abrogating sovereign immunity); Scott v. Rizzo (adopting comparative negligence); Lopez v. Maez, 98 N.M. 625, 651 P.2d 1269 (1982) (recognizing tavern-keeper’s liability); Vigil v. Arzola, 22 SBB 868 (Ct.App.1983), rev’d on other grounds, 101 N.M. 687, 687 P.2d 1038 (1984) (recognizing cause of action for wrongful discharge). In an area of the law peculiarly appropriate for judicial development, we have no hesitation in extending a common law duty when deemed needed. Tort law is such an area. Therefore, we recognize, as part of the continuing duty to exercise reasonable care for his or her own safety, an occupant of an automobile has a duty to fasten an available seat belt or similar safety restraint device unless the circumstances dictate otherwise. We can foresee that in cases such as pregnancy, a seat belt might enhance damages rather than reduce them. Under these circumstances, it would not be reasonable to require the occupant to wear a seat belt.
Further, we believe the adoption of the seat belt defense as part of the apportionment of damages fits within the developing law of comparative fault as contemplated in Scott v. Rizzo.
Therefore, based on convincing studies as to the effectiveness of seat belts in saving lives and reducing injuries and as part of the developing law of comparative negligence, we adopt the seat belt defense under the apportionment of damages concept. Where there are distinct harms, or a reasonable basis for the division of a single harm, the damages may be apportioned, and the plaintiff may not recover for so much of the harm proximately caused by his or her failure to use an available seat belt, unless excused under the circumstances of the case. Our holding applies when a plaintiff has failed to exercise due care for his own safety by failing to use an available seat belt, and injury is caused by that failure. It does not apply to the converse. Where an available seat belt has been used and injuries are enhanced by such use, there is no basis for reducing plaintiff’s damages on the basis of plaintiff’s conduct. See Snyder, The Seat Belt as a Cause of Injury, 53 Marq.L.Rev. 211 (1970).
Our holding today extends an existing common law duty. We agree with Selgado II that Section 66-3-874, which requires equipping vehicles with seat belts, does not impose a statutory duty to use them. Two statutes, however, impose statutory duties. NMSA 1978, Sections 66-7-356 and -369 (Cum.Supp.1984) impose duties, respectively, as to use of protective helmets by motorcyclists and use of child restraint devices. Section 66-7-356(B) states: “Failure to wear a safety helmet as required in this section shall not constitute contributory negligence.” Section 66-7-369(C) states: “Violation of this section shall not constitute evidence of negligence.” These provisions go to negligence in causing the accident, and not to apportionment of damages. We have rejected the contention that the seat belt defense applies to negligence in causing the accident. Our holding authorizes the defense only in apportioning damages. Thus our holding is consistent with, and not barred by, the above statutes. We turn to consider objections voiced by those opposing the adoption of this defense.
Plaintiffs in their brief adopt four reasons given by the Supreme Court of Washington in Amend v. Bell for rejecting the seat belt defense under comparative negligence. At least two of those reasons were answered by Judge Schwartz, in his dissenting opinion in Insurance Co. of North America v. Pasakarnis, 425 So.2d 1141 (Fla.Dist.Ct.App.1982), which dissent a year later was adopted by and became the basis for the Supreme Court of Florida’s opinion in Pasakamis, which adopted the seat belt defense. We identify the Amend v. Bell reasons with Judge Schwartz’s responses and responses of our own.
First, “The defendant should not diminish the consequences of his negligence by the failure of the plaintiff to anticipate the defendant’s negligence in causing the accident itself.” 570 P.2d at 143. Judge Schwartz, after rejecting this argument as being without substance, said:
Indeed, it is so commonly known that automobile accidents must be anticipated that the necessity of exercising reasonable care to minimize their effects forms the basis of an entire body of products liability law, as established in Florida * * The most basic principles of evenhandedness preclude the imposition of a different standard of foreseeability depending on which party asserts it.
425 So.2d at 1144 (emphasis in original) (citations omitted). We agree. It would create an incongruous situation to impose liability on manufacturers of automobiles for failing to create a safe environment on the basis that those manufacturers should be able to reasonably , anticipate the possibility that accidents will occur, and at the same time hold the occupants free of any duty to take precautions for their own safety on the basis that they do not have to anticipate involvement in an accident.
“Second, seat belts are not required in all vehicles. Defendant should not be entitled to take advantage of fortuitous circumstance that plaintiff was riding in a car so equipped.” 570 P.2d at 143. Judge Schwartz considered this argument so fallacious as being unworthy of reply or even inclusion in the body of his opinion. See footnote 6, 425 So.2d at 1144. We would only add that in the twenty or so years since mandatory installation legislation, there are not likely to be many automobiles on the highways today that are not equipped with seat belts.
Third, while conceding that it is not controlling as to the standard of conduct, the Amend v. Bell court found persuasive the fact that a majority of motor ists do not habitually use their seat belts. See Miller v. Miller. Citing to the September 1983 Report on the National Safety Belt Usage Program, quoted earlier in this opinion, Justice Shaw in his dissenting opinion in Pasakarnis noted that only 14% of the motoring public used seat belts in the first half of 1983, up 3% from 1982. In Sanchez v. J. Barron Rice, Inc., 77 N.M. 717, 427 P.2d 240 (1967), the supreme court held that a “standard is not to be nullified or made inapplicable by proof of custom which conflicts with it.” 77 N.M. at 723. In that case defendants contended an ordinance should not apply if the custom was not to obey the ordinance. The standard of care is geared to what a reasonably prudent person would do and does not depend upon public acceptance of that standard.
Fourth, the Amend v. Bell court said that allowing the seat belt defense would lead to a “veritable battle of experts as to what injuries would have or have not been avoided had the plaintiff been wearing a belt.” 570 P.2d at 143. The Spier v. Barker court addressed this issue by stating that it underestimates the abilities of those trained in accident reconstruction, and overlooks the fact that segregation of injuries is already being made in cases, such as where the jury apportions damages between the original tort-feasor and a physician who negligently treats plaintiff’s injuries. We would add that a plaintiff faces a similar burden in a crash-worthiness case of having to segregate those injuries received in the initial impact from those received in the second collision. See Duran v. General Motors Corp.; Huddell v. Levin, 537 F.2d 726 (3d Cir. 1976). Proof of aggravation of a pre-existing injury involves a similar assessment. Duran, 101 N.M. at 697) 688 P.2d 779. In either case the burden of proving enhancement of injuries is not an easy one. In most instances competent expert testimony will be required. As one author noted, in order for a defendant asserting the seat belt defense to establish a prima facie case, proof of the following should be considered:
(1) the particular crash behavior of the subject vehicle;
(2) the Trajectory of the claimant’s body in the accident;
(3) the relationship of the vehicle crash events to occupant kinematics;
(4) the particular injuries suffered;
(5) the trajectory which a restrained occupant would have taken;
(6) the extent of lesser injuries which the restrained occupant would have sustained as a result of the impacts he would have made with the vehicle.
Bowman, Practical Defense Problems— The Trial Lawyer’s View, 53 Marq.L.Rev. 191, 198 (1970). While we do not purport to set out the requirements of proof here, nor limit it necessarily to the considerations above, suffice to say that we would anticipate in most cases proof of a causal connection between nonuse of a seat belt and injuries will not likely be established by an expert making conclusory statements using familiar phrases such as “within a reasonable probability.” If defendant hopes to get to the jury, there must be a rational basis to support the opinion. See Duran v. General Motors Corp.
The Trial Lawyers Association argues that imposition of the defense will result in added cost to plaintiffs in meeting the defendant’s proof. While this may be true, it pales in comparison to the untold billions, not to mention the loss of life and severity of injuries, as estimated in the September 1983 report by the U.S. Department of Transportation, that could be saved if motorists and their passengers utilized this safety device. We do not presume that the motoring public will, as a result of this opinion, immediately start buckling up; nevertheless, in light of the alarming statistics of the deaths and injuries attributable to the nonuse of seat belts quoted earlier, we would be most reluctant to adopt a rule of law that would discourage that result.
The Trial Lawyers Association also advances additional objections which it contends require either the rejection of the defense or certification of the issue to the supreme court. They argue that adoption of the defense would reintroduce an “all or nothing” concept as to a plaintiff’s enhanced injuries which Scott v. Rizzo prohibits. We disagree. Scott v. Rizzo adopted comparative negligence which permits a plaintiff to recover even though his or her fault contributed to the injuries. Under the comparative fault principle, plaintiff cannot now recover for that portion of the injuries attributable to his or her fault. Under the seat belt defense, as adopted herein, plaintiff’s damages can be reduced only for that portion of the damages which plaintiff could have avoided by use of the seat belt. This constitutes apportionment, not a return to contributory negligence.
The Trial Lawyers Association further argues that, however formulated, the seat belt defense could only be adopted by the supreme court because it would conflict with existing uniform jury instructions. They point to NMSA 1978, UJI Civ. 12.6 (Repl.Pamp.1980) which provides that a driver has a right to assume other drivers will obey the law unless put on notice to the contrary. Quite aside from the fact that this instruction applies only to drivers, this instruction applies only to operation of a vehicle at the accident stage, and does not in any way address the damage stage. While an occupant of an automobile could not in most instances anticipate the nature or type of accident, we agree with the New York high court that highway safety has become such a national concern that motorists are requested to drive defensively, so that the inconvenience of buckling an available seat belt may be found slight in comparison with the severity of injuries that may result from nonuse. Spier v. Barker.
The Trial Lawyers Association argues that the specific jury instruction for comparative negligence, NMSA 1978, UJI Civ. 22.20 (Cum.Supp.1984) could not possibly accommodate a seat belt defense. This objection would not prevent the type of interrogatories adopted by the supreme court of Florida in Pasakamis, which we recommend. Scott v. Rizzo. We do not quote the interrogatories. As to their application, Pasakamis provides that the total amount of plaintiff’s damages is to be first reduced by applying the percentages of negligence. See UJI Civ. 22.20 “[T]hen reduce this amount by the percentage attributable to plaintiff’s failure to wear the seat belt.” 451 So.2d at 454.
Other arguments advanced by plaintiffs and the Trial Lawyers Association have either been covered in this opinion or are found to be without merit.
Although the term “seat belt” has been used in this opinion because that was the device involved, the apportionment of damages principle would also apply to similar safety restraint devices.
We must now determine when to apply the seat belt defense. Given the fact the plaintiffs to this lawsuit could have reasonably assumed under Selgado II that New Mexico would not recognize the defense under other theories, we apply the doctrine prospectively. We hold that the rule herein adopted shall apply to cases filed after the date this opinion becomes final, to cases pending in the trial court at the time this opinion becomes final, and to cases remanded after appeal where the issue has been preserved. See Scott v. Rizzo. Therefore, we affirm the judgments in favor of plaintiffs. Costs of appeal shall be borne by defendant.
The court wishes to express its appreciation to the parties and amici for their valuable assistance in briefing this issue.
IT IS SO ORDERED.
DONNELLY, C.J., and WOOD, J., concur. | [
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OPINION
HARTZ, Judge.
This appeal raises novel issues in the law of judgments. One theme permeating the law of judgments is that a litigant is ordinarily not entitled to more than one fair bite at the apple. This theme finds expression in two doctrines familiar to all litigators. The doctrine of claim preclusion (a more descriptive term for what has often been denominated res judicata) prevents a party from repeatedly bringing the same cause of action against the same person. See Three Rivers Land Co. v. Maddoux, 98 N.M. 690, 694-96, 652 P.2d 240, 244-46 (1982), overruled on other grounds by Universal Life Church v. Coxon, 105 N.M. 57, 728 P.2d 467 (1986). The doctrine of issue preclusion (a more descriptive term for what has often been denominated collateral estoppel) prevents a party from relitigating “ultimate facts or issues actually and necessarily decided [adversely to the party] in a prior suit.” Silva v. State, 106 N.M. 472, 474, 745 P.2d 380, 382 (1987).
The question here is whether Plaintiffs complaint in the suit before us is barred by his loss in previous litigation. The defendants in the two lawsuits are different. Among the features of this case that create issues of first impression in New Mexico are (1) the first lawsuit was in federal court, (2) the defendant in this lawsuit is immune from suit for damages in federal court, and (3) the predicate for the claim against the defendant is vicarious responsibility for the actions of those who were defendants in the federal lawsuit. Applying Restatement (Second) of Judgments Section 51 (1980) (the Restatement), which addresses claim preclusion in the context of vicarious responsibility, we hold that Plaintiff’s claim against the defendant in this case is barred by the adverse judgment in the federal lawsuit.
I. PROCEDURAL HISTORY
Tommy Ford (Plaintiff) was employed by the New Mexico Department of Public Safety (the Department) as a state police officer. After a Department employee investigated allegations of misconduct by Plaintiff, the Department notified him that he would be suspended for thirty working days. Plaintiff appealed the suspension to a disciplinary hearing panel, which affirmed the suspension and recommended that he be transferred to another post. After a further review requested by Plaintiff, the Department informed him that he would be suspended for thirty working days and transferred from Artesia to Farmington. Rather than acquiescing in the transfer, Plaintiff retired.
Plaintiff then filed suit in state court against the Department and the following individuals: John Denko, Jr., Chief of the New Mexico State Police; Richard C. de Baca, Secretary of the Department; Captain Tommy Cantou; and Lieutenant Louie Medina. (The individuals will be referred to col lectively as the federal defendants.) Plaintiff sought damages under the federal civil rights statutes. His complaint alleged that the defendants had (1) violated his right to equal protection by targeting him for punishment, (2) violated his right to counsel during the disciplinary process, (3) violated his right to free speech by issuing a vague order restricting his right to contact witnesses until the Department’s internal investigation had been completed, (4) violated his right to petition the government by retaliating against him (ordering his transfer) for exercising his right to appeal the proposed discipline, (5) failed to provide procedural due process during the administrative appeals process, and (6) violated his right to substantive due process by improperly depriving him of income and benefits.
The defendants removed the lawsuit to the United States District Court for New Mexico. Plaintiff then filed an amended complaint. On motion by the Department, the federal court dismissed it as a party. The court also dismissed some of the claims against the remaining defendants, and other claims were not pressed by Plaintiff. Consequently, the jury was instructed only on the claims of retaliation and denial of procedural due process. The jury returned a verdict in favor of the federal defendants. Plaintiff initially appealed the judgment but then abandoned the appeal.
Following the unsuccessful federal litigation Plaintiff filed suit in state court against the Department only. The complaint alleges that all claims are proper pursuant to the New Mexico Tort Claims Act, in particular NMSA 1978, Section 41-4-12 (Repl. Pamp.1989), which waives immunity from liability for certain acts by law enforcement officers. The misconduct alleged in the state complaint is virtually identical to that alleged in the amended complaint in federal court. The Department moved to dismiss the lawsuit, maintaining that (1) the claims were barred by the prior federal court adjudication, (2) the claims were barred under NMSA 1978, Section 41 — 4-21 (Repl.Pamp.1989), of the Tort Claims Act, which provides that the Act shall not affect personnel laws, and (3) immunity was not waived under Section 41-4^12 because none of the Department’s employees were acting as law enforcement officers in performing the acts of which Plaintiff complains.
The district court entered an order denying the Department’s motion to dismiss but included in the order the language required by NMSA 1978, Section 39-3-4 (Repl. Pamp.1991), to permit the Department to apply to this Court for leave to file an interlocutory appeal. We granted the application and now reverse, holding that the federal court judgment bars the present action. Because we rest reversal on this ground, we need not address the Department’s other contentions.
II. DISCUSSION
A. Claim Preclusion and Vicarious Responsibility
Recognition of vicarious responsibility ordinarily favors the plaintiff. When a third party is vicariously responsible for the actions of another, the injured person is not restricted to seeking redress from the person who is primarily responsible. One clear advantage to the plaintiff is that the person vicariously responsible may be able to pay a judgment that is beyond the resources of the one who is primarily responsible. Recognition of vicarious responsibility may also provide the plaintiff with procedural advantages, enabling the plaintiff to select a more attractive forum for litigation or permitting the plaintiff to commence litigation before knowing the identities of those who bear primary responsibility (as when the tortfeasors are unidentified employees of a known business).
Yet, there is no sound reason to include among these advantages the right to litigate a claim against one who is vicariously responsible after receiving an adverse judgment in litigating the underlying claim against the person bearing primary responsibility. After noting that the claims against the primary obligor and the person vicariously responsible are “in important respects separate claims,” comment b to Restatement Section 51 states:
In an important sense, however, there is only a single claim. The same loss is involved, usually the same measure of damages, and the same or nearly identical issues of fact and law. The substantive legal basis for vicarious responsibility rests largely on the notion that the injured person should have the additional security for recovery of his loss that is represented in imposition of liability on a person other than the primary obligor. The optional additional security thus afforded by rules of vicarious responsibility should not, however, afford the injured person a further option to litigate successively the issues upon which his claim to redress is founded.
Courts are committed to providing every litigant a full and fair opportunity to sue or defend. But once a judgment is rendered after such an opportunity, justice requires that there be an end to the litigation. In the context of vicarious responsibility, Restatement Section 51(1) expresses the law as follows:
If two persons have a relationship such that one of them is vicariously responsible for the conduct of the other, and an action is brought by the injured person against one of them, the judgment in the action has the following preclusive effects against the injured person in a subsequent action against the other. ■
(1) A judgment against the injured person that bars him from reasserting his claim against the defendant in the first action, extinguishes any claim he has against the other person responsible for the conduct unless:
(a) The claim asserted in the second action' is based upon grounds that could not have been asserted against the defendant in the first action; or
(b) The judgment in the first action was based on a defense that was personal to the defendant in the first action.
Section 51 reflects federal law. See, e.g., Bigelow v. Old Dominion Copper Mining & Smelting Co., 225 U.S. 111, 127-28, 32 S.Ct. 641, 642—43, 56 L.Ed. 1009 (1912); Lober v. Moore, 417 F.2d 714, 717-18 (D.C.Cir.1969); Russell v. SunAmerica Sec., 962 F.2d 1169, 1174-75 (5th Cir.1992); Citibank v. Data Lease Fin. Corp., 904 F.2d 1498, 1502-03 (11th Cir.1990); Tamari v. Bache & Co., 637 F.Supp. 1333, 1341 (N.D.Ill.1986); Davis Wright & Jones v. National Union Fire Ins. Co., 709 F.Supp. 196, 202 (W.D.Wash.1989), aff'd, 897 F.2d 1021 (9th Cir.1990). Given this authority and the sound policy underlying it, we recognize Section 51 as accurately expressing New Mexico law. In any event, we should apply Section 51 to the case before us because ordinarily federal law governs the effect of a federal judgment on a state court proceeding. See Edwards v. First Fed. Sav. & Loan Ass’n, 102 N.M. 396, 402-04, 696 P.2d 484, 490-92 (Ct.App.1985); Restatement § 87; cf. Brown v. St. Louis Police Dep’t, 691 F.2d 393, 395 (8th Cir.1982) (applying state law to determine preclusive effect in federal court of prior state judgment), cert. denied, 461 U.S. 908, 103 S.Ct. 1882, 76 L.Ed.2d 812 (1983).
B. Application to This Case
Under Section 51(1) the Department should prevail if four requirements are satisfied: (1) its liability under the state complaint is predicated on vicarious responsibility for the conduct of the federal defendants, (2) the federal judgment precludes a state court claim by Plaintiff against the federal defendants for that conduct, (3) the state claim is based on grounds that Plaintiff could have asserted against the federal defendants in the federal litigation, and (4) the federal judgment was not based on a defense personal to the federal defendants. We begin with the third requirement, which paraphrases Section 51(l)(a).
1. Applicability of Section 51(l)(a)
Section 51(l)(a) states that there is no claim preclusion if “[t]he claim asserted in the second action is based upon grounds that could not have been asserted against the defendant in the first action.” Plaintiff contends that this language applies here because the Department was immune from suit for damages in federal court. (In fact, this immunity was the ground for the federal court’s dismissal of the Department from the suit after the suit was removed to federal court.) Plaintiff misreads the language of Section 51(l)(a) as saying that there is no preclusion when the second claim is based upon a ground that “could not have been asserted [in the first action] against the [person who is the] defendant in the [second] action.” The source of Plaintiffs error is his failure to recognize that the Restatement refers to the person sued in the second action as “the other person responsible for the conduct,” not as “the defendant.” The “defendant” is the person who was already sued in the first action. Thus, Section 51(l)(a) means that there is no preclusion when the second claim is based upon a ground that “could not have been asserted [in the first action] against the [person who was the] defendant in the first action.”
This reading of subparagraph (l)(a) is not only compelled by the language of Section 51, it is also consistent with the rationale. As long as the plaintiff had an opportunity to litigate the ground in the first action, the plaintiffs loss in the first action should bar a second opportunity to litigate that ground. On the other hand, a plaintiff should be permitted to litigate in the second action a ground that the plaintiff did not have an opportunity to assert in the first litigation.
Consequently, Plaintiff cannot dispose of Section 51 by simply pointing out that he could not sue the Department for damages in federal court. Section 51(l)(a) is of no aid to him if every ground for the claim against the Department could have been raised in federal court against the federal defendants. We now address whether that requirement is satisfied.
Plaintiff argues that Section 51(l)(a) protects him against claim preclusion because the grounds of his state court action could not have been presented in federal court. He contends that he could sue the federal defendants in federal court only in their individual capacities. Yet, he argues, their liability under the Tort Claims Act (and hence the Department’s vicarious liability) is based on the conduct of the federal defendants in their official capacities. He concludes that because liability in the state-court action rests on a ground (namely, conduct in an official capacity) that could not have been raised in federal court, the federal judgment can have no preclusive effect on the state action.
We disagree. Plaintiffs argument is based on a misconception regarding the distinction made by the United States Supreme Court between a suit against a public official in an official capacity and a suit against the official in an individual capacity. The Supreme Court has ruled that a suit for damages against a state official in his or her official capacity is essentially a suit for damages against the state itself and therefore is barred by the Eleventh Amendment to the United States Constitution. See Kentucky v. Graham, 473 U.S. 159, 169-70, 105 S.Ct. 3099, 3107-08, 87 L.Ed.2d 114 (1985). It has also held that a suit for damages under the federal Civil Rights Act, 42 U.S.C. § 1983, cannot be brought against a state official in his or her official capacity, because such a suit can be brought only against a “person,” and a state official being sued in his or her official capacity is not a “person” within the statutory meaning of the word. See Will v. Michigan Dep’t of State Police, 491 U.S. 58, 70-71, 109 S.Ct. 2304, 2311-12, 105 L.Ed.2d 45 (1989). Hence, Plaintiff is correct that he could not have sued the federal defendants in federal court in their official capacities.
But it is incorrect to say that a suit against the federal defendants in state court under the Tort Claims Act would be a suit against them in their official capacities. Although the alleged misconduct of the federal defendants occurred in the course and scope of their official duties, the distinction between a state official in an official capacity and a state official in an individual capacity does not turn on the type of conduct involved. Rather, it turns on procedural considerations and the relief sought.
The United States Supreme Court visited this issue in Hafer v. Melo, 502 U.S. 21, 112 S.Ct. 358, 116 L.Ed.2d 301 (1991). Hafer was the auditor general of Pennsylvania. She fired Melo, who sued her for damages under 42 U.S.C. § 1983. The federal district court dismissed the claim on the ground that Hafer was not subject to liability for decisions made in her official capacity. Id. at 23-25, 112 S.Ct. at 361. The Supreme Court, however, held that state officers may be personally liable for damages under Section 1988 based upon their official conduct. The Court wrote:
In Kentucky v. Graham, 473 U.S. 159, 105 S.Ct. 3099, 87 L.Ed.2d 114 (1985), the Court sought to eliminate lingering confusion about the distinction between personal- and official-capacity suits. We emphasized that official-capacity suits “ ‘generally represent only another way of pleading an action against an entity of which an officer is an agent.’” Id., at 165, 105 S.Ct., at 3104 (quoting Monell v. New York City Dept. of Social Servs., 436 U.S. 658, 690, n. 55, 98 S.Ct. 2018, 2035, n. 55, 56 L.Ed.2d 611 (1978)). A suit against a state official in her official capacity therefore should be treated as a suit against the State. 473 U.S., at 166, 105 S.Ct., at 3105. Indeed, when an official sued in this capacity in federal court dies or leaves office, her successor automatically assumes her role in the litigation.
Explaining the statement in Will that state officials “acting in their official capacities” are not “persons” under § 1983, Will, 491 U.S. at 71,109 S.Ct. at 2312, the Hafer Court said, “[T]he phrase ‘acting in their official capacities’ is best understood as a reference to the capacity in which the state officer is sued, not the capacity in which the officer inflicts the alleged injury.” 502 U.S. at 26, 112 S.Ct. at 362. The Court also ruled that the Eleventh Amendment did not bar the suit in federal court. Id. at 29-31, 112 S.Ct. at 364-65. See generally Hardin v. Straub, 954 F.2d 1193, 1198-1201 (6th Cir.1992) (discussing distinction between individual capacity and official capacity in context of Section 1983 and Eleventh Amendment).
Thus, the nature of the liability of a state official sued in federal court under 42 U.S.C. § 1983 is essentially the same as the nature of the liability of the official in a suit in state court under the New Mexico Tort Claims Act. Both are sued for misconduct in office. In both, the defendant is the individual, not the office. After all, when a state official sued under the Tort Claims Act leaves office, the official’s successor in office is not substituted as the defendant in the litigation.
We see no obstacle under federal law, including the Eleventh Amendment, to a suit under the New Mexico Tort Claims Act in federal court against public officers and employees. The grounds of liability raised against the Department in the state action could have been raised against the federal defendants in the federal action. Therefore, Plaintiff cannot escape preclusion under Section 51(l)(a).
We now address the remaining requirements of Section 51(1).
2. Vicarious-Responsibility Basis of Claim Against Department
Requirement (1) — that the Department’s liability under the state complaint be predicated on vicarious responsibility for the conduct of the federal defendants — is clearly satisfied. The face of the state court complaint establishes that the alleged liability of the. Department rests on vicarious responsibility for the conduct of its employees. Paragraph 40 states: “All claims set forth herein are proper claims against the [Department] pursuant to Section 41-4-12, N.M.S.A. (1989 Repl.Pamp.), of the New Mexico Tort Claims Act, inasmuch as the State has waived immunity for all claims set forth herein.” Under Section 41-4-12 immunity is waived only for certain types of liability of “law enforcement officers.” The Department is not a “law enforcement officer.” See NMSA 1978, § 41 — 4r-3(D) (Repl.Pamp.1989). Therefore, “Section 41 — 4-12 does not waive immunity for claims based on [its] primary liability.” California First Bank v. State, 111 N.M. 64, 71, 801 P.2d 646, 653 (1990); see id. at 67-68, 801 P.2d at 649-50. The Department’s immunity is waived by Section 41-4-12 only to the extent that it is liable under principles of respondeat superior. See id. at 68-70, 801 P.2d at 650-52; Silva, 106 N.M. at 477, 745 P.2d at 385; Abalos v. Bernalillo County Dist. Attorney’s Office, 105 N.M. 554, 558-59, 734 P.2d 794, 798-99 (Ct.App.1987).
To the extent that the Department’s alleged liability rests solely on the conduct of employees other than the federal defendants, the Department is not protected by Restatement Section 51(1). An employee of the Department who was not sued in federal court would not be protected by the federal court judgment against liability in the state litigation (except to the extent that the employee could benefit from issue preclusion), and therefore the Department might be subject to vicarious liability based on the actions of that employee. But we do not read the complaint to suggest that the Department’s liability is predicated on the conduct of anyone other than the federal defendants, and Plaintiff makes no claim on appeal that the Department’s liability is based on the conduct of anyone other than the federal defendants.
Despite the language in Paragraph 40 of his complaint, Plaintiffs answer brief on appeal suggests a second source of liability of the Department. He contends that his claims of violation of his federal and state constitutional rights may be maintained without regard to the provisions of the Tort Claims Act. He relies on Bivens v. Six Unknown Federal Narcotics Agents, 403 U.S. 388, 91 S.Ct. 1999, 29 L.Ed.2d 619 (1971), which implied a cause of action for damages against federal agents who violated the United States Constitution.
There are several reasons why this argument will not help Plaintiff. First, Bivens recognized suits against federal agents, not federal agencies. Earlier this year a unanimous United States Supreme Court held that a Bivens cause of action should not be implied directly against a federal agency. Federal Deposit Ins. Corp. v. Meyer, — U.S. -, 114 S.Ct. 996, 127 L.Ed.2d 308 (1994). This authority raises serious doubts whether a Bivens action against a state agency would be appropriate.
In addition, Plaintiff must confront the provision of the state Tort Claims Act that grants public employees immunity from damages in tort actions except insofar as immunity is waived by the Tort Claims Act itself. NMSA 1978, § 41-4-4(A) (Repl. Pamp.1989). If the state legislature deems it in the public interest not to permit damage actions under state law for violations of state or federal constitutional rights, there appears to be no obstacle to a statute enacting that immunity. We have previously held that absent a waiver of immunity under the Tort Claims Act, a person may not sue the state for damages for violation of a state constitutional right. Begay v. State, 104 N.M. 483, 488, 723 P.2d 252, 257 (Ct.App.1985) (alleged violation of Article II, Section 11, which grants freedom of religion). Although the legislature cannot eliminate or limit a constitutional right, it need not provide a damage remedy for a violation of that right. (Of course, the federal Civil Rights Act provides a federal remedy for violations by state and local officials of federal constitutional rights. 42 U.S.C. § 1983.) Insofar as Plaintiff relies on Wells v. County of Valencia, 98 N.M. 3, 644 P.2d 517 (1982), as support for the contention that the state Tort Claims Act could not override his right to bring a Bivens-type action, such reliance is misplaced. All Wells said was that the New Mexico legislature could not deny the right to bring a claim authorized by federal law, such as 42 U.S.C. § 1983. Id. at 6-7, 644 P.2d at 520-21.
Finally, even if Plaintiff could bring a Bivens-type action against the Department, the Department’s liability would necessarily be vicarious liability for violations by Department officers and employees. Plaintiffs argument under Bivens does not alter our conclusion that his state court complaint against the Department is founded entirely on vicarious responsibility for the conduct of the federal defendants.
3. Claim Preclusion Against the Federal Defendants
The second requirement that must be satisfied under Section 52(1) is that the federal judgment would bar a state court claim against the federal defendants for the con- duet that forms the basis of the claim against the Department. It is therefore necessary to determine what claims against the federal defendants would be precluded by the federal judgment. Federal law and New Mexico law do not appear to diverge on this issue; both generally find the Restatement to be persuasive. See, e.g., Poe v. John Deere Co., 695 F.2d 1103, 1106 (8th Cir.1982); Petromanagement Corp. v. Acme-Thomas Joint Venture, 835 F.2d 1329, 1335-36 (10th Cir.1988); Three Rivers Land Co., 98 N.M. at 695-96, 652 P.2d at 245-46.
Restatement Section 24 provides:
(1) When a valid and final judgment rendered in an action extinguishes the plaintiffs claim pursuant to the rules of merger or bar (see §§ 18, 19),[ ] the claim extinguished includes all rights of the plaintiff to remedies against the defendant with respect to all or any part of the transaction, or series of connected transactions, out of which the action arose.
(2) What factual grouping constitutes a “transaction”, and what groupings constitute a “series”, are to be determined pragmatically, giving weight to such considerations as whether the facts are related in time, space, origin, or motivation, whether they form a convenient trial unit, and whether their treatment as a unit conforms to the parties’ expectations or business understanding or usage.
Comment c explains:
Transaction may be single despite different harms, substantive theories, measures or kinds of relief. A single transaction ordinarily gives rise to but one claim by one person against another. When a person by one act takes a number of chattels belonging to another, the transaction is single, and judgment for the value of some of the goods exhausts the claim and precludes the injured party from maintaining one action for the remainder. In the more complicated case where one act causes a number of harms to, or invades a number of different interests of the same person, there is still but one transaction; a judgment based on the act usually prevents the person from maintaining another action for any of the harms not sued for in the first action____
That a number of different legal theories casting liability on an actor may apply to a given episode does not create multiple transactions and hence multiple claims. This remains true although the several legal theories depend on different shadings of the facts, or would emphasize different elements of the facts, or would call for different measures of liability or different kinds of relief.
In line with this approach, federal decisions in employment cases have determined under both federal and state law of judgments that where the thrust of both lawsuits is whether the plaintiff was wrongfully discharged, an adverse judgment in the first suit bars the second. See, e.g., Kale v. Combined Ins. Co. of Am., 924 F.2d 1161, 1166 (1st Cir.) (where all claims in both lawsuits were based on the termination of plaintiffs employment, they were identical causes of action for res judicata purposes), cert. denied, 502 U.S. 816, 112 S.Ct. 69, 116 L.Ed.2d 44 (1991); Gregory v. Chehi, 843 F.2d 111, 116-19 (3d Cir.1988) (applying Pennsylvania law; discharged officer brought federal civil rights claim after state court had affirmed dismissal of state challenge; dismissal of federal claim affirmed); Hogue v. Royse City, 939 F.2d 1249, 1252-54 (5th Cir.1991) (applying Texas law; police officer’s discharge gives rise to a single cause of action encompassing several theories for recovery); Miller v. United States Postal Serv., 825 F.2d 62, 64 (5th Cir.1987) (plaintiff filed sex discrimination suit and lost; a later handicap discrimination suit was barred by res judicata because it sought to remedy the same wrong, the allegedly discriminatory dismissal, as the earlier action); Pirela v. Village of N. Aurora, 935 F.2d 909, 912 (7th Cir.) (applying Illinois law; where plaintiff was discharged, appealed discharge to district court, lost, and then filed federal civil rights lawsuit, the federal suit was barred because both cases arose out of same operative facts — plaintiffs misconduct and the Department’s procedures relating to suspension and termination), cert. denied, 502 U.S. 983, 112 S.Ct. 587, 116 L.Ed.2d 612 (1991); Poe, 695 F.2d at 1106 (federal lawsuit was based on alleged race discrimination in discharge; subsequent state court suit alleged claims in tort; thrust of both cases was whether plaintiff was wrongfully discharged, so both cases presented the same claim and state court suit that had been removed to federal court was barred); St. Louis Police Dep’t, 691 F.2d at 396 (plaintiff was discharged, pursued administrative remedies, appealed to district court, lost, and then filed federal lawsuit alleging racial basis for discharge; court, applying Missouri law, held that both actions challenged plaintiffs dismissal and sought reinstatement, and in both eases the central issue was the reason for the dismissal; thus, plaintiff was raising the same claim under a different theory of recovery and res judicata applied).
In the present case, the same operative facts form the basis of both Plaintiffs state court complaint and his federal amended complaint. The allegations in the state complaint are almost identical to those in the federal complaint. Also, the thrust of both actions is the asserted wrongfulness of Plaintiffs suspension and of the investigation and procedures utilized to suspend him. The same alleged wrongs are sought to be redressed in both lawsuits.
Plaintiff argues that the claims in his state court lawsuit are different from the claims he actually litigated in federal court and therefore are not barred. While it is trae that for purposes of issue preclusion, an issue must be actually litigated for the determination to be binding in a subsequent action, see Silva, 106 N.M. at 474, 745 P.2d at 382, the same is not true when claim preclusion is the applicable doctrine. Claim preclusion does not depend upon whether the claims arising out of the same transaction were actually asserted in the original action, as long as they could have been asserted. See Kale, 924 F.2d at 1164; Miller, 825 F.2d at 64 (res judicata bars all claims that were or could have been advanced in support of the cause of action, not only those that were actually adjudicated); Poe, 695 F.2d at 1105 (final judgment in earlier case precludes re-litigation of a cause of action on any grounds that could have been raised in the prior action).
The question, then, is not what grounds for liability were actually asserted and finally determined in the federal court lawsuit, but what claims Plaintiff could have asserted against the federal defendants. Because Plaintiff could have included in his federal suit any claims against the federal defendants arising out of the conduct described in the state complaint, Plaintiff would be barred from suit against the federal defendants in state court on any claims arising from such conduct. Consequently, requirement (2) is satisfied.
4. Defenses Personal to the Federal Defendants
The fourth requirement is not at issue in this appeal. Plaintiff has not suggested that the adverse judgment in federal court was based in any way on a defense that would not be available to the Department in this suit.
Thus, the four requirements of Section 51(1) are satisfied. The law of judgments precludes the state court action against the Department. To the extent that Plaintiff contends that this conclusion is contrary to our Supreme Court’s decision in Wells, we disagree. Wells resolved the following question certified by the federal district court:
Does the New Mexico Tort Claims Act ... prohibit a plaintiff from bringing an action for damages under the New Mexico Tort Claims Act against a governmental entity or public employee where the plaintiff also pursues, by reason of the same occurrence or chain of events, an action against the same entity or employee pursuant to [the] Federal Civil Rights Act ... ?
98 N.M. at 5, 644 P.2d at 519. In the course of giving an affirmative answer to the question the Court wrote: “[S]ince Section 1983 is supplementary to state remedies, a plaintiff can first file suit in state court under the Tort Claims Act, obtain a favorable judgment, and then proceed to federal court under Section 1983 for deprivation of constitu tional rights.” Id. at 7, 644 P.2d at 521. The Court had no occasion to consider what would happen if the plaintiff sued under the Tort Claims Act in one court and under the federal Civil Rights Act in another court and the first judgment was adverse to the plaintiff. The opinion simply does not address the law of judgments. See Poe, 695 F.2d at 1103 (plaintiff filed state court lawsuit alleging state law torts while federal suit was pending; once federal suit was decided, the result was res judicata as to state law claims).
III. CONCLUSION
The Department’s liability in this case is based solely on vicarious responsibility for the acts of the federal defendants. The federal judgment precluded further suit against the federal defendants for those acts. The claims raised in the state case could have been raised against the federal defendants in the federal case. The federal judgment was not based on a defense unavailable to the Department. Following Restatement Section 51, we therefore hold that the Department is protected by claim preclusion. Accordingly, we reverse the decision of the district court and remand for dismissal of Plaintiffs complaint.
IT IS SO ORDERED.
MINZNER, C.J., and BLACK, J., concur.
. Paragraphs (2), (3), and (4) of Section 51 are not relevant to this action.
. We note that the New Mexico Tort Claims Act purports to limit jurisdiction under the Act to state district courts. NMSA 1978, Section 41-4-18(A) (Repl.Pamp.1989). Ford, however, does not rely on that provision, perhaps because of the holding in Wojciechowski v. Harriman, 607 F.Supp. 631 (D.N.M.1985), that this provision cannot preclude federal courts from exercising jurisdiction over claims under the Act except to the extent that it indicates non-waiver of state’s rights under the Eleventh Amendment.
. Section 18 addresses judgments in favor of plaintiffs. Section 19 states: "A valid and personal judgment rendered in favor of the defendant bars another action by the plaintiff on the same claim.” | [
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OPINION
RIORDAN, Justice.
Dr. Horace E. Ross and Dr. Lynn C. Shaw (plaintiffs) each brought separate suits against Kuhnel & Associates, Inc. and Control Development Corporation (CDC) (defendants) for breach of contract and fraud regarding architectural and construction contracts for the construction of dental offices. The plaintiffs also sought punitive damages against the defendants. The defendants moved to stay the proceedings and compel arbitration pursuant to the terms of the contracts. The district court then consolidated the cases for purposes of hearing the motion. The defendants’ motion to stay proceedings and compel arbitration was subsequently denied. The defendants appeal. We affirm and have likewise consolidated the cases for purposes of appeal.
The' plaintiffs each entered into contracts with the defendants for the construction of dental offices. Each agreement provided that disputes between the parties would be settled by arbitration.
Both defendants are Texas corporations unauthorized to do business in New Mexico, contrary to NMSA 1978, Section 53-17-1 (Repl.Pamp.1983). CDC is also unlicensed to perform work as a general contractor in New Mexico, contrary to NMSA 1978, Section 60-13-12 (Repl.Pamp.1984).
Due to CDC’s failure to obtain New Mexico licensure, on September 16, 1983, work on both projects was ordered to cease by a state building inspector for the Construction Industries Division. The plaintiffs were thus forced to enter into new contracts with a properly licensed New Mexico general contractor.
On appeal, the defendants argue that the dispute between the parties should proceed to arbitration as required by the contracts.
New Mexico policy favors and encourages arbitration of disputes. K.L. House Construction Co., Inc. v. City of Albuquerque, 91 N.M. 492, 576 P.2d 752 (1978). Generally, parties are bound by their contractual agreements to resolve disputes by arbitration. Christmas v. Cimarron Realty Co., 98 N.M. 330, 648 P.2d 788 (1982).
However, a motion to compel arbitration is essentially a suit for specific performance of an agreement to arbitrate. 6 C.J.S. Arbitration § 35 (1975). NMSA 1978, Section 53-17-20(A) (Repl.Pamp. 1983), prohibits a foreign corporation that is transacting business within this state without a certificate of authority from maintaining “any action, suit or proceeding in any court of this state, until the corporation has obtained a certificate of authority.” Thus, the defendants (each being without a certificate of authority) are unable to compel the plaintiffs to arbitrate this dispute.
Further, with regard to CDC and its failure to obtain proper licensure as a general contractor in New Mexico, “[arbitration proceedings will be enjoined where * * the performance that is the subject of the demand for arbitration is prohibited by statute * * 5 Am.Jur.2d Arbitration and Award § 83 (1962). Under Section 60-13-12, the performance by CDC of its contracts with the plaintiffs is prohibited and arbitration of disputes arising thereunder is improper. It is unclear from the record on appeal whether Kuhnel is properly registered to practice architecture in New Mexico. If Kuhnel is not properly registered as required under NMSA 1978, Section 61-15-1 (Repl.Pamp. 1981), then performance of its contracts with the plaintiffs is also prohibited and they, too, are enjoined from compelling this dispute to arbitration.
We address the following issue (although unnecessary to a determination of this case) to clarify future litigation on the subject. The defendants argued that all of the issues herein involved were subject to arbitration. We disagree. The plaintiffs alleged fraud in the inducement and sought punitive damages against the defendants. We hold that neither of these issues are arbitrable under the language of the contract as written in this case.
NMSA 1978, Section 44-7-1 provides in pertinent part:
A written agreement to submit any existing controversy to arbitration or a provision in a written contract to submit to arbitration any controversy thereafter arising between the parties is valid, enforceable and irrevocable, save upon such grounds as exist at law or in equity for the revocation of any contract.
Our interpretation of Section 44-7-1 is that an arbitration clause is enforceable and valid unless there are legal or equitable grounds for revoking it. It would be ridiculous and contrary to the statutory lan guage to require parties to arbitrate an issue of fraud in the inducement only to have the arbitration clause declared invalid if such fraud is found to exist by the arbitrator. This would force parties to arbitrate an issue which by statute would invalidate the arbitration clause.
It is for a court to determine issues of fraud in the inducement, not an arbitrator. If no fraud is found, the remaining issues can proceed to arbitration. This conclusion is buttressed by the wording of NMSA 1978, Section 44-7-2(A), in which the court is given the power to determine whether a valid arbitration agreement exists.
We also determine that an arbitrator should not be given authority to award punitive damages. This power is reserved to the courts. Garrity v. Lyle Stuart, Inc., 40 N.Y.2d 354, 386 N.Y.S.2d 831, 353 N.E.2d 793 (Ct.App.1976).
The trial court properly denied the defendants’ motion to compel arbitration, and we therefore affirm.
IT IS SO ORDERED.
FEDERICI, C.J., and SOSA, Senior Justice, concur. | [
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OPINION
FEDERICI, Chief Justice.
New Mexico Beverage Company, the plaintiff-appellant (plaintiff), a liquor wholesaler, brought this suit to recover a debt from M & R Liquors and the Bowers, defendants-appellees, for liquor which was delivered but not paid for. M & R Liquors and the Bowers are, respectively, a liquor retailer and the holders of the retail liquor license. Following a trial, the district court dismissed plaintiffs claim. The trial court based its judgment on the grounds that plaintiff extended credit to M & R Liquors for more than 30 days; that NMSA 1978, Section 60-7A-9 (Repl.Pamp.1981), a part of the Liquor Control Act, prohibits a liquor wholesaler from extending credit to a liquor retailer for more than 30 days; and that NMSA 1978, Section 60-8A-5 (Repl. Pamp.1981) prohibits enforcement of any debt which is incurred contrary to the Liquor Control Act. Plaintiff appealed to this Court. We affirm.
NMSA 1978, Section 60-7A-9 (Repl. Pamp.1981) is a “tied-house” law, which makes it illegal for any liquor wholesaler to “extend credit or to agree to extend credit for the sale of alcoholic beverages to any retailer * * * for any period more than thirty calendar days from the date of the invoice required under the provisions of Section 70 [60-8A-3, NMSA 1978] of the Liquor Control Act.” The record in this case shows that after the first invoice to go unpaid had remained unpaid for more than 30 days, plaintiff did not promptly bring an action to recover the debt, but on the contrary continued to deliver more liquor to the retailer without receiving immediate payment. Plaintiff argues that it did not “extend credit” within the meaning of Section 60-7A-9 because its deliveries were marked “C.O.D.” and it “expected” prompt payment. But plaintiff cannot circumvent the statute based upon expectations of prompt payment or by labelling its transactions “C.O.D.” By failing to bring an action promptly when an invoice went unpaid for more than 30 days, and continuing to deliver liquor without receiving immediate payment, plaintiff extended credit to the retailer under NMSA 1978, Section 60-7A-9 (Repl.Pamp.1981).
NMSA 1978, Section 60-8A-5 (Repl. Pamp.1981) provides that “[n]o action shall be maintained * * * to collect any debt for merchandise sold, served or delivered in violation of the Liquor Control Act.” Plaintiff argues that because this statute was passed before the tied-house laws were enacted, this sanction of disallowing actions to recover debt is not applicable to violations of the tied-house laws, and applies only to illegal credit sales by retailers to consumers. By the clear statement of its terms, however, Section 60-8A-5 applies to any debt for merchandise sold in violation of the Liquor Control Act. If a statute is unambiguous, this Court will not engage in further interpretation. E.g., Arnold v. State, 94 N.M. 381, 610 P.2d 1210 (1980). This Court also presumes that the Legislature, when it enacted Section 60-7A-9, was aware of existing law, including Section 60-8A-5. See, e.g., State v. Trivitt, 89 N.M. 162, 548 P.2d 442 (1976). In any event, the entire Liquor Control Act, including both Section 60-7A-9 and Section 60-8A-5, was recodified and reenacted in 1981, indicating legislative intent that the sanction provided by Section 60-8A-5 be applicable to violations of Section 60-7A-9.
This is a case of first impression in New Mexico. We note that in the overwhelming majority of cases in other states with similar statutes involving enforcement of wholesaler-retailer debts which violate liquor control laws, the courts have held that the debts are unenforceable. E.g., Mokarzel v. Vorias, 419 A.2d 1017 (Me. 1980); Mascari v. Raines, 220 Tenn. 234, 415 S.W.2d 874 (1967). See also Annot, 17 A.L.R.3d 396 § 6 (1968).
The' trial court’s judgment dismissing the claim is affirmed.
IT IS SO ORDERED.
SOSA, Senior Justice, and WALTERS, J., concur. | [
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OPINION
FEDERICI, Chief Justice.
This motor carrier permit case originated in the State Corporation Commission and is before this Court on appeal from the District Court of Santa Fe County, pursuant to NMSA 1978, Section 65-2-120 (Repl.Pamp. 1981). We conclude that the appeal from the district court to this Court was untimely, and that this Court therefore lacks jurisdiction to consider the merits of the case.
The American Automobile Association and Jay Walton Enterprises, Inc. (plaintiffs), applied for a contract motor carrier permit from the State Corporation Commission. The permit would allow Jay Walton Enterprises to provide contract towing service to the American Automobile Association. Malcolm Services, Inc., and other towing companies protested the application, and the State Corporation Commission denied the permit. Plaintiffs appealed to the district court, and the district court reversed. The State Corporation Commission and Malcolm Services (defendants) then appealed to this Court.
Defendants filed a notice of appeal 51 days after the district court had entered its judgment. Defendants, therefore, appealed to this Court within the 60-day time limit which is provided by NMSA 1978, Section 65-2-120(G) (Repl.Pamp.1981), the statute which sets out the procedure for appealing motor carrier cases. Defendants did not appeal, however, within the 30-day limit allowed by the applicable appellate rule, NMSA 1978, Civ.App.Rule 3(a) (Repl.Pamp. 1984).
It is not disputed that the statute and Rule 3(a) are inconsistent. The law is clear that on procedural matters such as time limitations for appeals, a rule adopted by the Supreme Court governs over an inconsistent statute. State v. Arnold, 51 N.M. 311, 183 P.2d 845 (1947); State v. Doe, 90 N.M. 568, 566 P.2d 117 (Ct.App.1977). This is predicated upon the constitutional doctrine that the Court has the power to regulate pleading, practice and'procedure within the courts. N.M. Const, art. VI, § 3; State v. Roy, 40 N.M. 397, 60 P.2d 646 (1936).
Defendants contend that the applicable appellate rule in this case is NMSA 1978, Civ.App.Rule 13 (Repl.Parhp.1984) and not Rule 3(a). Rule 13 provides in part:
Except as may be otherwise provided by law, appeals from orders, decisions or actions of boards, commissions, administrative agencies or officials shall be taken by filing notice of appeal with the appellate court with proof of service thereof on all parties and the agency involved and thereafter proceeding within the time limits and in accordance with the rules applicable to appeals from final judgments of district courts in civil actions. (Emphasis added.)
Defendants’ argument is that the initial clause — “[ejxcept as may be otherwise provided by law” — allows the 60-day time limit set out in NMSA 1978, Section 65-2-120(G) to control over the 30-day limit in Rule 3(a).
We conclude that Rule 13 is not applicable to the proceedings in this case. By its terms, Rule 13 applies only to “appeals from orders, decisions or actions of boards, commissions, administrative agencies or officials.” The rule provides that these appeals from administrative actions shall be handled procedurally as if they were “appeals from final judgments of district courts.” Rule 13 applies to appeals from actions of administrative bodies directly to the courts. It does not apply to an appeal, such as this, from a district court to an appellate court. Because Rule 13 is inapplicable to appeals from district courts, the exception clause within Rule 13 does not provide a basis for the applicability of NMSA 1978, Section 65-2-120(G). That portion of Section 65-2-120(G) which purports to give parties to motor carrier cases 60 days to appeal from the district court to the Supreme Court is superseded by NMSA 1978, Civ.App.Rule 3(a).
Since defendants did not appeal to this Court within the period allowed by NMSA 1978, Civ.App.Rule 3(a), this Court does not have jurisdiction to determine the merits of the appeal. State v. Arnold.
IT IS SO ORDERED.
SOSA, Senior Justice, and RIORDAN, J., concur. | [
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] |
OPINION
APODACA, Chief Judge.
The memorandum opinion filed on November 22,1994 is withdrawn on the panel’s own motion, and the following opinion is substituted in its place.
The State appeals from the trial court’s dismissal with prejudice of an amended criminal complaint filed against Johnny A. Jacquez (Defendant). The State argues that the trial court erred in dismissing the case: (1) under the six-month rule enunciated in SCRA 1986, 5-604(B) (Repl.1992); and (2) for a violation of Defendant’s Sixth Amendment right to a speedy trial. We hold that the trial court erred in dismissing the charges under SCRA 5-604(B) because only approximately five months had elapsed between Defendant’s arrest and the scheduled trial date. We also hold that the trial court erred in dismissing the charges for a Sixth Amendment speedy trial violation because the threshold of a presumptively prejudicial delay was not present. We therefore reverse.
I. FACTUAL AND PROCEDURAL BACKGROUND
On May 17, 1992, Defendant was arrested and charged with one count of driving under the influence of an intoxicating liquor (fourth or subsequent offense), in violation of NMSA 1978, Section 66-8-102 (Cum.Supp.1998) (effective until January 1, 1994). At booking, Defendant gave his current address as PiO. Box 1583, Bloomfield, New Mexico. Later that morning, a magistrate judge dismissed the complaint without prejudice because she found “that probable cause has not been shown that a crime ha[d] been committed and that ... Defendant committed it.”
The case later was assigned to the trial court’s docket and called on June 1,1992. At this time, the trial court disagreed with the magistrate judge’s determination that no probable cause existed to support Defendant’s arrest. He directed the State to either dismiss the original criminal complaint or file an amended complaint against Defendant. On June 2, 1992, the State filed an amended criminal complaint. The case was called for arraignment on July 6, 1992. At this time, the State indicated that it was unable to locate Defendant in order to serve process. The trial court passed the case for lack of personal service.
A detective from the Bloomfield Police Department contacted Defendant’s employer in an attempt to locate Defendant. Defendant’s employer provided the detective with an address it had on file for Defendant, 1501 Saiz Lane # 1, Bloomfield, New Mexico. The San Juan County Sheriffs Office was unable to locate Defendant, however, at either the Saiz Lane address or in the utility computer at that address.
On August 3, 1992, a sheriffs affidavit of non-service was filed indicating that the sheriff was unable to locate Defendant at the Saiz Lane address in Bloomfield and that Defendant was not in the utility computer. When the case was called for arraignment on the same date, the State informed the trial court that it was continuing its attempts to locate an address for Defendant. The trial court again passed the case for lack of personal service.
On August 26, 1992, the State filed a motion to obtain an arrest warrant for Defendant. The motion alleged that the State had made two separate attempts to serve Defendant with notice of the arraignment. The trial court issued a bench warrant on August 28, 1992.
On April 28,1993, Defendant was arrested in Las Vegas, Nevada, on the bench warrant. Defendant waived extradition and was transferred back to New Mexico on May 5, 1993. On June 8,1993, Defendant was arraigned in the trial court, where he pled not guilty. Defendant gave the trial court his residence address of County Road 4599, Number 32, Blanco, New Mexico, and his mailing address of P.O. Box 403, Blanco, New Mexico. De fendant was released on his own recognizance.
On September 29, 1993, the date set for trial, Defendant moved to dismiss the amended complaint with prejudice. Defendant contended that “[m]ore than one month had elapsed between Defendant’s second arrest and his arraignment, and more than one year had elapsed between the time the State filed the Amended Criminal Complaint and the time Defendant was arraigned.” On these bases, Defendant argued that the delay between the time the amended complaint was filed and the time Defendant was arraigned violated his rights guaranteed under the Sixth and Fourteenth Amendments of the United States Constitution, Article II, Sections 14 and 18 of the New Mexico Constitution, SCRA 5-604(A) and (B), and NMSA 1978, Section 31-1-5(B) (Repl.Pamp.1984), and severely prejudiced him.
The trial court granted Defendant’s motion to dismiss with prejudice, ruling that: (1) the six-month rule of SCRA 5-604(B) had run; (2) Defendant met his burden of proving that he was prejudiced by the delay, thus shifting the burden of persuasion to the State; (3) the State failed to meet its burden; and (4) Defendant was deprived of his right to a speedy trial and due process of law. The State appeals.
II. DISCUSSION
A. Six-Month Rule
The State first argues that the trial court erred in dismissing the charges based on SCRA 5-604(B), the “six-month rule.” SCRA 5-604(B) provides:
The trial of a criminal case or an habitual criminal proceeding shall be commenced six (6) months after whichever of the following events occurs latest:
(1) the date of arraignment, or waiver of arraignment, in the district court of any defendant;
(5) the date of arrest of the defendant for failure to appear; ____
(Emphasis added.)
Here, Defendant was arrested on April 28, 1993, on the outstanding bench warrant for failure to appear. From April 28,1993, until September 29, 1993, the date set for trial, approximately five months had elapsed. The basis for the trial court’s ruling that the six-month rule had been violated does not appear in the court’s order of dismissal.
Nevertheless, Defendant contends that the trial court properly dismissed the case under SCRA 5-604 for two reasons. First, Defendant argues that the trial court correctly found that SCRA 5-604(B)(5) was inapplicable because the State faded to exercise due diligence in attempting to serve Defendant with notice of the arraignments. The plain language of SCRA 5-604(B)(5), however, provides no limitations on whether such failure to appear is valid contingent on the circumstances regarding the issuance of the bench warrant. Thus, this case is distinguishable from the situation presented in State v. Romero, 101 N.M. 661, 663-64, 687 P.2d 96, 98-99 (Ct.App.1984), where this Court analyzed the then applicable Rule 37, New Mexico Rule of Criminal Procedure, that stated, “(5) the date of arrest of the defendant after conditions of release have been revoked for failure to appear os required.” (Emphasis added.) Additionally, we find State v. Lucero, 108 N.M. 548, 775 P.2d 750 (Ct.App.1989), distinguishable because Lucero addressed when an amended complaint relates back to the first complaint for six-month rule purposes.
We also hold that the filing of the amended complaint is not an event that triggers the running of the six-month period. See SCRA 5-604; State v. Larson, 107 N.M. 85, 89, 752 P.2d 1101, 1105 (Ct.App.) (filing of charging papers does not begin the six-month period), cert. denied, 107 N.M. 74, 752 P.2d 789 (1988). Thus, even if we did not consider Defendant’s arrest on the bench warrant to trigger the six-month period, we would not look to the date of the filing of the amended criminal complaint as argued by Defendant. Rather, we would consider the next applicable event to be Defendant’s June 8,1993 arraignment, the first arraignment at which Defendant was present. See SCRA 5-604(B)(1).
Defendant’s second argument relates to the application of SCRA 5-604(A). SCRA 5-604(A) provides: “The defendant shall be arraigned on the information or indictment within fifteen (15) days after the date of the filing of the information or indictment or the date of arrest, whichever is later.” Defendant contends that the trial court properly dismissed the charges because he was not arraigned within fifteen days of either of his arrests, or from the time of the filing of the June 2, 1992 amended criminal complaint. We disagree.
In this case, the fifteen-day period for arraignment began to run from Defendant’s April 28, 1993 arrest in Las Vegas. We conclude that the time for arraignment did not begin to run from Defendant’s initial May 17, 1992 arrest because the criminal complaint for which Defendant had been arrested at that time was dismissed by a magistrate judge for lack of probable cause. Defendant could not have been arraigned on a complaint that had been dismissed. We also conclude that the time for arraignment did not begin to run from the date of the filing of the amended criminal complaint because under SCRA 5-604(A), the fifteen-day period begins to run from the “filing of the information or indictment or the date of arrest, whichever is later.” The “later” event in this case was Defendant’s April 28, 1993 arrest. Besides, Defendant could not have been arraigned before the time of his arrest because the State did not know his whereabouts.
Because Defendant was arrested on April 28, 1993, and not arraigned until June 8, 1993, there was a technical violation of the fifteen-day rule. Although there was a delay of more than fifteen days, Defendant made no showing that his defense was prejudiced in any way by the delay. See State v. Budau, 86 N.M. 21, 23, 518 P.2d 1225, 1227 (Ct.App.1973), cert. denied, 86 N.M. 5, 518 P.2d 1209 (1974). “Without such a showing ... a technical violation of [SCRA 5-604(A) ] will not result in a dismissal of the charges.” Id. We thus conclude that the trial court erred in dismissing the case under SCRA 5-604.
B. Speedy Trial
The State next argues that the trial court erred in dismissing the charges based on a Sixth Amendment right to speedy trial violation. We agree. The Sixth Amendment requires that “[i]n all criminal prosecutions, the accused shall enjoy the right to a speedy and public trial.” U.S. Const, amend. VI. Thus, the right to a speedy trial is implicated at the time when the putative defendant is indicted, arrested, or accused. See Salandre v. State, 111 N.M. 422, 425, 806 P.2d 562, 565 (1991); Kilpatrick v. State, 103 N.M. 52, 53, 702 P.2d 997, 998 (1985).
The right to a speedy trial guaranteed under the Sixth Amendment prevents lengthy incarceration prior to trial, reduced impaired liberty while an accused is released on bail, and shortens the disruption of life caused by pending and unresolved criminal charges. State v. McCrary, 100 N.M. 671, 675, 675 P.2d 120, 124 (1984) (citing United States v. MacDonald, 456 U.S. 1, 8, 102 S.Ct. 1497, 1502, 71 L.Ed.2d 696 (1982)). Thus, “once charges are dropped in good faith, the delay is not scrutinized by the speedy trial clause of the Sixth Amendment of the federal constitution.” McCrary, 100 N.M. at 675, 675 P.2d at 124 (citing MacDonald, 456 U.S. at 7, 102 S.Ct. at 1501-02). Therefore, the time during which charges are dismissed should not be considered under a speedy trial analysis where the defendant is free of restrictions on his liberty. See Salandre, 111 N.M. at 426, 806 P.2d at 566; see also State v. Sanchez, 108 N.M. 206, 207, 769 P.2d 1297, 1298 (Ct.App.) (arrest alone, without posting bond, imposition of restrictive conditions of release, or being held to answer for unresolved criminal charges does not trigger a defendant’s speedy trial rights under the Sixth Amendment; speedy trial rights did not attach following arrest when the defendant was released pending investigation), cert. denied, 108 N.M. 197, 769 P.2d 731 (1989); cf. Kilpatrick, 103 N.M. at 53, 702 P.2d at 998 (defendant became an accused when required to post a $2,500 bond on the day of arrest and lived under unresolved criminal charges for almost a year before indictment was filed). Here, during the interval when the magistrate judge dismissed the charges on May 18, 1992, and when Defendant was later arrested on the bench warrant on April 28,1993, Defendant was not in custody. Under these circumstances, Defendant suffered no impairment of his liberty. Also, although the trial court issued a bench warrant for Defendant’s arrest, there is no indication that Defendant was aware of such bench warrant and thus suffered any prejudicial consequences.
We conclude that Defendant became an “accused” at the time of his April 28,1993 arrest on the outstanding bench warrant. It was not until this time that Defendant suffered “‘restraints on his liberty”’ and became “'the subject of public accusation.’” Salandre, 111 N.M. at 426, 806 P.2d at 566 (quoting United States v. Marion, 404 U.S. 307, 321, 92 S.Ct. 455, 464, 30 L.Ed.2d 468 (1971)); see also State v. Gonzales, 110 N.M. 218, 224, 794 P.2d 361, 367 (Ct.App.) (speedy trial guarantee applies during period of public accusation), cert. denied, 110 N.M. 330, 795 P.2d 1022 (1990). From the time of Defendant’s April 28, 1993 arrest until the September 29,1993 trial date, approximately five months had elapsed. We must therefore determine whether this five-month delay constituted a violation of Defendant’s Sixth Amendment right to a speedy trial.
There are at least four factors to be considered in determining whether a defendant has been denied a right to a speedy trial: (1) the length of delay, (2) the reason for the delay, (3) the defendant’s assertion of his right, and (4) prejudice to the defendant. See Barker v. Wingo, 407 U.S. 514, 530, 92 S.Ct. 2182, 2191-92, 33 L.Ed.2d 101 (1972); Salandre, 111 N.M. at 425, 806 P.2d at 565; Zurla v. State, 109 N.M. 640, 642, 789 P.2d 588, 590 (1990). “The length of the delay is to some extent a triggering mechanism. Until there is some delay [that] is presumptively prejudicial, there is no necessity for inquiry into the other factors that go into the balance.” Barker, 407 U.S. at 530, 92 S.Ct. at 2192. Consequently, unless the threshold of a presumptively prejudicial delay is found, no further inquiry is necessary.
We must therefore determine whether the five-month delay was presumptively prejudicial to Defendant. In Salandre, our Supreme Court stated:
A primary purpose of such a showing [of presumptive prejudice] is “to provide the courts and the parties with a rudimentary warning of when speedy trial problems may arise____ [L]ength of the delay acts as a rough measure of whether further inquiry is warranted.” While a global inquiry into the other three Barker v. Wingo factors undoubtedly would serve as a better initial indicator of those cases in which a speedy trial violation actually was present, we are satisfied that consideration of the length of the delay, complexity of the charges, and nature of the evidence adequately serves this screening function.
Salandre, 111 N.M. at 428, 806 P.2d at 568 (citations omitted). The Salandre Court went on to hold that “nine months marks the minimum length of time that may be considered presumptively prejudicial, even for a case ... involving simple charges and readily-available evidence.” Id.
Here, the threshold of presumptively prejudicial delay is not present. We conclude that in this case, the five-month period between arrest and trial was not a sufficient amount of time to raise even a presumption of prejudice for Sixth Amendment speedy trial purposes. See id. Therefore, we need not inquire into the remaining Barker factors. See Barker, 407 U.S. at 530, 92 S.Ct. at 2191-92; Salandre, 111 N.M. at 427, 806 P.2d at 567 (“[T]he preliminary question of whether the presumption exits should be distinguished from the question of its effective weight as applied to the remaining factors of the [Barker ] balancing test.”); State v. Grissom, 106 N.M. 555, 561, 746 P.2d 661, 667 (Ct.App.) (“A presumptively prejudicial delay must exist before the reason for delay, assertion of the right, and prejudice to defendant may be evaluated.”), cert. denied, 106 N.M. 439, 744 P.2d 912 (1987).
III. CONCLUSION
We conclude that the trial court erred in dismissing the charges against Defendant under both SCRA 5-604(A) and 5-604(B), and for a Sixth Amendment speedy trial violation. Consequently, we reverse.
IT IS SO ORDERED.
DONNELLY and BOSSON, JJ., concur. | [
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OPINION
BIVINS, Judge.
This case involves the power of the governor to issue pardons. We reverse the trial court’s implicit ruling that the governor lacked power to pardon habitual offender sentences not yet imposed on convictions in existence at the time the governor issued the pardon.
Defendant was convicted of fourteen offenses and the state filed habitual offender proceedings. Defendant was sentenced on the fourteen underlying offenses and he appealed. During the pendency of the appeal, the governor issued a pardon, pardoning twelve of the offenses and stating that the pardon applied to any sentence imposed or habitual sentence to be imposed on the pardoned offenses. Upon affirmance of the remaining convictions (defendant had abandoned his appeal on the pardoned counts), the trial court sentenced defendant as an habitual offender. Having one previous conviction, defendant was sentenced to one year on each of the fourteen original counts as an habitual offender, those sentences to run consecutively to each other.
Defendant appeals, challenging the trial court's power to sentence him as an habitual offender for the counts pardoned by the governor in which pardon the governor specifically commuted the enhanced sentence. Our calendar notice proposed summary reversal. The state filed a memorandum in opposition. Not persuaded by the memorandum, we reverse.
The state makes three arguments why the governor lacked power to issue the pardon he did, contending that: (1) the governor has no power to pardon habitual sentences; (2) the governor has no power to pardon the status as a habitual offender; and (3) the pardon issued to defendant was premature. We reject each of these contentions.
1. Power to Pardon Habitual Sentences
The power to pardon is not an inherent power of the governor but, rather, rests solely in a grant by the people. Ex parte Bustillos, 26 N.M. 449, 194 P. 886 (1920). The people of this state have granted the governor the power to pardon. Article V, Section 6 of the New Mexico Constitution states:
Subject to such regulations as may be prescribed by law, the governor shall have power to grant reprieves and pardons, after conviction for all offenses except treason and in cases of impeachment.
While there may be regulations on the manner of the exercise of the power, the ultimate right to pardon is unrestrained by any consideration other than the conscience, wisdom, and sense of public duty of the governor. Under this language, the power granted by the people is broad. Ex parte Bustillos.
In support of its contention that the governor has no power to pardon habitual sentences, the state argues that the habitual offender statutes are regulations prescribed by law mandating punishment even upon pardoned offenses. Most of the state’s argument in this regard has been answered in the calendar notice to which it did not specifically respond. Thus, we liberally incorporate the reasoning of our calendar notice herein.
If the power to pardon is to be regulated by law, we believe the legislature should expressly clarify its intent to regulate the power. The habitual offender statutes, being highly penal in nature, are to be strictly construed. State v. Lujan, 76 N.M. 111, 412 P.2d 405 (1966). Because it says nothing about pardons, our calendar notice proposed not to construe the habitual offender statutes as limiting the power of the governor to pardon. We said we would not do this any more than we would consider any other prescription of sentence, of which the statutes contain many, as a limit on the governor’s power.
Cases setting forth the mandatory nature of the habitual offender statutes, e.g., State v. Davis, 104 N.M. 229, 719 P.2d 807 (1986), are not persuasive for the proposition that the governor could not pardon the sentence enhancement on the several convictions he pardoned in this case. Citing State v. Harris, 101 N.M. 12, 677 P.2d 625 (Ct.App.1984), the state conceded below that the sentence enhancements at issue here could run concurrently or consecutively in the trial court’s discretion. Thus, when defendant, having had a prior conviction, was convicted in the present case, the habitual offender statutes only mandated that he actually serve one year. The governor’s pardon did not affect that one year. For these reasons, we proposed to rule that the “[sjubject to such regulations as may be prescribed by law” language does not affect the governor’s power to do what he did in this case.
The state 'also contends that the habitual sentences pardoned are not offenses and are, therefore, not within the grant of the pardon power. Our calendar notice answered this contention as follows. Notwithstanding that the power to pardon has been defined in terms of offenses under both the federal and New Mexico Constitutions, the power has always been held to apply to sentences, portions thereof, and even where they shall be served. Biddle v. Perovich, 274 U.S. 480, 47 S.Ct. 664, 71 L.Ed. 1161 (1927); Ex parte Wells, 59 U.S. (18 How.) 307, 15 L.Ed. 421 (1855); AG Op. No. 1175 (1914). But see AG Op. No. 68-57 (1968).
Apart from repeating its contention that the governor has no power to commute enhanced sentences for habitual offenders and stating that the issue need not be reached in this case, the state does not respond to the calendar notice’s proposal on the issue of the governor’s general power to commute habitual offender sentences. A party responding to a summary calendar notice must come forward and specifically point out errors of law and fact. State v. Sisneros, 98 N.M. 201, 647 P.2d 403 (1982). Because the state has not convinced us that our proposal regarding the governor’s general power is erroneous, we hold, in accordance with our proposal and for the reasons given above, that the governor does have the power to commute enhanced sentences.
2. Power to Pardon Status as an Habitual Offender
For its second contention, the state maintains that the constitutionally defined power to pardon “offenses” does not include the power to pardon a defendant’s status as an habitual offender. We agree, and our calendar notice did not propose to hold otherwise. We did not and do not depart from the pronouncements of our supreme court in Shankle v. Woodruff, 64 N.M. 88, 324 P.2d 1017 (1958). Shankle does not, however, apply to this case. Shankle involved a pardon on the previous conviction, i.e., the conviction that was being used to enhance the sentence on the current conviction. Shankle held that a pardon does not obliterate the underlying conviction for the pardoned offense. Thus, the pardoned offense could be considered a prior offense for purposes of sentence enhancement for a subsequent conviction.
This case does not involve pardons on previous convictions. It involves a pardon on current convictions and elimination or reduction of the sentence on the current conviction. If defendant commits future crimes, the pardoned offenses may be used to enhance future sentences. Shankle v. Woodruff But Shankle does not mean that the governor may not commute or pardon current habitual sentences.
It is well established that, by exercise of the power to pardon, the governor can exempt an individual from the punishment that the law imposes as a result of conviction for commission of a crime. Shankle v. Woodruff. A sentence enhancement, though imposed on the basis of a defendant’s status as an habitual offender, is nonetheless punishment for commission of the crime to which the enhanced sentence attaches. State v. Gonzales, 84 N.M. 275, 502 P.2d 300 (Ct.App.1972). Thus, the power to pardon an individual from punishment for commission of a crime includes the power to preclude any punishment that might be imposed, upon conviction of that crime, as a result of an individual’s status as an habitual offender.
The state also argues that since the governor’s pardon did not remove the convictions, defendant could be required to serve an enhanced sentence based upon those convictions. Thus, under State v. Davis, which held that a court could enhance a deferred sentence because it was the conviction and not the sentence upon which the habitual status attached, the state urges that the trial court should be permitted to consider the convictions for which he was pardoned in sentencing defendant under the habitual offender statutes. While we could agree with the state and allow the trial court to sentence defendant, we cannot agree that the sentences could be enforced.
If the governor had simply pardoned the offenses here without also stating the intent to affect the sentence enhancement based thereon, we would need to reach the state’s contention that the enhanced portion of the sentences would have to be served. But the governor did not issue a simple pardon of offenses; he pardoned the offenses, any sentence imposed, and any sentence enhancement based thereon. As discussed above, the governor has the power to pardon or commute habitual sentences. Thus, defendant cannot be required to serve any sentence enhancement imposed upon the pardoned offenses, thereby rendering any sentencing proceeding in this regard an empty gesture.
3. Prematurity of the Pardon
The state’s final contention is that the pardon is premature because defendant had not been determined to be an habitual offender at the time the governor issued the pardons. The state notes that our Constitution limits pardons to the time after conviction. The state points out that this limitation is an attempt to avoid the abuses existent at common law or under the federal Constitution. See In re Anderson, 34 Cal.App.2d 48, 92 P.2d 1020 (1939); Boudin, The Presidential Pardons of James R. Hoffa and Richard M. Nixon: Have the Limitations on the Pardon Power Been Exceeded?, 48 U.Colo.L.Rev. 1 (1976); Duker, The President’s Power to Pardon: A Constitutional History, 18 Wm. & Mary L.Rev. 475 (1977). Thus, the state argues, without citation to more specific authority, that the limitation “after conviction” in our Constitution is consistent with the Separation of Powers Doctrine because it allows the executive to exercise clemency only after the other branches of government have completed their roles in investigating, prosecuting, and judging crimes.
We disagree that the term “after conviction” must necessarily be read as permitting such broad proscription. In In re Anderson, defendant was granted a pardon after conviction and before sentencing. This was permitted because “conviction” was given its ordinary meaning. In Attorney General Opinion No. 2089 at 161 (1918), our attorney general opined that the pardoning power may be exercised during appeal, thus allowing its exercise before the judiciary is finally through with the case.
Giving conviction its ordinary meaning, as in Anderson, we find that New Mexico defines conviction as the finding of guilt, even before formal adjudication by the court, much less before sentencing. State v. Castillo, 105 N.M. 623, 735 P.2d 540 (Ct.App.1987). Once convicted of the underlying offense, habitual offender proceedings do not involve further “convictions.” They involve “determinations” and “findings” by the trial court and sentencing thereon. NMSA 1978, §§ 31-18-17 to -20 (Repl.Pamp.1987).
Defendant was convicted at the time the jury found him guilty of the fourteen offenses. The governor here acted after conviction. There was no violation of the constitutional limitation.
The state requests a general calendar to allow us to decide this case thoroughly with value as precedent. We can do so on a summary calendar. Garrison v. Safeway Stores, 102 N.M. 179, 692 P.2d 1328 (Ct.App.1984).
We note that a legal calendar may be warranted if the issues truly require extensive briefing. Id. However, we believe the application of legal principles to this case is clear and that extensive briefing would only cause undue delay. Under these circumstances, summary disposition is appropriate. See id.
The sentence imposed is reversed and remanded with directions to vacate the sentence and enter a new sentence limited to counts 5 and 20.
IT IS SO ORDERED.
MINZNER and APODACA, JJ., concur. | [
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OPINION
FRANCHINI, Justice.
Glenn Haber appeals from an order adjudging that Haber’s former fiancee, Jannel M. Vigil, should be given permanent possession of an engagement ring she received from Haber. We hold that the ring was a conditional gift dependent upon the parties’ marriage, that the question of whose fault it was that the engagement was broken is irrelevant, and that therefore the ring should be returned to Haber.
Facts and proceedings. Haber and Vigil exchanged engagement rings in February 1992. Unfortunately, their relationship deteriorated and each accused the other of threats and assaults. In May 1992 the couple separated and Vigil filed for a temporary order of protection. A special hearing commissioner resolved all protection issues and determined that the parties should return the rings they had given to each other. Haber immediately returned the ring he had, along with some of Vigil’s other possessions. At a later hearing, however, Vigil objected to returning the engagement ring Haber had given to her. The commissioner instructed the Santa Fe Police to hold the ring until the dispute was resolved and referred the matter to the district court.
Haber filed a motion in district court for an order to release the ring to him. After a hearing, the court determined that Vigil canceled the wedding plans but that she justifiably did so because of Haber’s misconduct. The court then ordered that Vigil should keep the ring because Haber caused the failure of the condition (marriage) upon which the gift was based.
Jurisdiction is proper in this Court. Vigil first argues that this Court lacks jurisdiction to hear the appeal of the order. Vigil asserts that because neither Vigil nor Haber cited breach of contract as a cause of action in the proceedings below, this is only a domestic relations matter that should be reviewed by the Court of Appeals. Vigil relies on In re Estate of Bergman, 107 N.M. 574, 761 P.2d 452 (Ct.App.1988). Bergman, however, is distinguishable. In that case, a dispute over an oral contract arose during the course of informal probate proceedings in which no complaint had been filed. Id. at 576, 761 P.2d at 454. Therefore, “[ujnder these circumstances, there [was] no contract ‘count’ within the meaning of the appellate rule” and the appeal was properly before the Court of Appeals to determine whether a contract existed. Id. (emphasis added). In this case, Haber’s motion alleges that the dispute “arises from a marriage proposal.” Marriage is a civil contract between two consenting adults. NMSA1978, § 40-1-1 (Repl. Pamp.1994). Thus, although Haber’s motion was not technically a complaint with an express “count” alleging breach of contract, in essence it sounds in contract and the trial court’s final order is properly reviewable by this Court.
Determination of the ownership of an engagement gift does not require a finding of who caused breakup of the engagement. The issue raised in this case is one of first impression in New Mexico. In determining who should be granted possession of an engagement ring in cases in which the marriage has not occurred, courts in other states have used a rationale “based upon a contract theory, i.e., the ring is a symbol of an agreement to marry. If that agreement is not performed, then the parties should be restored to the status quo.” Spinnell v. Quigley, 56 Wash.App. 799, 785 P.2d 1149, 1150 (1990). Using a kind of equitable estoppel, some courts at common law have created a policy exception to the rule that engagement gifts should be returned. Under this exception, if the marriage is not finalized because the donor breached the marriage agreement, the donor may not benefit from his breach by regaining the ring given as an engagement gift. The rationale for the exception is that “ ‘[n]o man should take advantage of his own wrong.’ ” Id. (quoting Mate v. Abrahams, 62 A.2d 754, 755 (N.J.1948). The practice of determining possession based upon fault is the majority rule. Aronow v. Silver, 223 N.J.Super. 344, 538 A.2d 851, 852 (Ct.Ch.Div.1987). However, application of this rationale makes changing one’s mind about the choice of a marriage partner legally wrong unless the court determines that the donor was justified in changing his or her mind. See Spinnell, 785 P.2d at 1150.
Following a modem trend, legislatures and courts have moved toward a policy that removes fault-finding from the personal-relationship dynamics of marriage and divorce. New Mexico was the first state to legislatively recognize “no-fault” divorce. State ex rel. DuBois v. Ryan, 85 N.M. 575, 577, 514 P.2d 851, 853 (1973); see NMSA 1978, § 40-4-1(A) (Repl.Pamp.1994) (stating grounds for divorce includes incompatibility). When determining whether a divorce should be granted on grounds of incompatibility, fault is not relevant to the determination. DuBois, 85 N.M. at 577, 514 P.2d at 853. “[Ujsually the conduct of both spouses contributes to the failure of a marriage[;] ... establishing guilt and innocence is not really useful.” Dixon v. Dixon, 107 Wis.2d 492, 319 N.W.2d 846, 851 (1982). We agree with the court in Brown v. Thomas, 127 Wis.2d 318, 379 N.W.2d 868, 873 (Ct.App.1985), cert. denied, 127 Wis.2d 572, 383 N.W.2d 64 (1986), that the policy statements that govern “our approach to broken marriages [are] equally relevant to broken engagements.” See also Gaden v. Gaden, 29 N.Y.2d 80, 323 N.Y.S.2d 955, 962, 272 N.E.2d 471, 476 (1971) (holding that the question of fault or guilt is irrelevant to the breaking of an engagement and subsequent duty to return gifts given in anticipation of marriage).
In Gaden, the court stated that the result of basing entitlement to keep engagement gifts on the fault of another would “encourage every disappointed donee to resist the return of engagement gifts by blaming the donor for the breakup of the contemplated .marriage, thereby promoting dramatic courtroom accusations and counter-accusations of fault.” Id. That is exactly what happened in this case. In attempting to prove that her cancellation of the marriage was justified, Vigil introduced testimony that Haber had physically abused her. Haber testified that Vigil made her own contributions to the domestic conflict. The trial court stated that it would not find that one side was lying and one side was telling the truth, but ultimately determined that it was Haber’s fault that the engagement was broken. The court applied the exception to the common-law principle that the parties should be returned to the status quo, but the court also ordered Vigil to pay to Haber the value of the ring Haber had returned to her, which was approximately $500.00.
We agree that “fault, in an engagement setting, cannot be ascertained,” Aronow, 538 A.2d at 853, and follow the lead of Iowa, New Jersey, New York, and Wisconsin in holding that when the condition precedent of marriage fails, an engagement gift must be returned. See Fierro v. Hoel, 465 N.W.2d 669, 672 (Iowa Ct.App.1990) (holding engagement ring is inherently conditional and rejecting any fault approach to determining whether the ring should be returned to the donor); Aronow, 538 A.2d at 854; Gaden, 272 N.E.2d at 476; Brown, 379 N.W.2d at 873; see also John D. Perovich, Annotation, Rights in Respect of Engagement & Courtship Presents When Marriage Does Not Ensue, 46 A.L.R.3d 578, § 2[b], at 583-84, § 12.5, at 92 (1972 & Supp.1994) (“[Application of fault concepts ... is inconsistent with the modern trend toward the abandonment of fault in domestic relations cases and other actions____ [T]he only relevant inquiry in such cases is whether the condition under which the gift was made has failed.”). “If the wedding is called off, for whatever reason, the gift is not capable of becoming a completed gift and must be returned to the donor.” Fierro, 465 N.W.2d at 672. Of course, this holding has no application to those situations in which the parties have agreed in advance to the final disposition of engagement gifts; those gifts, by agreement, are not conditioned upon marriage. Likewise, this holding has no bearing on post-breakup settlement agreements.
Conclusion. It is uncontroverted that the engagement ring was given to Vigil on condition and in contemplation of marriage. The condition having failed, Haber is entitled to return of the ring and Vigil is not required to pay to Haber the value of the ring that he returned to her. The order of the trial court is vacated and we remand for entry of an order releasing the ring to Haber.
IT IS SO ORDERED.
BACA, C.J., and MINZNER, J., concur. | [
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OPINION
MINZNER, Chief Judge.
Worker appeals the workers’ compensation judge’s compensation order limiting her award of attorneys’ fees to $12,500 as required by NMSA 1978, Section 52-l-54(G) (Repl.Pamp.1991) (Effective until January 1, 1991). Worker contends that the attorneys’ fees cap in Section 52-l-54(G) is unconstitutional because (1) it violates her right to due process of law, (2) it violates her right to equal protection under the law, and (3) it violates her right to petition for redress. We requested amicus curiae briefs addressing Worker’s equal protection challenge from the Workers’ Compensation Administration (Administration), the New Mexico Trial Lawyers Association (NMTLA), and the New Mexico Defense Lawyers Association (NMDLA). Amicus participation has been very helpful. Because we find the equal protection challenge dispositive in this case, we do not address the other constitutional challenges raised by Worker. We reverse and remand.
I. BACKGROUND
Worker was injured on August 16,1989, in a one-car accident while working as a courier for New Mexico Educators Federal Credit Union (Employer). Worker suffered a head injury in the accident, resulting in deficits in cognitive function. She filed her complaint after benefits were terminated and in due course was awarded compensation benefits for temporary total disability, vocational rehabilitation, and medical expenses. The matters of permanent disability and impairment were reversed.
The judge then heard Worker’s request for attorneys’ fees. Due to the complexity of Worker’s psychological injuries and the results thereof, the judge found that Worker’s attorney reasonably expended 156.3 hours on the case. The judge also found that a reasonable rate for Worker’s attorney was $125 per hour; that the issues in the case were seriously contested and were above average in complexity; and that the activities of Worker’s counsel were related to the ultimate benefits Worker has received. Consequently, the judge found that a reasonable fee would be $19,537.50 plus tax. However, because of the attorneys’ fees cap in Section 52-l-54(G), the judge limited Worker’s attorneys’ fees award to $12,500. The judge also entered several conclusions regarding the cap’s effects. They are:
3. The fee limitation contained in Section 52-l-54(G) places workers at an unfair disadvantage compared to employers and insurers who are not constrained by a fee cap.
4. The fee limitation contained in Section 52-l-54(G) has contributed to the reduction in the number of attorneys willing to handle workersf] compensation cases on behalf of injured workers.
5. The fee limitation contained in Section 52-l-54(G) has significantly reduced the number of experienced competent attorneys who practice workers[’] compensation law before the Administration.
7. The statutory limit established by Section 52-l-54(G) has had a chilling effect on workers’ ability to retain counsel in this workers’ compensation claim.
II. DISCUSSION
Worker mounts a facial challenge to the statute and contends that the application of the $12,500 attorneys’ fees cap in this case violates the equal protection clause of the state and federal constitutions in two ways. First, Worker argues that by only applying the attorneys’ fees cap against Worker and not Employer, Section 52-l-54(G) puts Worker at a competitive disadvantage. Second, Worker suggests that the cap improperly discriminates against workers whose claims are complex and time-consuming, as opposed to those workers whose claims are relatively simple and quickly resolved. Although Worker asserts her equal protection claim under the state and federal constitutions, her arguments appear based primarily on the New Mexico Constitution. Our discussion is limited to article II, Section 18 of the New Mexico Constitution. We first address two preliminary matters: Worker’s standing and this Court’s jurisdiction.
A. Standing & Jurisdiction
Because Employer’s brief suggested that Worker did not have standing to raise her claims, our invitation to amici requested that they address the issue of standing. In response to our request, NMDLA and the Administration assert that Worker does not have standing to raise an equal protection challenge because she is still represented by counsel. Essentially, they maintain that Worker lacks standing because she cannot demonstrate a real risk of future injury resulting from the application of the attorneys’ fees cap in this ease. We disagree.
We believe that the Administration and NMDLA take the concept of standing too far by suggesting that Worker must actually proceed without counsel, and suffer prejudice as a result, before she can raise a constitutional challenge to the attorneys’ fees cap. As their position underscores, all that is required for standing is that Worker demonstrate a real risk of future injury due to the attorneys’ fees cap. See De Vargas Sav. & Loan Ass’n v. Campbell, 87 N.M. 469, 473, 535 P.2d 1320, 1324 (1975) (standing exists if complainant “is injured in fact or is imminently threatened with injury, economically or otherwise”); Ramirez v. City of Santa Fe, 115 N.M. 417, 420-22, 852 P.2d 690, 693-95 (Ct.App.1993) (discussing De Vargas). The extent of injury required is “slight.” Ramirez, 115 N.M. at 420, 852 P.2d at 693.
The Rules of Professional Conduct contemplate allowing attorneys to withdraw if they are not being paid for their services. See SCRA 1986, 16 — 116(B)(5) (Repl.Pamp.1991) (counsel may withdraw from representation when it will result in unreasonable financial burden on lawyer). The judge has characterized the issues in this case as seriously contested and of above-average complexity. Worker may be required to pursue matters of impairment and permanent disability without the aid of counsel because the cap prohibits her from compensating counsel any further. Under these circumstances, we believe Worker has demonstrated a real risk of future injury from the cap. Thus, we hold that Worker has standing to raise the constitutional claims she asserts in this appeal. See De Vargas Sav. & Loan Ass’n, 87 N.M. at 473, 535 P.2d at 1324; Ramirez, 115 N.M. at 422, 852 P.2d at 695.
Our resolution of the standing issue raises an issue of this Court’s jurisdiction. That is, if there are issues remaining to be decided, is the order from which Worker has appealed final? See generally Principal Mut. Life Ins. Co. v. Straus, 116 N.M. 412, 413-14, 863 P.2d 447, 448-49 (1993) (order leaving substantive issues in the case, e.g., damages, to be decided later was not “final order” for purposes of appeal). Our answer is that there are no issues presently remaining to be decided in this case. The case is over for all practical purposes unless one of the parties seeks to resurrect it, for example by alleging that the temporary disability is ended. Cf. Thornton v. Gamble, 101 N.M. 764, 768, 688 P.2d 1268, 1272 (Ct.App.1984) (domestic relations matter is final for purposes of appeal when all issues raised by the pleadings currently before the court are resolved).
B. Level of Scrutiny
As the first step in embarking on an equal protection analysis, courts usually decide the level of scrutiny to apply to the challenged statute. We recently identified four levels of scrutiny afforded by the cases, and we adopted a four-tiered analysis in evaluating challenges presented under the New Mexico Constitution. See Alvarez v. Chavez, 118 N.M. 732, 886 P.2d 461 (Ct.App.1994). We recognize that the Supreme Court more recently decided an equal protection case that applied the traditional three standards of review. See Marrujo v. New Mexico State Highway Dep't, 118 N.M. 753, 757-58, 887 P.2d 747, 750-51 (1994). Nonetheless, because the Supreme Court did not mention Alvarez, we do not .interpret the Marrajo opinion to be a rejection of concepts set forth in Alvarez. In particular, we continue to believe that a four-tiered analysis based expressly on the New Mexico Constitution is a useful framework for consideration of equal protection issues in this state and is consistent in approach with prior New Mexico Supreme Court cases. We therefore use it in this case. In determining the appropriate level to afford in this case, we look to the classification made and the interest affected. Alvarez, 118 N.M. at 738-39, 886 P.2d at 467-68.
In this case, the legislature has separated workers’ compensation claimants from all other litigants before either courts or agencies and has also drawn a distinction between workers and employers under the Workers’ Compensation Act. As in Alvarez, id. at 737, 886 P.2d at 466, and Richardson v. Carnegie Library Restaurant, Inc., 107 N.M. 688, 696, 763 P.2d 1153, 1161 (1988), on which Alvarez relied, we need not examine higher standards of scrutiny if we find that the challenged classification fails under a lower standard. We believe that the classifications and interests at issue here call for scrutiny under at least the heightened rational-basis test, and for the reasons explained in the next section of this opinion the classifications fail that test.
The classifications made by the statute set apart workers injured in the course and scope of their employment and set apart workers from employers as litigants under the Workers’ Compensation Act. See NMSA1978, §§ 52-1-1 to 52-5-22 (Repl.Pamp.1991 & Cum.Supp.1994) (providing comprehensive scheme of workers’ compensation benefits and providing that those benefits are exclusive remedies for workers injured in the course and scope of employment). The interests involved will include in all cases the workers’ interest in recovering the minimal compensation benefits allowed by the statute. Those benefits are designed to keep the injured workers and their families off the welfare rolls and to make industry bear the burden of workers’ injuries. Sanchez v. M.M. Sundt Constr. Co., 103 N.M. 294, 296-97, 706 P.2d 158, 160-61 (Ct.App.1985). The interests will sometimes include the interest in recovering these minimal benefits in lieu of tort damages. See id. (worker recovers compensation and employer is immune from tort liability).
In Alvarez, the interests involved, access to the ballot and livelihood, were sufficient to require heightened rational-basis review without separately considering whether a sensitive class was involved. In Richardson, both the class and the interest were considered. in this case, like Richardson, we consider both the class and the interests.
We believe that the combination of the sensitivity of the class when considering the interest involved requires heightened rational-basis scrutiny in this case. Here, the legislature has created two classes of workers’ compensation litigants — those whose attorneys’ fees are unlimited (employers) and those whose fees are limited (workers). The legislature has further created a distinction between those workers whose cases generate fees above the cap on account of bad faith and those whose fees exceed the cap on account of other kinds of employer resistance to paying compensation benefits. The interest involved is a worker’s right to fully participate in a remedial scheme designed to compensate for work-related injuries. This interest and the classifications are suffieientr ly close to those recognized in Richardson to apply heightened rational-basis review to the classifications made by the statute.
C. Application of Level of Scrutiny
As we said in Alvarez, the major difference between traditional rational-basis review and heightened rational-basis review is that, under the former, a statute will be upheld if there is any conceivable basis to support it whether or not that basis has a foundation in the record, whereas under the latter, there must be either a factual foundation in the record to support the basis or a firm legal rationale to support the basis. Alvarez, 118 N.M. at 740, 886 P.2d at 469. We first review the basis under the legal test and then under the factual test.
1. Section 52-1-54.(0: Its Purposes and Effects
In evaluating Worker’s constitutional challenges to Section 52-l-54(G), we begin by acknowledging the deference we owe the legislature’s judgment in making classifications, as well as in devising procedures to be followed by administrative agencies. See generally Joseph Tussman & Jacobus tenBroek, The Equal Protection of the Laws, 37 Calif.L.Rev. 341, 344 (1949) (“[The United States Supreme Court] has resolved the contradictory demands of legislative specialization and constitutional generality by a doctrine of reasonable classification.”); National Ass’n of Radiation Survivors v. Derwinski, 994 F.2d 583, 591 (9th Cir.) (due process principles accord legislatures considerable flexibility in devising processes for dispute resolution), cert. denied, — U.S. -, 114 S.Ct. 634, 126 L.Ed.2d 592 (1993). In evaluating the reasonableness of a legislative classification, we defer to the legislature because under our system of government the legislature has the primary responsibility for making the kinds of political, economic, and social judgments that typically underlay statutory classifications. Nevertheless, courts provide a unique check on the legislature’s role. By constitutional mandate, courts monitor the legislature’s obligations to provide equal protection, and thus its duty to avoid unreasonable classification.
The Constitution does not require that things different in fact be treated in law as though they were the same. But it does require, in its concern for equality, that those who are similarly situated be similarly treated. The measure of the reasonableness of a classification is the degree of its success in treating similarly those similarly situated.
Tussman & tenBroek, supra, at 344 (footnote omitted).
The court performs its role as check or monitor at least in part by identifying the legislature’s purpose in classifying.
[W]here are we to look for the test of similarity of situation which determines the reasonableness of a classification? The inescapable answer is that we must look beyond the classification to the purpose of the law. A reasonable classification is one which includes all persons who are similarly situated with respect to the purpose of the law.
Id. at 346. Of course, the court must initially determine what classifications the legislature has made. In New Mexico, we must analyze a statute that combines a well-accepted distinction as well as a new classification. We first examine the former.
a. Historical Context
For many years, New Mexico has regulated attorneys’ fees for representing workers in seeking compensation and has provided that employers would pay the fees for workers who prevailed in collecting compensation through court proceedings. See generally William B. Kelly, Workmen’s Compensation, 13 N.M.L.Rev. 495, 495-501 (1983) (discussing recent cases and providing a short history of the state of the law). Prior to the most recent set of amendments, the statute provided “that a reasonable fee for claimant’s attorney shall be taxed as part of the costs against the employer where the jurisdiction of the court is invoked to approve a settlement of a compensation claim.” See Superintendent of Ins. v. Mountain States Mut. Casualty Co., 104 N.M. 605, 606, 725 P.2d 581, 582 (Ct.App.1986) (construing NMSA 1978, Section 52-l-54(C) (Orig.Pamp. & Cum.Supp.1985)). The statute also permitted the claimant to recover reasonable attorneys’ fees payable by the employer when he or she collected compensation through court proceedings. See Woodson v. Phillips Petroleum Co., 102 N.M. 333, 336, 695 P.2d 483, 486 (1985).
In Woodson, the Supreme Court described one of the main purposes in regulating the amount an attorney may charge for representing a worker seeking compensation benefits: “to avoid excessive legal costs and thereby avoid unduly burdening employers and their insurers.” Id. at 337, 695 P.2d at 487. This Court has recognized another main purpose: “to protect the injured worker.” Mountain States Mut. Casualty Co., 104 N.M. at 607, 725 P.2d at 583. “Some provision for attorneys’ fees for the injured worker is necessary in a state where the services of an attorney are required to obtain workmen’s compensation. Otherwise, any compensation a worker received would be substantially reduced by his [or her] legal fees.” Id. at 608, 725 P.2d at 584. Under the prior statutory scheme, we saw no public policy reason to relieve insurance carriers of their legal expenses. Id.
In that respect, there seems to have been a measure of consensus among the various workers’ compensation statutory schemes. “The fees of the employer’s or insurer’s counsel, since they have no immediate impact on net benefits, are not ordinarily supervised or limited.” Id. at 607, 725 P.2d at 583 (citation omitted). “We believe that the Legislature could properly determine that employers and compensation carriers, not laboring under the same economic difficulties as the claimant, are not in need of similar protection.” Crosby v. State Workers’ Compensation Bd., 57 N.Y.2d 305, 456 N.Y.S.2d 680, 684, 442 N.E.2d 1191, 1195 (1982). “No similar concern exists with regard to employers and the fees they pay for legal services related to workers’ compensation claims.” Hudock v. Virginia State Bar, 233 Va. 390, 355 S.E.2d 601, 604 (1987).
In fact, the distinction the legislature made between employers and workers under prior law survived a challenge made under the federal constitution. See New Mexico State Highway Dep’t v. Bible, 38 N.M. 372, 375, 34 P.2d 295, 297 (1934) (sustaining the attorneys’ fees provision against a claim it denied equal protection and due process). A number of other courts have sustained a similar distinction or classification against similar challenges. See Samaha v. State, 389 So.2d 639 (Fla.1980); Burris v. Employment Relations Div./Dep’t of Labor & Indus., 252 Mont. 376, 829 P.2d 639 (1992); Crosby, 456 N.Y.S.2d at 684, 442 N.E.2d at 1195; Hudock, 355 S.E.2d at 604. In justifying or explaining similar schemes, courts have relied on the legitimacy of the legislature’s objective of protecting a worker against his or her own improvidence and the rationality of regulating only workers’ attorneys as a reasonable method of furthering the objective. See Samaha, 389 So.2d at 640-41 (sustaining scheme that prohibited collecting a fee from a workers’ compensation beneficiary unless approved by judge of industrial claims against challenge made under state and federal constitutional provisions guaranteeing rights in property, due process of law, and equal protection of the law on basis that statute served a legitimate state interest in affording claimant necessary minimum living funds); Burris, 829 P.2d at 641 (sustaining scheme that gave Department of Labor and Industry authority to require a worker’s attorney to submit a contract of employment and to regulate fee payable pursuant to contract against due process and equal protection challenges under federal law on basis that the scheme “is rationally related to the government’s legitimate interest in protecting the claimant’s net benefits”); Crosby, 456 N.Y.S.2d at 682-84, 442 N.E.2d at 1193-95 (sustaining scheme requiring approval by the Workers’ Compensation Board of a worker’s attorneys’ fees against state and federal constitutional challenges; federal equal protection challenge rejected on ground that statute “clearly promotes the over-all objective of ensuring adequate economic relief to the employee or his family”); Hudock, 355 S.E.2d at 604 (sustaining public reprimand for collection of fee in addition to fee set by Industrial Commission; statute giving Commission full power to control award of fees and Commission practice of controlling only workers’ attorneys’ fees sustained, notwithstanding federal equal protection challenge, on basis that scheme protects claimants and ensures adequate relief to claimant and his or her fami- ' iy)-
In analyzing this history, we conclude that for many years our statute, like many others, made two relatively simple distinctions between employers and workers. The statute regulated the fees of the latter but not the former, and employers provided prevailing workers reasonable fees. The scheme is no longer that simple.
b. Workers’ Compensation Reform
The legislature began a major overhaul of the New Mexico statutory scheme in 1986. Section 52-l-54(G) dates from that time, although it has evolved and continues to change, like other provisions. The provision relevant to the present case is Section 52-1-54(G) (Effective until January 1, 1991).
Section 52-l-54(G) (Effective until January 1, 1991) provides as follows:
Neither the workers’ compensation judge nor the courts on appeal shall award an amount of attorneys’ fees on behalf of a claimant in excess of twelve thousand five hundred dollars .($12,500). This limitation applies whether the claimant has one or more attorneys representing him and applies as a cumulative limitation on compensation for all legal services rendered in all proceedings and other matters directly related to a single accidental injury to the claimant. The workers’ compensation judge may exceed the maximum amount stated in this subsection in awarding a reasonable attorney’s fee if he finds that an employer acted in bad faith with regard to handling the injured worker’s claim and the injured worker has suffered economic loss as a result thereof. As used in this subsection, “bad faith” means conduct by the employer in the handling of a claim which amounts to fraud, malice, oppression or willful, wanton or reckless disregard of the rights of the worker. Any determination of bad faith shall be made by the workers’ compensation judge through a separate fact-finding proceeding.
Another relevant provision is as follows:
H. The payment of attorneys’ fees determined under this section shall be shared by the worker and the employer, with the worker paying one-fourth of the amount and the employer paying three-fourths of the amount.
Section 52-l-54(H).
At its most general level, Section 52-1-54(G), like the overall provision of which it is a part and like its predecessors, regulates the amount an attorney may charge a worker for representing that worker in a claim for compensation benefits. However, in its present form the statute not only regulates that amount, but it also limits, or caps, the amount any lawyer may receive for representing a worker. Section 52-l-54(G) permits the workers’ compensation judge to exceed the cap only on a showing that the employer has acted in bad faith in handling the worker’s claim. Section 52-l-54(H) requires the employer to pay most, but not all, of the fee awarded. These are new features since Bible was decided, and in combination they result in a more complicated classification than we had, as well as a scheme that is unique to New Mexico. See 4 Arthur Larson, The Law of Workmen’s Compensation, Table 18B, App. B-18B-1 to -3 (1994).
The distinction the statute makes among workers themselves is entirely new, dating from the series of changes in the New Mexico workers’ compensation system that began in 1986. Prior to 1986, the maximum amount an attorney might receive for representing a worker in securing compensation was controlled by the discretion of the district court judge, subject to appellate review for abuse of that discretion. Under the present statute, however, workers whose attorneys’ fees exceed $12,500 cannot recover those fees unless they can show bad faith on the part of the employer. Further, if they cannot show bad faith, workers’ counsel may not recover more than $12,500, because the statute precludes any recovery other than as provided by statute. That is, a worker may not agree to pay his or her counsel more than the statute allows the worker to recover from the employer for attorneys’ fees or requires the worker to pay from his or her own pocket. Thus, the new statute creates at least two categories of workers; it distinguishes workers whose claims have been handled in bad faith from those whose claims have been resisted in good faith. Further, the statute also distinguishes workers from employers in a new way. Where formerly it distinguished workers from employers by providing for workers, but not employers, to recover attorneys’ fees if they succeeded in establishing liability, now the statute also distinguishes workers from employers by capping the attorneys’ fees their counsel may receive without limiting those employers’ counsel may receive.
None of the rationales offered by those who support the cap justify all of the distinctions made. We have previously justified requiring employers to pay their employees’ attorneys’ fees in workers’ compensation suits on the ground that employees lack the financial resources to pay the fees. See Mountain States Mut. Casualty Co., 104 N.M. at 608, 725 P.2d at 584. Other states have reached similar conclusions. See Alford v. Republic Steel Corp., 12 Ohio App.3d 145, 148, 467 N.E.2d 567, 571 (1983); Hodgeman v. Jard Co., 157 Vt. 461, 599 A.2d 1371 (1991); Seattle Sch. Dist. No. 1 v. Department of Labor & Indus., 116 Wash.2d 352, 804 P.2d 621 (1991) (en banc). “The state has a legitimate interest in seeing employees compensated for work-related injuries. Taxing costs against employers who contest claims ultimately determined to be valid is a procedure rationally related to the state’s interest in seeing those injured employees compensated. Such a regulation does not violate equal protection.” Alford, 12 Ohio App.3d at 148, 467 N.E.2d at 571.
We are satisfied that the Legislature could reasonably have determined that the allocation of fees set out in [the statute allowing prevailing workers’ compensation claimants to recover attorneys’ fees] furthers the purpose of workers’ compensation because employers and their insurance carriers are better able to bear the expense of hearings than employees.
Hodgeman, 599 A.2d at 1373. “Employers and employees are not similarly situated with respect to the purpose of the Industrial Insurance Act attorney fee provision. Employees are allowed to recover attorney fees in order to avoid diminution of their award.” Seattle School Dist. No. 1, 804 P.2d at 627.
The distinctions made in the current version of Section 52-l-54(G) appear to have at least some different purposes than those that led to the older scheme of (a) requiring employers to pay prevailing workers’ attorneys’ fees, and (b) controlling the size of the fees through a mechanism of court approval. The key difference is the cap. That cap handicaps workers vis-a-vis employers in the adjudicatory process which we have said requires the assistance of counsel for which employers should pay a reasonable sum, see Herndon v. Albuquerque Pub. Sch., 92 N.M. 287, 288, 587 P.2d 434, 435 (1978), and for which the legislature has provided significant attorneys’ fees. We do not understand how the cap serves a legitimate purpose or, if the purpose is legitimate, how the cap rationally advances it.
The capping of attorneys’ fees for workers and not for employers might be said to stem from the different socio-economic situation of workers and employers. That is, the legislature might have thought that workers, rather than employers, required protection, particularly since workers will now contribute one-quarter of the fees. However, this protection for workers is absent when an employer acts in bad faith. It would seem that protection for workers should be in place regardless of whether employers’ reasons for driving up attorneys’ fees are bad faith activities or good faith resistance to the claim.
Thus, it seems that it is the employer for whose benefit the cap appears to operate. However, providing predictability for employers at the risk of chilling a worker’s decision to pursue recovery seems to be an incongruous element of a generally humanitarian scheme. Assuming that the goal is reduction of litigation costs, and without considering the fairness of imposing the burden of reducing costs on only one side, we cannot understand how capping attorneys’ fees only for workers achieves the desired goal, except in an arbitrary manner.
In fact, the cap appears to discourage representation of workers by counsel. The judge’s findings in this case indicate that it has had that effect. We conclude that the cap places a premium upon or creates an incentive for pro se representation during all or part of the administrative proceeding. Cf. Murphy v. Commissioner of Dep’t of Indus. Accidents, 415 Mass. 218, 612 N.E.2d 1149 (1993) (even though the legislature has an interest in reducing the cost of administrative proceedings, attaching a filing fee to litigants with counsel but not to those without does not pass constitutional scrutiny under the minimum, rational basis standard of review). We do not know whether to characterize the effect as an objective or as a means to the objective of reducing costs. We do not think, however, that we need to decide this question.
Creating a system in which employees may seek government benefits but must do so without counsel is neither an illegitimate purpose nor an irrational means to other, legitimate purposes. See National Ass’n of Radiation Survivors, 994 F.2d at 588-90. Nevertheless, in our system, the attorneys’ fees cap handicaps one side of an adversarial proceeding, and thus imposes the risk of appearing without representation solely upon one class of litigants, the class we have traditionally thought of as disadvantaged in these kinds of proceedings and the class in whose interest the legislation has been created. Further, the burden rests on only a portion of that class, those who cannot establish employer bad faith. If the handicap is itself an objective, we are not persuaded it is a legitimate objective. If the handicap is a means to an end, we conclude that the statutory cap is within what the Murphy Court has characterized as imposing “additional burdens on a class of litigants in an arbitrary or capricious manner.” 612 N.E.2d at 1155.
As the Murphy Court indicates, the legislature has a legitimate interest in reducing the cost of an administrative proceeding, in deterring frivolous claims, and in lowering the cost of litigation for financially disadvantaged litigants. Id. 612 N.E.2d at 1156. Nevertheless, the classification(s) made must bear a rational relationship to legitimate goals. Id. We conclude that the relationship between purposes and means in Section 52-l-54(G) is “‘so attenuated as to render the distinction^] arbitrary or irrational.’” Id. (quoting Cleburne v. Cleburne Living Ctr., Inc., 473 U.S. 432, 446, 105 S.Ct. 3249, 3258, 87 L.Ed.2d 313 (1985)).
2. Section 52-1-5KG): Its Actual Effects
We next examine the rationale advocated by the proponents of the statute to determine whether there is a factual basis in the record supporting it. The proponents offer as a rational basis that the cap on workers’ attorneys’ fees, together with other innovations in the reforms beginning in 1986, serves to keep down the costs of the entire workers’ compensation system. If we were reviewing this case under traditional minimal scrutiny, pursuant to which we are permitted to imagine or speculate about the basis, we might be able to say that the legislature could have rationally believed that capping the attorneys’ fees of the protagonist in litigation would result in a lowering of the cost of all legal services. However, under heightened rational-basis review, there must be a factual basis in the record to suggest that this is indeed the case. Apart from our own doubts about whether such a cap could have the desired effects, the data provided to us by the Administration show that fees over the cap are present in such a minuscule portion of the cases (less than one-fifth of one percent) that the effects would have to be de minimis. Thus, far from supporting the purported rational basis, the data provided conclusively negate it.
D. Severability
The next issue we must address is what effect our ruling that Section 52-1-54(G) is unconstitutional has on the balance of the statute. See generally State v. Spearman, 84 N.M. 366, 368, 503 P.2d 649, 651 (Ct.App.1972) (discussing the enforceability of a partially invalid statute). In Spearman, this Court noted that:
before a partially invalid statute ... can be held to still be in force it must satisfy three tests. First, the invalid portion must be able to be separated from the other portions without impairing their effect. Second, the legislative purpose expressed in the valid portion of the act must be able to be given effect without the invalid portion. And, thirdly, it cannot be said, on a consideration of the whole act, that the legislature would not have passed the valid part if it had known that the objectionable part was invalid.
Id. Based on the following, we conclude that Section 52-1-54 can be enforced, notwithstanding our decision that Section 52-l-54(G) is unconstitutional as written.
Section 52-1-54 contains a number of references to Subsection G. See, e.g., § 52-1-54(C) (“a reasonable fee” for the services of the attorney shall be “fixed by the workers’ compensation judge ... subject to the limitation of Subsection G of this section.”). If Subsection G is to be eliminated, these references authorize a reasonable fee without limitation. We see no reason why the balance of Section 52-1-54 cannot be given effect without Section 52-l-54(G), or how the purposes expressed in those sections are frustrated by the deletion of Section 52-l-54(G). Thus, we conclude that the first two parts of the • Spearman test are satisfied.
Finally, we address the issue of whether the legislature would have passed the balance of Section 52-1-54 had it known that Subsection G was objectionable. Here we are guided by the legislature’s subsequent action.
The legislature has since amended the attorneys’ fees cap to apply equally to workers and employers. See NMSA 1978, § 52-1-54(1) (Repl.Pamp.1991) (Effective January 1, 1991). Nothing in this opinion should be construed to suggest that Section 52-1-54(1) is constitutional or unconstitutional under an equal protection analysis similar to the one we announce today. That provision is not before us. However, the enactment of that provision is some indication that the legislature would have enacted Section 52-1-54 even had it realized a portion was invalid. Further, the fact that Section 52-1-54 was not concerned about protecting workers from contributing potentially large amounts to their attorneys in cases of employer bad faith indicates to us that the provision requiring such contribution would also have been enacted by the legislature. Finally, we take' judicial notice of the long-standing provision in New Mexico for reasonable attorneys’ fees to be awarded a prevailing worker in a workers’ compensation action, with fees to be paid by that worker’s employer. We conclude' that the third Spearman test is satisfied as well.
III. CONCLUSION
We hold that Section 52-l-54(G) is unconstitutional. Accordingly, we reverse and remand this case to the judge with instructions to vacate the attorneys’ fees award portion of the compensation order and to reconsider the attorneys’ fees award that is appropriate in this case in light of its prior findings, the effort expended by counsel on appeal, as well as in proceedings before the Administration subsequent to the two hearings of which we have a record in the present appeal.
IT IS SO ORDERED.
PICKARD, J., concurs.
APODACA, J., specially concurs. | [
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] |
OPINION
PICKARD, Judge.
This case concerns the development of two-story residences in the Westside-Guadalupe historic district of Santa Fe. The developer’s (Mandel) plan was denied by the City of Santa Fe’s zoning authorities and the City Council (City). The district court reversed the City’s denial of permits on the basis that “by changing the rules in the middle of the game, the City played unfairly,” thereby denying Mandel his right to due process. The City appeals. Mandel cross-appeals, seeking to support the district court’s decision on alternative grounds and alleging certain errors in the district court’s decision. We reverse the district court’s decision and uphold the City’s action.
FACTS
At the time that Mandel first sought approval for his construction project from the Historic Design Review Board (Board), the Santa Fe City Code prohibited the Board from limiting the height of any building in the historic district to a lesser height than that'allowed by the underlying zoning. Mandels proposal was twice tabled by the Board in order to allow Mandel to revise his proposal to satisfy stylistic concerns and neighbors’ concerns. During the time that Mandel’s proposal was tabled, the City amended the Code to permit the Board to limit the height of structures within certain historic districts to lesser heights than that allowed by the underlying zoning (the Height Amendment). Several months thereafter, the Board again considered Mandel’s proposal and denied it, pursuant to the Height Amendment, based on the existence of inappropriate second-story structures. The City affirmed the denial.
On petition for writ of certiorari to the district court, Mandel argued that the Height Amendment could not be applied to his proposal for three reasons: (1) it unlawfully delegated the City’s zoning authority to the Board; (2) it violated his right to equal protection because a similar development was later permitted under the Amendment; and (3) it violated his right to due process because it constituted an unlawful down-zoning and it retroactively applied the Height Amendment to his proposal. The district court found Mandel’s first two arguments without merit, but determined that due process had been violated by the application of the Height Amendment to Mandel’s proposal.
APPEAL
The City appeals contending that the district court erred in holding that the Height Amendment could not be applied to Mandel’s proposal. We agree with the City that this case is controlled by Brazos Land, Inc. v. Board of County Commissioners, 115 N.M. 168, 848 P.2d 1095 (Ct.App.1993), and we decline to revisit that case. In a case whose operative facts were nearly identical to those here, this Court held that an unapproved proposal was not a “pending case,” within the meaning of the New Mexico Constitution, article IV, section 34, which states that “[n]o act of the legislature shall affect the right or remedy of either party, or change the rules of evidence or procedure, in any pending case.” We stated that the submission of a subdivision plat application did not achieve pending case status. Brazos, 115 N.M. at 171, 848 P.2d at 1098.
We further stated in Brazos that “for purposes of determining which regulations apply to a subdivision plat application, we believe that a vested rights analysis is the better reasoned approach rather than further semantic refinement of the meaning of ‘pending’ for purposes of a rigid article IV, section 34 analysis.” Id. Therefore, the proper analysis here should not be whether the proposal was a “pending case,” but whether Mandel had a “vested right” in his develop- ' ment pursuant to the ordinance prior to the Height Amendment. Since the project had not been approved, Mandel had no vested right in having the less restrictive height requirement applied to his project. See In re Sundance Mountain Ranches, Inc., 107 N.M. 192, 194, 754 P.2d 1211, 1213 (Ct.App.) (issuance of written approval for building permit, together with substantial change in position in reliance thereon, is required before vested rights arise), cert. denied, 107 N.M. 267, 755 P.2d 605 (1988).
Mandel argues that State ex rel. Edwards v. City of Clovis, 94 N.M. 136, 607 P.2d 1154 (1980), rather than Brazos, controls this case. He contends that Edwards was not, and could not have been, overruled by Brazos and that Edwards supports his argument that the City could not change its ordinances and then apply them to his project. In Edwards, a petition for writ of mandamus was filed with the district court in an attempt to force the City to apply an existing ordinance. Thereafter, the City adopted a new ordinance and then used the new ordinance as the basis of its argument against issuance of the writ. In Brazos and this case, the new ordinance was applied to an unapproved application for a project. Brazos did not overrule Edwards, and it is still good law under those facts. However, Edwards does not apply here.
We hold that the district court erred in finding that the City “played unfairly” in applying the Height Amendment to Mandel’s project. An application for approval is not a pending case, and Mandel did not have a vested right in having the old ordinance applied to him. Moreover, chaos would occur if it would be “unfair” to apply land-use regulations to people who had merely submitted their first application for approval. Upon hearing of the possible enactment of new regulations, people would rush to city hall to file applications and preserve their right to proceed under an old law. Such a result would thwart an orderly governmental process. The Brazos formulation protects people in their rights without unnecessarily tying government’s hands. Therefore, the City acted lawfully in applying the Height Amendment to Mandel’s proposed development.
CROSS-APPEAL
Mandel appeals the district court’s determination that his unlawful delegation and equal protection arguments were without merit. He also contends that the district court erred in failing to find that the application of the Height Amendment was an unlawful down-zoning of his property.
Mandel argues that permitting the Board to apply the Height Amendment to his property effectively permitted the Board to engage in zoning and rezoning, which are outside the Board’s delegated authority. We disagree. In City of Santa Fe v. Gamble-Skogmo, Inc., 73 N.M. 410, 389 P.2d 13 (1964), the Supreme Court upheld the general concept of historic districts and permitted the “style committee” to pass on details concerning building within those districts, within broadly-stated standards. Consistent with the approval in Gamble-Skogmo, the Height Amendment here permits the Board to limit the height of buildings, as well as to require set-backs of different floor levels, to conform to the streetscape in the historic district. Therefore, the Board had the authority to enforce the Height Amendment.
Mandel claims that enforcement of the Height Amendment changed the governing zoning designation for his property, which could not be done by the Board. The premise of Mandel’s argument is that, if the underlying zoning permits a certain height, any lessening of that height is, in effect, a change in the zoning. Again, we disagree. Enforcement of the Height Amendment was not a rezone. The property was zoned RM-Í, but it was also located in an historic district. Therefore, it was subject to the more restrictive requirements of the historic district. The fact that the Board is now permitted to restrict height does not mean the property has been rezoned. See Viti v. Zoning Bd. of Review, 92 R.I. 59, 166 A.2d 211, 213-14 (1960). In fact, the property remains zoned RM-1 in an historic district.
Mandel also argues that he was denied equal protection because another’s application to build two-story residences in the same historic district was approved • shortly after the Board denied his application. A different result in another case without more is not a showing of unlawful discrimination. See State ex rel. Bingaman v. Valley Sav. & Loan Ass’n, 97 N.M. 8, 9 n. 2, 636 P.2d 279, 280 n. 2 (1981). We find no error in the district court’s conclusion that there was no evidentiary support in the record for Mandel’s equal protection argument.
Finally, Mandel argues that the application of the Height Amendment to his project was an unlawful down-zoning of his property. This argument was raised below as a variation of his due process and fairness argument, an argument upon which he prevailed below. Therefore, we treat this issue as an alternative ground to affirm the decision of the district court. See SCRA 1986, 12-201(C) (Repl.1992). We reject Mandel’s argument because acceptance of it in the context of this case, which involves an amendment to the zoning laws that has city-wide application, would be inconsistent with the rationale of Brazos.
Down-zoning is defined as rezoning property to a more restrictive use. See Davis v. City of Albuquerque, 98 N.M. 319, 321, 648 P.2d 777, 779 (1982); Miller v. City of Albuquerque, 89 N.M. 503, 506, 554 P.2d 665, 668 (1976). Mandel’s argument is that, by applying the Height Amendment to his property, the City has rezoned his property to a more restrictive use. For purposes of evaluating Mandel’s argument concerning fairness, we accept the notion that the allowable use of his property has been restricted and therefore the general principles of Davis and Miller would apply.
However, we do not agree that there has been a down-zoning here as would be prohibited under Davis and Miller. In both of those cases, the City of Albuquerque made a piecemeal change to its comprehensive zoning ordinance. In Miller, only a single landowner was affected. Miller held that a “piecemeal zoning change” to a more restrictive classification must be supported by a showing of mistake in the original zoning or change in the character of the neighborhood. Id. at 506, 554 P.2d at 668. In Davis, only an eight-block area of a particular neighborhood was adversely affected. The Supreme Court in Davis stated that the Miller holding must be considered in its context, which was an unreasonable zoning of a small piece of land, and it held that the facts of that case were insufficient to distinguish it from Miller. Davis, 98 N.M. at 321, 648 P.2d at 779.
Here, there was no rezoning that affected only Mandel’s property or even Mandel’s neighborhood. Rather, the City adopted a height restriction that could be generally applied to all properties in historic districts in the City. There is no contention that the City did not give adequate notice in compliance with applicable statutes for its adoption of the Height Amendment. Once a law is adopted, we know of no authority that would require the government to give specific notice to citizens that it intends to apply the law to them. Therefore, without ruling on the precise boundaries of Davis and Miller, we can confidently say that they are not controlling in this case in which the Height Amendment was enacted on a city-wide basis. There was no unlawful down-zoning here as that term is used in Davis and Miller. There was also no unfair failure to play by the rules. See Brazos, 115 N.M. at 170-71, 848 P.2d at 1097-98.
CONCLUSION
We hold that the City could properly apply the Height Amendment to Mandel’s application, and we reverse the order of the district court and remand for entry of an order affirming the decision of the City denying Mandel’s development application.
IT IS SO ORDERED.
ALARID and BUSTAMANTE, JJ., concur. | [
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OPINION
APODACA Judge.
Petitioner Fay Luán Bonnell (Wife), formerly known as Fay Luan Ingalls, appeals from the trial court’s decision crediting Respondent David Lee Ingalls (Husband) with child support “prepayments” and determining that Husband should not be held in contempt for failure to pay child support. Three issues are raised on appeal; whether: (1) the trial court erred in granting Husband a credit for alleged “prepayments” of child support during the years 1988-90, thus offsetting Husband’s underpayments during 1991-93; (2) substantial evidence supported the trial court’s conclusion that Husband had paid $68,303 to Wife for child support since the parties’ divorce in 1988; and (3) the trial court abused its discretion in hot holding Husband in contempt for underpaying child support in 1991-93.
We conclude that the trial court erred in crediting Husband with child support “prepayments.” We hold that parties may not, by private agreement, modify future child support obligations; rather, modification of future child support is a matter to be determined by the courts. See NMSA 1978, § 40-4-11.4 (Repl.Pamp.1994). Because we hold that Husband is not entitled to a credit for prepayment of his child support obligation, we need not reach the issue of whether substantial evidence supported the trial court’s conclusion that Husband had paid $68,303 in child support. Additionally, we hold that the trial court did not abuse its discretion in concluding that Husband should not be held in contempt. Therefore, we reverse and remand with directions that the child support arrearages be paid in full, in a manner to be determined by the trial court.
I. BACKGROUND
Husband and Wife divorced in 1988. The Child Custody and Property Settlement Agreement provided that Husband would make child support payments of $1,000 per month beginning on July 1, 1988, for the support of the parties’ two minor daughters. This support obligation could be adjusted under certain conditions, including certification by the parties of the amount of their respective gross incomes for the previous year and determining the child support obligation for the next year based on those incomes. Each party waived the right to receive alimony from the other. The agreement also stated:
12. Complete Agreement: This is the complete agreement of the parties, and there are no other agreements between them, in writing or orally. Any amendments or modifications to this Agreement must be in writing and shall not be enforceable nor effective between the parties unless stated in writing.
The divorce decree ratified and fully incorporated the terms of the settlement agreement. The evidence was undisputed that the terms of the settlement agreement had never been modified in writing.
In May 1993, Wife filed a motion for an order to show cause, alleging that Husband was delinquent in his child support payments in the amount of $18,950. At the show cause hearing held in August 1993, Wife alleged that, as of the date of the hearing, Husband should have paid $62,000 in child support, but had paid only $38,900, and was therefore in arrears $23,100.
Husband contended that in 1988, Wife approached him for financial assistance so that she could obtain a college degree. He allegedly agreed to provide this assistance in the form of extra child support payments, which he testified were made between 1988-90. He testified that he told Wife the excess payments constituted prepayment of child support. Specifically, he stated that he owed $6,000 in child support in 1988, but paid $6,850; owed $12,000 in 1989, but paid $22,-091; and owed $12,000 in 1990, but paid $24,000. Additionally, Husband claimed credit of $2,434 for payments that he made in 1991 on a car that he gave to Wife. He further contended that he should receive credit for the value of the car in the amount of $5,000 to $6,000.
Wife testified that, based on her records, she received child support of $3,000 in 1988; $11,000 in 1989; $14,000 in 1990; $4,900 in 1991; $3,900 in 1992; and $2,500 in 1993. She acknowledged that she had received more child support than was due in 1990, but denied ever asking Husband for additional sums. She also denied discussing with Husband why he was making the extra payments or being told that such payments were prepayment of child support.
The trial court found that, through August 1993, Husband had paid Wife $68,303 in child support, including $2,434 in payments on the automobile Husband gave to Wife. It also found that Wife had difficulty accounting for her income and expenses from the time of the divorce through the present and her mother had therefore taken over maintaining a journal for her. The court stated that Wife’s records regarding her receipts and expenses were unreliable. Based on these findings, the trial court concluded that the petition to show cause should be denied, that Husband was entitled to a credit of $68,303, and that there was no evidence that allowing Husband credit for prepayments of his child support would affect the children’s welfare. Wife appeals.
II. DISCUSSION
A. Credit for “Prepayments” of Child Support
Wife argues that the trial court abused its discretion by allowing Husband a credit for child support paid in a manner other than previously ordered by the court. She acknowledges that equitable principles apply in the context of a contempt proceeding and any valid defense against payment may be raised, Mask v. Mask, 95 N.M. 229, 231, 620 P.2d 883, 885 (1980), and that credit against arrearages may be allowed for payments other than ordered under certain circumstances, Hopkins v. Hopkins, 109 N.M. 233, 237, 784 P.2d 420, 424 (Ct.App.1989). Nonetheless, she contends that the defense of “prepayment” of child support should not have been allowed because such a defense is contrary to public policy.
Although both parties cite Romero v. Romero, 101 N.M. 345, 682 P.2d 201 (Ct.App.1984), and Mask, 95 N.M. at 231-32, 620 P.2d at 885-86, as supporting their respective positions, neither case addresses the particular issue raised in this appeal. Mask held that, when a parent who is ordered to make child support payments becomes totally and permanently disabled and the other parent, as a result of the disability, then receives unconditional social security payments for the benefit of the minor children, the disabled parent is entitled to credit for each disability payment up to the extent of the monthly support obligation. Romero extended Mask by permitting an obligor spouse, whose children received a lump sum social security disability payment covering the period from the date of disability to the date of payment, to receive credit toward the support obligation for all of the period covered by the lump-sum payment. Both Romero and Mask involved credit against child support arrearages for payments made on behalf of the obligor par ent from a third party, rather than payments made directly by the obligor parent. Additionally, neither case involved an alleged agreement between the parties to modify the child support obligation.
As Wife points out, obligor parents have generally not been allowed credits for voluntary expenditures where the court order was not altered. See Britton v. Britton, 100 N.M. 424, 429-30, 671 P.2d 1135, 1140-41 (1983) (in absence of petition to modify child support obligation, father not entitled to offset against arrearages for expenditures voluntarily undertaken when one child began living with him); Hopkins, 109 N.M. at 237, 784 P.2d at 424 (stating the general rule is that “a non-custodial parent will not be permitted credit against court-ordered child support obligations for gifts given to the children”). Many courts have denied such credit on the basis that granting credit against arrearages for such voluntary overpayments permits the obligor parent, at his or her will, to vary the amount of the payments, and thus the terms of the court order, possibly to the detriment of the child. See generally Robert A. Brazener, Annotation, Right to Credit on Accrued Support Payments for Time Child is in Father’s Custody or for Other Voluntary Expenditures, 47 A.L.R.3d 1031, 1055-57, § 15 (1973). Wife would have this Court construe Husband’s overpayments in this case as voluntary gifts that do not relieve him of the continuing, court-ordered obligation to pay monthly installments of child support. Although it would be unreasonable and arbitrary to characterize such overpayments necessarily as gifts, we do agree that the overpayments cannot reduce Husband’s court-ordered obligation.
In Williams v. Williams, 109 N.M. 92, 99, 781 P.2d 1170, 1177 (Ct.App.), cert. denied, 109 N.M. 54, 781 P.2d 782 (1989), this Court distinguished between private agreements to waive child support arrearages already accrued and agreements to waive future support payments. There, we held that parties can agree to waive child support arrearages already accrued. Id. We held, “[h]owever, [that] parties cannot agree to waive future child support obligations because this is a matter to be determined by the courts.” Id. This declaration is consistent with the general rule that a court cannot retroactively modify a support obligation. See id. at 97, 781 P.2d at 1175.
The Williams rationale applies equally to the cash-in-hand prepayments of child support present in this case. The prepayment of child support is arguably more beneficial to the custodial spouse and the child, and may result only in a minor adjustment in the timing of the support payment, as opposed to an actual loss of support, which often happens with waivers. Nonetheless, we value consistency and predictability in this area of the law, an area where our courts have repeatedly adhered to the general rule disapproving retroactive modification of child support. Additionally, “[t]he child’s present and future welfare takes precedence over the rights of the court-designated payor and payee of child support payments. Thus, not-yet-due court-ordered child support payments are always subject to the further order of the court.” Lindsey v. Lindsey, 6 Haw.App. 201, 716 P.2d 496, 500 (1986). Therefore, Mowing Williams, we hold that, even for cash prepayments of child support, parties cannot by their own private action bind the hand of the court that established the order of child support in the first instance. The proper and preferable procedure in this case, for example, would have been for Husband to seek immediate judicial ratification of his prepayment plan and wait for judicial modification of his future child support obligations. Had Husband done so, the trial court could have inquired under fresh, contemporaneous facts, the implications for the ongoing needs of the child. For example, the trial court could have inquired into whether the reduction should be given effect all at once or spread out over time in the form of partial reductions of future monthly payments to ease the burden of declining payments to Wife.
This is not to say, however, that Husband must lose credit for his prepayments. Husband can file a petition to modify his future child support obligations. See § 40-4-11.4. In such a case, we believe that an agreement between the parties, express or implied, to the effect that Husband would “prepay” child support in exchange for a reduction in such payments in the future, coupled with actual payment in this manner, should receive serious consideration by the trial court in weighing prospective modification. Indeed, it strikes us as plausible that at least one reason for the prepayments in this instance may have been to enable Wife to become more of a wage earner by finishing her education, and that fact, coupled with Husband’s purported deterioration in financial status, would certainly justify a fresh look at prospective child support. As always, the child support guidelines set out in NMSA 1978, Section 40-4-11.1 (Repl.Pamp.1994) are presumptively correct, and the trial court should give primary considerations to the ongoing needs of the children, keeping in mind that it is the Husband’s burden to persuade the court that prepayment and modification would have no deleterious impact on the ongoing needs of the child. See Spingola v. Spingola, 91 N.M. 737, 742, 743-44, 580 P.2d 958, 963, 964-65 (1978). We leave to the trial court the manner in which such consideration may be implemented. In this case, to the extent that Husband reduced the child support payments without approval of the trial court and gained judicial approval only retroactively, we reverse and remand with instructions that arrearages must first be paid in full in a manner to be determined by the trial court. We leave it to the trial court to determine in what months Husband failed to pay his $1,000 support obligation. The court can then add up the total amount of the shortfall to determine the arrearages that Husband must pay. .
B. Refusal to Find Husband in Contempt
A trial court has wide discretion in determining whether to hold a person in contempt. Corliss v. Corliss, 89 N.M. 235, 239, 549 P.2d 1070, 1074 (1976). In a proceeding to enforce a child support order, the trial court also has latitude to consider any equitable defense. Hopkins, 109 N.M. at 237, 784 P.2d at 424. In light of the fact that the trial court could have found, based on the evidence before it, that Husband acted in good faith in prepaying child support obligations, we conclude that the trial court did not abuse its discretion in refusing to find Husband in contempt.
III. CONCLUSION
We conclude that the trial court erred in granting Husband a credit for “prepaid” child support. Therefore, to the extent Husband reduced his child support payments without approval of the trial court, we reverse and remand with directions that arrearages be paid in full in a manner to be determined by the trial court. We further conclude that the trial court did not abuse its discretion. in refusing to hold Husband in contempt.
IT IS SO ORDERED.
HARTZ and BOSSON, JJ., concur. | [
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] |
OPINION
MINZNER, Justice.
This dispute arose when the Española School Board declined to renew the employment contracts of two school administrators. Alleging that their termination had occurred in violation of state statute, Plaintiffs Anselmo Trujillo and Gilbert Naranjo brought this action against the Board of Education of the Española Public Schools (“School Board”) pursuant to the New Mexico Declaratory Judgment Act. The School Board appeals from summary judgment and the grant of declaratory and supplemental relief in favor of Plaintiffs.
In this appeal, we consider whether the School Board exceeded its statutory authority or breached its statutory duty by declaring Plaintiffs’ administrative positions “vacant.” We decide that it did not, and accordingly reverse the judgment entered in favor of Plaintiffs.
FACTS
During the 1990-91 school year the School Board employed Plaintiffs Trujillo and Naranjo as principal and assistant principal, respectively. Written one-year contracts governed the terms of employment. Trujillo’s term of employment lapsed on June 20,1991, and Naranjo’s expired one week earlier. At a regular meeting held on June 25, 1991, the School Board, acting on the recommendation of the school superintendent, declared Plaintiffs’ positions vacant. Two days later, the director of personnel informed Plaintiffs by letter that they would not be reemployed for the 1991-1992 school year.
Thereafter Plaintiffs brought a civil rights claim against the School Board pursuant to 42 U.S.C. §§ 1983 and 1988. Plaintiffs sought money damages and declaratory and injunctive relief to redress alleged constitutional violations. After the United States District Court denied the School Board’s petition to remove the case to federal court, Plaintiffs amended their complaint. The amended complaint abandoned the civil rights claim and instead sought declaratory relief pursuant to the Declaratory Judgment Act, NMSA 1978, §§ 44-6-1 to -15. The complaint contended that the School Board’s action had constituted a “termination” as that term is defined in the School Personnel Act, NMSA 1978, §§ 22-10-1 to -26 (Repl. Pamp.1983). See § 22-10-2(D). The complaint further asserted that the School Board’s act of declaring Plaintiffs’ positions vacant had been in violation of a statute that empowers school boards to “terminate” employees. See NMSA 1978, § 22-5-4(D) (Repl.Pamp.1993). In essence, Plaintiffs argued that, because the School Board had voted to declare their positions vacant rather than to “terminate” them, the Board’s action was in violation of the statute and therefore void. Plaintiffs sought declaratory relief, reinstatement, and compensatory damages.
The trial court ruled that the School Board’s action violated Section 22-5-4(D) and granted partial summary judgment on that issue in favor of Plaintiffs. Thereafter, the court determined that Plaintiffs were entitled to supplemental relief pursuant to Section 44-6-9. Accordingly, the trial court entered a final judgment wherein it awarded Trujillo $66,899 and Naranjo $30,249 to compensate them for lost pay and retirement benefits for the 1991-92 school year. The court declined to order Plaintiffs’ reinstatement to their former positions.
Appealing from that judgment, the School Board raises several issues. We conclude that Plaintiffs’ claim is inconsistent with the statutes governing certified school personnel, and thus that the award made was contrary to statute. Because we determine that the award entered by the trial court cannot stand, we need not address the School Board’s arguments concerning immunity, declaratory judgment, and offset.
DISCUSSION
While this case was pending on appeal, this Court decided Swinney v. Deming Board of Education, 117 N.M. 492, 873 P.2d 238 (1994). In that ease, we concluded that school administrators “have no tenure rights as administrators.” Id. at 493, 873 P.2d at 239. We based our determination in part on the fact that the legislature has clearly provided tenure protection for certified school instructors with three or more years of service, but has not chosen to extend similar protections to school administrators. Id.; see also § 22-10-14 (entitling certified school instructors with three or more years service to procedural due process before termination). Our conclusion is reinforced by the fact that the legislature, during the period of time Plaintiffs were employed by the school district, provided for limited tenure rights for administrators who had been instructors. Section 22-10-14(B), as amended in 1983, provided in pertinent part:
Employment in an administrative capacity within the same local school district shall not be considered retirement, discharge or a voluntary resignation for the purposes of this subsection, and a certified school instructor with tenure rights who has been hired within the same school district in an administrative capacity shall not have his tenure rights extinguished; provided that such a certified school instructor with tenure rights who has been hired within the same school district as an administrator shall lose that tenure right if, after two years, he chooses to remain an administrator.
See 1983 N.M.Laws, ch. 103, § 1. As stated in Swinney, this statute was enacted in the wake of Atencio v. Board of Education of Penasco Independent School District, 99 N.M. 168, 169-70, 655 P.2d 1012, 1013-14 (1982). Atencio, which decided that a previously-tenured school instructor lost tenure rights when reemployed as a certified school administrator, was partially overruled by the enactment of Section 22-10-14. This specific provision was further amended in 1986, when the legislature substantially modified teacher tenure rights. See 1986 N.M.Laws, ch. 33, § 22 (codified as amended at NMSA 1978, § 22-10-14 (Repl.Pamp.1993)).
In addition, the legislature enacted a provision regarding employment contracts with certified school personnel, including both teachers and administrators. See 1986 N.M.Laws, ch. 33, § 19 (codified at NMSA 1978, Section 22-10-11 (Repl.Pamp.1993)). That section provides: “Except as provided in Section 22-10-12 NMSA 1978, a person employed by contract pursuant to this section has no legitimate objective expectancy of reemployment, and no contract entered into pursuant to this section shall be construed as an implied promise of continued employment pursuant to a subsequent contract.” Section 22-10-ll(E). This section supports the result in Swinney, and, indeed, this Court relied on it in resolving that appeal. See 117 N.M. at 493, 873 P.2d at 239. Thus, our review of the provisions contained in the School Personnel Act shows a legislative intent to distinguish between and confer different rights to certified school instructors and certified school administrators.
The district court’s decision construing Section 22-5-4(D) appears to be in conflict with both the reasoning in Swinney and the language and meaning of Section 22-10-11(E). That is, when the district court construed Section 22-5-4(D), it appears to have recognized in Plaintiffs an expectation of continued employment beyond the expiration date of their respective contracts. Alternatively, perhaps the district court construed the Española Personnel Policies to provide a written contractual provision that supplemented the statutory scheme. Those policies provide, in relevant part: “‘Termination’ means ... a refusal to rehire an employee at the expiration of an existing contract for a definite term____ [A]dministrators and non-certified employees may be terminated for good cause.” Española Personnel Policies, G.5.2.1. This view is consistent with Chief Justice Montgomery’s dissent in Swinney, in which he contended that a local school board could create a “legitimate expectation” of reemployment in school administrators by contractually obligating itself to provide certain procedures before terminating an administrator’s employment. See 117 N.M. at 495, 873 P.2d at 241 (Montgomery, C.J., dissenting). However, it is not consistent with the majority opinion, which concluded that a local school board may not enter into a contract or formulate policy that violated specific statutory provisions governing tenure rights of school administrators.
Assuming, based on the reasoning in Swinney, that we cannot read the personnel policies as having provided greater rights than those provided by statute, this case requires us to construe the statute in effect at the time of Plaintiffs’ termination, and upon which Plaintiffs rely:
A local school board shall have the following powers or duties:
D. subject to the provisions of law, approve or disapprove the employment, termination or discharge of all employees and certified school personnel of the school district upon a recommendation of employment, termination or discharge by the superintendent of schools____ Any employment, termination or discharge without the prior recommendation of the superintendent is void[.]
Section 22-5-4(D). Plaintiffs argue that this provision constrains the School Board in its authority; that is, they contend that the School Board’s action in declaring their positions vacant was void because it did “not comply with the mandatory requirements of § 22-5-4(D).” Although it is not entirely clear in what respect Plaintiffs contend the School Board’s action was void, we understand Plaintiffs’ argument to be that because the School Board declared the positions vacant rather than specifically ruling that Plaintiffs’ contracts would be terminated, the School Board violated the specific powers and duties contained in Section 22-5-4(D).
Plaintiffs’ contention seems to conflict with Section 22-10-ll(E), since that section specifically disallows for any expectancy of reemployment by a school employee, including an administrator. Plaintiffs argued to the trial court that Section 22-10-ll(E) does not apply to them because that statute is directed only to. certified school personnel. However, Section 22-10-ll(A) indirectly includes school administrators when it refers to the requirement that all employment contracts for certified school personnel be in writing. In addition, Section 22-10-ll(B)(4) refers to “certified” school administrators. Although the term “certified school personnel” is not separately defined in the School Personnel Act, our review of the Act as a whole indicates that a “certified” school employee is one who holds a certificate from the State Board of Education, and includes both instructors and administrators. See, e.g., § 22-10-3(A) (“Any person teaching ... in a public school ... and any person administer ing in a public school shall hold a valid certificate authorizing the person to perform that function.”). Thus, it seems difficult to argue that Section 22-10-ll(E) does not apply to Plaintiffs’ case.
In the final analysis, the question to be resolved is whether Section 22-5-4(D) substantively constrains the School Board and, if so, whether the statute requires something more than the School Board’s approval of the superintendent’s recommendation to declare a position vacant and to not enter into a new contract with a school administrator. We believe that the trial court may have construed the word “termination” as it is used in Section 22-5-4(D) too narrowly, and, by doing so, imposed a different duty upon the School Board than what the legislature intended. In other words, in our view the School Board effectively terminated Plaintiffs’ employment by declaring the jobs vacant, see § 22-10-2(D) (“‘terminate’ means the act of not reemploying an employee for the ensuing school year”), and therefore met its obligations under the statute. Plaintiffs could reasonably infer from the School Board’s action that they were not to be reemployed for the next school year. Contrary to Plaintiffs’ assertions, they were not “in limbo”; the director of personnel’s letter dated June 27, 1991, explained that the School Board’s action “essentially defines [Plaintiffs’] status as not reemployed for School Year 1991-92.” Plaintiffs were therefore aware that their contracts would not be renewed.
To require the School Board to utter its ruling in specific words, when the meaning of its action is clear, is to elevate form over substance. In addition, holding the School Board to such a standard unnecessarily creates an expectation of continued employment by the administrator and, as a result, conflicts with the legislature’s clear intent to eliminate any such expectations. As long as the School Board has expressly determined that an employee will not be “reemployed” for the next contract year, we believe that the School Board has met its statutory duty and has not gone beyond its statutory power. In the instant case, the School Board made clear its intent to not reemploy, and therefore met its statutory obligations.
CONCLUSION
We are unable to reconcile the trial court’s interpretation of Section 22-5-4(D) with the terms of Section 22-10-ll(E). The legislature purposely excluded certified school administrators from the protections afforded certified school instructors. The trial court’s award depends upon a premise the legislature specifically rejected in enacting Section 22-10-ll(E). We conclude the award cannot stand. Therefore, we reverse and remand with instructions to enter judgment for the School Board. No costs are awarded.
IT IS SO ORDERED.
FRANCHINI and FROST, JJ., concur. | [
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OPINION
HENDLEY, Judge.
Plaintiffs appeal the dismissal, based on a two-year statute of limitations, of their complaint which alleged a willful and malicious breach of contract and a deprivation of constitutional rights. Plaintiffs raise the following issues.
1) NMSA 1978, Section 37-1-23 is unconstitutional because it violates the equal protection clauses of the United States and New Mexico Constitutions.
2) Section 37-1-23 is unconstitutional because it violates the due process clause of the Fourteenth Amendment to the United States Constitution.
3) NMSA 1978, Section 41-4-15 (Repl. Pamp.1982) is unconstitutional because it violates the equal protection clauses of the United States and New Mexico Constitutions.
4) Section 41-4-15 does not apply to the members of the Board of Education of the Santa Fe Public Schools in their individual capacities.
5) Plaintiffs’ action under 42 U.S.C. § 1983 is not governed by the New Mexico Tort Claims Act limitations period (Section 41-4-15).
We review the cause in accordance with NMSA 1978, Civ.P.R. 12(c) (Repl.Pamp. 1980). We “consider the facts pleaded as undisputed and determine if a basis is present to decide the issues as a matter of law.” Matkins v. Zero Refrigerated Lines, Inc., 93 N.M. 511, 602 P.2d 195 (Ct.App.1979).
Plaintiffs allege that they entered into contracts with defendants on or about August 29, 1977, and August 23, 1978, to provide bus transportation for Santa Fe Public School students. Plaintiffs allege that defendants breached the contract on or about September 12, 1978. Attached to plaintiffs’ complaint are two form contracts for the 1977-78 school year, and a letter dated August 23, 1978. The first contract is between the Santa Fe Board of Education and “Sena Bus Company”; the second is between the Santa Fe Board of Education and David Sena.
Plaintiffs’ complaint, filed September 10, 1981, has eight counts: the first four counts allege the bus company’s causes of action and the second four counts allege nearly identical causes of action for individual plaintiff Sena. Plaintiffs allege: 1) breach of contract entitles them to damages; 2) willful and malicious breach of contract entitles them to punitive damages; 3) violation of due process and equal protection rights and violation of rights under New Mexico law and the contract entitle them to damages; 4) willful violation of constitutional rights entitles them to punitive damages. Plaintiffs’ constitutional claims arise out of a September 12, 1978, pretermination hearing concerning the alleged contracts which they claim was deficient. We will assume that defendants breached both written and oral contracts.
Constitutionality of Section 37-1-23
A. Equal Protection
37-1-23. Contractual liability; statute of limitations.
A. Governmental entities are granted immunity from actions based on contract, except actions based on a valid written contract.
B. Every claim permitted by this section shall be forever barred unless brought within two years from the time of accrual.
Plaintiffs claim that this two-year statute of limitations, which bars the claim on a written contract, violates their equal protection rights because the statute makes an irrational classification based on plaintiffs who contract with governmental entities, and those who contract with private entities or persons. The latter have four years in which to sue for breach of unwritten contracts, and six years in which to sue for breach of written contracts. NMSA 1978, §§ 37-1-4 and 37-l-3(A).
The tests to determine the validity of a statute challenged under the United States and New Mexico equal protection clauses are the same. Garcia v. Albuquerque Public Schools Bd., 95 N.M. 391, 622 P.2d 699 (Ct.App.1980). The test here, where the classification is not suspect and the statute does not go to fundamental rights, is whether the classification is reasonable. Espanola Housing Authority v. Atencio, 90 N.M. 787, 568 P.2d 1233 (1977).
The defendants offer several reasons why the classification is reasonable. The government enters into more contracts than the private sector. This is one reason for the shorter period. The volume of contracts would tend to cause the memory to fade as to any one contract. This determination is sufficient to overcome plaintiffs’ claim of denial of equal protection.
Similar equal protection challenges to the New Mexico Tort Claims Act, NMSA 1978, §§ 41-4-1 to 41-4-27 (Repl.Pamp. 1982, Cum.Supp.1983), have failed. Prohibition of tort claims against the State except in eight classes of activity does not violate equal protection although it discriminates among persons who suffer injury from state employees. Garcia v. Albuquerque Public Schools Bd. See also Ferguson v. New Mexico State Highway Com’n, 99 N.M. 194, 656 P.2d 244 (Ct.App.1982).
B. Due Process
Plaintiffs allege that subsection (A) of Section 37-1-23 which grants governmental entities immunity from all contract actions but those on a “valid written contract” deprives them of property, namely their cause of action on the 1978 oral contract, without due process. The constitutional issue is not reached because any oral contract action would be time barred, too. There is no reason why a statute of limitations on oral contracts would be longer than those on a written contract. To the contrary, statutes of limitations on oral contracts are shorter. Compare NMSA 1978, Section 37-1-4, which has a four-year statute of limitations on oral contracts, with NMSA 1978, Section 37-1-3, which has a six-year limitation on written contracts.
Section 41-4-15
Section 41-4-15 provides in part:
A. Actions against a governmental entity or a public employee for torts shall be forever barred, unless such action is commenced within two years after the date of occurrence resulting in loss, injury or death * * * *
Plaintiffs’ argument on Issues 3 and 4 is an attack on the constitutionality and scope of the Tort Claims Act. Plaintiffs did not bring any action under the Tort Claims Act and any pronouncement on the constitutionality and scope of Section 41-4-15 would be advisory. We do not give advisory opinions. Bell Telephone Laboratories v. Bureau of Revenue, 78 N.M. 78, 428 P.2d 617 (1966).
Section 1983 Action
Although plaintiffs do not clearly identify their Section 1983 claims on appeal, we will assume for opinion purposes that they were sufficiently raised in the complaint.
The court did not identify which statute of limitations was applied to bar plaintiffs’ claims. The trial court applied either Sec tion 37-1-23 or Section 41-4-15, both two-year statutes of limitation.
DeVargas v. State, 97 N.M. 563, 642 P.2d 166 (1982), in quashing the granting of certiorari in DeVargas v. State ex rel. N.M. Dept. of Corr., 97 N.M. 447, 640 P.2d 1327 (Ct.App.1981), stated that the statute of limitations which would control in a Section 1983 action would be “the state statute of limitations governing the state cause of action provided by state law which is most closely analogous to Section 42 U.S.C. § 1983 and which is not inconsistent with the Constitution and Laws of the United States.”
Under New Mexico law, the most closely analogous state cause of action is Section 37-1-23 which grants governmental entities immunity from actions based on contract, except actions based on a valid written contract. In the instant case, plaintiffs alleged a breach of written and oral contracts by the state. The breach of these contracts, written or oral, was the basis for plaintiffs’ Section 1983 claim.
Accordingly, we hold that Section 37-1-23 is the most analogous state cause of action and, thus, its two-year statute of limitations applies.
Affirmed.
IT IS SO ORDERED.
WOOD and BIVINS, JJ., concur. | [
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OPINION
DONNELLY, Chief Judge.
Cottonwood Gulch Foundation (Foundation) appeals from an adverse administrative order of the McKinley County Valuation Protest Board (Board) upholding the McKinley County Assessor’s denial of the Foundation’s claim for a tax exemption. The single issue presented on appeal is whether the Board erred in denying the Foundation’s claim for a tax exemption under the state constitution and applicable law. We affirm.
The Foundation is the owner of approximately 520 acres of real property located in McKinley County. The Foundation has built a dining hall, craft shop, museum, laboratory, garages, caretaker’s house and dormitories on the property. The Foundation offers a summer program of instruction in natural history, zoology, botany, geology, archaeology and anthropology. Its staff consists of a combination of volunteer and salaried professors, who engage in research together. The program offered is non-discriminatory and open to all persons. Scholarships are offered to some participants on the basis of merit or need and in 1983, students from twenty-three states participated in the program.
A tuition charge of $2,060 per student is imposed for an eight-week program. The amount of tuition charged does not cover the entire cost of operating the program. The additional monies necessary to finance the Foundation and its educational courses are solicited through grants and donations. The Foundation has 3,000 alumni members.
Thomas Billings, the executive director of the Foundation, testified that Foundation is a non-profit domestic corporation organized in 1935 to serve as “an educational organization, serving young people and young adults. * * * ” Billings also testified that Foundation is exempt from federal income taxation pursuant to 26 I.R.C. Section 501(c)(3) (West Supp.1983) of the Internal Revenue Code and that the Foundation is non-denominational. Billings further stated that the Foundation receives no income from its real property or its improvements and that the sole use of the Foundation’s property is as a program headquarters for scientific and study expeditions conducted by students and faculty throughout the southwest.
PROCEDURAL REQUISITE FOR EXEMPTION
The Board concedes that the Foundation’s claim of exemption is factually sufficient to warrant the granting of a property tax exemption, however, the Board argues that the Foundation has failed procedurally to properly apply for and obtain the requested exemption. Specifically, the Board contends that the Foundation has not applied in a timely manner for or obtained a ruling by the State Property Tax Division (Division) recognizing its tax exempt status as required under the Division’s Regulations 36-7(B)(l):12 and 36-7(B)(l):13 (Rev. April 1983).
The Foundation responds that it was error to deny its claim for exemption on a procedural basis, and that the administrative regulations relied upon by the Board are contrary to the New Mexico Constitution, article 8, section 3, and the statutory authority conferred on the county assessor.
The New Mexico State Constitution, article 8, section 3, provides that “all property used for educational or charitable purposes * * * shall be exempt from taxation.” Similarly, the legislature has provided by statute, NMSA 1978, Section 7-36-7 (Repl. Pamp.1983), that:
A. Except for the property listed in Subsection B of this section, all property is subject to valuation for property taxation purposes under the Property Tax Code * * * if it has a taxable situs in the state.
B. The following property is not subject to valuation for property taxation purposes under the Property Tax Code:
(1) property exempt from property taxation under the federal or state constitution, federal law, the Property Tax Code or other laws, but this does not include property all or a part of the value of which is exempt because of the application of a veteran or head of family exemption nor does this provision excuse an owner from any obligations to report his property as required by regulation of the division adopted under Section 7-38-8.1 NMSA 1978 or to claim its exempt status under Subsection C of Section 7-38-17 NMSA 1978 * * *. [Emphasis added.]
The legislature, by statute NMSA 1978, Section 7-38-8.1 (Repl.Pamp.1983), expressly empowered the Division to adopt regulations governing the claiming of exemptions of property from taxation under the provisions of Subsection B of Section 7-36-7, including “provisions for initial reporting of ... ¡property and [the] claiming of the exempt status pursuant to Subsection C of Section 7-38-17 NMSA 1978.”
Section 7-38-17(C) (Repl.Pamp.1983) additionally provides that “[beginning with the 1983 tax year, other exemptions of real property specified under Section 7-36-7 * * for nongovernmental entities must be claimed in order to be allowed.” Section 7-38-17(F) states:
F. Exemptions may be claimed by filing proof of eligibility for the exemption with the county assessor. The proof shall be in a form prescribed by regulation of the division. Procedures for determining eligibility of claimants for any exemption shall be prescribed by regulation of the division * * *. [Emphasis added.]
Pursuant to the foregoing statutory authorization, the Division promulgated a series of regulations detailing the procedural requirements for claiming property tax exemptions, including Regulation 36-7(B)(1):12 which provides in part:
EXEMPTIONS FOR PROPERTY USED FOR EDUCATIONAL OR CHARITABLE PURPOSES—
A. County assessors should only grant exempt status to property contended to be “used for educational or charitable purposes,” pursuant to Article VIII, Section 3 of the New Mexico Constitution if:
1. The exemption is authorized by a Property Tax Code regulation; or
2. The exemption is authorized by a Property Tax Division ruling or order; or
3. The exemption is authorized by a ruling issued by the predecessor Property Appraisal Division subsequent to December 11, 1973; and
4. The exemption is not contrary to the New Mexico Constitution, the Property Tax Code or other statutes, these regulations or Division rulings as they may be amended from time to time.
The Foundation does not contend that it complied with the requirements of the above regulation or that it obtained a ruling or order recognizing its right to an exemption of its real property as an educational entity. Instead, it asserts that the Division’s regulatory requirement impermissibly infringes upon the county assessor’s statutory right to authorize a property tax exemption for charitable or educational uses by the Foundation. We disagree.
The legislature expressly authorized the Division to adopt regulations governing the method and manner in which individuals or entities may claim property' tax exemptions. The challenged regulation reasonably falls within the parameters delegated by the legislature for the implementation of property tax exemption claims.
The Foundation did produce a ruling of the Property Appraisal Department, dated January 23, 1974, purporting to recognize a property tax exemption for camps, national organizations, and non-profit corporations to operate camping programs and facilities. A reading of the ruling facially reveals its nonapplicability to the Foundation’s operation or program. The ruling does not specifically mention or relate to the Foundation.
The regulatory requirement necessitating a ruling or order of the Division recognizing an applicant’s entitlement to the property tax exemption is not unreasonable nor impermissible in view of the express statutory provisions contained in Sections 7-38-8.1 and -17. The regulation sets out a method by which claims for property tax exemptions may be reasonably reviewed. The constitutional provision recognizing a property tax exemption for property “used for educational or charitable purposes” is not self-executing but permits statutory implementation detailing the means under which the right may be asserted. N.M. Const, art. 8, § 3. E.g., State v. Perrault, 34 N.M. 438, 283 P. 902 (1929); City of Raton v. Sproule, 78 N.M. 138, 429 P.2d 336 (1967).
As observed in State v. Perrault, a constitutional provision is deemed to be self-executing if it supplies the necessary rule by which the right given may be enjoyed and protected or the means by which the duty imposed may be enforced. In NRA Special Contribution Fund v. Board of County Commissioners, 92 N.M. 541, 545, 591 P.2d 672, 676 (Ct.App.1978), this court noted that:
[t]he [New Mexico] Constitution, the Property Tax Code and New Mexico opinions do not define what is meant by “used for educational purposes.” As a result, the Legislature has seen fit to allow the courts to establish the standards under which property may be determined to be tax exempt when “used for educational purposes.”
The statutory provisions, Sections 7-38-8.1 and -17, and the regulations promulgated by the Division pursuant to these statutes, inter alia, set out a procedural method for claiming and reviewing the exemptions sought under article 8, section 3 of the New Mexico Constitution. As observed in Chesney v. Byram, 15 Cal.2d 460, 101 P.2d 1106, 1109 (1940), “[i]t has been uniformly held that the legislature has the power to enact statutes providing for reasonable regulation and control of rights granted under constitutional provisions.”
In State v. Allred, 67 Ariz. 320, 195 P.2d 163 (1948), the court held that the legislature may properly prescribe a method for claiming a constitutionally recognized tax exemption and render a failure to conform to such procedure a waiver of the exemption. In Allred, the Arizona Supreme Court dealt with the question of whether a state constitutionally created veteran’s exemption could be denied if the veteran failed to follow the statutory procedure for asserting the exemption. Unlike the applicable provision involved in the New Mexico Constitution, the Arizona constitutional veteran’s exemption, article 9, section 2, expressly provides that “ ‘this section shall be self-executing.’ ” The state contended that the Arizona Legislature established a time table for claiming the exemption and created procedural requirements that made a failure to timely claim the exemption a waiver of the right to the exemption for that tax year. The Arizona Supreme Court held that despite the fact that the constitutional exemption was self-executing and required no legislative enactment to put it into effect, it did not preclude the adoption of legislation designed to regulate the means for claiming the exemption. In Allred, the court held:
“it does not follow from the determination that the above-mentioned constitutional provision is self-executing, that the legislature did not have the power to enact legislation providing reasonable regulation for the exercise of the right to the exemption ****
“***'* appears to us reasonable and proper that some method should be provided by the legislature for the determination of those who may be entitled to the exemption provided for in the Constitution.”
We hold that the failure of the [Board] to comply with the [statutory] procedure **** constituted a waiver or loss of his constitutional right to exemption from taxation for the [tax] year ****
195 P.2d at 168, 170.
The fact that the purpose of an organization may be charitable, educational, or religious is not conclusive of whether the- entity is entitled to an exemption from taxation. The determinative factor is the primary use of the property. B.P.O.E. No. 461 v. New Mexico Property Appraisal Department, 83 N.M. 445, 493 P.2d 411 (1972); United Veterans Organization v. New Mexico Property Appraisal Department, 84 N.M. 114, 500 P.2d 199 (Ct.App.1972).
The statutory provision authorizing the Division to adopt regulations detailing the procedure for claiming the exemp tion is reasonable and proper. The regulation, 36-7(B)(l):12, prescribes a reasonable means to invoke the advantages of the exemption, balancing on the one-hand the state’s interest in screening claims for exemptions and preventing abuses against the taxpayer’s right to the exemption. A method of appeal from a denial of a claim for exemption is provided by statute. NMSA 1978, § 7-38-22 (Repl.Pamp.1983). The Foundation did not seek a ruling from the Division, nor utilize the right prescribed by statute to appeal the denial of their desired exemption.
The order of the McKinley County Valuation Protest Board denying the claim of exemption is affirmed. Each party shall bear their own costs on appeal.
IT IS SO ORDERED.
WOOD and ALARID, JJ., concur. | [
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] |
OPINION
BIVINS, Judge.
The issue in this appeal is whether defendant was entitled, as a matter of right, to a trial de novo in district court following judgment against him on his guilty plea and disposition agreement in the magistrate court. The district court dismissed defendant’s appeal finding that, having entered a plea of guilty, defendant was not an “aggrieved party” as contemplated by SCRA 1986, 6-703, and relying on State v. Ball, 104 N.M. 176, 718 P.2d 686 (1986). Our calendar notice proposed summary affirmance and defendant filed a memorandum in opposition to that proposal. Defendant’s sole challenge to his guilty plea is based on the failure of the magistrate court to proceed pursuant to SCRA 1986, 6-502, which requires that the plea and disposition agreement be reduced to writing. We are not persuaded by defendant’s argument that State v. Ball has been reduced to an “anachronism” by Rule 6-502 and that failure to comply with the requirements of the rule renders his guilty plea constitutionally invalid. We, therefore, affirm the district court.
Defendant was charged in magistrate court with aggravated battery with great bodily harm, contrary to NMSA 1978, Section 30-3-5(C) (Repl.Pamp.1984), a third-degree felony. He agreed to plead guilty to aggravated battery, inflicting an injury not likely to cause death or great bodily harm, contrary to Section 30-3-5(B), a misdemeanor. Defendant states in his docketing statement that, represented by counsel, he bargained for and entered into a plea and disposition agreement. He makes no assertion that the plea was either involuntary or unknowing. Nor does defendant assert that the state breached the plea and disposition agreement. Rather, defendant complains that the disposition agreed to between the parties was that the magistrate court would order a presentence report. He states that no recommendation as to the actual sentence to be imposed was made a part of the plea and disposition agreement. We point out that a presentence report is not a disposition, but an aid to the sentencing court in reaching its disposition. See State v. Lack, 98 N.M. 500, 650 P.2d 22 (Ct.App.1982) (holding use of. a presentence report not mandatory). Defendant does not assert that he knowingly entered into the plea and disposition agreement without knowledge of the possible consequence of his plea or without knowledge that the magistrate court would act with the assistance of the presentence report and sentence him to be punished for the crime. Nor does defendant assert that the sentence imposed was illegal. The commonsense approach of State v. Ball is applicable to these circumstances:
Common sense tells us that a defendant who, voluntarily and aware of the consequences, pleads guilty ... cannot claim to be aggrieved because he did not receive a trial. Nor can he claim’to be aggrieved by the judgment and sentence rendered against him, so long as the [magistrate] court acted within its sentencing discretion.
Id., 104 N.M. at 183, 718 P.2d at 693. The magistrate court accepted the guilty plea and sentenced defendant to 364 days incarceration, suspended the sentence except for 180 days, and placed defendant on probation for the balance. Both the sentence and probation were within the authority of the magistrate court. NMSA 1978, § 31-19-1 (Repl.Pamp.1987).
If the only recommendation made by the state was that the magistrate court consider a presentence report before sentencing, that recommendation was accepted together with the plea. Under these circumstances described by defendant, the magistrate court accepted the agreement as voluntarily and knowingly entered into by defendant. See R. 6-502; see also Eller v. State, 92 N.M. 52, 582 P.2d 824 (1978). There is no indication that defendant attempted to withdraw his plea.
Defendant’s reliance on dicta in State v. Ball disregards the clear holding of that case. Defendant also disregards the earlier holding of the supreme court in State v. Tiption, 78 N.M. 600, 435 P.2d 430 (1967), reaffirmed in State v. Ball: “[A] plea of guilty, voluntarily made after proper advice of counsel and with full understanding of the consequences, is binding and waives objections to prior defects in the proceedings.” State v. Ball, 104 N.M. at 183, 718 P.2d at 693.
Defendant misapprehends the significance of the adoption of Rule 6-502. We do not doubt that the requirement that a plea agreement be reduced to writing provides evidence that a guilty plea is voluntary and knowingly given. The rule, however, affords no more than that. The supreme court held in State v. Ball that the constitutional guarantee of the right of appeal, N.M. Const, art. VI, § 27, was intended to extend only to persons aggrieved by judgments of inferior courts. Rule 6-502 does not alter the court’s express determination of the scope and limitations of the right of appeal guaranteed to criminal defendants.
State v. Ball also affirms the alternate holding of this court in State v. Bazan, 97 N.M. 531, 641 P.2d 1078 (Ct.App.1982):
[A defendant] who agrees not to be aggrieved by entering into a plea and disposition agreement, who alleges no constitutional invalidity in the plea and disposition agreement, and who does not seek to have his plea and disposition agreement withdrawn, is not an aggrieved party.
Id. at 534, 641 P.2d at 1081. The supreme court extended the holding of State v. Bazan, in turn holding that a defendant who has pleaded guilty without benefit of a plea agreement likewise is not an aggrieved party. In view of this precedent, we cannot now say that an accused who has entered into a plea agreement is nonetheless an aggrieved party because the agreement was not reduced to writing.
Defendant requested in his memorandum that this case be assigned to a non-summary calendar. Although the issue as framed by defendant is one of first impression, we find that the relevant facts are not in dispute and, as indicated above, the application of legal principles to those facts is clear. Therefore, no purpose would be served in reassigning this case to a non-summary calendar. See Garrison v. Safeway Stores, 102 N.M. 179, 692 P.2d 1328 (Ct.App.1984).
Defendant’s memorandum does not respond to our proposed disposition of the second issue he raises on appeal. Accordingly, this issue is deemed abandoned. State v. Martinez, 97 N.M. 585, 642 P.2d 188 (Ct.App.1982).
For the reasons stated above, we affirm the district court’s dismissal of defendant’s appeal from the judgment and sentence of the magistrate court.
IT IS SO ORDERED.
MINZNER and FRUMAN, JJ., concur. | [
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] |
OPINION
SOSA, Senior Justice.
This matter arose after Laguna Pueblo (Laguna) petitioned the district court to compel consolidation of arbitration proceedings arising out of two contracts.
The controlling issues on appeal are whether an affidavit of disqualification of a judge was properly denied as untimely by the district court and whether the court erred in consolidating separate arbitration proceedings. We reverse and remand.
Laguna entered into separate contracts with respondents William G. Barber & Associates, Inc. (Barber) and Cillessen and Son, Inc. (Cillessen) to design and construct a health cafe facility. Each contract provided that all claims arising under it would be subject to arbitration. After the project was completed, disputes arose regarding problems with the exterior walls of the facility and related problems.
On June 15, 1982, Laguna initially petitioned the district court to consolidate arbitration proceedings against Cillessen and Barber pursuant to the arbitration clauses contained in its contract with each party. On August 27, 1982, Laguna filed its first amended petition to consolidate. Cillessen filed a response to Laguna’s initial petition on August 30, 1982. On August 31, Laguna filed a second amended petition to consolidate. Cillessen filed an affidavit of disqualification of judge on October 26, which affidavit was denied as untimely by the district court. Cillessen filed a response to Laguna’s second amended petition on November 1, 1982.
The provisions governing the timely filing of affidavits of disqualification are set forth at NMSA 1978, Section 38-3-10. This section provides that the affidavit “shall be filed within ten days after the cause is at issue or within ten days after the time for filing a demand for jury trial has expired, or within ten days after the judge sought to be disqualified is assigned to the case, whichever is the later.”
A case is deemed “at issue” when an answer is filed which requires no further pleadings by the plaintiff. Atol v. Schifani, 83 N.M. 316, 491 P.2d 533 (Ct.App.1971); see also Gray v. Sanchez, 86 N.M. 146, 520 P.2d 1091 (1974). Cillessen argues that its affidavit was timely since the cause was not placed in issue until November 1, 1982, the date Cillessen filed its response to Laguna’s second amended petition of August 31. Laguna maintains that Cillessen’s first response on August 30, 1982 to Laguna’s initial consolidation petition effectively put the cause at issue.
Laguna’s argument ignores the fact that two subsequent amendments were required to cure defects in the designation of the Barber business name which had appeared in Laguna’s initial petition to consolidate. Absent these amendments, Barber would not have been formally included as a party. Laguna’s first and second amended petitions were thus required to effectively add Barber as the crucial third party to Laguna’s proposed consolidated arbitration between itself, Cillessen and Barber. As such, the action to consolidate was not placed at issue until November 1, 1982, the date Cillessen filed its response to Laguna’s second amended petition. Cillessen’s October 26, 1982 affidavit of disqualification was filed within the requisite ten day period under Section 38-3-10 and was therefore timely. The district court erred in failing to honor the disqualification.
Since the district court was properly disqualified, it had power only to perform mere formal acts subsequent to the disqualification. State v. Compton, 57 N.M. 227, 239, 257 P.2d 915, 923 (1953). After the affidavit of disqualification was filed, the judge had no jurisdiction to act in matters involving the exercise of his discretion. See State v. Compton, 57 N.M. at 239, 257 P.2d at 923; State ex rel. Pacific Employer’s Insurance Co. v. Arledge, 54 N.M. 267, 268, 221 P.2d 562, 563 (1950). Its subsequent consolidation order was therefore without legal effect. Nevertheless, we address the propriety of consolidating the separate Cillessen and Barber arbitration proceedings on the merits since the question is one of first impression in this state and one which will arise in subsequent proceedings after remand in this case.
The narrow issue we address is whether a trial court may consolidate separate arbitration proceedings absent an agreement among all the parties to the proposed consolidation.
Barber and Cillessen entered into separate contracts with Laguna for architectural and general contracting services, respectively. While the two contracts differ substantially in their terms and scope, they do contain similar arbitration clauses binding upon the parties to each agreement. Laguna’s agreement with Barber provides in relevant part that the “claims, disputes and other matters in question arising out of, or relating to, this Agreement or the breach thereof shall be decided by arbitration in accordance with the Construction Industry Arbitration Rules of the American Arbitration Association then obtaining.” The Laguna-Cillessen contract states the “claims or disputes arising out of this Contract or the breach thereof shall be decided by arbitration in accordance with the Construction Industry Arbitration Rules of the American Arbitration Association then obtaining unless the parties mutually agree otherwise.”
Cillessen asserts the district court’s action in consolidating the arbitration action between it and Laguna with the dispute between Barber and Laguna had no basis either in the agreements of the parties or in any applicable statutory provisions. Laguna argues the district court properly consolidated since the two disputes arose out of a single transaction and involved common questions of law and fact.
Under the New Mexico Uniform Arbitration Act (Act), NMSA 1978, Sections 44-7-1 to 44-7-22, New Mexico courts have jurisdiction to compel arbitration where an agreement to arbitrate is found. §§ 44-7-1, 44-7-2 and 44-7-17; Bernalillo County Medical Center Employees’ Ass’n v. Cancelosi, 92 N.M. 307, 587 P.2d 960 (1978). Courts are to interpret the provisions of arbitration agreements by the rules of contract law and are to apply the plain meaning of the language utilized, Christmas v. Cimarron Realty Co., 98 N.M. 330, 332, 648 P.2d 788, 790 (1982), in order to give effect to the agreements struck by the parties. See Hopper v. Reynolds, 81 N.M. 255, 261, 466 P.2d 101, 107 (1970). The terms of the arbitration agreement set forth the parameters concerning the matters to be arbitrated. See Christmas; Bernalillo County Medical Center Employees’ Ass’n.
There can be no question under these contracts that the proper forum for the resolution of disputes is before an arbitrator. However, neither the provisions quoted, nor any other clauses in either contract provide for the arbitration of disputes other than those arising between the parties to each contract. The record indicates that the Construction Industry Arbitration Rules of the American Arbitration Association referenced in each arbitration clause, and incorporated in the two contracts, make no provision for any consolidation of third party disputes to arbitration proceedings. There is thus no privity or agreement to arbitrate between Barber and Cil lessen. There is also no evidence that the parties to each contract subsequently entered into an agreement to consolidate arbitration of disputes with third parties. Lastly, the American Arbitration Association indicated in its notice to the parties its policy of refusing to consolidate “[ajbsent mutual agreement of all parties, or applicable contractual provisions authorizing joint arbitrations, or an order from an appropriate court * * * ”
The plain meaning of the contractual language here indicates that the parties did not comtemplate consolidated arbitration. The district court here could only enforce what the parties set out in their respective agreements. See Hopper v. Reynolds. Had all three parties agreed to some form of consolidation, the district court clearly could have given effect to this decision. Absent such an agreement, the district court had no power to compel a consolidated arbitration. Our conclusion here is in accord with the views of a majority of jurisdictions which have considered the propriety of ordering consolidated arbitration absent agreement of all concerned parties. Consolidated Pacific Engineering, Inc. v. Greater Anchorage, 563 P.2d 252, (Alaska 1977); W.J. Megin, Inc. v. State, 181 Conn. 47, 434 A.2d 306, (1980); Louisiana Stadium, and Exposition District v. Huber, Hunt & Nichols, Inc., 349 So.2d 491 (La.App.1977); Stop & Shop Companies, Inc. v. Gilbane Bldg. Co., 364 Mass. 325, 304 N.E.2d 429 (1973); J. Brodie & Son, Inc. v. George A. Fuller Co., 16 Mich.App. 137, 167 N.W.2d 886 (1969); Balfour, Guthrie & Co. v. Commercial Metals Co., 93 Wash.2d 199, 607 P.2d 856 (1980); contra, Litton Bionetics, Inc. v. Glen Construction Co., 292 Md. 34, 437 A.2d 208 (1981); Grover-Dimond Associates v. American Arbitration Ass’n, 297 Minn. 324, 211 N.W.2d 787 (1973); Exber, Inc. v. Sletten Construction Co., 92 Nev. 721, 558 P.2d 517 (1976); County of Sullivan v. Edward L. Nezelek, Inc., 42 N.Y.2d 123, 397 N.Y. S.2d 371, 366 N.E.2d 72 (1977); see generally, Annot. 64 A.L.R.3d 528 (1975).
Furthermore, there is no specific statutory authorization in New Mexico for consolidated arbitration although the two disputes may be founded upon the same set of facts and circumstances. While the district court may have thought consolidation proper in the interest of judicial economy, see NMSA 1978, Civ.P.Rules 20(a) and 42(a) (Repl.Pamp.1980), under the Act the court had power to compel only two separate arbitration proceedings according to the terms of the two contracts. While Section 44-7-17 gives New Mexico courts jurisdiction to enforce contracts to arbitrate, no express provision in the Act confers on courts the power to consolidate.
It is solely within the province of the Legislature to provide for consolidated arbitration of disputes between non-contracting parties in such circumstances as it may deem proper. Only upon enactment of a statute providing for consolidation of separate arbitration proceedings among multiple parties may a court order consolidation without a specific agreement of the parties to this effect. Compare, Conejo Valley Unified School District v. William Blurock & Partners, Inc., 111 Cal.App.3d 983, 169 Cal.Rptr. 102 (1980) (consolidation ordered pursuant to statute) with Atlas Plastering, Inc. v. Superior Court, 72 Cal.App.3d 63, 140 Cal.Rptr. 59 (1977) (consolidation disallowed prior to statutory authorization).
We hold that absent express statutory authorization, the district court had no power to compel consolidated arbitration over the objection of a party.
In light of our disposition of the issues, we need not reach appellant Barber’s point that any consolidated arbitration should be limited in scope to the matters raised on Laguna’s petition to consolidate.
The district court is reversed and the cause remanded for further proceedings consistent with this opinion.
IT IS SO ORDERED.
FEDERICI, C.J., and STOWERS, J., concur.
. The October 26, 1982 affidavit by which petitioner Laguna sought to disqualify district judge Jack Love was filed prior to our opinion in State ex rel. Gesswein v. Galvan, 100 N.M. 769, 676 P.2d 1334 (1984), and prior to the March 5, 1984 effective date of the new disqualification provisions found at NMSA 1978 Civ.P. Rules 88 and 88.1 (Adv.Ann. April 1984). Our recent opinion and new rules are thus inapplicable to this case. | [
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OPINION
MINZNER, Judge.
Molycorp, Inc. (employer) appeals the dis-positional order of the Workmen’s Compensation Administration awarding Cisneros (claimant) compensation for a work-related hearing loss. Employer raises three arguments on appeal: (1) a gradual, noise-induced hearing loss is not an accidental injury compensable under the Workers’ Compensation Act but rather is compensable only under the Occupational Disease Disablement Act; (2) even if such a hearing loss is compensable under the Workers’ Compensation Act, claimant is time-barred; (3) the hearing officer erred in rejecting evidence of a 1971 hearing examination. Claimant has cross-appealed, contending the hearing officer erred in reducing his award for failure to use safety devices. We affirm.
Claimant worked for employer from 1958 until November 1986, when he was laid off because of a plant shutdown. Claimant experienced a gradual loss of hearing as a result of frequent and continuous exposure to excessive noise. He testified he noticed the hearing loss in 1971 but did not know it was work-related. In 1984, he was fitted for hearing aids. At that time, he told his foreman that his hearing loss was work-related. In January of 1987, he filed a claim for workers’ compensation.
After a hearing on the merits, the hearing officer found, based on medical testimony, that claimant suffered a 54.96% hearing impairment and that the hearing loss affected both ears. The hearing officer further found that claimant was able to perform his job duties and other jobs to a percentage extent even though he had suffered a hearing loss. Based on these findings, the hearing officer concluded that the claim fell within the scheduled injury section of the Workers’ Compensation Act and computed the compensation due claimant based on the percentage of his loss of hearing.
The parties agree that if the hearing loss is compensable only under the Occupational Disease Disablement Act, claimant cannot recover. We note that the Workers’ Compensation Act was amended in 1986 and 1987. See 1986 N.M.Laws, ch. 22, and 1987 N.M.Laws, ch. 235. With one exception, which is noted in the opinion, the parties agree there have been no material changes in the sections pertinent to this appeal. APPEAL
I. Nature of the Claim.
NMSA 1978, Section 52-3-46 (Repl. Pamp.1987) provides: “In all cases where injury results by reason of an accident arising out of or in the course of employment, no compensation under this act shall be payable, nor shall any compensation be payable under the Workmen’s Compensation Act for any occupational disease.” (Citation omitted.) Employer contends claimant was required by this statute to seek compensation for an “occupational disease”; not having done so, he is not entitled to benefits.
We disagree that the hearing loss represents an “occupational disease.” Consequently, we do not reach claimant’s contention that a workplace infirmity may be both an “accidental injury” and an “occupational disease” and that Section 52-3-46 was only intended to foreclose double recovery. See Martinez v. University of California, 93 N.M. 455, 601 P.2d 425 (1979). We believe the hearing loss in this case is compensable under the Workers’ Compensation Act, because it was an “accidental injury” within the meaning of that Act.
The right to compensation under NMSA 1978, Section 52-1-9 (Repl.Pamp.1987), arises from a “personal injury accidentally sustained.” A claim for workers’ compensation shall be allowed only “when the worker has sustained an accidental injury arising out of and in the course of his employment.” NMSA 1978, § 52-l-28(A)(l) (Repl.Pamp.1987).
An “accidental injury is defined in New Mexico as an unlooked-for mishap or some untoward event that is not expected or designed. Gilbert v. E.B. Law & Son, Inc., 60 N.M. 101, 287 P.2d 992 (1955); Aranbula v. Banner Mining Co., 49 N.M. 253, 161 P.2d 867 (1945); Candelaria v. General Elec. Co., 105 N.M. 167, 730 P.2d 470 (Ct.App.1986); Lyon v. Catron County Comm’rs, 81 N.M. 120, 464 P.2d 410 (Ct.App. 1969). It is not necessary that an injury should result momentarily or be immediately discoverable to be an “accidental injury.” It may be produced gradually and progressively. Webb v. New Mexico Publishing Co., 47 N.M. 279, 141 P.2d 333 (1943); Candelaria v. General Elec. Co. The accidental injury requirement is generally satisfied if either “ ‘the cause was of an accidental character or if the effect was the unexpected result of routine performance of the claimant’s duties.’ ” See Lyon v. Catron County Comm’rs, 81 N.M. at 125, 464 P.2d at 415 (quoting 1A A. Larson, Workmen’s Compensation Law § 38.00 (1967)). New Mexico case law has established that where the strain of the worker’s usual exertions causes a collapse there is an accidental injury. Compare Herndon v. Albuquerque Pub. Schools, 92 N.M. 635, 593 P.2d 470 (Ct.App.1978) and Lyon v. Catron County Comm’rs (back injuries) with Candelaria v. General Elec. Co. (psychological disability).
An “occupational disease” is defined as any disease peculiar to the occupation in which the employee is engaged and due to causes in excess of the ordinary hazards of employment as such. NMSA 1978, § 52-3-33 (Repl.Pamp.1987). An “occupational disease” is a natural incident of a particular occupation; the hazard distinguishes that occupation from others and is in excess of that attending employment in general. See Martinez v. University of California; Chadwick v. Public Serv. Co. of N.M., 105 N.M. 272, 731 P.2d 968 (Ct. App.1986). The disease must have its origin in the inherent nature or mode of work of the profession or industry. Aranbula v. Banner Mining Co.
Courts in jurisdictions other than New Mexico have considered several factors in distinguishing between accidental injuries and occupational diseases. The foreseeability of the injury has been adopted as a test by some courts, on the theory that a hazard which is recognized as inherent in continued exposure to conditions of a particular type of employment cannot be the cause of an accidental injury. IB A. Larson, The Law of Workmen’s Compensation § 41.31 (1987). Another factor used to distinguish accidental injuries from occupational diseases is the suddenness of the onset of the injury, so that injuries contracted gradually are occupational diseases and injuries which can be traced to a specific time, place, and cause are accidental injuries. Id. In applying these tests to cases of gradual, noise-induced hearing loss, some jurisdictions have held such hearing loss is an occupational disease and others have held it to be an accidental injury.
For example, in Martinez v. Taylor Forge & Pipe Works, 174 Ind.App. 514, 368 N.E.2d 1176 (1977), the Indiana Court of Appeals held that a gradual, noise-induced hearing loss was not an accidental injury because the hearing loss was neither unexpected nor unforeseen. Loss of hearing would have been expected, anticipated, and foreseen by reasonable and ordinary persons working in the continuously noisy circumstances in which the claimant worked. The court held the hearing loss was not unexpected because nothing extraordinary happened to the claimant except for the continuous noise inherent in his job. The claimant should, therefore, have had reason to anticipate a hearing loss. The court also held that the hearing loss was not an occupational disease.
However, in Hinkle v. H.J. Heinz Co., 462 Pa. Ill, 337 A.2d 907 (1975), the Pennsylvania Supreme Court held that the unforeseen factor may be either the circumstances causing the injury or the nature of the injury itself. Where the claimant incurs an injury in the usual performance of his job, the injury may be accidental if the nature of the effect was extraordinary. The court held that the claimant’s loss of hearing was unexpected and, therefore, an accidental injury.
Similarly, in Winkelman v. Boeing Airplane Co., 166 Kan. 503, 203 P.2d 171 (1949), the Kansas Supreme Court stated that although an injury may have resulted from the intentional performance of usual acts in the usual way, an injury will be treated as accidental if it is unexpected by the employee. The court found that the claimant had not expected his hearing loss to be permanent, so that the injury was unexpected and accidental. The court justified this holding, which deviated from Kansas precedent, on the ground that the Kansas Workmen’s Compensation Act should be liberally construed.
A “specific time, place, and cause” rule has been adopted by many jurisdictions and is often used in conjunction with the foreseeability test. Thus, it has been said that an injury must be both unforeseeable and traceable to a specific time, place, and cause in order to be an accidental injury. See Martinez v. Taylor Forge & Pipe Works; Winkelman v. Boeing Airplane Co.; Hinkle v. H.J. Heinz Co. In applying this test to gradual, noise-induced hearing loss, courts have reached contradictory results.
The Colorado Court of Appeals denied recovery to an employee who had been exposed to continuous noise made by running lumber through a planer, because the injury was not traceable to a specific time, place, and cause. Martinez v. Industrial Comm’n, 40 Colo.App. 485, 580 P.2d 36 (1978). The court distinguished another Colorado case which allowed recovery for a loss of hearing resulting from monthly exposure to noise at a firing range. The court held that once a month exposure to noise was traceable to a particular time, place, and cause, but continual exposure was not. The court affirmed the commission’s decision that claimant’s loss of hearing was an occupational disease.
However, in Hinkle, the Pennsylvania Supreme Court held that injury due to continuous noise was traceable to a specific time, place, and cause. The court found that continuous noise caused a series of injuries, each of which aggravated the previous harm, and that it would be unjust to deny recovery for a series of injuries when any one of the injuries alone would be compensable.
Similarly, the Kansas Supreme Court, in Winkelman, held that the claimant had met the requirement that the injury be traceable to a particular time, place, or circumstance. He had been exposed to excessive noise while working as an instructor in an indoor pistol range. The court found that each pistol retort caused some injury and contributed to the permanent injury. Thus, proof of injury was as definite as possible in the particular circumstances. The court accepted this as sufficient, stating that if an injury occurring as the result of a single accident is compensable, a series of such accidents must also be compensable.
New Mexico has rejected the specific time, place, and cause requirement. Webb v. New Mexico Publishing Co.; Candelaria v. General Elec. Co. New Mexico has adopted the foreseeability test, using much the same language the Pennsylvania court used in Hinkle, allowing recovery if either the cause or effect of the injury was unexpected. Lyon v. Catron County Comm’rs. Thus, the only requirement for an injury to be found accidental in New Mexico is that it must not be foreseeable.
If a claimant is totally disabled or unable to perform work to a certain percent, then the total or partial disability sections of the Act are relevant. See Perez v. International Minerals & Chem. Corp., 95 N.M. 628, 624 P.2d 1025 (Ct.App.1981). However, if he suffers an injury solely to a scheduled member, then the scheduled injury section applies. See American Tank & Steel Corp. v. Thompson, 90 N.M. 513, 565 P.2d 1030 (1977); see also Newhoff v. Good Housekeeping, Inc., 94 N.M. 621, 614 P.2d 33 (Ct.App.1980). On the facts of this case, the scheduled injury section applies. See NMSA 1978, § 52-l-43(B) (Repl.Pamp. 1987).
Section 52-l-43(B) provides that if a workman suffers a partial loss of use of one of the members listed in subsection (A), compensation is to be computed on the basis of the degree of such partial loss of use, payable for the number of weeks applicable to the total loss or loss of use of that body member of physical function. The hearing officer properly determined that claimant sustained a partial percentage hearing loss.
There is a split of authority on the foreseeability of noise-induced hearing loss. The cases recognizing such a hearing loss as an “accidental injury” are more consistent with New Mexico case law, because they hold that either an unforeseen cause or an unforeseen result is sufficient to produce an “accidental injury.” See Lyon v. Catron County Comm’rs. Under these circumstances, we believe we should join those jurisdictions permitting recovery under the Workers’ Compensation Act. We therefore conclude that the hearing officer did not err in rejecting employer’s first argument.
II. Timeliness of Claim.
Employer has also argued that, even if the Workers’ Compensation Act is applicable, claimant failed to file a timely claim. The hearing officer found that claimant knew he had a compensable injury in 1984. Claimant did not give written notice to his employer, see NMSA 1978, Section 52-1-29 (Repl.Pamp.1987), and did not file suit within the time allowed by NMSA 1978, Section 52-l-31(A) (Repl. Pamp.1987).
Employer never filed a report of the accident. See NMSA 1978, § 52-1-58 (Repl. Pamp.1987). The hearing officer found that claimant’s action was not barred by the statute of limitations because of employer’s failure to file the report. See NMSA 1978, § 52-1-59 (Repl.Pamp.1987).
Prior to 1987, Section 52-1-58 required the employer to file a report, even if the employee did not miss any work. See 1986 N.M.Laws, ch. 22, § 21. The statute now requires that a report be filed only if an employee loses more than seven days. See 1987 N.M.Laws, ch. 235, § 27. In this case, claimant never lost any time from work because of his hearing loss.
Employer argues that it did not know that claimant had suffered an accidental injury, and therefore it could not have been expected to file an accident report. See Sanchez v. Bernalillo County, 57 N.M. 217, 257 P.2d 909 (1953). A worker cannot avoid the statute of limitations because of the employer’s failure to file a first report of accident where the employer had no reason to believe that a compensable injury had occurred. Id. Without sufficient notice of a compensable injury, the employer has nothing to report. Wilson v. Navajo Freight Lines, Inc., 73 N.M. 470, 389 P.2d 594 (1964). Employer contends the 1987 amendment is evidence of prior legislative intent and notes that claimant filed insurance claims relating to the hearing loss with the general medical insurance carrier. Nevertheless, the hearing officer determined that employer had adequate notice of the compensable injury. We agree.
Claimant testified that he told his supervisor, at the time he was fitted for hearing aids in 1984, that his hearing loss was work-related. That statement to claimant’s foreman is enough to satisfy the actual knowledge needed to excuse the written notice. Moorhead v. Gray Ranch Co., 90 N.M. 220, 561 P.2d 493 (Ct.App. 1977). We believe it should also be enough to satisfy the holding of Sanchez, and we so hold. The 1987 amendment is not applicable to this appeal, because suit was filed prior to its effective date. See N.M. Const, art. IV, § 34. We are not persuaded that it clarified legislative intent. Rather, it appears to have changed existing law. Therefore, the hearing officer properly found that the statute of limitations was tolled by the employer’s failure to file a report of the accident.
III. Admissibility of Evidence.
Employer’s third issue concerns the admission of evidence regarding hearing examinations that claimant underwent in 1971. The hearing officer ruled certain medical records were not admissible be cause they were not properly authenticated.
On appeal, employer contends that the records were not required to be authenticated under rules promulgated by the Workmen’s Compensation Administration. See NMSA 1978, § 52-5-4 (Repl.Pamp. 1987). The exhibit employer sought to introduce has not been made part of the record on appeal. We assume that the relevant medical records are those attached to plaintiff’s second amended answers to pre-trial interrogatories. If these are the records tendered, the information they contain seems to be cumulative of claimant’s, testimony that he had noticed a hearing loss in 1971. Thus, any error in refusing to admit the records would have been harmless. See State v. Romero, 94 N.M. 22, 606 P.2d 1116 (Ct.App.1980). In any event, because the argument raised on appeal was not raised below, no error has been preserved. SCRA 1986, 12-216.
CROSS-APPEAL
Claimant argues that it was error for the hearing officer to reduce his award by ten percent. The Workers’ Compensation Act allows a reduction in compensation based on the failure of the employee to use a safety device. NMSA 1978, § 52-1-10 (Repl.Pamp.1987). The employer is under a duty to allege the specific safety device that it is claimed an employee failed to use before the employer may claim a reduction of compensation. § 52-l-10(E). Claimant contends that employer was not entitled to benefit from the defense, because it was not raised in the pleadings. See Salazar v. City of Santa Fe, 102 N.M. 172, 692 P.2d 1321 (Ct.App.1983).
In Salazar, the issue of non-use of a safety device was not raised in any pleadings. However, employer requested findings on the issue, which the trial court failed to adopt. This court held that the trial court had found against employer on the issue.
In this case, the issue of non-use of a safety device also was not raised in the pleadings. However, the hearing officer made an affirmative finding that claimant failed to use specific devices provided by employer.
When issues not raised by the pleadings are tried by express or implied consent, they shall be treated in all respects as if they had been raised in the pleadings. SCRA 1986, 1-015(B). In this case, employer introduced evidence at the hearing on the availability of particular safety devices for hearing protection. Claimant did not object; in fact, claimant cross-examined the witness on whether use of the devices was mandatory and the method of enforcement. Under these circumstances, we conclude that the issue was tried by consent and that claimant’s cross-appeal has no merit. Claimant’s reliance on Salazar is misplaced.
CONCLUSION
For the reasons stated herein, we affirm the award of workers’ compensation benefits for gradual hearing loss with a ten percent reduction because of claimant’s failure to use safety devices. Claimant is awarded attorney fees on appeal in the amount of $1,500.
IT IS SO ORDERED.
DONNELLY, C.J., and ALARID, J., concur. | [
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OPINION
SOSA, Senior Justice.
FACTS
On May 7,1984 plaintiff, Gathman-Matotan Architects & Planners, Inc., filed an action for breach of contract in the district court of Santa Fe County. Defendant filed its answer on June 8, 1984 and demanded a jury trial on June 12, 1984. On April 16, 1987 plaintiff requested a hearing on the merits. On April 30,1987 defendant filed a response to plaintiff’s request for a hearing, arguing that a trial should not be set because the parties were not prepared, since neither party had conducted discovery or filed pretrial motions. Notwithstanding defendant’s opposition to plaintiff’s request for a hearing, the trial court advised both counsel by letter that the matter would be set for trial. His letter stated:
I have reviewed the Plaintiff’s request for hearing on the merits and the State’s response thereto. I am frankly surprised that this case survived my annual purge of inactive cases but now that the case has awakened from its slumbers, I think it appropriate to set it for trial.
On May 8,1987 the court filed a notice of hearing, setting the case for trial on November 16, 1987 with a pretrial conference set for August 6, 1987. On this same date, defendant filed a motion to dismiss, supported by memorandum and copies of certificates of service of interrogatories and a request for production of documents previously sent to plaintiff. Plaintiff submitted a memorandum in opposition to the motion to dismiss. On July 8, 1987 the trial court dismissed the case pursuant to Local Rule 43, based on the inherent power of the court to dismiss stale cases. Plaintiff filed a motion for reconsideration and to reinstate the case, both of which the court denied.
THE COURT’S INHERENT POWER TO DISMISS
The trial court’s July 8 order of dismissal states in part:
THIS MATTER came before the court upon the Defendant’s Motion to Dismiss for want of prosecution. The Plaintiff timely responded in opposition thereto. After careful review of the Motion, Response and Record, the court finds that the Plaintiff took no action whatsoever in this case except to file a Complaint on May 7, 1984 and a Request for Hearing on May 8, 1987. The court further finds that the matter should be dismissed pursuant to Local Rule 43 * * * *
On the sairte date the trial judge sent a letter to both counsel, which stated in part:
Thank you for your presentations on the Defendants’ [sic] Motion to Dismiss for lack of prosecution. Because the Motion and Response thereto are clear and comprehensive, the court finds no necessity for hearing in order to properly resolve the matter.
Pursuant to Local Rule 43 and the inherent power of the court, I find that there has been no activity in this case for nearly three years and, therefore, dismiss it. Under that rule, the Plaintiff may seek to reinstate the case, but, in my view, must offer a better reason than it has provided so far.
The First Judicial District Rule 43, Dismissal of Cases states in pertinent part:
(b) If an examination of the court file shows that no substantial activity has occurred in the action of a period of six (6) months or more, the action will be dismissed for lack of prosecution upon the following procedure:
1. the court shall issue an Order to Show Cause why the action should not be dismissed; and
2. the parties shall have ten (10) days within which to respond, in person or in writing, as the court may determine.
Rule 43 (1st Dist.1986), N.M.Loc. & Fed.R. Hnbk. (1987).
This rule gives the court authority to dismiss sua sponte a cause in which no substantial activity has occurred for a period of six months. It serves the purpose of controlling the court’s docket and can be used by a trial judge upon his examination of open case files. Plaintiff is in error to argue that because of SCRA 1986,1-041(E) the trial court was ousted of jurisdiction to exercise its inherent power to dismiss under Local Rule 43.
We have long recognized that a trial judge has the inherent power to dismiss cases for lack of prosecution independent of a rule or statute. Smith v. Walcott, 85 N.M. 351, 512 P.2d 679 (1973); Southwest Underwriters v. Montoya, 80 N.M. 107, 452 P.2d 176 (1969); Foster v. Schwartzman, 75 N.M. 632, 409 P.2d 267 (1965); City of Roswell v. Holmes, 44 N.M. 1, 96 P.2d 701 (1939); Mora v. Hunick, 100 N.M. 466, 672 P.2d 295 (Ct.App.1983). Recently we had occasion to decide another case involving this same issue, Jimenez v. Walgreens Payless and the Travelers Insurance Company, 106 N.M. 256, 741 P.2d 1377 (1987). Plaintiff relies on this case as support for the proposition that a motion filed under SCRA 1986, 1-041(E) takes precedence over a local rule of court, so that a trial court attempting to dismiss a case under a local rule must abide strictly by the requirements of SCRA 1986, 1-041(E) before it can properly dismiss a case. We did not say this in Jimenez.
In Jimenez the major error committed by the court was its failure to adhere to the requirements of either SCRA 1986, 1-041(E) or Local Rule 43 by affording the aggrieved party a hearing. This was an especially egregious error when one considers that the local rule specifically mandates a hearing. In the case before us, on the other hand, the trial court avoided this error by giving the parties opportunity for a hearing on defendant’s motion to dismiss, and specifically left open the possibility of plaintiff’s filing a motion to reinstate the case. We thus conclude that the trial court did not err in applying its inherent power to dismiss plaintiff’s case under Local Rule 43. Consequently, we affirm the decision of the trial court.
IT IS SO ORDERED.
SCARBOROUGH, C.J., and STOWERS, J., concur. | [
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OPINION
ALARID, Judge.
FACTS:
Plaintiff-Appellant/Cross-Appellee Mark Paternoster (plaintiff) sustained an accidental injury to his left hand while operating a table saw in the cabinet shop of DefendantAppellee/Cross-Appellant La Cuesta Cabinets, Inc. (La Cuesta). Insurer, DefendantAppellee/Cross-Appellant Rockwood Insurance Company (Rockwood) (collectively, defendants), timely paid plaintiff compensation benefits at the rate of $133.34 per week from September 11, 1980 to October 12, 1983, past the time of trial. The trial court determined that the healing period lasted from September 10, 1980 to May 9, 1982. On May 10, 1982, Rockwood unilaterally deemed future payments to be scheduled member benefits rather than temporary disability payments. However, the compensation rate paid remained at $133.34. The trial court determined that plaintiff had an 80% loss of the use of his left hand due to the accidental injury. Additionally, it found that plaintiff had developed a post-traumatic stress syndrome, a separate and distinct injury to his body as a whole. Also, the trial court found that La Cuesta failed to provide recognized safety devices.
The trial court concluded that after May 9, 1982 plaintiff was 20% disabled and, together with the 10% safety device penalty, was only entitled to receive $29.33, which is 22% of $133.34. The court then discussed a credit which was to be given in its judgment:
2. Plaintiff is awarded weekly benefits at the rate of Twenty Nine Dollars and Thirty Three Cents ($29.33) per week from May 9, 1982 until further order of the Court for a period not to exceed six hundred (600) weeks from September 10, 1980 subject to the following credits:
a) Defendants are awarded credit for total temporary disability payments paid from September 10, 1980 to May 9, 1982 for eighty six (86) weeks and four (4) days.
b) Defendants are awarded a credit for seventy four (74) weeks compensation benefits in the amount of Twenty Nine Dollars and Thirty Three Cents ($29.33) per week paid to Plaintiff on May 10, 1982 to October 12, 1983.
c) Defendants are awarded a credit against future weekly compensation benefits which may be payable to Plaintiff in the amount of Seven Thousand Six Hundred Ninety Six Dollars and Seventy Four Cents ($7,696.74) as the overpayment made by Defendants to Plaintiff from May 10, 1982 to October 12, 1983.
Both plaintiff and defendants interpret the judgment to mean that plaintiff will not receive any weekly benefits until $7,696.74 worth of credits have accrued to repay defendants for their prejudgment overpayments. According to the plaintiff, he has received no benefits since October 12, 1983, and, by the terms of the judgment, if he remains disabled to the extent of 20%, he will receive no weekly benefits for a period of more than five years.
While it is not clear from the judgment that the credit is to be applied in the .manner assumed by the parties, it is clear that the court granted some form of credit for the overpayment made between May 10, 1982 and October 12, 1983. On appeal, plaintiff raises an issue of first impression: whether an employer or his insurer (employer) are entitled to a credit against the amount of worker's compensation benefits ordered by the court for overpayment of compensation benefits prior to judgment; and, if so, whether the credit should be applied on a dollar-for-dollar basis or on another basis. We hold that an employer is entitled to a credit for overpayments made in good faith by mistake. Notwithstanding our conclusion that a credit is available, we reject the credit awarded below, which resulted in the immediate termination of post-judgment benefits, and remand for determination of a credit in accordance with the guidelines discussed in this opinion.
On cross-appeal, La Cuesta and Rock-wood raise three issues. They argue: (1) that the case should have been dismissed for premature filing; (2) that the trial court’s award of attorney fees was improper; and (3) that costs were awarded without proper notice to defendants pursuant to NMSA 1978, Civ.P. Rule 54(d) (Repl.Pamp. 1980). We affirm the trial court on all of these issues.
DISCUSSION
I. Credit for Overpayment
We note at the outset that New Mexico does not provide a statutory section in the Workmen’s Compensation Act (Act), NMSA 1978, Sections 52-1-1 to -69 (Orig. Pamp. and Cum.Supp.1984), which deals with the question of overpayment of prejudgment compensation benefits. While we normally would look to the Act for the rights, remedies, and procedures to be applied in any given case, Security Insurance Co. of Hartford v. Chapman, 88 N.M. 292, 540 P.2d 222 (1975), we are provided no direction with regard to the availability of overpayment credit. However, where no guidance is given, “fundamental fairness” must be our guideline. Transport Indemnity Co. v. Garcia, 89 N.M. 342, 552 P.2d 473 (Ct.App.1976).
Other jurisdictions do make available a credit for prejudgment overpayments. One approach, by statute, is to provide a dollar-for-dollar credit against future disability payments under circumstances similar to the present case. Belam Florida Corp. v. Dardy, 397 So.2d 756 (Fla.App.1981). Another approach, under statutory authorization, has mandated that dollar-for-dollar credit is not to be applied to reduce the amount of the periodic payments. Instead, dollar-for-dollar credit is applied to reduce the period for which compensation is due and still maintain the periodic level of payment. Dodgen v. St. Paul Fire & Marine Insurance Co., 138 Ga.App. 499, 227 S.E.2d 64 (1976) (decided under pre1978 statute); Jacks v. Banister Pipelines America, 418 So.2d 524 (La.1982) (decided under pre-1983 statute).
Some jurisdictions, even in the absence of statutory authority, provide a dollar-for-dollar credit against future disability payments for earlier overpayments in benefits. Wilson Food Corp. v. Cherry, 315 N.W.2d 756 (Iowa 1982); Hudson v. Kaiser Steel Corp., 662 P.2d 29 (Utah 1983). In Cherry, such a credit resulted in a reduction of the compensation period. In Hudson, the credit resulted in the termination of all future periodic payments because the large overpayment actually exceeded the amount of future compensation due under the award.
Perhaps the clearest rationale for the application of credit is found in Western Casualty & Surety Co. v. Adkins, 619 S.W.2d 502, 503-04 (Ky.App.1981), where the Kentucky Court of Appeals concluded:
In our view, the voluntary payment of compensation benefits during the pend-ency of [compensation] proceedings ... is a matter of great importance to an injured worker and should not be discouraged. Any statutory interpretation which would penalize an employer who voluntarily makes weekly payments to an injured employee in excess of his ultimate liability would certainly discourage voluntary payment by his employers and would therefore constitute a disservice to injured workers generally.
Underlying all these cases is the recognition that a substantial benefit accrues to an employee where the employer makes prejudgment payments under the good faith belief that he (the employer) is discharging his obligation under workmen’s compensation law. We agree with the policy of encouraging voluntary, prejudgment payments. The employer, in so making these payments, furthers the prime goal of the Act, which is to protect an employee against want, and to prevent an employee from becoming a public charge. Boughton v. Western Nuclear, Inc., 99 N.M. 723, 663 P.2d 382 (Ct.App.1983). Using “fundamental fairness” as our guideline, therefore, we believe it equitable to acknowledge, in some fashion, the employer’s prejudgment payment contribution. We conclude that a credit is appropriate for overpayments made under the employer’s good faith belief that he is discharging his statutory obligation. In so concluding, we presuppose that the prejudgment overpayments are intended by the employer to be compensation payments, and not a mere gratuity. If, from the circumstances of the individual case, it is found that an employer intended to offer a gratuity to the employee, obviously no credit would then be forthcoming. See Roybal v. County of Santa Fe, 79 N.M. 99, 440 P.2d 291 (1968).
Our next concern involves the manner in which the credit is to be applied. The trial court, in ordering the credit, found Smith v. Trailways Bus System, 96 N.M. 79, 628 P.2d 324 (Ct.App.1981), controlling. We disagree that Smith is dispositive of the issue. Smith dealt with the application of Section 52-1-47(D) of the Act, which addresses the limitation on benefits for successive injuries to the same member, or function. The court, relying on Gurule v. Albuquerque-Bernalillo County Economic Opportunity Board, 84 N.M. 196, 500 P.2d 1319 (Ct.App.1972), interpreted the statute to prohibit benefits for a subsequent injury where those benefits would duplicate benefits for a prior injury to the same member or function. The court then affirmed the trial court’s reduction of a 1980 benefits award by the amount of a previous award covering the same period of weeks. Smith, 96 N.M. at 83, 628 P.2d 324. Credit was not granted for an employer’s voluntary overpayment of prejudgment benefits. There was no overpayment issue involved in Smith upon which the court focused. The court merely affirmed a modification of a subsequent award designed to eliminate the overlap in benefits between the subsequent award and a prior' award.
We assume, as the parties have assumed, that the trial court interpreted Smith as applying a dollar-for-dollar credit against future payments, with the result that no benefits would be available to plaintiff until the overpayment is recaptured. However, this is an erroneous interpretation of the application of credit in Smith. In fact, the trial court in Smith actually computed the potential value of the subsequent award based on the number of weeks of available benefits, and then proceeded to reduce that value by the amount still to be paid under the prior judgment. Id. The effect was to prorate the duplicate amount of the prior judgment over the remaining number of weeks under the subsequent award. This proration served to reduce the weekly periodic payments; but it did not serve to terminate payments as does the application of credit in the present case.
Unless the overpayment equals or exceeds the value of the compensation award, a situation which is not before us and as to which we explicitly reserve judgment, an award of credit should be fashioned to avoid immediate termination of benefits because such termination violates the central scheme of the Act. In order to achieve the goal of protecting an employee against want, and preventing his dependence on the public rolls, Boughton v. Western Nuclear, Inc., the Act creates a scheme whereby an injured worker who is partially disabled shall be entitled to receive periodic compensation benefits for a period of up to 600 weeks, for as long as he remains disabled. Section 52-1-42. The Act orders that disability payments be made by employers at regular intervals during the continuance of the disability. Section 52-l-38(A). Furthermore, such payments are to be made in an installment form, with the first installment to be paid not later than thirty-one days after the occurrence of the disability, and remaining installments to be paid twice a month at intervals not more than sixteen days apart. Section 52-l-30(A). Awards of a lump sum payment, which discharges an employer’s liability for compensation, are considered the exception under the Act, rather than the rule. Section 52-l-30(B); Arther v. Western Co. of North America, 88 N.M. 157, 538 P.2d 799 (Ct.App.1975). We have judicially recognized that this scheme of periodic, regular payment serves the best interest of the employee because the payments “supply, in a measure, the loss of a regular pay check.” Codling v. Aztec Well Servicing Co., 89 N.M. 213, 215, 549 P.2d 628, 630 (Ct.App.1976).
Under the present credit scheme we are confronted with the reality that, despite his disability, plaintiff will not receive periodic benefits until over five years have elapsed from the date of judgment. Clearly, this application of credit does not conform to the scheme of the Act, where payments are to be coextensive with disability. Any immediate termination of benefits during a period of disability is, likewise, violative of the Act.
We are not alone in our proscription of this type of credit. The Supreme Court of Kansas similarly rejects any credit procedure where an employer’s overpayments are deducted from future payments due an employee. Johnson v. Tony’s Pizza Service, 232 Kan. 848, 658 P.2d 1047 (1983). Kansas provides a special reimbursement fund for employers who have overpaid pri- or to judgment. The administrators of the fund contended in Johnston that they were not liable to the employers under the circumstances of that case, and argued that the proper remedy for the employers was a deduction from future disability payments. The court rejected this approach with the following reasoning:
Claimant Donna Pruyn’s award of $77.28 a week was reduced by the district court to $12.88 per week for 387.13 weeks with the total overpayment being $1,159.20. Therefore, 81 weeks would have to elapse before Ms. Pruyn could receive another check if this method [deductions from future payments] of reimbursement were utilized. Did the Legislature intend to leave it to the employer and insurance carrier to decide whether to repay themselves immediately, at the end of the payment period, or by deduction of a percentage each week? Such an intent would be highly unlikely and out of keeping with the philosophy of workers’ compensation.
232 Kan. at 850-51, 658 P.2d at 1049 (emphasis added).
Because we disallow the form of credit applied in this case, we must decide what constitutes an appropriate form of credit so as to give meaning to our holding. We do not, however, decide on one exclusive form of credit, but rather authorize the trial court to make a choice from one of several acceptable schemes, dependent upon the circumstances of each case. First, a credit which serves to shorten the compensation period while providing for immediate post-judgment payments of disability is, in our view, one acceptable credit. See Dodgen v. St. Paul Fire & Marine; Jacks v. Banister Pipelines America. Under this credit, the amount of overpayment would be deducted from the total value of the award. Payments would commence immediately after judgment but, because of the reduction, would run over a shorter number of weeks. We have no doubt that a worker could, in fact, be seriously inconvenienced by such a shortening of the maximum number of weeks. However, we see this approach as a possible equitable balance between the goals of the Act relating to compensation, and our recognition that “fundamental fairness” must be employed on the issue of overpayment. By not immediately terminating post-judgment benefits, we adhere to the policies of the Act. By shortening the compensation period, we provide for a credit.
Second, a credit applied under Smith is also an acceptable credit, provided, however, that no significant reduction occurs in the amount of each payment. Such a reduction would undermine the specific goal of the Act to supply the loss of a regular pay check. Codling v. Aztec Well Servicing Co. We are aware that “significant reduction” is an imprecise term. However, we know of no other way of formulating a general rule as to credit. We leave the determination of what constitutes “significant reduction” to the trial court, to be applied under the circumstances of each individual case.
In addition to these forms of dollar-for-dollar credit, a credit is also available based upon the number of weeks for which the overpayments are made. This credit represents another way of shortening the compensation period. We note that, in its judgment, the trial court already provided defendants with a credit of seventy-four weeks for prejudgment payments in the amount of $29.33. These weeks are to be deducted from the maximum period of 600 weeks. See § 52-1-42. We recognize also that other jurisdictions provide credit for prejudgment disability payments, based upon the number of weeks such payments are made. Humpty Dumpty v. Moorehead, 569 P.2d 998 (Okl.1977). We see no reason why the overpayment may not be credited in this fashion. The overpayments are, in essence, equivalent to prejudgment disability payments for which credit on the week-by-week basis is already given. Therefore, in the present case, this method would reduce the compensation period by an additional seventy-four weeks beyond that credit already specified in the judgment. While a dollar-for-dollar recovery is not realized under this method, it is, nevertheless, an option where a dollar-for-dollar credit would effectively undermine the goal of providing the employee with a periodic amount during the period of disability.
To summarize, although we disallow the credit awarded on the facts of this case, we hold that the trial court has discretion to make an award of credit which balances the compensation goals of the Act against the principle of fundamental fairness toward the employer. The trial judge must take into account the following factors: (1) the circumstances under which overpayment occurred, and (2) the impact of a dollar-for-dollar credit on the value of periodic payments awarded to the worker.
If an employer intended overpayments to represent a gratuity, no credit is available. If an employer for some reason acted in bad faith in making the overpayments, no credit is available. If the employer did not act gratuitously, nor in bad faith, and if a dollar-for-dollar credit would not undermine the compensation goals of the Act, then the trial court should order such a credit. If, however, a dollar-for-dollar credit is inappropriate on such a basis, then the trial court may order a week-for-week credit.
II. Premature Filing
Defendants claim that the case should have been dismissed as having been prematurely filed. Section 52-1-69 provides:
No claim shall be filed by any workman who is receiving maximum compensation benefits; provided, however, a workman claiming additional compensation benefits, because of his employer’s alleged failure to provide a safety device, may file suit therefor, but in such event only the safety device issue may be determined therein.
Defendants contend that, since plaintiff was receiving maximum compensation benefits, the case was prematurely filed by plaintiff for any claim other than the safety device issue. Defendants’ pretrial motion on this ground was denied. The trial court denied the motion to dismiss for premature filing for the following reason:
The basis for payments to date is scheduled injury and because I am of the opinion that this is not a scheduled injury case, I find that the Plaintiff stood a risk of letting the statute of limitations run before the scheduled injury benefits terminated^] the case was not prematurely filed.
The trial court was correct in its ruling. After May 9, 1982, Rockwood notified plaintiff that future payments would be made as scheduled injury benefits for a 60% disability for loss of use of the non-dextrous hand. However, rather than paying benefits as required by the statute, Section 52-1-43, which would have been $80.00 per week for a period of 110 weeks (60% of plaintiff’s maximum weekly benefits), Rockwood paid $133.34 per week (maximum weekly benefits) for a period of sixty-six weeks. Sixty-six weeks is 60% of the 110 weeks provided for in Section 52-1-43(A). Apparently, $133.34 would be the maximum benefit available to plaintiff under total disability. In other words, instead of paying plaintiff 60% compensation for the required number of weeks under the statute, Rockwood paid the maximum benefits for 60% of the weeks required by the statute. Defendants argue that, since maximum weekly benefits available for total disability were being paid, the action filed by plaintiff was premature under Section 52-1-69.
Because of Rockwood’s method of paying compensation, plaintiff claims he was left with the following two choices:
1. Do I wait until the end of sixty-six (66) weeks to assert my claim for benefits exceeding 60% disability to the hand under the Scheduled Injury Section and then be faced with the claim that the Statute of Limitations bars my claim for benefits?
2. Do I file my claim for benefits in excess of the 60% Scheduled Injury benefits to the hand and be faced with the claim that my lawsuit is premature?
Plaintiff chose the latter course.
Maximum compensation benefits, as used in Section 52-1-69, refers to maximum compensation benefit payments for disability. Minnerup v. Stewart Brothers Drilling Co., 93 N.M. 561, 603 P.2d 300 (Ct.App.1979); Rollins v. Albuquerque Public Schools, 92 N.M. 795, 595 P.2d 765 (Ct.App.1979). It is clear that compensation benefits for 60% disability for loss of use of a scheduled member are not maximum compensation benefits under the statute. Furthermore, at the commencement of this scheduled member payment period, Rockwood declined to make benefit payments for a separate and distinct psychiatric impairment. Plaintiff then promptly filed his complaint, knowing at the time that he had sustained a psychiatric impairment. He sought disability benefits in excess of the 60% scheduled injury benefits which Rockwood intended to pay.
We will not sustain defendants’ claim that they were paying maximum compensation benefits when Rockwood, in fact, was denying benefits for psychiatric impairment and paying scheduled member benefits based on a 60% disability. We see this action as amounting to a refusal to compensate for more than a scheduled injury. Such refusal commences the statute of limitations from the date of notice that other benefits will not be paid. Gonzales v. Gackle Drilling Co., 67 N.M. 130, 353 P.2d 353 (1960). Plaintiff did not prematurely file his claim because the refusal required the filing of the claim to prevent the running of the statute. Id. The trial court is affirmed on this issue.
III. Attorney Fees
Defendants challenge the trial court’s award of attorney fees on three grounds: First, they allege that the trial court abused its discretion in awarding attorney fees to plaintiff because (a) compensation benefits were not refused and, therefore, he is not entitled to attorney fees, (b) the award of attorney fees is grossly disproportionate with the amount of compensation awarded, and (c) plaintiff did not collect compensation in excess of the amounts offered by defendants prior to the filing of the lawsuit; second, defendants argue that the trial court erred in failing to consider the present value of the award and the amount of attorney fees normally charged; and third, that the trial court failed to consider the conduct of plaintiff’s attorneys in refusing to engage in good faith settlement negotiations.
The amount of attorney fees awarded in a case are within the discretion of the trial court, and the trial court should be affirmed unless it acted beyond reason. Bufalino v. Safeway Stores, Inc., 98 N.M. 560, 650 P.2d 844 (Ct.App.1982). Judicial discretion is an equitable determination of what is just and proper under the circumstances; judicial discretion is abused when the action taken is arbitrary and capricious. Alber v. Nolle, 98 N.M. 100, 645 P.2d 456 (Ct.App.1982). An abuse of discretion occurs when the court acts in an arbitrary and capricious manner. State v. Madrigal, 85 N.M. 496, 513 P.2d 1278 (Ct.App.1973). An abuse of discretion is an act of the court exceeding the bound of reason. Wirth v. Commercial Resources, Inc., 96 N.M. 340, 630 P.2d 292 (Ct.App.1981).
After the trial in this case, a supplemental hearing was held September 9, 1983 in which the court heard evidence on the issue of attorney fees and argument on issues regarding payment of deposition costs and the defendants’ claim for credit for overpayment. The matter of plaintiff’s claim for attorney fees was submitted to the court upon deposition, affidavits and testimony from two attorneys. The trial judge entered a letter opinion dated October 4, 1983 in which he stated:
I have reviewed the file, including all depositions, and affidavits and the testimony of Mr. O’Friel and the deposition of Judge Franchini. Taking all of this into account, plus my own observations and experience on the bench, and applying the standards of Fryar v. Johnsen, I will award $14,000.00, plus gross receipt tax as attorney’s fees. [Emphasis in original.]
Plaintiff and defendants then submitted requested findings of fact and conclusions of law on the issue of attorney fees, and the trial court entered its findings of fact and conclusions of law which carefully set forth the basis for the court’s opinion on this issue.
The trial court stated that all depositions were reviewed in connection with its determination on this issue. The depositions of ten witnesses were taken in connection with this case. The trial of the case took two days, plus a further hearing and supplemental deposition subsequent to trial on the merits. The trial court found that plaintiff’s attorneys had expended 325 hours in preparation and trial time, and the court’s findings of fact show that the court had a substantial evidentiary basis for making its determination and carefully considered and evaluated the various factors required to be considered in making an award of attorney fees in worker’s compensation cases under Fryar v. Johnsen, 93 N.M. 485, 601 P.2d 718 (1979). The trial court did not abuse its discretion and, therefore, defendants’ Points 11(B) and (C) (as listed in defendants’ brief-in-chief) are without merit since the record indicates a careful consideration of these issues by the trial court.
Defendants’ contention, furthermore, that plaintiff’s compensation benefits were not refused has been answered under our discussion of premature filing. We concluded that, in effect, there was a refusal to pay all benefits to which the plaintiff was entitled. Defendants’ contention is without merit.
As for defendants’ argument that the trial court erred in not considering the amount of fees normally charged in the community, it should be noted that defendants did not request a finding of fact on this issue. This failure to request a finding precludes a review of the claim of error on appeal. Lopez v. K.B. Kennedy Engineering Co., 95 N.M. 507, 623 P.2d 1021 (Ct.App.1981).
As for defendants’ argument that ' the trial court erred in not making a specific finding and conclusion as to the present value of the award, for which a finding was requested, it has been held that the trial court is not required to make a finding of fact on each factor set forth for attorney fee determination under Fryar v. Johnsen. Salazar v. Pioneer Paving, Inc., 99 N.M. 744, 663 P.2d 1201 (Ct.App.1983). The requirement is that there be some, evidence that the factors were considered by the trial court. Id. In the case at bar, the court’s findings and conclusions make it clear that the court was aware of the nature and extent of benefits awarded and took these factors into consideration. Defendants’ argument on this point is likewise without merit.
Defendants finally assert that the trial court erred in failing to consider the alleged failure of plaintiff’s attorneys to engage in good faith settlement negotiations. The only authority cited by defendants in support of this bold assertion is a case which generally extolls the virtue of settlement versus litigation. See, e.g., Ratzlaff v. Seven Bar Flying Service, Inc., 98 N.M. 159, 646 P.2d 586 (Ct.App.1982). The authority cited is insufficient and, again, the record in this case documents a thorough and well-reasoned evaluation of all relevant factors by the trial court in determining the award of attorney fees. We affirm the trial court on this issue.
Notice of Costs Award
Point V of defendants’ brief-in-chief asserts that the trial court erred in making an award of costs without notice to defendants pursuant to Civ.P. Rule 54(d). Rule 54(d) requires one day’s notice. However, Rule 54(d) by its own terms does not apply when a statute expressly provides for an award of costs. The Act provides for costs under Section 52-1-35. No notice is required. Defendants’ issue is without merit.
The trial court is reversed on the issue of the credit awarded to defendants, and the cause is remanded to the district court with instructions to fashion a credit consistent with the guidelines expressed in this opinion. The trial court is affirmed with regard to all other issues raised by defendants.
Plaintiff is awarded $2,500.00 plus gross receipts tax for attorney fees on appeal. Defendants shall bear the costs on appeal. Reversed in part and affirmed in part.
IT IS SO ORDERED.
DONNELLY, C.J., and MINZNER, J„ concur. | [
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] |
OPINION
ALARID, Judge.
This case involves the natural father’s appeal from an adverse trial court order terminating his parental rights, pursuant to NMSA 1978, § 40-7-4(B) (Repl.Pamp.1983). We reverse and remand.
. The natural father (hereafter referred to as Respondent) married the natural mother (hereafter referred to as Petitioner) on September 28, 1979. They had a child, John Doe, the subject of an adoption proceeding related to this case. The natural parents were separated in May 1981, and received a divorce in California, where the parties were living, in December of that year. The Petitioner was awarded custody of the child and the Respondent was ordered to pay $75.00 per month in child support. Respondent was unemployed at that time.
Petitioner moved to Clovis, New Mexico in February 1982, with her child, to live with a man she subsequently married and who is seeking to adopt the child. They were married in September 1982. On March 3, 1983 the step-father filed a petition to adopt John Doe. The natural mother joined in this petition which also sought to terminate Respondent’s parental rights. Pursuant to that petition, the trial court, on July 12, 1983, terminated Respondent’s parental rights and allowed the Petitioners to proceed with the adoption of the minor child. Respondent appeals from this decision, but the Petitioners, as appellees, did not file an answer brief.
A guardian ad litem was not appointed for the child in the parental termination proceeding below. NMSA 1978, § 40-7-4(1) (Repl.Pamp.1983) states, “The court shall appoint a guardian ad litem for the child in all contested proceedings for termination.”
The statute is mandatory in its terms. See Security Trust v. Smith, 93 N.M. 35, 596 P.2d 248 (1979). Absent the appointment of a guardian ad litem for the child, the judgment has no binding effect. We need not reach any other issue.
Accordingly, we reverse with directions to set aside the judgment of the trial court, appoint a guardian ad litem for the child, pursuant to Section 40-7-4(1), and proceed anew.
IT IS SO ORDERED.
HENDLEY and BIVINS, JJ„ concur. | [
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] |
OPINION
STOWERS, Justice.
Mountain States Legal Foundation (MSLF), on behalf of its New Mexico members and the New Mexico Cattle Growers Association, petitioned for removal of this case to this Court pursuant to N.M. Const, art. XI, Section 7 (Cum.Supp.1984). MSLF contends that an order of the New Mexico State Corporation Commission (Commission) exempting certain residents from telephone rate increases exceeds the Commission’s constitutional authority. The Commission ordered that participants in certain public assistance programs, who have attained the age of 62 years or older, are heads of households and have a telephone listed in their name, are exempt from telephone rate increases. We reverse the Commission.
The only issue we discuss is whether the Commission has the constitutional authority to establish the telephone discount rate program.
On August 20, 1982, under Docket No. 1002, Mountain States Telephone and Telegraph Company (Mountain Bell) applied to the Commission for approval to increase its rates and charges to provide additional revenues of approximately $76.6 million. After public hearings, the Commission on February 14, 1983 determined in its final order that Mountain Bell had a right to collect $29,985 million in additional revenues from its customers. However, the final order included a provision exempting certain residential telephone customers from rate increases. The Commission order provided that residential rates would be frozen for individuals 62 years of age or older who were participants in any one of the following programs administered by the Human Services Department of the State of New Mexico: (1) Aid to Families with Dependent Children; (2) Low Income Home Energy Assistance Program; (3) Supplemental Security Income; or (4) Food Stamps. The applicant also had to be head of his household and have a telephone in his own name.
The telephone discount rate program was established as a pilot program and was scheduled to run only until January 1,1984. However, in a subsequent application for a rate increase of approximately $86.1 million filed by Mountain Bell under Docket No. 1032, the notice order issued by the Commission stated that it would be considering “socio-economic matters, e.g. elderly poor rate freeze.” On December 16, 1983, the Commission issued its final order in Docket No. 1032, which contained a provision extending the telephone discount rate program until December 31, 1985. After a request for rehearing was denied, MSLF requested the Commission to issue an order of removal to this Court. For purposes of this removal proceeding, Docket No. 1002 and Docket No. 1032 have been consolidated.
The standard for reviewing orders of the Commission in a removal proceeding is governed by N.M. Const, art. XI, Section 7 (Cum.Supp.1984). It provides that this Court shall decide such cases on their merits. See also Mountain States Telephone & Telegraph Co. v. Corporation Commission, 99 N.M. 1, 653 P.2d 501 (1982). The standard of review was stated in General Telephone Co. of the Southwest v. Corporation Commission, 98 N.M. 749, 753, 652 P.2d 1200, 1204 (1982):
[W]e confirm the rule applicable in removal cases to be that under N.M. Const., Art. XI, § 7, this Court is not a ratemaking body and has no, authority to determine what is a fair rate, but this Court will weigh the evidence to arrive at an independent determination as to whether the order entered by the SCC is just and reasonable * * *.
Therefore, this Court must make an independent judgment as to whether the various components of the Commission’s order are just and reasonable.
The requirement that all rates set by the Commission be “just and reasonable” acts as a limitation upon the Commission’s ratemaking authority. N.M. Const, art. XI, § 8; NMSA 1978, § 63-7-6. Under the Commission’s telephone discount rate program, persons receiving similar service from the telephone company under substantially similar circumstances are being charged different rates. Establishing a telephone discount rate program which differentiates between economically needy individuals who receive the same service is unjustly discriminatory. Cf. Mountain States Legal Foundation v. Public Utilities Commission, 197 Colo. 56, 590 P.2d 495 (1979) (discount gas rate plan which differentiates between economically needy individuals is unjustly discriminatory).
Although the Commission has been granted broad rate making powers by the New Mexico Constitution, the power to effect social policy through preferential rate making is not permitted. To find otherwise would empower the Commission to create a special rate for any group it determined to be deserving. The Commission lacks the authority to effect social programs through its rate making process. See Colorado Municipal League v. Public Utilities Commission, 197 Colo. 106, 591 P.2d 577 (1979) (public utility commission lacks authority to effect social legislation by ordering that pay phone rates be reduced according to age and indigency classifications). Establishing social programs to aid the elderly and indigent or any other segment of our society is the proper function of the Legislature. See, e.g., Utility Supplement Act, NMSA 1978, §§ 27-6-1 to -10 (Repl.Pamp.1984); Low Income Utility Assistance Act, NMSA 1978, §§ 27-6-11 to -16 (Repl.Pamp.1984). We therefore hold that the provisions of the rate orders in Docket No. 1002 and No. 1032 providing for the telephone discount rate program are invalid.
Having determined that the Commission lacks the authority to order the telephone discount rate program, we find it unnecessary to address whether the Commission failed to satisfy the procedural prerequisites for establishing the program.
We remand this case to the Commission with directions to amend its rate orders in a manner consistent with this opinion.
IT IS SO ORDERED.
FEDERICI, C.J., and RIORDAN, J., concur. | [
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OPINION
SOSA, Senior Justice.
Plaintiff Hugh Hood (Hood) brought an action in Chaves County for breach of warranty and negligence against defendant Rayford Fulkerson (Fulkerson), a plumbing subcontractor. Hood requested compensatory and punitive damages under the breach of contract action. Hood alleged improper and negligent installation of water lines by Fulkerson in twenty-three townhouses he purchased in Roswell. The water lines were installed in the attics of the townhouses and after freezing, certain of the lines burst causing water damage.
The jury returned a verdict in favor of Hood for $13,500.00 on the breach of war ranty action. The jury also found Hood had suffered $50,000.00 in damages under the negligence claim, with forty percent attributable to the negligence of Fulkerson. A directed verdict was granted in favor of Fulkerson on Hood’s claim for punitive damages.
After the jury returned the verdict, the court questioned the jury concerning its understanding of the damages instructions. The foreman responded that the jury understood and followed the court’s instructions. The foreman then stated: “We added the warranty to the other. We added $13,500.00 to the figure to make it $50,-000.00.” The court then released the jury without further instructions or deliberation as to the damages regarding breach of warranty or negligence.
In converting the jury verdict into a judgment, the trial court deducted the $13,-500.00 award for breach of warranty from the $50,000.00 the jury had awarded for the negligence claim. The trial court arrived at a damage award for negligence of $36,-500.00. The court then took forty percent (40%) of $36,500.00, arriving at $14,600.00 as the amount attributable to the negligence of Fulkerson. This was based on the jury’s finding that Fulkerson was forty percent (40%) at fault. Hood was instructed by the trial court to make an election between the $14,600.00 negligence award and the $13,500.00 breach of warranty award.
Hood is not challenging the jury findings as set forth in the verdict, but he challenges the manner in which the trial court converted the jury verdict into a judgment.
The issues on appeal are: (1) whether the trial court invaded the province of the jury by changing the negligence amount originally awarded by the jury from $50,000.00 to $36,500.00; (2) whether Hood is entitled to recover under both the breach of warranty theory and the negligence theory; and (3) whether the trial court erred in granting a directed verdict on the issue of punitive damages.
Jury Verdict
A similar issue was settled by this court in McKinney v. Smith, 63 N.M. 477, 322 P.2d 110 (1958). In McKinney there was confusion as to whether the jury had deducted a payment of $985.00 the defendant had already discharged to the plaintiff from the damages finding of $1500.00 the jury returned in its verdict. Prior to the verdict the trial court was questioned by the' jury as to whether it should deduct the $985.00 from the damage award. After returning a verdict of $1500.00 damages award, the jury was released by the court.
An affidavit signed by all the jurors in McKinney was submitted to the court by the defendant. The affidavit maintained that the jury had intended for the court to subtract the $985.00 from the $1500.00 jury verdict. The trial court subsequently subtracted the $985.00 and entered a judgment for $515.00 instead of the $1500.00 award in the verdict.
On appeal, this Court noted the established rule that a mistake in a jury verdict cannot be impeached by affidavits of the jurors. See Biebelle v. Norero, 85 N.M. 182, 510 P.2d 506 (1973) (accuracy of a jury verdict cannot be impugned by affidavit). The McKinney opinion concluded that the proper time and manner to correct a jury verdict is (1) prior to the jury being discharged, and (2) by the jury themselves amending the verdict, not the court.
It is also within the exclusive province of the jury to determine the proper amount for damages. Sanchez v. Martinez, 99 N.M. 66, 653 P.2d 897 (Ct.App.1982). The Sanchez opinion states that on “return of a mistaken or ambiguous verdict by the jury the trial court should direct the jury to return to the jury room to agree upon a corrected form of verdict upon further deliberation.” 99 N.M. at 72, 653 P.2d 903.
In the instant case, if the court felt the jury verdict was not clear or correct, it should have instructed the jury to amend the verdict to clearly state the wishes of the jury. It was an invasion of the prov ince of the jury for the court to amend the jury verdict as it did here. See McKinney. The $50,000.00 damage award for negligence in the jury verdict must stand. Hood is entitled to forty percent (40%) of the $50,000.00 as his award. This would bring his award for damages on the negligence claim to $20,000.00.
Election of Remedies
The general theory of damages is to make the injured party whole. Topmiller v. Cain, 99 N.M. 311, 657 P.2d 638 (Ct.App.1983). Duplication of damages or double recovery for injuries received is not permissible. Industrial Supply Co. v. Goen, 58 N.M. 738, 276 P.2d 509 (1954); Newcum v. Lawson, 100 N.M. 512, 672 P.2d 1143 (Ct.App.1983) (Newcum I). Where there are different theories of recovery and liability is found on each, but the relief requested was the same, namely compensatory damages, the injured party is entitled to only one compensatory damage award. See Clappier v. Flynn, 605 F.2d 519 (10th Cir.1979).
In a similar action involving damages surrounding the faulty installation of a water system, the case was submitted under two theories of liability, breach of contract and negligence. Greenwood Ranches, Inc. v. Skie Construction Co., 629 F.2d 518 (8th Cir.1980). The trial court granted the damages awarded for each theory. Citing Clappier, the United States Court of Appeals reversed, stating the “claim for damages cannot be multiplied by the number of theories under which the claim is asserted.” Id. at 521-522.
In the instant case the jury was given a general instruction on damages. Instructions were not submitted on the different elements of damages under each theory. Therefore, the trial court, having no basis to attribute particular kinds or amounts of damages, was correct in having Hood make an election as to damages.
Punitive Damages for Breach of Contract
The courts of New Mexico do not distinguish between tort and contract in' the application of punitive damages. State Farm General Insurance Co. v. Clifton, 86 N.M. 757, 527 P.2d 798 (1974); Robison v. Katz, 94 N.M. 314, 610 P.2d 201 (Ct.App.), cert. denied, 94 N.M. 675, 615 P.2d 992 (1980); Curtiss v. Aetna Life Insurance, 90 N.M. 105, 560 P.2d 169 (Ct.App.), cert. denied, 90 N.M. 7, 588 P.2d 619 (1976). See NMSA 1978, UJI Civ. 18.27 (Repl.Pamp.1980) (committee comment on tort and contract punitive damages).
Punitive damages cannot be established by mere negligence. Ramsey v. Culpepper, 738 F.2d 1092 (10th Cir.1984). Moreover, as this Court has previously stated,
Punitive or exemplary damages may be awarded only when the conduct of the wrongdoer may be said to be maliciously intentional, fraudulent, oppressive, or committed recklessly or with a wanton disregard to the plaintiffs’ rights:
Loucks v. Albuquerque National Bank, 76 N.M. 735, 747, 418 P.2d 191, 199 (1966).
Failure to disclose important information in a real estate transaction, if intentional, willful or wanton, can be the basis for a punitive damages award. See Newcum I. However, in an appeal from the second trial court proceeding following Newcum I, Newcum v. Lawson, 101 N.M. 448, 684 P.2d 534 (1984) (.Newcum II), the court of appeals concluded that a third party contractor could not be held responsible for punitive damages, even if he was responsible for the breach of warranty on a contract, if he did not make the material misrepresentations to the injured party.
In Newcum II, the court refused to assess punitive damages against the contractor, even though the contractor breached his warranty. There, the misrepresentation was made by the owner, who sold the home. The contractor had not dealt with the buyer. In the instant case, Fulkerson, a plumbing contractor, did not deal with Hood. Only Freeman, the general contractor and seller, dealt with Hood during the real estate transaction. Although Fulkerson was found to have breached the plumb ing installation warranty, the trial court found no evidence of misrepresentation or misconduct by Fulkerson that rose to the level of malicious, fraudulent, intentional, reckless or wanton conduct.
Directed Verdict
In a directed verdict the trial court determines the legal sufficiency of any asserted claim or defense. American Employer Insurance v. Crawford, 87 N.M. 375, 533 P.2d 1203 (1975). A claim must be dismissed as a matter of law if there is no basis in fact for the claim. Id. A directed verdict is not discretionary with the court. Archuleta v. Pina, 86 N.M. 94, 519 P.2d 1175 (1974).
For a claim to be legally recognized and enforceable, the evidence must support all issues of fact essential to maintain the claim. Crawford. A reviewing court and the trial court use the same standard of review for a motion for directed verdict, that of viewing all evidence, and reasonable inferences deducible therefrom, in favor of the party resisting the motion. Archuleta. See Skyhook Corp. v. Jasper, 90 N.M. 143, 560 P.2d 934 (1977).
After reviewing the evidence in light of the standard set out in Archuleta, we agree with the trial court that Fulkerson did not act in a manner to warrant an award of punitive damages against him. See Loucks v. Albuquerque National Bank. It was proper for the trial court to grant a directed verdict on the punitive damages issue.
For the reasons given above we reverse as to the amount of negligence damages awarded in the judgment, and affirm as to the issues of election of remedies and the granting of the motion for a directed verdict on punitive damages.
IT IS SO ORDERED.
FEDERICI, C.J., and STOWERS and WALTERS, JJ., concur.
RIORDAN, J., dissenting. | [
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OPINION
NEAL, Judge.
Plaintiff filed suit alleging defendant engaged in discriminatory employment practices as defined by NMSA 1978, § 28-1-7(A) (Repl.Pamp.1983), by terminating her employment due to her pregnancy and subsequently failing to rehire her after her recuperation. The defendant filed a motion to dismiss based on plaintiff’s failure to allege in her complaint that she filed a grievance with the Human Rights Commission under NMSA 1978, § 28-1-10 (Repl. Pamp.1983). The trial judge granted the motion, and plaintiff appeals from the order of dismissal.
The only issue presented is whether the compliance with the grievance procedure of the Human Rights Act, NMSA 1978 §§ 28-1-1 through -14 (Repl.Pamp.1983) is a prerequisite to suit under the Act. We hold that it is.
Plaintiff contends that the statutory language of Section 28-1-10 does not require the individual to file a complaint with the Human Rights Commission as a prerequisite to suit in District Court. The section states in subdivision A:
A. Any person claiming to be aggrieved by an unlawful discriminatory practice, and any member of the commission who has reason to believe that discrimination has occurred, may file with the commission a written complaint which shall state the name and address of the person alleged to have engaged in the discriminatory practice, all information relating to the discriminatory practice and any other information that may be required by the commission. All complaints must be filed with the commission within one hundred eighty days after the alleged act was committed.
Plaintiff relies on the wording, “may file * * * a written complaint,” stating use of “may” instead of “shall” shows the legislative intent that the procedure not be mandatory. In construing the statute we must ascertain the intent of the legislature. State v. Chavez, 77 N.M. 79, 419 P.2d 456 (1966). In doing so we consider the language of the Act as a whole. State v. Scarborough, 78 N.M. 132, 429 P.2d 330 (1967). Looking to the general scheme of the Act it can be seen that the Act provides the right, the procedure, and the remedy. The Act defines the prohibited conduct (§ 28-1-7), sets out the grievance procedure (§ 28-1-10), provides for a hearing by the Human Rights Commission (§ 28-1-11), provides that the attorney general or district attorney secure enforcement of the commission’s order (§ 28-1-12); and allows an appeal to the district court from the commission (§ 28-1-13) with a trial de novo. The comprehensive nature of the Act supports the conclusion that the legislature intended that the grievance procedure is mandatory when unlawful discriminatory practices are alleged.
The case law also supports such a conclusion. Generally, where “ ‘a statute creates a right and prescribes a remedy, the statutory remedy is exclusive.’ ” Walker v. Anaconda Co., 520 F.Supp. 1143, 1144 (D.Montana, Butte Div.1981), quoting Decorative Stone Co. v. Building Trades Council, 23 F.2d 426 (2nd Cir.1928). In Walker the court interpreted the Montana discrimination statute to be the exclusive remedy for discrimination. The court looked to the purpose of the act, to eliminate discrimination, and the means by which the purpose is to be accomplished. Rather than provide for private suits, the act prescribes a means similar to that of the New Mexico Act whereby the Human Rights Commission is empowered to remedy the discrimination. In Curtis v. Continental Illinois National Bank, 568 F.Supp. 740 (N.D.Ill.1983) the federal court reached the same result regarding the Illinois Act. The court stated that “where there exists a comprehensive legislative scheme, like the Illinois Human Rights Act * * * it would be improper to permit a direct suit which bypasses the procedural plan established by the legislature * * 568 F.Supp. at 742. The same result has been reached in federal cases implicating the New Mexico Human Rights Act. In Harris v. Ericson, 457 F.2d 765 (10th Cir. 1972), an action under the public accommodation provisions of 42 U.S.C.A. § 2000a-3(a) & (c), the court noted that New Mexico has a state law which prohibits the practice complained of and has created an administrative agency with the duty to attempt to remedy the proscribed practice, and concluded that the state must be given an opportunity to invoke its remedies, therefore, dismissal of the private cause of action was proper because the plaintiff failed to allege that he filed a grievance under the New Mexico Act. See also Mistretta v. Sandia Corp., 639 F.2d 588 (10th Cir.1980).
This court has previously indicated it would reach the same result. Although not specifically reaching the issue, this court found summary judgment proper when the plaintiff failed to follow the administrative grievance procedure of the Act, and stated with disapproval that, “It appears that plaintiff attempted to bypass her administrative remedies altogether and initiate an action for unlawful discriminatory practice in district court.” Dominguez v. Stone, 97 N.M. 211, 216, 638 P.2d 423, 428 (Ct.App.1981). While stating the summary judgment was proper, the court refused to discuss the propriety of the plaintiff’s procedure because it concluded that it lacked subject matter jurisdiction to review actions for unlawful discriminatory practices under Section 28-1-13. That section concerns appeals de novo from the commission to the district court. It states that the judgment of the district court is final, subject to appeal to the supreme court. We believe that section applies only to de novo appeals from a commission decision. Here the administrative procedure was never invoked. The district court action was not an appeal under Section 28-1-13. This court therefore has jurisdiction to affirm the dismissal of the complaint pursuant to NMSA 1978, Section 34-5-8(A)(l) (Cum.Supp.1984), which sets out the jurisdiction of the Court of Appeals.
Affirmed.
IT IS SO ORDERED.
DONNELLY, C.J., and WOOD, J„ concur. | [
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OPINION
HENDLEY, Judge.
National Potash Company (Taxpayer) appeals from a special order of the Director of the Property Tax Division (Director) affirming the Property Tax Division’s (Division) valuation of Taxpayer’s potash mine for the 1982 tax year. Taxpayer contends that NMSA 1978, Section 7-36-24 (Repl. Pamp.1983) violates N.M. Const, art. VIII, Section 1 by using production of the previous year as the value and that Section 7-36-24 creates an irrebuttable presumption of value in violation of the due process clause of the fourteenth amendment to the United States Constitution. These are matters of first impression in New Mexico.
We affirm.
Taxpayer owns the 360 acres where the mine is located except for the mineral rights, which are leased from the United States Bureau of Land Management. Taxpayer mined 276,828 tons of potash in 1981 and 22,019 tons of potash in 1982. The year 1981 was not profitable for Taxpayer and the mine was closed on February 3, 1982.
The two statutes involved in the calculation of Taxpayer’s 1982 taxes are NMSA 1978, Section 7-38-7 (Repl.Pamp.1983), and Section 7-36-24(B) and (E), which state in part:
7-38-7. Valuation date.
All property subject to valuation for property taxation purposes shall be valued as of January 1 of each tax year
7-36-24. Special method of valuation; mineral property and property used in connection with mineral property when the primary production from the mineral property is potash.
B. The value for property taxation purposes of improvements, equipment, materials, supplies and other personal property held or used in connection with all classes of potash mineral property is an amount equal to the market value of all mineral production from the potash mineral property for the prior year, less any royalties paid or due the United States, the state or any Indian tribe, Indian pueblo or Indian who is a ward of the United States. “Improvements” as used in this section includes surface and subsurface structures, but does not include pits, shafts, drifts and other similar artificial changes in the physical condition of the surface or subsurface of the earth produced solely by the removal or rearrangement of earth or minerals for the purpose of exposing or removing ore from a mine.
E. The value for property taxation purposes of class two and class three potash mineral property is an amount equal to fifty percent of the amount derived by deducting from the market value of all mineral production from the potash mineral property for the pri- or year any royalties paid or due the United States, the state or any Indian tribe, Indian pueblo or Indian who is a ward of the United States.
(Emphasis added.)
The parties’ calculations are as follows:
Division Taxpayer
360 acres
Property Value of Improvements
Property Value of Production
Total Property Value 27,026,190 2,527,302
Taxpayer’s New Mexico Summary of Property Subject to Property Taxes for 1982 report explains the basis for Taxpayer’s lower figures: “The mine was shut down on February 3, 1982 and, therefore, values based upon a full year of production would not properly reflect the true value of the property for 1982. To allow for this, figures in this return ... reflect 34/365 of the full year values.”
N.M. Const, art. VIII, Section 1 states:
Taxes levied upon tangible property shall be in proportion to the value thereof, and taxes shall be equal and uniform upon subjects of taxation of the same class. Different methods may be provided by law to determine value of different kinds of property, but the percentage of value against which tax rates are assessed shall not exceed thirty-three and one-third percent. (As amended November 3, 1914, and November 2, 1971.)
The second sentence was added by the amendment of November 1971.
Taxpayer’s challenge to the constitutionality of Section 7-36-24 is an attempt to avoid two aspects of the statutory method of valuation: 1) use of the year preceding the tax year, and 2) use of a base figure of market value of mineral production rather than actual sales or net profit.
Production as Value
Taxpayer argues that N.M. Const, art. VIII, Section 1, as interpreted in case law, “requires that value for property tax purposes be based upon actual fair market value----” Taxpayer challenges the base value used in Section 7-36-24: the market value of all mineral production for the year preceding the tax year. Taxpayer does not challenge the Division’s calculations from this base value to reach the assessed value. Taxpayer claims that the state constitutional provision prohibits the Division’s use (mandated by statute) of the 1981 mine production for the base value to calculate 1982 taxes.
Hardin v. State Tax Commission, 78 N.M. 477, 432 P.2d 833 (1967), is the basis of Taxpayer’s argument. In Hardin, the tax commission appealed from the district court’s reversal of the tax commission’s affirmance of the county assessor’s valuation of taxpayer’s property, a highrise, luxury apartment building in Albuquerque. The Supreme Court reversed the district court because the tax commission’s decision on review from the county board of equalization was supported by the record, and a reviewing court may not substitute its own judgment for that of the administrative body. The tax commission and tax payer did not dispute the method used to compute base value—anticipated earnings of the apartments. However, the taxpayer argued that in calculating the anticipated earnings the commission should have used a shorter useful life and that it erred in reducing certain operation costs. The Supreme Court found that the commission’s manner of calculation was supported by the record and, therefore, that the district court should not have done its own calculation.
Taxpayer relies on that part of Hardin which states:
Section 1, article VIII of the State Constitution, requires taxes levied upon tangible property to be in proportion to the value thereof____ The term “value” has been variously defined____ Generally the “reasonable cash market value” reflected by sales of comparable property is to be used if there have been such sales____ However, the record makes it clear that “value” of this apartment building could not be arrived at on the basis of comparable sales. In situations where, for one reason or another, property has no such “market value,” earning capacity, cost of reproduction and original cost less depreciation furnish proper criteria for consideration in determining value....
(Citations omitted.) The Supreme Court was concerned with the constitutional provision requiring that taxes upon tangible property be “in proportion to the value thereof.” However, this language does not say that “value” in the constitutional provision is defined as “market value”; it says that market value as determined by comparable sales is a method of calculating the base value. “Generally the ‘reasonable cash market value’ reflected by sales of comparable property is to be used ____” (Emphasis added.) Hardin. The court went on to approve other methods of determining value when market value could not be determined. Hardin approved certain methods of determining value for property taxation; however, it did not disapprove any method and does not support a theory that mine production of the preceding year is an unconstitutional method.
The foregoing analysis is further bolstered by the present statutory scheme which provides for special methods of valuation for certain classifications of property. NMSA 1978, §§ 7-36-20 to -33 (Repl. Pamp.1983). Property which is not covered by the special methods of valuation are covered by NMSA 1978, Section 7-36-15 (Repl.Pamp.1983), which reads in part:
7-36-15. Methods of valuation for property taxation purposes; general provisions.
B. Unless a method or methods of valuation are authorized in Sections 7-36-20 through 7-36-33 NMSA 1978, the value of property for property taxation purposes shall be its market value as determined by sales of comparable property or, if that method cannot be used due to the lack of comparable sales data for the property being valued, then its value shall be determined using an income method or cost methods of valuation. In using any of the methods of valuation authorized by this subsection the valuation authority shall apply generally accepted appraisal techniques.
As Subsection (B) makes clear, market value is not a given or an absolute, it is only a method of determining value.
Taxpayer cites La Jara Land Developers, Inc. v. Bernalillo County Assessor, 97 N.M. 318, 639 P.2d 605 (Ct.App.1982); Anaconda Co. v. Property Tax Department, 94 N.M. 202, 608 P.2d 514 (Ct.App.1979); Petition of Kinscherff 89 N.M. 669, 556 P.2d 355 (Ct.App.1976); Matter of Protest of Miller, 88 N.M. 492, 542 P.2d 1182 (Ct. App.1975); Property Appraisal Department v. Ransom, 84 N.M. 637, 506 P.2d 794 (Ct.App.1973); Kaiser Steel Corp. v. Property Appraisal Department, 83 N.M. 251, 490 P.2d 968 (Ct.App.1971); and AG Op. No. 61-93 (1961), for various propositions it contends lends support to its position. However, in light of the narrow question involved, the constitutional provi sion in conjunction with particular statutes, those cases are not applicable.
Irrebuttable Presumption
Taxpayer’s contention here is that use of the preceding year’s production creates an irrebuttable presumption which has no rational basis in fact and violates the due process clause of the fourteenth amendment of the United States Constitution. See J. Nowak, R. Rotunda & J. Young, Constitutional Law ch. 15, § II (2d ed. 1983). The doctrine has been described as follows: “A statute creating a presumption that is arbitrary or that operates to deny a fair opportunity to repel it violates the due process clause of the Fourteenth Amendment. Legislative fiat may not take the place of fact in the judicial determination of issues involving life, liberty or property.” C. Antieau, Modern Constitutional Law § 7:18 (1969).
This contention presupposes the validity of Taxpayer’s market value or actual sales argument above. The answer is that market value is not the method prescribed by the statute for determination of the base value for this kind of property and is not involved. There is no presumption that the market value of production of the previous year is equivalent to the market value as determined by comparable sales.
The special order is affirmed.
IT IS SO ORDERED.
NEAL and MINZNER, JJ., concur. | [
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] |
OPINION
BIVINS, Judge.
The father appeals from an order awarding custody of the parties’ three-year-old son to the mother. She has not filed an answer brief. The sole issue is whether the trial court abused its discretion in awarding custody to the mother when, as the father claims, “The experts agree that the father * * * should have custody, and the entire record is without evidence that the mother should have custody.” We affirm and hold that the father’s failure to timely request findings of fact operates as a waiver of his right to question the sufficiency of the evidence and thereby precludes review; however, because of the nature of the case and the fact that the child has no legal representative, the ends of justice require that we remand to the district court to make and file proper findings of fact and conclusions of law.
Following an evidentiary hearing in July 1983, the trial court entered its order on July 19 finding both parties fit to have custody, awarding custody of the child to the mother, fixing visitation rights, and directing the parties to negotiate the issues of child support and division of their property. At the July 19 hearing to review the proposed order, which we understand father’s counsel prepared, the trial court set interim child support at $150 a month, but somehow this did not find its way into the order. At that same hearing the trial court gave the parties ten days within which to file requested findings of fact in the event either party should wish to take an appeal. The father filed his requested findings of fact and conclusions of law on July 29, within the ten days allowed; on July 19, however, the same day the court entered its order, the father filed his notice of appeal. Although the trial court made some findings, it never entered a decision in this case setting forth findings of fact and conclusions of law which would meet the requirements of NMSA 1978, Civ.P.R. 52 (Repl.Pamp.1980).
The notice of appeal did not have a copy of the judgment attached. The father, on August 17, amended the notice of appeal by attaching a copy of the judgment as required by NMSA 1978, Crim., Child. Ct., Dom.Rel. & W/C App.R. 201(c) (Repl. Pamp.1983). We hold under the circumstances of this case, where the mother clearly had notice of the judgment from which the father appealed, that the July 19 notice of appeal divested the trial court of jurisdiction and placed jurisdiction in this Court despite the technical defect. See Baker v. Sojka, 74 N.M. 587, 396 P.2d 195 (1964).
In the calendaring notice, we directed counsel to brief the question of whether the filing of the notice of appeal divested the trial court of jurisdiction, thus precluding an evidentiary review by this Court. We specifically referred counsel to Wagner Land and Investment Co. v. Halderman, 83 N.M. 628, 495 P.2d 1075 (1972). The father attempts to answer Wagner by saying he filed his requested findings and conclusions within the ten days allowed by the trial court and that notwithstanding the filing of the notice of appeal, the trial court had jurisdiction to allow the ten days for the filing of requested findings and conclusions. He implies that the trial court could accept requested findings despite the transfer of jurisdiction to this Court by exercise of its residuary jurisdiction to assist in perfecting an appeal, citing Wagner. This narrow power of the district court to assist in effecting a smooth transfer of jurisdiction to another court, however, does not encompass the authority to review requested findings of fact and conclusions of law for the purpose of preparing a decision.
In all cases tried to the bench, Rule 52 requires the district court to file a decision consisting of findings of fact and conclusions of law in a separate document prior to entry of judgment. See generally Moore v. Sussman, 92 N.M. 70, 582 P.2d 1283 (1978); Kipp v. McBee, 78 N.M. 411, 432 P.2d 255 (1967). Rule 52(B)(1)(f) provides that a party waives specific findings of fact and conclusions of law if he fails to make a request in writing, or fails to tender specific findings and conclusions. See also McCaffery v. Steward Construction Co., 101 N.M. 51, 678 P.2d 226 (1984). When a party waits to request findings of fact and conclusions of law until after the court files judgment and he himself files his notice of appeal, the lack of any findings in the record precludes review of the evidence in this Court. See Veale v. Eavenson, 52 N.M. 102, 192 P.2d 312 (1948); see also Pedigo v. Valley Mobile Homes, Inc., 97 N.M. 795, 643 P.2d 1247 (Ct.App.1982).
Rule 52(B)(1)(h) requires the court to allow counsel a reasonable opportunity to submit requested findings and conclusions. This the trial court did when it gave the parties ten days to file their requests. Instead of availing himself of this opportunity, the father filed his notice of appeal, causing the trial court to lose jurisdiction to consider his request. Thus, the father’s tender of requested findings could have no effect on the case.
As stated in Wagner, “[TJhere can be no review of the evidence on appeal where the party seeking the review has failed to submit requested findings of fact and conclusions of law.” Id., 83 N.M., at 629, 495 P.2d 1075 (citations omitted). We therefore decline to review the evidence on behalf of the father to determine if the trial court abused its discretion in awarding custody of the child to the mother. Nevertheless, in view of our disposition on behalf of the child, we remand to the district court for issuance of a decision in compliance with Rule 52(B)(1)(f).
The child who is the subject of this case did not have independent representation. Because matters concerning his safety and welfare have come to our attention, we proceed to review the record on behalf of the child to make certain his interests have been protected.
Although the order of July 19 does contain three findings, none specifically addresses the issue which we must view as most critical to the child: whether the mother's mental condition presented a danger to him. At the conclusion of the proof, the trial court specifically ordered the mother to obtain psychotherapy on a scheduled basis. That requirement, however, does not appear in the written order or elsewhere. The record contains sufficient evidence for the district court to make a finding as to the mental health of the mother. See NMSA 1978, § 40-4-9(A)(5) (Repl. Pamp.1983). Accordingly, we remand so that this can be done. See Rule 52(B)(1)(g); Isaac v. Seguritan, 66 N.M. 410, 349 P.2d 126 (1960). In doing so, we are mindful that the testimony and reports of the psychologists taken together confirm a genuine concern for the safety and welfare of the child because of the mental state of the mother. Since the trial court did not appoint a guardian ad litem to represent the child, and a finding that the mother requires therapy may be essential to his safety and welfare, the ends of justice require remand for the making of proper findings of fact and conclusions of law with regard to this issue. Cf. In the Matter of the Adoption of John Doe, 101 N.M. 30, 677 P.2d 643 (1984).
Our review of the record, made not for the purpose of the father's appeal but to ascertain if the child’s interests were protected, reveals no basis for overruling the custody award to the mother. The award will only be overturned upon a showing of manifest abuse of discretion under the' evidence. Creusere v. Creusere, 98 N.M. 788, 653 P.2d 164 (1982). While most of the experts may have expressed preferences, as opposed to unequivocal opinions, that the child’s custody should at the time of the hearing be awarded to the father, there was evidence to support the trial court’s award of custody to the mother. Dr. Rose testified that while she would not recommend full custody to the mother “at this time,” she felt there was no danger to the child if the court should give custody to the mother.
Bizarre letters written to Judge Frank Allen, who previously presided over the case, and evidence of other irrational activities, as to which no finding was made and under the proof probably could not be made, no doubt influenced some of the psychologists in recommending that the father receive present custody. If the father felt, however, that the mother was responsible for the letters and other activities, he should have provided the trial court sufficient proof upon which to find the mother responsible. The trial court could have found from the evidence and reasonable inferences drawn therefrom that much of the mother’s present mental and emotional state was attributable to having her child wrenched from her. The father ignores the rule that we view the evidence and inferences in the light most favorable to the trial court’s determination. See Cave v. Cave, 81 N.M. 797, 474 P.2d 480 (1970).
A fact-finder is not bound to accept opinion evidence of an expert witness. NMSA 1978, UJI Civ. 2.13 (Repl.Pamp. 1980); see also Van Orman v. Nelson, 78 N.M. 11, 427 P.2d 896 (1967); State v. James, 85 N.M. 230, 511 P.2d 556 (Ct.App.1973). The record indicates that both Dr. Christopher Merchant and Dr. J.M. Rhodes testified that the mother was an adequate parent and fit to have custody. Additionally, the mother and other lay witnesses testified that the mother was a fit parent. A fact-finder may accept non-expert testimony over that of an expert. State v. James. We affirm the trial court’s award of custody to the mother.
We make one final observation concerning the posture of this case. As mentioned, no brief was filed by the mother. Unlike the Rules of Civil Appellate Procedure, the Rules of Appellate Procedure for Criminal, Children’s Court, Domestic Relations Matters and Worker’s Compensation cases do not make provision as to what happens if appellee fails to file an answer brief. NMSA 1978, Civ.App.R. 9(e) (Cum.Supp.1983) offers little guidance here because it provides only that the cause be submitted upon the brief of the appellant. Whether that means appellee confesses error, see generally 5 C.J.S. Appeal and Error § 1314(b) (1958), or that we accept as true the assertions made in appellant’s brief, we need not decide here. Suffice it to say that where a child’s welfare is at stake and that child is not individually represented, we will carefully review the record to make certain his or her interest is protected. See Hoffman v. Hoffman, 4 Ariz.App. 83, 417 P.2d 717 (1966). This we have done here, and in so doing conclude that the additional finding as to provision for psychotherapy should be made if that was, and still is, the trial court’s determination.
In summary, the trial court shall enter its decision in compliance with the requirements of Rule 52, and include in that decision a finding as to the mother’s mental health and requirements, if any, for treatment.
Accordingly, the case is remanded for further proceedings in accordance with this decision.
IT IS SO ORDERED.
DONNELLY, C.J., and MINZNER, J., concur.
. Contrary to the father’s assertion, the record indicates that the experts in fact did not agree as to custody. See NMSA 1978, Crim., Child.Ct., Dom.Rel. & W/C App.R. 205(a)(3) (Repl.Pamp. 1983).
. The district court judgment, although entitled "ORDER UPON CHANGE OF CUSTODY OF MINOR CHILD; AND CHILD VISITATION", in fact provided the initial custody determination in this case, all other orders affecting only interim custody.
. NMSA 1978, § 40-4-8 (Repl.Pamp.1983) allows the district court, on its own motion, to appoint a guardian ad litem to appear for and represent a minor child whenever custody of the child is contested. In cases such as this where the parties’ bitterness toward one another may overshadow their concern for the interests of the child, appointment of a guardian ad litem seems most appropriate. Further, since the expenses and attorney’s fees for the guardian ad litem are a community debt of both parties, appointment of this representative might have a salutary effect by promoting greater cooperation between the parents in considering the child's best interests. | [
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OPINION
ALARID, Judge.
On April 23, 1979, Cipriano Segura (Segura), a miner employed by Kaiser Steel Corporation (Kaiser) as a “utility man,” suffered a heart attack while performing his duties. Segura’s job on that day consisted of unloading trucks filled with coal. He directed the truck drivers to stop in appropriate locations and signaled them to open the trucks’ belly doors to release their loads into “dumps.” The web or “grizzly” covering the hole into which the loads are released sifts the chunks of coal so that the coal may pass evenly below, onto a conveyor belt. The coal chunks were unusually large on April 23, so Segura had to quickly break them with a fourteen-foot steel bar and a twenty-pound sledgehammer to allow their free passage through the grizzly. Several trucks were in line, waiting to be unloaded. Segura had trouble breaking one particularly large chunk of coal. One of Segura’s supervisors strapped a rope to Segura and lowered him into the hole so that he might attach a chain around the chunk and allow a loader to pull the chunk from the mouth of the grizzly.
Segura was sent to the company office the morning of April 23 after complaining of “chest pains,” and then he was taken to the Northern Colfax County Hospital where he was placed in intensive care. Segura had suffered a myocardial infarction, or a heart attack. After about ten days of hospitalization, he was released. Subsequently, Segura sought further care at the Veterans’ Administration Hospital (Veterans’), and later underwent bypass surgery at Veterans’ in late July.
Segura received weekly sickness and accident benefits under his union’s Sickness and Accident Plan through October 16, 1979. Segura did not return to work until October 13, 1981. Soon after his return to work, Segura was again physically incapacitated and was forced to stop working altogether. He did not file a workman’s compensation action for the April 23 heart attack until August 19, 1980 — one year and four months after Segura’s on-the-job at tack. Veterans’ who was joined as a party plaintiff in the first amended complaint sought reimbursement for medical services furnished to plaintiff incident to his disability.
The trial court concluded that “Segura sustained an accidental injury arising out of, and in the course of, his employment, with Kaiser Steel Corporation. Such accident was reasonably incident to his employment and the disability from which plaintiff Segura suffers is a natural and direct result of such accident.” Segura suffered a total disability commencing April 23, 1979.
The court nevertheless denied Segura’s claim against his employer, Kaiser, because the court determined that Segura ceased being a Kaiser employee on the day of the accident, so as to invoke the Workmen’s Compensation Act one-year period of limitations set forth in NMSA 1978, Section 52-1-31; for the same reason, the court disallowed Veterans’ reimbursement claim against Kaiser for the medical services provided to Segura. See Pena v. New Mexico Highway Dept., 100 N.M. 408, 671 P.2d 656 (Ct.App.1983).
Segura’s claim for medical and related expenses (other than those claimed by Veterans’) was allowed under NMSA 1978, Section 52-1-49; and he was allowed vocational rehabilitation services under NMSA 1978, Section 52-1-50, because these Sections do not contain the one-year limitations period.
Segura and Veterans’ appeal; Kaiser cross-appeals.
Segura and Veterans’ Appeal
Segura first argues that he remained employed by Kaiser at least through August 19, 1979, so as to toll the period of limitations under Section 52-l-31(A). Kaiser answers that the trial court correctly concluded Segura’s employment ended on April 23, 1979, the day of Segura’s heart attack. Whether the workman remained employed after the accident is crucial to this appeal because the usual one-year period of limitations is tolled during the time he “remains employed by the employer by whom he was employed at the time of such accidental injury, not to exceed a period of one year.” Section 52-l-31(A); see De La Torre v. Kennecott Copper Corp., 89 N.M. 683, 556 P.2d 839 (Ct.App.1976). We must decide whether the statutory phrase “remains employed” encompasses Segura. We hold that it does.
For the tolling provision to apply, there must have been an employer-employee relationship which continued after the accident. De La Torre. One need not be actually working and receiving compensation for the work to remain employed within the meaning of the statute. Id.
The existence of an employer and employee relationship depends upon a contract of employment and cannot exist without mutual assent, express or implied. Jelso v. World Balloon Corp., 97 N.M. 164, 637 P.2d 846 (Ct.App.1981). In this case the material facts are undisputed, so whether Segura remained employed is a question of law. Id. It is unchallenged that Segura had been an employee of Kaiser for many years, and that he remained employed at least until the April 23, 1979 incident.
The parties’ employment relationship was governed by the. National Bituminous Coal Wage Agreement of 1978. (Defendant’s Exhibit H.) This comprehensive agreement covers such issues as health and safety, wages and hours, helpers on face equipment in underground mines, shifts and shift differentials, starting time, allowances, cost of living wage increases, sickness and accident benefits, holidays, regular vacation, graduated vacation, training, seniority, and other matters, including discharge. As in Conwell v. City of Albuquerque, 97 N.M. 136, 637 P.2d 567 (1981), Local 2238, v. New Mexico State Highway Department, 93 N.M. 195, 598 P.2d 1155 (1979) and Andrews v. Steams-Roger, Inc., 93 N.M. 527, 602 P.2d 624 (1979), we look to the union contract in considering questions related to employment which are encompassed within the Agreement’s provisions. See also New Mexico District Council of Carpenters, AFL-CIO v. Mayhew Co., 664 F.2d 215 (10th Cir.1981).
Our function is to interpret and enforce the contract as made by the parties. Schaefer v. Hinkle, 93 N.M. 129, 597 P.2d 314 (1979); see Sierra Blanca Sales Co. v. Newco Industries, Inc., 84 N.M. 524, 505 P.2d 867 (Ct.App.1972). The contract will be considered and construed as a whole, with meaning and significance given to each part in its proper context, so as to ascertain the parties’ intentions. If there is an ambiguity in the contract, intent will be ascertained from the language used, the parties’ conduct, and the surrounding circumstances. Sierra Blanca Sales Co.
We consider Segura’s employment status subsequent to his April 23, 1979 heart attack in light of the foregoing principles. Initially, Kaiser admitted that Segura was its employee on April 23, 1979. A status once shown is presumed to continue until evidence is shown to the contrary. McClendon v. Dean, 45 N.M. 496, 117 P.2d 250 (1941); NMSA 1978, Evid.R. 301 (Repl. Pamp.1983). The evidence does not indicate the presumption should be rebutted. The contract specifically provides that sickness and accident benefits shall not be payable if the employee’s employment has been terminated. Segura continued to receive sickness and accident benefits after the injury. The contract’s terms at least imply Segura was employed while he was receiving those benefits.
Furthermore, the contract does not explicitly determine when employment comes to an end. But we think that an employment relationship under the union contract may be terminated by Segura’s quitting, discharge, retirement, refusal to return to work following layoff, or a final determination of permanent and total disability under federal and/or state laws which provide for compensation therefor. See National Bituminous Coal Wage Agreement of 1978 (effective March 27, 1978), Articles XI Section (b) (Sickness and Accident Benefits Eligibility), XIV Section (c) (Graduated Vacation-Definition of Continuous Employment). We reach this conclusion by reference to the cited articles of the Agreement, the parties’ conduct, and the surrounding circumstances. Schaefer; Sierra Blanca Sales.
Kaiser did not allege or present evidence suggesting that Segura intended to quit his employment on April 23, 1979 or thereafter. Segura denied having intended such a result. Similarly, no assertion or evidence suggested that Segura was “discharged” from employment by Kaiser on or after April 23. See Article XXIV(a), (b) of the Agreement. The record evidences no “just cause” for terminating Segura’s employment on April 23. Even assuming such cause exists, nothing in the record suggests that Kaiser followed proper procedures in discharging Segura. Consequently, Kaiser did not meet its burden of showing grounds for discharge or actual discharge.
Furthermore, no allegation was made or evidence presented to show Segura retired, or that he refused to return to work following a layoff. There was a question whether Segura had been finally determined to be permanently and totally disabled. We interpret “final determination” as synonymous with final judgment or order. See Aetna Casualty & Surety Co. v. Miles, 80 N.M. 237, 453 P.2d 757 (1969). The trial court did not reach its final and appealable judgment as to Segura’s disability status until April 26, 1983. That decision did not consider whether Segura’s disability was “permanent.” Even if Segura had been found to be permanently and totally disabled, the trial court could not retroactively apply its finding of “total disability” to the date of Segura’s April 23, 1979 heart attack so as to deprive the workman of the two-year period of limitations provided to those who, under a contract of employment, remain employed by the employer by whom they were employed at the time of the accidental injury. Section 52-l-31(A). We conclude the trial judge erred in concluding Segura’s employment terminated on the day of his heart attack.
We agree with appellants that Segura remained employed at least through August 19, 1979. De La Torre. We hold that the phrase “remains employed” as used in Section 52-l-31(A) encompasses Segura. Under his employment contract, his status as an employee continued so as to toll the statute. Segura had at least until August 19, 1980 to file this action. He met this deadline and may proceed with his claim.
Because Segura may proceed with his claim to full compensation benefits, we hold that Veterans’ is entitled to reimbursement pursuant to its power of attorney agreement with Segura. In this agreement, Segura assigned to Veterans’ all his rights and interests in benefits under the Workmen’s Compensation Act to the extent of costs Veterans’ incurred in treating Segura’s work-related heart attack. See 38 U.S.C. §§ 610, 621 (1976 & Supp. V 1981); 38 U.S.C. § 629 (Supp. V 1981); 38 C.F.R. §§ 17.47(d), 17.48(d)(1) (1982); Texas Employers’ Insurance Association v. United States, 558 F.2d 766 (5th Cir.1977); United States v. Kirkland, 405 F.Supp. 1024 (E.D.Tenn.1975). Reimbursement should be limited to those costs which were related to Segura’s heart attack.
Appellants next argue that the trial court erred in failing to allow an evidentiary proceeding on the issue of reasonable attorney’s fees. They also challenge the $1,600 attorney’s fee award as miserly. Although we agree that the award seems rather small, we need not consider this issue. The workman is more successful on this appeal than he was at trial. In light of Segura’s more complete success on appeal, the trial court on remand must afford appellants an opportunity to present evidence upon which the court may base a reasonable attorney’s fee award. The court must consider each of the applicable eleven Fryar factors in arriving at the size of the award. Fryar v. Johnsen, 93 N.M. 485, 601 P.2d 718 (1979); Johnsen v. Fryar, 96 N.M. 323, 630 P.2d 275 (Ct.App.1980). The record must contain substantial evidence upon which the court can support findings of fact adopted on the award. Jennings v. Gabaldon, 97 N.M. 416, 640 P.2d 522 (Ct.App.1982).
Kaiser Cross-Appeal
Kaiser on cross-appeal argues that if we permit Segura to proceed with his compensation claim, we should reverse the trial court’s finding that Segura’s heart attack was an accidental injury under the Act. New Mexico courts have long recognized that a heart attack caused by employment is an accidental injury within the Act. Sanchez v. Board of County Commissioners, 63 N.M. 85, 313 P.2d 1055 (1957); Hathaway v. New Mexico State Police, 57 N.M. 747, 263 P.2d 690 (1953); Webb v. New Mexico Pub. Co., 47 N.M. 279, 141 P.2d 333 (1943); Christensen v. Dysart, 42 N.M. 107, 76 P.2d 1 (1938). Testimony was unchallenged that Segura sustained the attack while working at Kaiser’s mining site. Therefore, Segura received a compensable injury if the attack was caused by his employment.
Kaiser argues that no substantial evidence exists showing a causal connection between Segura’s employment and the April 23 heart attack. We disagree. Dr. John Leach, a cardiologist who was responsible for Segura’s treatment, testified that the patient’s medical history indicated he sustained an episode of severe chest pain, nausea, and sweating while at work on the morning of April 23, and he suffered a myocardial infarction (heart attack). Dr. Leach’s conclusion was based upon his expert review of Segura’s medical records and charts, which were introduced as evidence. Given the nature of physical labor Segura was performing on the morning of April 23 — i.e., rapid breaking of coal chunks with a fourteen-foot steel bar and a twenty-pound sledgehammer and being strapped with a rope and lowered into the grizzly to tie a chain around a particularly large chunk of coal — Dr. Leach testified that the heart attack was to a medical probability causally related to the work Segura was performing. This testimony was legally sufficient to establish the connection between the work performed and the injury. Alspaugh v. Mountain States Mutual Casualty Co., 66 N.M. 126, 343 P.2d 697 (1959). Because a reasonable per son might accept Dr. Leach’s testimony as sufficient to support the conclusion, Tapia v. Panhandle Steel Erectors Co., 78 N.M. 86, 428 P.2d 625 (1967), we conclude that substantial evidence supports the trial court’s determination on causation. Moor-head v. Gray Ranch Co., 90 N.M. 220, 561 P.2d 493 (Ct.App.), cert. denied, 90 N.M. 254, 561 P.2d 1347 (1977).
Kaiser finally argues that the trial court erred in awarding future medical expenses and vocational rehabilitation costs. We find no error on these issues. Having found that Segura is not barred by Section 52-l-31(A) from proceeding with his claim to compensation benefits, he certainly may recover future medical expenses and vocational rehabilitation costs.
This cause is reversed and remanded to the trial court for proceedings consistent with this opinion.
IT IS SO ORDERED.
DONNELLY, C.J., and MINZNER, J., concur.
. The duties of a "utility man” in Kaiser’s mining operations consist of cutting down trees, planting, blowing straw, working in the silos, unloading trucks, etc. — essentially the work that nobody else by job description is required to do.
. “Dumps” are holes in the ground covered by a web or mesh of heavy gauge iron, three to four feet square, which sift the chunks of coal. | [
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] |
OPINION
WALTERS, Chief Judge.
Defendant was charged with homicide by vehicle. His first trial resulted in a conviction, and it was overturned by this court on appeal. Upon remand for a second trial, he was again found guilty. On this appeal, we initially calendared the case for summary reversal. The State filed a memorandum in opposition to the proposed calendar ing, and we reassigned the matter to the legal calendar. Defendant’s statement of the issue presented is:
Whether double jeopardy precludes a prosecution for Homicide by Vehicle concerning an incident where the defendant has previously been convicted of Driving While Intoxicated and Careless Driving.
The question arises because defendant was convicted in Carlsbad Municipal Court, on pleas of nolo contendere, of careless driving and driving while under the influence of alcohol (DWI), in violation of municipal ordinances. The charges followed a three-car collision on August 12, 1981; the municipal court convictions were had on August 13th. On September 5, 1981, one of the persons injured in the accident died. On September 11, 1981, defendant was charged by criminal information in district court with vehicular homicide, the charge being made alternatively in the language of the statute, NMSA 1978, § 66-8-101 (Cum. Supp.1982), and of NMSA 1978, UJI Crim. 2.60 (Repl.Pamp.1982), to assert death or great bodily injury resulting from defendant’s unlawful operation of a motor vehicle. Defendant filed a motion to dismiss on grounds of double jeopardy on February 1st; the jury was selected on February 2nd and a verdict returned on February 3rd. Although the record does not reflect a ruling by the court on defendant’s motion, it is apparent from the course of proceedings that it was denied.
In our initial calendaring of this case, we relied on the statements of the docketing statement (which, if not challenged, are taken as true) to infer that the municipal and state offenses of careless and reckless driving were the same for double jeopardy purposes. In its memorandum in opposition, the State accepted that inference, and asserted only that the exceptions of Diaz v. United States, 223 U.S. 442, 32 S.Ct. 250, 56 L.Ed. 500 (1912), i.e., jurisdictional and lack of necessary facts, removed this case from a double jeopardy consideration.
We have recently twice discussed, in State v. Padilla, 101 N.M. 78, 678 P.2d 706 (Ct.App.1983), and State v. Manzanares, 100 N.M. 621, 674 P.2d 511 (Ct.App.1983), the unmistakable rejection by the United States Supreme Court of the Diaz “jurisdictional exception.” We agree with defendant that a jurisdictional exception does not exist.
Under NMSA 1978, § 66-8-101(C), vehicular homicide can be committed only by reckless driving or DWI. The State has, in effect, conceded that reckless and careless driving are identical offenses. We do not, therefore, consider whether careless driving is a necessarily included lesser offense of reckless driving. See State v. Pohl, 89 N.M. 523, 554 P.2d 984 (Ct.App.1976). We address, instead, the State’s only argument—that the Diaz “necessary facts” exception supports the district court conviction. It contends that although defendant could have been charged with great bodily injury under § 66-8-101 at the time he was charged with careless driving and DWI in municipal court, he could not have been charged at that time for causing death by vehicle under the same statute because the death had not yet occurred.
There is irrefutable logic in the State’s position insofar as the death did not occur until after the municipal court convictions. But it does not alter the more significant fact that a single statute, § 66-8-101, condemns both death-by-vehicle and great-bodily-injury-by-vehicle, and imposes the same penalty for either violation. It is equally undisputed that either offense under § 66-8-101 can only be committed by reckless driving or by DWI. Defendant was once convicted in municipal court of DWI arising out of the identical incident upon which defendant was later charged in district court; he cannot be tried again of a charge requiring proof of the identical conduct upon which he already has been convicted. State v. Padilla. The same rationale applies to the conviction for careless driving because the State has, by acquiescence, agreed that conviction of that offense in municipal court was tantamount to a conviction for reckless driving.
Brown v. Ohio, 432 U.S. 161, 97 S.Ct. 2221, 53 L.Ed.2d 187 (1977), was concerned with a claim of double jeopardy for a later prosecution on auto theft following conviction of joyriding. But at footnote 7 in Brown, it was suggested that the “necessary facts” exception of Diaz might exist “where the State is unable to proceed on the more serious charge at the outset because the additional facts necessary to sustain that charge have not occurred or have not been discovered despite due diligence.” If the exception really applies to a “more serious charge,” as Brown would indicate, rather than only to a charge which embraces a “lesser included offense,” we have no difficulty in holding that the Diaz exception is not a factor in this case. Death-by-vehicle is not a “more serious charge” than great-bodily-injury-by-vehicle.
Applying the language of Brown literal- . ly, we conclude that defendant could have been charged with and convicted in district court of inflicting great-bodily-injury-by-vehicle under § 66-8-101 at the time he was charged in municipal court. If convicted, he would have been subject to the same penalty as would have applied had he not been tried in municipal court and had charges ultimately been brought instead for death-by-vehicle under that statute. The State had nothing to lose by filing “great-bodily-injury” charges in district court at the time of the accident upon the facts then known. Under those circumstances, no reliance on the “necessary facts”- exception of Diaz, upon which rests excuse from filing the death-by-vehicle charges at the time, would have been required. Sufficient facts already were known to permit the filing of the alternative offense of great-bodily-injury-by-vehicle under the same statute; that charge would have borne the same felony conviction and the same felony penalty as would conviction of the alternative statutory offense of death-by-vehicle. Section 66-8-101 makes clear that the legislative concern is the infliction of harm as a result of defendant’s unlawful conduct; and whether the harm done results in great bodily injury or in death, it is the defendant’s conduct, not the result, that incurs equal punishment for either kind of harm.
Stated otherwise, death-by-vehicle is not a “greater charge” nor a “more serious charge” than great-bodily-injury-by-vehicle. Consequently, once defendant was convicted of the municipal court offenses underlying either of the district court alternative charges under § 66-8-101, there was no absence of “necessary facts” which would have preserved the charge of death-by-vehicle from the prohibition of double jeopardy.
The conviction and sentence are reversed and defendant is ordered discharged.
IT IS SO ORDERED.
HENDLEY and NEAL, JJ., concur. | [
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OPINION
RANSOM, Justice.
On December 23, 1985, the Insurance Board disapproved a workers’ compensation insurance premium increase that was to go into effect January 1, 1986. The National Council on Compensation Insurance (NCCI), which submitted the rate filing, petitioned this Court for review. We declined to accept jurisdiction, and NCCI filed an appropriate appeal of the Board’s decision in the District Court of Santa Fe County. See National Council on Compensation Ins. v. New Mexico State Corp. Comm’n, 103 N.M. 707, 712 P.2d 1369 (1986). The district court affirmed the order of the Board. NCCI appeals. We affirm.
This appeal is governed by the Insurance Code, NMSA 1978, Sections 59A-1-1 to 59A-53-17 (Orig.Pamp.1984). Article 17 (§§ 59A-17-1 to 59A-17-35) comprises the Insurance Rate Regulation Law, the statutes most specifically applicable to this appeal.
PROCEEDINGS
NCCI is an official rate service organization. See §§ 59A-17-4(B), 59A-17-19. On October 17, 1985, NCCI filed a premium rate increase for all workers’ compensation carriers operating in New Mexico. The premium increase applied to all policies issued or renewed during the calendar year beginning January 1, 1986.
On October 31, the Superintendent of Insurance informed NCCI by letter that the Board had hired an independent actuary, Allen Kaur, to review the filing. The Superintendent asked NCCI to cooperate with any request from Mr. Kaur for additional information. The letter also notified NCCI that a hearing had been scheduled to solicit input from employer groups and to allow NCCI to make a presentation of its filing.
On November 15, the Superintendent mailed written notice to NCCI regarding a December 10 public hearing to receive comment and to give consideration to the rate filing in terms of specific statutory criteria under Section 59A-17-8 and other relevant factors described in the notice. Because the filing was not specifically disapproved within fifteen days of its submission, the filing was treated as having become effective prior to the hearing. Following the December 10 hearing, the Board disap proved the rate filing scheduled to go into effect January 1.
STANDARD OF REVIEW
Section 59A-17-35 governs appeals from an order made by the Board disapproving a rate filing. National Council on Compensation Ins. v. New Mexico State Corp. Comm’n, 103 N.M. 707, 712 P.2d 1369 (1986). The district court is required to sustain the administrative action appealed from unless such action is either unlawful, arbitrary or capricious, or not based upon substantial evidence. § 59A-17-35(C). In reviewing the administrative action, the court should give due consideration to the expertise of the Superintendent and the Board. Id.
In Duke City Lumber Co. v. New Mexico Environmental Improvement Board, 101 N.M. 291, 681 P.2d 717 (1984), this Court held that for purposes of reviewing administrative decisions the substantial evidence rule is expressly modified to include whole record review. Id. at 294, 681 P.2d at 720. Under whole record review, the court views the evidence in the light most favorable to the agency decision, Wolfley v. Real Estate Comm’n, 100 N.M. 187, 668 P.2d 303 (1983), but may not view favorable evidence with total disregard to contravening evidence. New Mexico Human Servs. Dep’t v. Garcia, 94 N.M. 175, 608 P.2d 151 (1980).
To conclude that an administrative decision is supported by substantial evidence in the whole record, the court must be satisfied that the evidence demonstrates the reasonableness of the decision. No part of the evidence may be exclusively relied upon if it would be unreasonable to do so. The reviewing court needs to find evidence that is credible in light of the whole record and that is sufficient for a reasonable mind to accept as adequate to support the conclusion reached by the agency. See Sandoval v. Dep’t of Employment Sec., 96 N.M. 717, 634 P.2d 1269 (1981).
On appeal to this Court, the review of an administrative decision is the same as before the district court. Jimenez v. Department of Corrections, 101 N.M. 795, 689 P.2d 1266 (1984). However, our review requires a two-fold analysis. Tapia v. City of Albuquerque, 104 N.M. 117, 717 P.2d 93 (Ct.App.1986). Ultimately, we must decide whether the district court was correct in finding substantial evidence to support the Board’s order. In making that decision, we must independently examine the entire record. Id. at 120, 717 P.2d at 96.
NCCI claims numerous separate errors of law and complains that many of the Board’s findings are not supported by substantial evidence on the record as a whole. We address its points seriatim, together with relevant substantial evidence questions.
POWERS OF THE BOARD IN RELATION TO ITS SECRETARY
The Insurance Code provides that the Insurance Rate Regulation Law is under the exclusive jurisdiction of the Insurance Board and that it be administered by the Board’s Secretary, the Superintendent of Insurance. §§ 59A-3-2, 59A-17-5. All powers relating to state control and supervision of insurance rates and rate practices are under the exclusive control of the Board (§ 59A-2-1), which consists of the chairman and members of the Corporation Commission. § 59A-3-1. Appointed by the Corporation Commission, the Superintendent of Insurance is the chief administrative officer of the Board as well as its Secretary. § 59A-3-3(A). As Secretary, the Board may remove him for cause, and he is automatically removed if the Corporation Commission removes the Superintendent for cause. § 59A-3-3(B). The Secretary certifies the proceedings of the Board under a seal furnished by the Board (§ 59A-3-4), and his general powers as to rules and regulations, enforcement, and otherwise are coextensive with those as Superintendent. § 59A-17-5.
NCCI claims that Section 59A-17-14(B) permits only the Superintendent, not the Board, to make a preliminary finding and then conduct a hearing on a filing. (See Footnote 2 for text of Subsection (B)). At issue is whether the powers and duties specifically prescribed for the Superintendent under that section are intended by the legislature to be his to the exclusion of the Board itself. In support of its argument that the Superintendent’s powers and duties are exclusively his, NCCI submits that the legislature intended a two-tier hearing for any person aggrieved by the Superintendent’s action, threatened action or failure to act. Under Section 59A-17-34, any such person is entitled to a hearing before the Superintendent and, if aggrieved by the Superintendent’s order on such hearing, or by the Superintendent’s refusal to hold the hearing, that person may request a review thereof by the Board.
We agree that Section 59A-17-34(A) mandates the Superintendent hold a hearing upon request by a person aggrieved by the Superintendent’s act, threatened act, or failure to act, or by any report, rule, regulation or order of the Superintendent (§ 59A-4-15), and that a request may be made for review by the Board of the Superintendent’s order after a hearing or refusal to hold a hearing. § 59A-17-34(B). However, we do not agree that the grievance procedure mandates that the Board, which by statute has exclusive jurisdiction over the rate regulation law and the control and supervision of rates and rate practices, cannot, as a body, exercise its powers to examine a rate filing without first allowing its Secretary to act under specific statutory authorization and direction. Unless any intent of the legislature to the contrary be expressly stated, we cannot infer that powers authorized under Section 59A-17-14(B) for the Superintendent could be exercised only by him to the exclusion of the Board.
PROCEDURAL DUE PROCESS
Notice. NCCI submits that its due process rights under Article 17 were violated. NCCI contends that the notice provided by the Superintendent lacked the specificity required under Section 59A-17-14(B). This section provides that if, following the applicable review period, the Superintendent determines that a filing fails to meet the requirements of Article 17, “he shall, after a hearing upon written notice specifying the matters to be considered at the hearing to every rate insurer and rate service organization which made such filing, issue an order * * (Emphasis added.) NCCI claims that the Superintendent’s notice did not sufficiently apprise NCCI of the issues to be addressed during the hearing. To support its contention that the Superintendent’s notice was inadequate, NCCI relies primarily upon Mountain States Telephone & Telegraph Co. v. New Mexico State Corp. Commission, 90 N.M. 325, 563 P.2d 588 (1977).
The application of Mountain States to the case at bar is inapposite. We note initially that under Article XI of the New Mexico Constitution, the Corporation Commission is mandated to establish the rates charged by telephone companies within the state, whereas the Commission acting as the Insurance Board does not establish rates. The Board merely approves or disapproves rate filings. .
In Mountain States, the Court reviewed a Corporation Commission order of 1973, regarding cost of service pricing in determining telephone rates. In 1975, the Commission relied upon the 1973 order to gauge the reasonableness of a Mountain State’s rate proposal. However, the 1973 order evinced no more than an intention to move toward a cost of service principle of pricing at some indefinite time. Therefore, the Court properly ruled that, as required by due process, the order did not constitute a reasonably definite notice of the subject matter attributed to it by the Commission. Id. at 340, 563 P.2d at 603.
In contrast to the order in Mountain States, NCCI was given specific notice of the hearing’s subject matter. The November 15 notice alerted NCCI that the December 10 hearing would focus on whether the proposed average 37.1 percent premium increase was excessive, inadequate or unfairly discriminatory. Further, the notice clarified those terms by adapting the definitions provided under Section 59A-17-6.
More importantly, the Superintendent’s notice served a different function than the order at issue in Mountain States. The Mountain States order supposedly notified Mountain States of established rate-making methods by which Mountain States was expected to conform its rate proposal. Here, the November 15 notice served to inform all interested parties that written and oral comment would be received at a public hearing to discuss whether the proposed filing was excessive, inadequate or unfairly discriminatory.
NCCI claims that the notice was insufficient because NCCI was not informed prior to the hearing that the Board would request audited premium schedules, investment income data, and calculations based upon an eight to ten-year insurance cycle as opposed to a two-year cycle. NCCI would have this Court conclude that notice under Section 59A-17-14(B) requires the Superintendent to specifically notify the rate maker of all issues which may arise during the hearing. Other than Mountain States, the authority relied upon for this proposition is Woody v. Denver & Rio Grande Railroad Co., 17 N.M. 686, 132 P. 250 (1913) and Transcontinental Bus System, Inc. v. State Corp. Commission, 56 N.M. 158, 241 P.2d 829 (1952) (where the Court addressed the Commission’s improper reliance on evidence adduced outside of the record, and sufficiency of notice was not at issue).
In Woody, the Court reviewed a Corporation Commission order requiring the railroad to install a telegraph operator at one of its stations. The Commission issued the order following a hearing whose notice identified the adequacy of station facilities for accommodating passengers as the issue to be addressed. The Court concluded that the order went outside the noticed subject matter because the Commission could only require a telegraph operator for safety reasons and the hearing’s notice made no mention of safety as the subject matter. Woody, 17 N.M. at 693, 132 P. at 253. Here, the notice clearly identified the subject matter to be considered and the order was consonant with the subject matter addressed.
The November 15 notice satisfied the requirements of Section 59A-17-14(B) and comported with procedural due process. The notice provided NCCI an opportunity to be heard by reasonably informing NCCI of the matters to be addressed at the hearing so that it was able to meet the issues involved. See Jones v. New Mexico Racing Comm’n, 100 N.M. 434, 671 P.2d 1145 (1983). The Superintendent mailed written notice to NCCI that specified that the hearing would entail the review of the proposed premium increase under relevant statutory criteria, (see Footnote 1 for text of notice), and provided NCCI twenty-five days for preparation.
We recognize that due process could be denied where statutory notice, although technically adequate, was shown to mislead or prejudice the complaining party. Conversely, if, in addition to statutory notice, a party had actual knowledge of the details to be inquired into at the hearing, that would support the reasonable conclusion that there was no violation of procedural due process. See North State Tel. Co. v. Alaska Pub. Util. Comm’n, 522 P.2d 711 (Alaska 1974). Prior to the hearing, Mr. Kaur requested investment income data, standard premium callsheets and schedule rating information. The Superintendent’s October 31 letter to NCCI and the requests of Mr. Kaur, along with the November 15 notice, provide substantial evidence to support the district court’s finding that NCCI was given adequate notice of the subject matter to be addressed at the hearing.
Change in Format of Proceedings. It is also argued that the Board violated due process by changing the format of the proceedings from an informal information-gathering process to a formal rate hearing. After the hearing started, the Board stated that “we are going to proceed as if this is a formal rate hearing.” NCCI submits that this statement represented an abrupt and arbitrary change in the nature of the hearing and that, as a result, it suffered prejudice. See Medical Malpractice Ins. Ass’n v. Lewis, 112 Misc.2d 103, 445 N.Y.S.2d 1013 (1981) (where a statutorily mandated hearing was improperly denied on the basis of prior informal review proceedings).
NCCI maintains that the November 15 notice of an “informal public hearing” induced it to prepare an informal presentation aimed at a lay audience. At the hearing, NCCI presented a non-technical overview using “net earned premium” rather than the more technical “standard earned premium” which it had used in the filing itself. NCCI claims that had it received proper notice of the nature of the hearing it would have made a more detailed presentation using “standard earned premium.”
Thirteen days after NCCI filed its rate proposal, the Superintendent requested NCCI to be prepared to furnish additional information and to make a presentation of its filing. Through Mr. Kaur’s inquiries, NCCI was made aware that the Board wanted to examine investment income, premium callsheets, and schedule rating data. The “informal” format designation cannot be construed to have limited the subject matter or significance of the proceedings. Although one objective of the hearing was solicitation of public input and a lay audience was to be in attendance, NCCI knew or should have known that its presentation needed to satisfy the regulatory body which had called the meeting to consider the rate filing.
The statement of legal issues submitted for the record by NCCI a week prior to the December 10 hearing supports the reasonable inference that NCCI was aware that the hearing could culminate in the approval or disapproval of its rate filing. NCCI, however, maintained that under the statutes such a hearing could not be conducted by the Board.
[T]he hearing on December 10 before the [Board] can only be for the purposes of information and discussion, not for approving or disapproving the rates themselves.
If a hearing concerns possible disapproval of rates, then it must be conducted by the Superintendent, not the [Board] * * *. Whatever the review procedures may be, it is clear that the [Board] is not empowered by statute to conduct an initial hearing on a rate filing.
NCCI reiterated its position at the hearing. In response, counsel for the Superintendent expressed a contrary statutory interpretation. Following these statements, a discussion was held off the record; then it was announced that “we are going to proceed as if this is a formal rate hearing.” Consequently, NCCI enjoyed the right to introduce evidence, to present its own witnesses, to cross-examine witnesses, and to present legal argument. The notice was quite clear that the rate filing was being considered in terms of statutory criteria and other relevant factors regardless of the informal or formal label given the hearing. The point raised by NCCI to the effect that the Board is empowered to do no more than informally receive comments has been addressed above under Powers Of The Board In Relation To Its Secretary.
No rule or regulation denigrates an informal hearing under the Code. What is essential to due process is the reasonableness of notice and procedures followed. McCoy v. New Mexico Real Estate Comm’n, 94 N.M. 602, 614 P.2d 14 (1980). From the notice received, NCCI had no reason to believe that the labeling of the hearing as informal diminished its obligation to demonstrate that its rate filing satisfied the requirements of Article 17 or that the labeling meant due process would be absent.
Furthermore, although NCCI claims that it was unprepared for both the style and the scope of the hearing, the record indicates otherwise. NCCI presented two expert witnesses to promote its case, which was presented by both out-of-state and instate counsel. NCCI has demonstrated no actual prejudice as a result of the Board’s actions. See Jones, 100 N.M. at 436, 671 P.2d at 1147. We find no merit to its argument that its due process rights were violated.
Time Constraints of Order’s Effect. Under Section 59A-17-14(B), an order disapproving a filing must allow a reasonable period before the filing is deemed no longer effective. The order disapproving the filing was issued on December 23 and was to take effect on December 31. NCCI argues that this eight day period was not reasonable especially because it transpired during the Christmas holidays. NCCI recognizes that the statute does not define “a reasonable period” but maintains that, under the circumstances, four working days was insufficient to either recall the rate change or obtain judicial review of the disapproval.
The presumption, however, is that the Board’s decision was reasonable. See Garcia, 94 N.M. at 177, 608 P.2d at 153 (quoting Quinlan v. Board of Educ. of North Bergen Township, 73 N.J.Super. 40, 179 A.2d 161 (1962)). Aside from its argument about the holidays, NCCI has shown nothing to rebut that presumption. This Court does not know what premiums were due forthwith on January 1, nor what was needed to be done in four working days to effectuate the Board’s order. We note that NCCI could have moved immediately to stay the order and to place in escrow any premiums received after December 31, until a final determination on the Board’s order was made by the district court. See § 59A-17-35. NCCI also complained it did not have time to cure the defects outlined by the Board in its findings, conclusions and order. However, NCCI was not prohibited from refiling had those defects been cured.
Lack of Specificity of Order. NCCI also claims that the order failed to identify sufficiently the filing’s shortcomings. NCCI contends that the Board’s order fails to provide guidance to it for future rate filings. NCCI cites Blue Cross of Kansas, Inc., v. Bell, 227 Kan. 426, 607 P.2d 498 (1980), for the proposition that an order merely finding fault with a rate filing in general terms of the statute is not sufficient. See also Nationwide Mut. Ins. Co. v. Commonwealth, 15 Pa.Commw. 24, 324 A.2d 878 (1974).
In Blue Cross of Kansas, Inc., the Commissioner of Insurance disapproved twenty-one separate rate filings by drafting twenty-one separate letters which gave identical reasons for disapproving each of the twenty-one filings. Each letter contained four brief conclusional statements. There was no expression of the basic facts upon which the Commissioner premised his decision, 227 Kan. at 434, 607 P.2d at 504.
The Board’s findings and conclusions do not suffer from the infirmities present in the Commissioner’s letter decisions in Blue Cross of Kansas, Inc. The Board’s Decernber 23 order detailed the evidence upon which it rested its decision to disapprove the filing. The order was sufficiently specific, if not quite explicit, in giving guidanee to NCCI for amending its future rate filings*
SUBSTANTIVE STANDARDS
Statutory Presumption Under § 59A-17-6. In addition to allegations of procedural errors, NCCI maintains the Board failed to abide by substantive standards for reviewing a filing. Initially, NCCI claims that the Board disregarded the statutory presumption that rates in a competitive market are not excessive.- See § 59A-17-6. However, this statutory presumption is inapplicable in determining workers’ compensation rates. § 59A-17-6(F).
Nonetheless, NCCI maintains that the Board should have recognized the presumptions under Section 59A-17-6 because the November 15 notice quoted verbatim from that section. However, the notice did not quote verbatim but only adapted language from Section 59A-17-6 in order to clarify the terms “excessive” “inadequate” and “unfairly discriminatory.” Nowhere within the notice did the Superintendent indicate that the filing would be examined under the standards of Section 59A-17-6, nor would it have been proper under the prohibition of Section 59A-17-6(F) had the Superintendent done so.
Investment Income. NCCI next maintains that the Board improperly demanded investment income data from NCCI. NCCI refused to submit such data because NCCI interpreted Section 59A-17-8, which pertains solely to workers’ compensation rate making, to preclude the Board from obtaining it. NCCI supports this interpretation by comparing Section 59A-17-8 to Section 59A-17-7, which details rate making for types of insurance other than workers’ compensation. According to NCCI, the most significant distinction between the two sections is that Section 59A-17-7 allows consideration of investment income and Section 59A-17-8 makes no mention of it. Further, NCCI argues that, by including “underwriting profit” in the calculation of workers’ compensation rates, the legislature intended to exclude investment income from consideration. See Insurance Dep’t v. City of Philadelphia, 196 Pa.Super. 221, 173 A.2d 811 (1961).
NCCI’s argument fails to address the legislature’s directive to give due consideration “to all other relevant factors.” See § 59A-17-8(A)(1). Recently, the Oklahoma Supreme Court in State ex reí. Turpén v. Oklahoma State Board for Property and Casualty Rates, 731 P.2d 394 (Okla.1986), did address a similar statutory directive as applied to the same fact situation presently before this Court. In determining that investment income was a relevant factor, the court stated that “[t]he necessity for disclosure of information on investment income becomes even more clear in light of the industry-recognized axiom that money is made from investments, not underwriting.” Id. at 403-404. In recent years, the insurance industry has been engaging in cash flow underwriting whereby insurers write risks without regard to underwriting profits, in the expectation of making a profit through investments. See Massachusetts Auto. Rating and Accident Prevention Bureau v. Commissioner of Ins., 384 Mass. 333, 424 N.E.2d 1127 (1981).
The Oklahoma court assessed the relevancy of investment income under a statute which, unlike New Mexico’s, calculated inadequacy of rates by whether continual use of such rates endangered the solvency of the insurer. Oklahoma State Bd. for Property and Casualty Rates, 731 P.2d at 403. Nonetheless, given the mandate to consider “all other relevant factors” to determine the propriety of proposed workers’ compensation premiums, we believe it was likewise within the New Mexico Insurance Board’s power to request NCCI to submit investment income data under Section 59A-17-8.
If the legislature had intended to exclude investment income from “all other relevant factors,” it could have done so explicitly. Instead, it left as a function of the Board to determine what factors may be relevant. We reject the argument that inclusion of a factor in a section not applicable to workers’ compensation necessarily, by some rule of logic or construction, makes that factor irrelevant to workers’ compensation rates.
Company Expenses. NCCI also maintains that the Board improperly considered NCCI’s calculation of insurance company expenses. NCCI relies upon Section 59A-17-8(A)(2), which recognizes that expense provisions may differ to reflect varying operating methods of insurers or groups of insurers. Further, it is argued, Section 59A-17-14(D) prohibits using expense provisions as a grounds for disapproving a rate filing.
Section 59A-17-14(D) precludes disapproval of a rating plan on grounds that it establishes standards for measuring variations in expense provisions, provided that the rates thereby produced meet the applicable requirements of Article 17. It is questionable whether this section applies to NCCI’s objection to the Board’s consideration of projected company expenses. NCCI failed to show this Court that the Board based its disapproval upon the rate filing’s inclusion of specific standards of measuring variations in expense provisions. What’s more, the rates produced by use of given expense provisions must meet the applicable requirements of Article 17. According to expert testimony, NCCI applied an erroneous percentage of increase to company expenses because company expenses do not necessarily increase at the same rate as loss payments. The Board concluded that there was no support in the record to substantiate NCCI’s projected increase in company expenses. Under Section 59A-17-14(D), the Board properly could consider the accuracy of NCCI’s projection for company expenses in determining whether the rate proposal was excessive, inadequate or unfairly discriminatory.
Underwriting Losses. Equally without merit is NCCI’s contention that the Board ignored massive underwriting losses contrary to Section 59A-17-8(A)(1). In refusing to approve the rate increase, the Board primarily based its decision upon the inadequacy of data submitted by NCCI in support of its filing. Although NCCI presented evidence that insurers were incurring significant underwriting losses in New Mexico, that did not preclude the Board from disapproving the filing because of other deficiencies in information, such as investment income, which would affect the materiality of underwriting losses. See Public Serv. Co. of New Mexico v. New Mexico Envtl. Improvement Bd., 89 N.M. 223, 549 P.2d 638 (Ct.App.1976).
Burden of Proof. NCCI further asserts that the Board applied the incorrect burden and standard of proof in disapproving the rate filing. NCCI maintains that in a proceeding to cancel previously approved rates the burden falls upon the party opposing the rates to prove they violate the statutory requirements. See Insurance Dep’t v. City of Philadelphia, 196 Pa.Super. 221, 173 A.2d 811 (1961). Section 59A-17-14(B), however, is silent on who has the burden of proof to demonstrate that an effective filing fails to satisfy the requirements of Article 17. To support its argument, NCCI directs our attention to case authority from North Carolina, Pennsylvania and Wyoming.
NCCI misplaces reliance upon State ex rel. Commissioner of Insurance v. North Carolina Rate Bureau, 40 N.C.App. 85, 252 S.E.2d 811, cert. denied, 297 N.C. 452, 256 S.E.2d 810 (1979). There, the court stated that, in disapproving a rate filing, the Commissioner’s decision must be based upon an affirmative showing that the filing fails to comply with statutory standards. Id. at 102, 252 S.E.2d at 822. This statement addressed substantial evidence on the entire record, not burden of proof. “[T]he new statutory scheme [“file and use” procedure] does not shift the ultimate burden of proof from the [rate maker] to the Commissioner.” Id. at 96, 252 S.E.2d at 819. See also State ex rel. Comm’r of Ins. v. North Carolina Rate Bureau, 300 N.C. 381, 455, 269 S.E.2d 547, 592 (1980). (“[T]he underlying burden of proving the need and reasonableness of a rate increase rests upon the [rate maker].”).
In Mortgage Guaranty Insurance Corp. v. Langdon, 634 P.2d 509 (Wyo.1981), the court ruled that once the filing becomes effective the burden falls upon anyone complaining against the rates, including the Commissioner, to demonstrate that they are wrong. Id. at 519. The authority cited for this proposition, however, undermines rather than supports this ruling. In Massachusetts Medical Service v. Commissioner of Insurance, 346 Mass. 346, 348, 191 N.E.2d 777, 778 (1963), the court held that the burden of furnishing adequate evidence to enable the Commissioner to establish the reasonableness of a rate proposal falls upon the rate maker. Similarly, in Insurance Services Office v. Whaland, 117 N.H. 712, 716, 378 A.2d 743, 747 (1977), the court stated that the burden rests upon the rate filer to furnish such data that supports the filing and that satisfies the Commissioner that the statutory requirements have been met.
Only Insurance Department v. City of Philadelphia, 196 Pa.Super. 221, 173 A.2d 811 (1961), speaks to a shifting of the burden of proof once a rate filing becomes effective. However, City of Philadelphia is distinguishable on its facts. In City of Philadelphia, the Commissioner found no reason to disapprove the filing. After the new rates went into effect, the city complained about the rate increase. The inquiry, therefore, focused upon who had the burden to prove that the Commissioner erred in approving a rate proposal. The court held that the burden was upon the city to show that the new rates were not in accordance with statutory requirements.
Unlike City of Philadelphia, we must resolve whether the procedures for disapproving a filing after it has become effective (§ 59A-17-14(B)) required the Board to prove the filing failed to satisfy statutory requirements, as opposed to requiring NCCI to prove the filing satisfied Article 17. We find persuasive those authorities which recognize that the burden of proof falls upon the rate maker. See Massachusetts Medical Serv. v. Commissioner of Ins., 346 Mass. 346, 191 N.E.2d 777 (1963); Insurance Servs. Office v. Whaland, 117 N.H. 712, 378 A.2d 743 (1977); State ex rel. Comm’r of Ins. v. North Carolina Rate Bureau, 300 N.C. 381, 269 S.E.2d 547 (1980); State ex rel. Comm’r of Ins. v. North Carolina Rate Bureau, 40 N.C. App. 85, 252 S.E.2d 811, cert, denied, 297 N.C. 452, 256 S.E.2d 810 (1979). Notwithstanding an effective filing, absent an express legislative mandate to the contrary, see State ex rel. Comm’r of Ins. v. North Carolina Rate Bureau, 300 N.C. at 454, 269 S.E.2d at 592, we will not infer that the burden shifted to the Board to prove that the filing did not satisfy the requirements under Article 17.
NCCI also claims that, by requesting the data and information discussed above, the Board applied a standard of perfection against the rate filing, instead of applying the preponderance standard. NCCI argues that, by ruling against the filing because of perceived imperfections in the supporting data, the Board failed to evaluate the filing by a preponderance of the available evidence. NCCI maintains that it provided the Board with all the information it could muster. However, NCCI took issue with the Board’s request for investment income data, standard premium callsheets, and schedule ratings. The Board reasonably found that, more likely than not, it was missing data that was necessary to accurately assess the rate filing.
SUBSTANTIAL EVIDENCE
Expert Opinion on Ultimate Facts. NCCI claims no expert testified that the rate increase was excessive or that there was too little information to assess the filing. No such direct testimony was required. The Board’s function was to make the ultimate decision based on the evidence heard and upon its own expertise. The order recited the Board’s reasoning and the record upon which it made its decision. See Bokum Resources Corp. v. New Mexico Water Quality Control Comm’n., 93 N.M. 546, 603 P.2d 285 (1979). Our review of the whole record convinces us that substantial evidence exists to support the reasonableness of the Board’s decision to disapprove the rate filing.
Unsworn Testimony. During the hearing, a number of individuals including then-Governor Anaya and certain state legislators spoke in opposition to the rate increase. NCCI argues that such conduct may be appropriate at an informational hearing, but it is inappropriate in a rate making hearing. See Connecticut Blue Cross, Inc. v. White, 31 Conn.Supp. 257, 328 A.2d 442 (1974). NCCI maintains that the Board erred by considering the testimo ny of those unsworn witnesses. In Connecticut Blue Cross, Inc., the court stated that if evidence demonstrated that the Commissioner of Insurance was unduly or improperly influenced by the Governor or state legislators, the court would have cause to interfere. Id. at 265, 328 A.2d at 446.
NCCI contends that the Board was unduly influenced by Governor Anaya and the state legislators, citing the Board’s reference to the Governor’s testimony in announcing its decision to disapprove the filing. There is nothing in the Board’s order to support the claim that any undue or improper influence was exercised over the Board. One purpose of the hearing was to solicit public input. There certainly was no prohibition against the Governor and legislators voicing their opinions. See id. The Board’s findings, conclusions and order made no reference to comments received from public officials but, rather, clearly demonstrates that the Board rested its decision upon the testimony of expert witnesses who were under oath and subject to cross-examination.
CONFISCATORY ACTION
Finally, NCCI contends that the Board’s action was confiscatory and therefore unconstitutional. NCCI had the burden of proof to demonstrate the confiscatory nature of the current premium rates. NCCI’s refusal to disclose investment income data foreclosed any such demonstration. See National Council on Compensation Ins. v. Superintendent of Ins., 481 A.2d 775 (Me.1984). See also Massachusetts Auto. Rating and Accident Prevention Bureau v. Comm’r of Ins., 384 Mass. 333, 424 N.E.2d 1127 (1981).
The Board’s December 10 hearing complied with the statutory requirements of Article 17 and due process. On the record as a whole, there is substantia] evidence to support the district court’s order affirming the Board’s decision to disapprove NCCI’s rate filing. We affirm.
IT IS SO ORDERED.
SOSA, Senior Justice, and WALTERS, J., concur.
SCARBOROUGH, C.J., and STOWERS, J., dissent.
. The notice stated the following:
PLEASE TAKE NOTICE that an informal public hearing will be held on December 10, 1985, to receive written and oral comments of interested persons concerning proposed workmen’s compensation rate increases.
The proposed increases filed with the Superintendent of Insurance average 37.1% and range up to increases of approximately 60% over current rates for individual classes of employees. The rate increases will apply to all Workmen’s Compensation policies issued in New Mexico on or after January 1, 1986, except for policies issued to public entities which policies are exempted pursuant to rule of the Superintendent.
The hearing will focus on whether the proposed rates are excessive, inadequate or unfairly discriminatory. Rates are deemed to be excessive if they are likely to produce a profit that is unreasonably high in relation to the risks to be covered, or if expenses are unreasonably high in relation to services rendered. Rates will be deemed inadequate if they are clearly insufficient, together with the investment attributable to them to sustain projected losses and expenses. Unfair discrimination exists if one rate fails to reflect equitably the differences in expected losses and expenses in comparison with another rate in the same class. Further consideration will be given in the hearing to the specific issues described in Section 59A-17-8 NMSA 1978 and other applicable law.
Comments will be received in both written and oral form. Written comments should not exceed twenty (20) pages in length, must be received not later than the date of hearing, and should be mailed to the Superintendent of Insurance. * * *
. A filing must be on file for a waiting period of 15 days before it becomes effective. § 59A-17-10(C). (The effective date of the “filing” is distinguished from the effective date of the “premium rate.”) If, because the insurer has not included supporting manuals and plans required to be filed or the insurer has not released other information upon which the insurer supports the filing, the Superintendent requires the insurer to furnish additional information, then the fifteen-day waiting period does not commence until the information is furnished. § 59A-17-10(A). Within the waiting period, the Superintendent may disapprove the filing by written notice specifying the failure of the filing to meet requirements and stating the filing shall not become effective. § 59A-17-14(A). No hearing is necessary. After a filing has become effective, disapproval is governed by Section 59A-17-14(B), which provides:
If at any time subsequent to the applicable review period provided for as to a workmen’s compensation insurance filing the superintendent finds that a filing does not meet the applicable requirements of this article, he shall, after a hearing upon written notice specifying the matters to be considered at the hearing to every insurer and rate service organization which made such filing, issue an order specifying the respects in which he finds that the filing fails to meet such requirements and stating when, within a reasonable period thereafter, such filing shall be deemed no longer effective. * * *
In adhering to Subsection (B) rather than Subsection (A) of Section 59A-17-14, both the Board and the district court were guided by procedural requirements which respondents now argue to be inapplicable to the facts in this case. It may even be argued that the Superintendent misconstrued the law, when, in his letter of October 31, having determined that the review of the filing within 15 days of its receipt was not possible, he extended the waiting period only an additional 15 days. In that letter, the Superintendent requested that NCCI cooperate with the Board’s independent actuary and furnish him with any additional information he may need to complete his review. This language arguably satisfied the statutory intention that:
When a filing is not accompanied by the information upon which the insurer supports the filing, and the superintendent does not have sufficient information to determine whether the filing meets the requirements of those provisions of this article applicable as to workmen’s compensation insurance, he shall require the insurer to furnish the information upon which it supports the filing, and in such event the waiting period shall commence as of the date such information is furnished."
§ 59A-17-10(A). If supporting information requested by the Superintendent is not forthcoming, a filing clearly could be disapproved under Section 59A-17-14(A) on the grounds that the furnishing of information within a reasonable period of time is mandatory.
While we could consider the disposition of this case on that basis, see Conwell v. City of Albuquerque, 97 N.M. 136, 637 P.2d 567 (1981) (while a reviewing court may not substitute its judgment for that of an administrative decision-maker, it may correct the decision-maker’s misapplication of the law), we choose to rest our decision on the Board's own assumption that Subsection (B) applied.
. MR. [Commissioner] ELLIOTT: Now, it is your understanding that this commission cannot act in an informal hearing, or is this commission considering your rates today?
MR. MARSHALL [for NCCI]: Mr. Chairman, I will address that in my opening remarks. It is our position that it is a matter of law that the proper forum to consider this rate increase was the superintendent of insurance. He has a specified time in which to act to disapprove the rates or they become effective. It is our position that the hearing today is an informal one to receive comments. That it is not a formal evidentiary hearing, and that it is basically for the purpose of receiving comments. It is our view that the statutes allow the rates to go into effect unless they have been disapproved after a formal hearing. That is our position.
MR. ELLIOTT: Now, Mr. Carlson [sic], you have a reply?
MR. CARLSON [sic]: Yes, Mr. Commissioner, we do. The insurance Board is given plenty [sic] — absolute control over the rate making process, and it is put in charge of it. This is a rate making issue, and specifically, it’s put in charge of everything under article seventeen of our new insurance code. Now, article seventeen is the article pursuant to which this hearing is being held. So it is my opinion that the Board or the — that the Board may step in and exercise the superintendent’s power in any rate making proceeding in the first instance.
With regard to the need for a formal hearing, the article seventeen doesn’t say that a formal hearing is necessary to act on workmen’s comp rates. It simply says that a hearing must be held before any rates are disapproved. So it is not — it is our opinion that — it is our position that a formal hearing does not have to be held. As long as the hearing that is held comports with due process, that is enough.
. Sections 59A-4-16(E) and 59A-4-18 provide for informal hearings, to be held in accordance with rules and regulations that may be promulgated in accordance with Section 59A-2-9. There is no record of any specific rules and regulations that govern the administration of informal hearings before the Board or the Superintendent acting as Secretary of the Board. On motion for rehearing, NCCI raises issues of specific application of Rules of Procedure of the New Mexico State Corporation Commission. However, we do not find that these rules were made applicable to the Board or that the hearing before the Board was a Commission hearing to which these rules applied. Accordingly, we have not reached the merits of the arguments made in reference to those rules.
. In the Board’s findings, conclusions and order, the Board made the following pertinent findings:
8. At the hearing the Council presented charts in support of the Filing which contained information based on Net Earned Premium. The Council’s actuary, Mr. Kevin MacAllister, conceded that Net Earned Premium was not an appropriate basis for and was not relevant to this workmen’s compensation rate-making proceeding. Mr. MacAllister stated that only Standard Earned Premium was relevant to the determination of rates in this proceeding.
10. The company "General Expense” percentage and calculations in the filing are based on stock insurance companies. Mr. MacAllister was unable to explain to the Commission’s satisfaction why general expenses of insurance companies should not be derived from both stock and mutual companies, particularly when other expenses are derived from both classes of companies.
11. New Mexico permits deviations from Standard Earned Premium on a number of bases, including scheduled rating. Scheduled rating is distinguishable from other types of premium, deviations in that it can vary with each and every policy issued.
12. The Superintendent’s actuary, Allen Kaur, testified that he had never received a satisfactory verifiable answer to his question as to how the Council assured that schedule rating discounts were converted to Standard Earned Premium. Mr. Kaur explained that this question presented substantial problems in his ability to evaluate the Filing, because without an assured uniform method of conversion, the accuracy of the Standard Earned Premium figure could not be verified. Mr. Kaur stated in response to a hypothetical that the impact of widespread failures to convert scheduled rating discounts to Standard Earned Premiums could result in millions of dollars inaccuracy [sic] and underreporting of the Standard Earned Premium figure used in the Filing.
13. The Council’s Mr. Mark Mulvaney acknowledged that no actual audits of companies were being performed to verify that scheduled rating discounts were in fact being properly converted for the 1983 policy year used as a base for the filing. The Insurance Board does not see how the appropriateness of any statistical method can be verified without such an audit.
14.Mr. Allen Kaur stated that he had requested the Standard Earned Premium call sheet from the Council, and that it had not been made available to him. Mr. Kaur stated that this material was needed to verify the Standard Earned Premium used in the Filing.
18. The New Mexico Trial Lawyer’s Association actuary, Mr. Robert Lowe, testified that a large portion of the 37.1% average rate increase proposed in the filing was attributable to development factors. The use of development factors is necessitated by the need to use recent loss information which is necessarily incomplete. However, development factors in this Filing were based on only a short time span. According to Mr. Lowe the insurance industry is cyclical, and this should have been, but was not, considered in establishing development factors in the Filing. The current cycle is now seven to eight years long. The development factors used in this Filing are based on a much shorter period of time, viz two years, whereas an entire cycle like the current one would be about ten years long.
19. Mr. Lowe stated that the proposed rate increases in the Filing were based only on losses attributable to benefits. Nonetheless, the rate of increase necessitated by benefits alone was applied to company expenses. Mr. Lowe stated that company expenses did not necessarily increase at the same rate as loss payments. Excluding the 37.1% company expense increase would alone reduce the average rate increase requested in this proceeding from 37.1 to 26.6%, according to Mr. Lowe. 21. Insurance company expenses, and general expenses in particular, are not necessarily tied to the cost of benefits. There is no support in the record for an increase in Company general expenses which is exactly proportionate to the projected increases in benefits to be paid out.
23. One witness stated that rate requests should be based only on those companies which are the best performers, not on all companies.
24. No information concerning company investment income was supplied relating investment income to or showing its impact on the filing. The Notice of Hearing specifically stated that investment income would be considered in connection with the adequacy or inadequacy of rates. | [
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OPINION
BLACK, Judge.
Appellees, Bertinus Zwaagstra and Diane Zwaagstra (Taxpayers), own and operate two dairies in Dona Ana County, New Mexico. Taxpayers reported their livestock, equipment, and other personal property to the Dona Ana County Tax Assessor (the Assessor) for property tax valuation.
The Assessor determined that Taxpayers intentionally failed to report a complete list of all taxable personal property. Relying on NMSA 1978, Section 7-38-8(1) (Repl. Pamp.1993), the Assessor imposed a non-rendition civil penalty of 25% on all of the property taxes that Taxpayers owed for 1992. Taxpayers brought a claim for refund against the Dona Ana County Commissioners (the County) in district court. The district court granted Taxpayers’ claim for refund, holding that the 25% non-rendition penalty contained in Section 7-38-8(1) could only be imposed on the property Taxpayers had failed to report. The district court further held that the Assessor improperly imposed the penalty on property that Taxpayers had accurately reported, as well as property that Taxpayers had failed to report. The County appeals. We affirm.
FACTS
Taxpayers own and operate two dairies near Mesquite, New Mexico. On December 31, 1991, the Assessor sent requests to disclose all personal property of the dairies for property tax valuation purposes. Taxpayers returned the forms to the Assessor. The Assessor determined that the forms were incomplete and that Taxpayers had failed to report all the calves they owned. The Assessor again asked Taxpayers to complete the report, but Taxpayers returned the forms to the Assessor without revision.
On April 1,1992, three notices of valuation were sent to Taxpayers, each with a 25% non-rendition penalty imposed. The Assessor imposed the 25% non-rendition penalty against all of Taxpayers’ personal property, i.e., both the property that Taxpayers had voluntarily reported and the property in dispute.
Taxpayers paid the property tax bill under protest and filed complaints for refund in both the Santa Fe and Dona Ana County district courts. The Santa Fe district court dismissed the Santa Fe claim, holding that the cattle were to be assessed only by the assessor in the county where the cattle were actually located. We affirmed that dismissal. Zwaagstra v. DelCurto, 114 N.M. 263, 837 P.2d 457 (Ct.App.1992). In the remaining Dona Ana action, Taxpayers filed a motion for summary judgment, arguing that the Assessor had no legal authority to assess a 25% non-rendition penalty tax against the portion of Taxpayers’ personal property that was properly reported. Taxpayers argued that Section 7-38-8(1) limited the County to the imposition of a 25% penalty only on the amount of taxes ultimately determined to be due on the property in dispute.
The County filed affidavits in opposition to summary judgment, arguing that the statute was plain and permitted the imposition of the penalty against all of Taxpayers’ personal property taxes for 1992, including the property taxes that were properly paid. Following a hearing, the district judge announced that he would grant Taxpayers’ motion for summary judgment on the penalty issue.
On April 8,1994, the district court entered its “Findings and Order on Plaintiffs’ Motion for Summary Judgment” and certified the issue of the imposition of the 25% non-rendition penalty for interlocutory appeal. Taxpayers applied for interlocutory appeal. This Court denied those applications. On July 14, 1994, the district court entered a final judgment in favor of Taxpayers. It is that judgment which we review.
DISCUSSION
For purposes of the personal property tax, New Mexico is a self-rendition state. A taxpayer is required to “render” or report to the proper county assessor all personal property subject to valuation under Section 7-38-8. Lovelace Ctr. for Health Sciences v. Beach, 93 N.M. 793, 795, 606 P.2d 203, 205 (Ct.App.1980); see Pratt v. Parker, 57 N.M. 103, 105-07, 255 P.2d 311, 312-13 (1953) (“rendition” used for reporting of property for valuation purposes). Should a taxpayer fail to report property subject to valuation, the penalties set forth in Section 7-38-8 may be imposed. See Beach, 93 N.M. at 796, 606 P.2d at 206. This case focuses on the basis upon which the penalty for failure to report property for valuation is to be assessed. Section 7-38-8(1) provides:
I. Any person who intentionally refuses to make a report required of him under the provisions of Subsection A or B of this section with the intent to evade any tax or who fails to make a report required of him under the provisions of Subsection A or B of this section with the intent to evade any tax is liable for a civil penalty in an amount equal to twenty-five percent of the property taxes ultimately determined to be due on the property for the tax year or years for which he refused or failed to make the required report.
On its face this provision authorizes a penalty only on “taxes ultimately determined to be due on the property for the tax year or years for which [the taxpayer] refused or failed to make the required report.” When a taxpayer voluntarily renders property for taxation, the taxes imposed as a result of such voluntary reporting would not generally be described as “ultimately determined to be due,” and certainly would not encompass property “for which [the taxpayer] refused or failed to make the required report.” That statutory language would more aptly describe property omitted by a taxpayer, ultimately discovered, and assessed. On its face, therefore, the statute would appear to authorize the penalty only on omitted property that is discovered and assessed and for which taxes are “ultimately determined to be due.” Absent clear and express legislative intent to the contrary, the words of a statute should be given their ordinary meaning. Whitely v. New Mexico State Personnel Bd., 115 N.M. 308, 311, 850 P.2d 1011, 1014 (1993).
To the extent that there is any ambiguity on a question of property valuation in a tax statute, the ambiguity must be construed against the county and in favor of the taxpayer. In re Ranchers-Tufco Limestone Project Joint Venture, 100 N.M. 632, 638, 674 P.2d 522, 528 (Ct.App.), cert. denied, 100 N.M. 505, 672 P.2d 1136 (1983). Moreover, even if we were to attempt to ascertain the legislative intent by interpreting this statute, we would arrive at the same result. Courts are to interpret statutes to accord with common sense and reason, Lopez v. Employment Sec. Div., 111 N.M. 104, 106, 802 P.2d 9, 11 (1990), and should not construe statutes to be unreasonable or unjust in application. Dona Ana Sav. & Loan Ass’n v. Dofflemeyer, 115 N.M. 590, 592-93, 855 P.2d 1054, 1056-57 (1993). In other contexts, we have held it reasonable to base the penalty on the severity of the offense. See, e.g., State v. Peppers, 110 N.M. 393, 401, 796 P.2d 614, 622 (Ct.App.) (penalties for failure to appear), cert. denied, 110 N.M. 260, 794 P.2d 734 (1990). One legal scholar has noted that penalties for negligence under the federal tax system should be imposed only to the extent of noncompliance because punishment not in proportion to the extent of noncompliance may have an adverse impact on the public perception of our self-assessment tax system. Richard J. Wood, Accuracy-Related Penalties: A Question of Values, 76 Iowa L.Rev. 309, 319-20 (1991). If Section 7-38-8 is applied in the fashion advanced by the County, a failure to report a $100.00 item could result in a penalty higher than the actual value of the omitted property. Such an interpretation may be considered unreasonable and unjust. We therefore doubt that the legislature intended this result.
The County next argues that the district court erred in not construing Section 7-38-8(1) in pari materia with other penalty sections of the tax code that contain language identical to Section 7-38-8(1), i.e., penalties based on “taxes ultimately determined to be due.” NMSA 1978, §§ 7-36-21(H), 7-36-26(F) (Repl.Pamp.1993). The County, however, cites no legal authority interpreting these other sections which would require that the penalties be levied on anything other than the amount disputed by the taxpayer. Mere citation to those sections is therefore not persuasive.
The County also argues that Section 7-38-8(1) should be interpreted as in pari materia with NMSA 1978, Section 7-38-8(J) (Repl.Pamp.1993), which penalizes a failure to report substantial improvements to real property. Section 7-38-8(J) imposes penalties as follows:
the greater of twenty-five dollars ($25.00) or twenty-five percent of the difference between the property taxes ultimately determined to be due and the property taxes originally paid for the tax year or years for which the person failed to make the required report.
The County argues that the clear language of Section 7-38-8(J) proves that the legislature knows how to specify when the penalty is to be imposed only on the amount in dispute. It follows, according to the County, that because Section 7-38-8(1) contains such a precise distinction, the legislature obviously did not intend to limit application of the penalty in Section 7-38-8(1) to the contested amount. We note, however, that the language currently labelled as Subsection I was part of the original statute adopted in 1973. 1973 N.M. Laws, ch. 258, § 48(H). Subsection J, on the other hand, was not adopted until 1991. 1991 N.M. Laws, ch. 213, § 1. It therefore seems just as logical to conclude that the legislature had the same intent in adopting Subsection J and merely refined the penalty language to be more explicit. Cf. State ex rel. Quintana v. Schnedar, 115 N.M. 573, 575-76, 855 P.2d 562, 564-65 (1993) (two provisions relating to the same subject should be harmonized if possible).
CONCLUSION
The language of Section 7-38-8(1) is straightforward and authorizes a penalty only on “the property taxes ultimately determined to be due on the property for the tax year or years for which [the taxpayer] refused or failed to make the required report.” The property that Taxpayers voluntarily reported to the County does not fall within this definition. Moreover, it seems unreasonable and unjust to read the statute as authorizing the imposition of a penalty on the entire amount reported by a taxpayer when only a minor item is in dispute.
The judgment of the district court is affirmed.
IT IS SO ORDERED.
PICKARD and WECHSLER, JJ., concur. | [
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OPINION
MINZNER, Justice.
Plaintiff-Appellant Oliver Kepler (Kepler) appeals the trial court’s order entering summary judgment in favor of Defendant-Appellee Wendy Slade (Slade). The sole issue on appeal is whether an earlier foreclosure action, in which both Kepler and Slade were defendants, bars Kepler from instituting a separate action against Slade to recover on a personal note, which Slade executed in conjunction with a deed of trust on the foreclosed property. We hold that under the doctrine of res judicata, a judgment in a prior foreclosure action does not bar a subsequent lawsuit to recover a debt on a personal note. Therefore, we reverse the judgment entered in favor of Slade.
FACTS
In 1985, Lyle Bauers (Bauers) executed a promissory note secured by a mortgage on certain real property. Home Mortgage of New Mexico, the mortgagee in the original transaction, assigned its interest in the note and mortgage to Home Mortgage of El Paso. Six months later, Bauers sold the property to four individuals, including Slade. Slade and the other purchasers executed a personal note and a deed of trust in favor of Bauers and Zero Investment and Escrow Company. Bauers then assigned his interest in the note and deed of trust to Kepler.
In 1988, Slade and the other owners sold the property to Kent Betsworth (Betsworth). Betsworth later defaulted on his obligation to Home Mortgage, which also placed Slade and her partners into default. Home Mortgage filed a foreclosure action, joining as defendants all parties who had an interest in the property, including Slade and her partners, Bauers, Betsworth, and Kepler. The only claim by Home Mortgage that directly affected Kepler in the foreclosure action was Home Mortgage’s request that its mortgage be declared superior to any other. Although Kepler entered an appearance in the foreclosure action, he did not pursue a defense in the case, and ultimately a judgment of foreclosure was entered against him.
In 1994, Kepler filed suit against Slade, seeking to recover on the personal note executed in 1985. Slade filed a motion for summary judgment, contending that Kepler’s claim on the note was barred by the doctrines of res judicata and equitable estoppel. The trial court agreed that the 1988 foreclosure action was res judicata of Kepler’s claims against Slade, and entered judgment in favor of Slade.
DISCUSSION
Under the doctrine of res judicata, a judgment on the merits in a prior lawsuit bars a subsequent action involving the same parties and the same cause of action. Nosker v. Trinity Land Co., 107 N.M. 333, 336, 757 P.2d 803, 806 (Ct.App.), cert. denied, 107 N.M. 267, 755 P.2d 605 (1988). For res judicata to apply, the first and second lawsuits must be identical in four ways: “(1) parties or privies, (2) capacity or character of persons for or against whom the claim is made, (3) cause of action, and (4) subject matter.” Silva v. State, 106 N.M. 472, 474, 745 P.2d 380, 382 (1987).
In this case, the parties’ disagreement focuses on whether the two lawsuits involve the same cause of action. If the causes of action are different, res judicata does not apply. DiMatteo v. County of Dona Ana, 109 N.M. 374, 380, 785 P.2d 285, 291 (Ct.App.1989). Slade maintains that because the note and the mortgage resulted from the same transaction, i.e., the purchase of the real property, the action foreclosing on the mortgage and the action to recover on the underlying promissory note are necessarily the same cause of action. Thus, Slade reasons, Kepler was required to pursue all of his claims in the foreclosure action, and, because he failed to do so, his cause of action on the note is now barred. For the reasons discussed below, we disagree with Slade’s contention.
Under the traditional common law rule, upon default by the mortgagor, a mortgagee has independent remedies which he or she may pursue. The mortgagee may sue either on the note or foreclose on the mortgage, and may pursue all remedies “at the same time or consequently.” Belote v. McLaughlin, 673 S.W.2d 27, 30 (Mo.1984) (en banc); see also Berg v. Liberty Fed. Sav. & Loan Ass’n, 428 A.2d 347, 349 (Del.1981) (en banc). As long as there is no double recovery on the debt, the mortgagee may pursue either or both remedies. City of St. Paul v. St. Anthony Flats Ltd., 517 N.W.2d 58, 62 (Minn.Ct.App.), review denied (Aug. 24, 1994). Absent a statute to the contrary, “state courts have uniformly held that holders of notes secured by a deed of trust can both sue the maker or guarantor and foreclose on the property regardless of which action they pursue first.” Szego v. Kingsley Anyanwutaku, 651 A.2d 315, 317 (D.C.1994); see also 55 Am.Jur.2d Mortgages § 541, at 521 (1971) (“[T]he general rule ... is that a creditor whose debt is secured by mortgage may pursue his [or her] remedy in personam for the debt, or his [or her] remedy in rem to subject the mortgaged property to its payment.” (footnote omitted)); 12 Thompson on Real Property § 101.04(b), at 391 (David A. Thomas ed., 1994) (“Except in states with one-action statutes, mortgagees may split their claims on the debt and under the mortgage.”).
The distinction between the two remedies is found in the historic view that a foreclosure action is purely quasi in rem, affording relief only against the secured property, and a suit on a bond cr note is in personam. Resolution Trust Corp. v. Berman Indus., Inc., 271 N.J.Super. 56, 637 A.2d 1297, 1300 (1993); see also Central Penn Nat'l Bank v. Stonebridge Ltd., 185 N.J.Super. 289, 448 A.2d 498, 504 (1982) (“A foreclosure proceeding is solely an action quasi in rem and the relief granted is only against the land itself, whereas, an action on the note is in personam.” (citation omitted)); P.S.G. Ltd. v. August Income/Growth Fund VII, 115 N.M. 579, 584, 855 P.2d 1043, 1048 (1993) (stating that “A foreclosure action is one in which property rights concerning land are determined”). A judgment of foreclosure applies only to the property secured by the mortgage, and does not impose any personal liability on the mortgagor. LaFarr v. Scribner, 150 Vt. 159, 549 A.2d 651, 652 (1988). If the foreclosure of the mortgaged property fails to satisfy the debt secured by the mortgage, the creditor may then pursue an action on the underlying note. Id. 549 A.2d at 653.
Some jurisdictions have adopted legislation providing for a “one action” rule that requires a mortgagee to file only one lawsuit in which he or she pursues all remedies for a debt that is secured by a mortgage. See, e.g., Cal.Civ.Proc.Code § 726(a) (West 1980 & Supp.1995); Idaho Code § 6-101(1) (1990 & Supp.1994); Utah Code Ann. § 78-37-1 (1992). One of the purposes of such statutes is to protect the mortgagor from multiple lawsuits since the mortgagee’s separate causes of action, even though theoretically distinct, are closely connected and should be decided in one suit. See F.D.I.C. v. Shoop, 2 F.3d 948, 950 (9th Cir.1993) (discussing history and purpose of one action statutes); cf. City Consumer Servs., Inc. v. Peters, 815 P.2d 234, 236-37 (Utah 1991) (limiting Utah’s one action statute to senior creditor in foreclosure action). In New Mexico, however, the legislature has not enacted a statute that would require a mortgagee to pursue all remedies in the same lawsuit. Because the legislature has not indicated its intent to limit a mortgagee to one suit on a debt, New Mexico continues to follow the common law rule that a foreclosure action and a suit on the underlying note may be filed separately at the mortgagee’s option. See Porter v. Alamocitos Land & Livestock Co., 32 N.M. 344, 353, 256 P. 179, 183 (1927) (recognizing that holder of note secured by mortgage has two independent remedies that may be pursued successively or concurrently; no statutory prohibition against such a procedure). Since, under the common law, the two causes of action are separate and distinct, and no statutory provision prohibits a mortgagee from seeking payment of a debt in both a foreclosure action and an action on the underlying note, the doctrine of res judi cata does not apply. See DiMatteo, 109 N.M. at 380, 785 P.2d at 291.
Merger is “an aspect of res judicata which prevents relitigation of existing judgments.” Brenton State Bank v. Tiffany, 440 N.W.2d 583, 585 (Iowa 1989). However, when a creditor has a lien against a debtor’s property, a judgment on the debt does not result in the creditor losing the benefit of the lien. Restatement (Second) of Judgments § 18 cmt. g (1982) (discussing the general rule of merger in the context of a judgment for plaintiff). Thus, the merger doctrine does not preclude a mortgagee from separately pursuing foreclosure and recovery on the underlying personal note. See 55 Am. Jur.2d Mortgages § 536, at 518 (promissory note is distinct from pledge of real estate evidenced by mortgage; mortgage is not intended to affect the promise to pay, but provides only a remedy for failure of performance).
Slade relies on First State Bank v. Muzio, 100 N.M. 98, 666 P.2d 777 (1983), overruled on other grounds by Huntington National Bank v. Sproul, 116 N.M. 254, 264, 266, 861 P.2d 935, 945, 947 (1993), to support her assertion that res judicata bars Kepler from suing her on the underlying promissory note. In Muzio, this Court held that a guarantor of a promissory note was barred from raising certain defenses in a foreclosure action because the guarantor defaulted on the action underlying the note. This Court viewed the defenses the guarantor sought to raise in the foreclosure action as “portions of the same cause of action dealt with in the default judgment action.” Id. at 100, 666 P.2d at 779. Muzio is factually distinct from this case. Specifically, the promissory note at issue in Muzio had not been secured by a mortgage; in the first suit, on the note, the defendant defaulted, and the plaintiff obtained a lien on the property. The plaintiff then attempted to foreclose on the property in a second suit in order to enforce the prior judgment. The foreclosure action evolved directly from the prior judgment entered on the note, and thus the relationship between the two lawsuits satisfied the elements of res judicata. Therefore, the guarantor was barred from raising defenses in the foreclosure action that he could have raised in the first lawsuit. “When a valid and final personal judgment is rendered in favor of the plaintiff ... the defendant cannot avail himself of defenses he might have interposed, or did interpose, in the first action.” Restatement (Second) of Judgments § 18(2). Here, in contrast to Muzio, the two causes of action are independent and distinct and may be pursued separately. See Belote, 673 S.W.2d at 30. We are therefore not persuaded that the reasoning of Muzio warrants a different result.
Kepler additionally argues that because he and Slade were coparties in the foreclosure action, his cause of action on the personal note was not compulsory, and therefore the doctrine of res judicata does not apply. See Bennett v. Kisluk, 112 N.M. 221, 224, 814 P.2d 89, 92 (1991); see also Silva, 106 N.M. at 474, 745 P.2d at 382 (for res judicata to apply, the “capacity or character of persons for or against whom the claim is made” must be identical). However, we do not address this issue because our determination that the causes of action at issue are separate and distinct is dispositive of the res judicata issue and because the argument is raised for the first time on appeal. See Woolmne v. Furr’s, Inc., 106 N.M. 492, 496, 745 P.2d 717, 721 (Ct.App.1987) (“Where the record fails to indicate that an argument was presented to the court below, unless it is jurisdictional in nature, it will not be considered on appeal.”).
To the extent Slade argues that the doctrine of equitable estoppel requires affirmance of the trial court’s order, we reject such a contention. The party claiming estoppel must show that he or she had “lack of knowledge of the true facts in question,” that he or she “relied on the estopped party’s conduct,” and that he or she took action as a result of the estopped party’s conduct which prejudicially changed his or her position. Green v. New Mexico Human Servs. Dep’t, 107 N.M. 628, 629-30, 762 P.2d 915, 916-17 (Ct.App.1988). The trial court made no findings of fact regarding equitable estoppel, nor are there any facts of record to support such a claim. “Matters outside the record present no issue for review.” State v. Smith, 92 N.M. 533, 536, 591 P.2d 664, 667 (1979).
CONCLUSION
Under the common law rule, an action to foreclose on real property is separate and distinct from an action to recover on an underlying promissory note. Therefore, absent a controlling statute, the doctrine of res judicata does not bar a mortgagee from seeking his or her remedies for a mortgagor’s default either consecutively or concurrently. In this case, there is no controlling statute.
The order of summary judgment entered in favor of defendant is reversed. The case is remanded to the district court for further proceedings in accordance with this opinion. Plaintiff shall recover his appellate costs.
IT IS SO ORDERED.
RANSOM and FROST, JJ., concur.
. As Bauers’ assignee, Kepler has the same interest in the mortgage and promissory note as the mortgagee. Therefore, we make no distinction between a mortgagee and an assignee in our discussion.
. Under the Deed of Trust Act, NMSA 1978, §§ 48-10-1 to -21 (Repl.Pamp.1987 & Cum. Supp.1994), a trustee or mortgagee is prohibited from filing a separate civil action to recover a debt if the trustee or mortgagee failed to file an action for deficiency judgment within twelve months after the subject real property is sold. NMSA 1978, § 48-10-17 (Cum.Supp.1994). However, the Deed of Trust Act applies only to loans over $500,000, or to loans that benefit low-income households where the borrower agrees in writing to subject the real estate to the Deed of Trust Act. NMSA 1978, § 48-10-2 (Cum.Supp. 1994). Therefore, the Deed of Trust Act does not apply in this case. | [
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OPINION
BOSSON, Judge.
This case arises from the asserted liability of a general contractor for negligence allegedly resulting in injury to the employee of a subcontractor. Plaintiff appeals from a summary judgment awarded in favor of the contractor. Finding genuine issues of material fact, we reverse and remand for trial.
FACTS
Westinghouse is the general contractor for the United States Department of Energy at the Waste Isolation Pilot Project (WIPP) at Carlsbad. Plaintiff was an employee of Dravo Engineering Company (Dravo), one of many subcontractors hired by Westinghouse to work at the WIPP site. At the time of the injury, Dravo was in the process of substituting hydraulic doors for manual doors which opened into a mine shaft. The Dravo crew hoisted a large drill to the surface of the shaft. While the drill was being unloaded, the guardrails around the shaft were removed, and Plaintiff, as instructed, attached himself to a safety line which connected to an anchor on the hoist guide at the top of the shaft. After the drill was unloaded, the guardrails were replaced and the crew took a break. When they returned to the job, Plaintiff alone reattached himself to the safety line. The operator of the hoist, a Dravo employee, raised a load of salt up the shaft. While the cage was being hoisted, Plaintiffs safety line, still stretched across the shaft, became caught by the mechanism. Plaintiff was lifted into the air, the safety line snapped, and Plaintiff fell some distance to the ground, suffering serious injury.
Plaintiff received workers’ compensation from Dravo, and he brought suit against Westinghouse. Plaintiff advanced several theories for recovery from Westinghouse including strict liability for inherently dangerous activity, negligence per se for violation of certain statutes and regulations, and negligence under the Restatement (Second) of Torts §§ 348, 414 (1965) for failure to provide a safe work place and failure to exercise retained control over subcontractors in a prudent manner.
The trial court granted summary judgment without specifying any reasons or differentiating between the various theories. Because we recognize there are genuine issues of material fact in regard to the negligence claims arising under the Restatement, we need not address the other issues raised by the parties. We note, however, that our decision does not necessarily limit the parties from litigating the additional theories raised in the complaint.
DISCUSSION
I. Summary Judgment
Summary judgment is only appropriate where there is no genuine issue of material fact and the movant is entitled to judgment as a matter of law. Roth v. Thompson, 113 N.M. 331, 334, 825 P.2d 1241, 1244 (1992). Following a prima facie showing by the movant, the burden shifts to the party opposing the motion to provide evidence of an issue of material fact which would require a trial on the merits. Id. at 334-35, 825 P.2d at 1244-45. Summary judgment is inappropriate where the facts are reasonably susceptible to different inferences. See Blauwkamp v. University of New Mexico Hosp., 114 N.M. 228, 236, 836 P.2d 1249, 1257 (Ct.App.), cert. denied, 114 N.M. 82, 835 P.2d 80 (1992).
II. Restatement (Second) of Torts §§ 3)3, m
Westinghouse argues, that Dravo alone had control over the means and manner of the work involved in this project, and Westinghouse retained only general superintendent authority. If true, then as a general proposition of law, this would be insufficient to create a duty of care in Westinghouse toward employees of a subcontractor. See Fresquez v. Southwestern Indus. Contractors & Riggers, Inc., 89 N.M. 525, 530-31, 554 P.2d 986, 991-92 (Ct.App.), cert. denied, 90 N.M. 8, 558 P.2d 620 (1976). However, Plaintiff argues that under Sections 343 and 414 of the Restatement there is such a duty of care where Westinghouse retains sufficient control over the premises and Dravo’s work. This is also a correct statement of the law. New Mexico courts have applied these Sections of the Restatement. See, e.g., Valdez v. Cillessen & Son, Inc., 105 N.M. 575, 578, 734 P.2d 1258, 1261 (1987); Requarth v. Brophy, 111 N.M. 51, 54, 801 P.2d 121, 124 (Ct.App.1990).
In the context of Section 343, a possessor of land has a duty to exercise reasonable care to provide a safe work place for employees (invitees) of a contractor or subcontractor working on the premises, at least to the extent the possessor retains control over the premises. Tipton v. Texaco, Inc., 103 N.M. 689, 694, 712 P.2d 1351, 1356 (1985); Requarth, 111 N.M. at 54, 801 P.2d at 124. Section 414 requires a contractor who retains some contractual control over a subcontractor’s work to exercise that control in a responsible manner with regard for the safety of subcontractor employees. See DeArman v. Popps, 75 N.M. 39, 45-46, 400 P.2d 215, 218-19 (1965). Under both Sections 343 and 414, the extent of the duty owed by Westinghouse is to some degree a function of the kind of control either retained or exercised by Westinghouse over the work performed by Dravo. See Requarth, 111 N.M. at 54, 801 P.2d at 124; see also Tipton, 103 N.M. at 696, 712 P.2d at 1358; DeArman, 75 N.M. at 45-46, 400 P.2d at 218-19; Fresquez, 89 N.M. at 530-31, 554 P.2d at 991-92. This is primarily a fact-based question which does not lend itself easily to resolution by summary judgment.
Plaintiff presented the trial court with evidence sufficient to create such an issue of fact. Plaintiff notes a contract provision which arguably reserves to Westinghouse the right to direct Dravo to take such additional measures for the protection of Dravo employees, as Westinghouse “determines to be reasonably necessary.” Westinghouse appeared to retain the power of approval over promotions and the hiring of Dravo employees working on the WIPP project. Additional evidence indicates that: (1) Westinghouse specifically required compliance by Dravo employees with the Westinghouse safety manual; (2) Westinghouse instructed Dravo to correct specific safety deficiencies perceived by Westinghouse; (3) Westinghouse retained the right to approve the safety changes made by Dravo dealing with better management of safety lines after Plaintiff was injured; and (4) Westinghouse admonished Dravo after the accident that one of the Dravo employees had a bad safety attitude that needed to improve for continued employment with the WIPP project.
This evidence, if believed by a jury, would support the application to Westinghouse of the theories of negligence articulated in Restatement Sections 343 and 414. The jury could reasonably conclude that Westinghouse exercised more than a mere superintendent control over the project and the premises. Cf. Valdez, 105 N.M. at 580, 734 P.2d at 1263 (summary judgment precluded where showing made that general contractor issued detailed instructions regarding work, fired employees of subcontractors, and assigned employees to tasks other than those for which hired); Requarth, 111 N.M. at 55-56, 801 P.2d at 125-26 (summary judgment proper where no showing made that owner had any right of control or reasonably should have known that dangerous condition existed); see also Hennigan v. Atlantic Ref. Co., 282 F.Supp. 667, 676-77 (E.D.Pa.1967) (defendant found to have retained control of work where plans drawn by defendant, method of work decided by defendant, and defendant’s inspector required to be at site whenever work was being done), cert. denied, 395 U.S. 904, 89 S.Ct. 1739, 23 L.Ed.2d 216 (1969); Hobbs v. Mobil Oil Corp., 445 P.2d 933, 935-36 (Alaska 1968) (general contractor who, among other things, required daily reports, specified job designations, required compliance with its work rules and regulations, and retained right to terminate employees might have been found to retain enough control to be liable for injury to independent contractor’s employees); Weber v. Northern Illinois Gas Co., 10 Ill.App.3d 625, 295 N.E.2d 41, 46, 50-51 (1973) (summary judgment precluded where general contractor could remove any worker it deemed unfit or unskilled, could order unsafe equipment removed, could order unsafe work be stopped, and inspector to be on site whenever contractor worked). When viewed in the light most favorable to support a trial on the merits, the evidence gives rise to a plausible inference that Westinghouse retained enough control over the means and manner of Dravo’s work as well as the work site, that Westinghouse had a duty to exercise that control in a reasonable manner as set forth in the Restatement. This precludes summary judgment on this record. See Blauwkamp, 114 N.M. at 236, 836 P.2d at 1257.
At the hearing on the motion for summary judgment, counsel for Westinghouse referred to McLaughlin v. Dravo Engineering, Inc., No. 13,465 (N.M.Ct.App. Nov. 18, 1991), a case which was decided on our summary calendar. The trial judge asked if the case had been overruled on appeal, and counsel for Westinghouse replied that it had not. To the extent that the parties and the trial court may have relied on our summary disposition in McLaughlin, we emphasize that our summary calendar opinions are not precedent. See SCRA 1986, 12-405(A) (Repl. 1992); State v. Gonzales, 110 N.M. 218, 227, 794 P.2d 361, 370 (Ct.App.1990) (unpublished memorandum opinions not meant to be cited as controlling authority because they are written solely for the benefit of the individual parties), aff'd, 111 N.M. 363, 805 P.2d 630 (1991). In addition, we take judicial notice of the documents in that case and point out that our memorandum opinion was based upon an unopposed calendar notice which relied on an asserted fact, unchallenged by the opposing party, that there was no evidence that Westinghouse retained any control over the work of the subcontractor. The case before us is significantly different.
CONCLUSION
For the reasons stated above, we reverse and remand to the trial court for reinstatement of the complaint.
IT IS SO ORDERED.
HARTZ and BLACK, JJ., concur.
HARTZ, Judge.
I join fully in Judge Bosson’s opinion for the panel. I write separately only to emphasize the limited nature of what we are deciding.
When we hold that the evidence of record would support a finding that Westinghouse retained sufficient control over Dravo for Restatement Sections 343 and 414 to apply, we are not saying that such a finding would establish Westinghouse’s liability for any injury caused by Dravo’s negligence. Liability under Sections 343 and 414 is quite different from liability imposed under the doctrine of respondeat superior. Under the doctrine of respondeat superior, if one party (say, the employer) exercises sufficient control over the details of the work of a second party (say, the employee), then the employer is liable for any injury caused by the negligence of the employee in the course of performing that work. In contrast, under the law set forth in Judge Bosson’s opinion, liability under Sections 343 and 414 is imposed only to the extent that the injury was caused by the owner’s or employer’s failure to use reasonable care in exercising control. See Requarth v. Brophy, 111 N.M. 51, 54, 801 P.2d 121, 124 (Ct.App.1990) (under Section 343 “Plaintiff must ... show that his injury was proximately caused by the owner’s failure to exercise that control in a reasonable manner[.]”); Restatement (Second) of Torts § 414 (1965) (liability for harm “caused by [employer’s] failure to exercise his control with reasonable care”).
Consequently, to prevail on his claim, Plaintiff will need to establish more than that Westinghouse retained sufficient control over Dravo for Sections 343 and 414 to apply. Plaintiff must additionally establish that Westinghouse failed to exercise its control with reasonable care and that such failure caused his injury. For example, there is sufficient evidence to permit a fact finder to find that Westinghouse exercised control over Dravo’s hiring of employees. Yet, we have not addressed on this appeal whether Westinghouse was negligent in exercising that control or whether Plaintiffs injury was in any way caused by negligent hiring practices.
Westinghouse may believe that even if Sections 343 and 414 apply in this case, it is entitled to summary judgment because of Plaintiffs failure to prove that his injury was caused by any lack of reasonable care by Westinghouse in exercising control over Dravo. But in my view (and apparently the view of the other members of this panel) Westinghouse’s pleadings in district court in support of its motion for summary judgment did not adequately alert Plaintiff to this possible ground for summary judgment. Rather, the pleadings focused on the existence of control.
Our decision, of course, does not foreclose Westinghouse from moving in the future for summary judgment on grounds not addressed in Judge Bosson’s opinion, nor does it foreclose the appropriate fact finder at trial from finding that there was insufficient control of Westinghouse over Dravo for Section 343 or 414 to apply. All we are saying is that on the record before us Westinghouse was not entitled to summary judgment on the theory it pressed in district court. | [
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OPINION
BLACK, Judge.
In September 1991, James Hamilton Construction Company (Buyer) hired an experienced land developer to determine the feasibility of constructing a residential housing subdivision in Santa Teresa, New Mexico. On December 20,1991, Buyer signed a document captioned “Agreement For Sale and Purchase of Land” (the Agreement) with the owners of a twenty-eight-acre parcel in Santa Teresa (the Property), Charles and Phyllis Crowder and William Ikard (Sellers).
On May 26, 1992, Gadsden Independent School District No. 16 (the School District) filed a condemnation action on thirteen of the twenty-eight acres subject to the Agreement. In January 1993, the district court entered a stipulated partial judgment awarding Sellers $130,000 as just compensation for the condemned thirteen acres. After a bench trial, the district court held that the Agreement was a binding executory contract, that Buyer had an interest in the land at the time of the ‘ taking, and that Buyer was entitled to $180,-350 as compensation for its development costs prior to the taking. We reverse.
I. FACTS
The focus of the case is on the Agreement executed by Buyer and Sellers. Under the Agreement, Buyer covenants that it will “comply with all of the laws, rules and regulations of Dona Ana County, New Mexico, pertaining to the subdivision and development of land ... and further to meet the standards and specifications for the installation of water and sewer services of the Santa Teresa Services Company.” In addition, Buyer “agrees to provide public street access through the Property to the Sellers’ adjoining property.” The only other covenant advanced by Buyer is as follows:
Sellers agree to sell and Buyer agrees to purchase the Property for Ten Thousand and No/100 Dollars ($10,000.00) per acre, for a total price of Two Hundred Eighty Thousand and No/100 Dollars ($280,-000.00), for the 28-acre parcel subject to the satisfaction of the terms and conditions as are hereinabove and hereinafter set forth. In the event the certified survey to be made by the Sellers increases or decreases the number of acres in the Property, the total purchase price will then be determined by multiplying the actual acreage or fraction thereof by $10,000.00.
The Agreement also gives Buyer forty days from the date of execution, December 20,1991, “to complete its due diligence effort and verify to its satisfaction all matters pertaining to the Property and to review and approve or reject all matters pertaining to this transaction.” Significantly, the Agreement also made provisions for the establishment of an escrow. The escrow paragraph provided that Buyer and Sellers will “consummate this transaction or Buyer may elect to withdraw from this Agreement as provided for in the Letter of Escrow Instructions hereinabove referred to.”
The Letter of Escrow Instructions (Instructions), which is incorporated in the Agreement, is also dated December 20,1991, and indicates that Sellers are depositing three special warranty deeds naming Buyer as grantee. The Instructions also provide that Buyer is to deposit escrow funds as follows:
A. On or before forty (40) days of the date hereof, Buyer may deposit with you, as Escrow Agent, the sum of Twenty-eight Thousand and No/100 Dollars ($28,000.00).
B. On or before forty (40) days of the date hereof, Buyer may also deposit with you a Declaration of Covenants and Restrictions, together with a letter executed by Sellers approving this Declaration of Covenants and Restrictions.
C. On or before six (6) months of the date hereof[,] Buyer may deposit with you, as Escrow Agent, an additional Sixty-six Thousand and No/100 Dollars ($66,000.00).
D. On or before nine (9) months of the date hereof [,] Buyer will deposit with you, as Escrow Agent, an additional Ninety-three Thousand and No/100 Dollars ($93,-000.00).
E. On or before nineteen (19) months of the date hereof[,] Buyer will deposit with you, as Escrow Agent, an additional Ninety-three Thousand and No/100 Dollars ($93,000.00). This amount may be increased or decreased to reflect the purchase price of $10,000 per acre or fraction thereof for the actual acreage reflected in the final accepted survey of the Property.
The Instructions then direct the escrow agent to do the following:
In the event, within forty (40) days of the date hereof, Buyer has accepted the terms and conditions of the Agreement identified herein as Item No. 2, and has deposited $28,000.00 with you, as Escrow Agent, you are to maintain this escrow. In the event Buyer fails to deposit the funds or notifies you that it does not intend to close this transaction, you are to return the documents deposited with you to the parties causing them to be deposited with you and cancel this escrow.
There is no dispute that Buyer did not deposit any funds in escrow within the forty days referenced in the Agreement and Instructions. Indeed.it is undisputed that at the time of trial in August 1993, more than eighteen months after the execution of the Agreement and attached Instructions, Buyer had never tendered any money for the Property.
The district court found that Buyer completed its due diligence studies and decided to develop the Property as a residential subdivision. To that end, Hamilton searched the title, performed soil testing, did a traffic impact analysis, and worked with an engineer to determine what governmental approvals would be necessary. The Agreement also required the Crowders, as owners of the Santa Teresa Services Company, to issue a commitment to supply water and sewer to the Property. However, Santa Teresa Services was unable to provide water and sewer due to the refusal of the New Mexico Environmental Improvement Division to issue a permit for liquid waste discharge for the subdivision. The testimony was that Charles Crowder therefore suggested that Buyer not deposit any money into escrow until the sewage issue was “cleared up.”
Despite the failure to make any payments into escrow, Buyer proceeded to file its application for subdivision approval with Dona Ana County in April 1992. Buyer, however, stopped all work on the subdivision upon being served with the petition for condemnation in June 1992. Buyer then had the Property replatted, minus the thirteen acres condemned by the School District, and decided that the development costs per lot on the remaining land would be too high for the type of subdivision Buyer had envisioned.
The district court found that “[i]f property at the development stage of Hamilton’s project were to be marketed, land, hard costs, and soft costs (development costs) and a profit would be recoverable.” The district court further found that, at the time the condemnation was filed, Buyer had “direct project costs expended (excluding the land) of approximately One Hundred Sixty-Two Thousand, Four Hundred Sixteen Dollars ($162,416.00).” After adding interest, the district court entered a judgment in favor of Buyer in the amount of $180,350.00.
II. STANDARD OF REVIEW
The parties argue over what interest Buyer had in the Property, if any, under the terms of the Agreement and Instructions at the time of the condemnation taking. “[W]hen the issue to be determined rests upon the interpretation of documentary evidence, this Court is in as good a position as the trial court to determine the facts and draw its own conclusions____” City of Raton v. Vermejo Conservancy Dist., 101 N.M. 95, 103, 678 P.2d 1170, 1178 (1984). Therefore, “an appellate court is not bound by a trial court’s [legal] interpretation of a written document, where the interpretation rests solely upon the wording of the document.” Ortiz v. Lane, 92 N.M. 513, 518, 590 P.2d 1168, 1173 (Ct.App.1979) (Hernandez, J., specially concurring); see also Schueller v. Schueller, 117 N.M. 197, 199, 870 P.2d 159, 161 (Ct.App.1994) (stating that district court interpretation is not binding on appellate court).
III. WHEN THE AGREEMENT IS READ TOGETHER WITH THE ESCROW INSTRUCTIONS, HAMILTON MAKES NO BINDING PROMISES AND PROVIDES NO CONSIDERATION.
The School District argues that the Agreement was not a binding contract because Buyer failed to make any payment into escrow. Under the terms of the Agreement as it incorporates the Instructions, we agree.
The Agreement refers to “the Letter of Escrow Instructions, a copy of which is attached hereto and made a part hereof.” In addition to the fact that the Agreement expressly incorporates the Instructions, when two such documents refer to each other, they are properly construed together. Master Builders, Inc. v. Cabbell, 95 N.M. 371, 373- 74, 622 P.2d 276, 278-79 (Ct.App.1980), cert. denied, 95 N.M. 426, 622 P.2d 1046 (1981). When these two documents are read together, it is clear that Buyer did not provide any consideration under the Agreement and was not legally obligated to perform under its terms. The Agreement thus provided Buyer no legal interest in the Property at the time of the taking.
Buyer argues that the Agreement is an executory contract. The School District maintains that the Agreement, when read with the incorporated Instructions, is no more than an option. “Executory contracts are those contracts on which performance remains due to some extent on both sides.” In re Priestley, 93 B.R. 253, 258 (Bankr.D.N.M.1988). An option to purchase is a contract where the property owner gives another the privilege of buying property within a specific time on terms and conditions expressed in the option. Hueschen v. Stalie, 98 N.M. 696, 698, 652 P.2d 246, 248 (1982). However, both an executory and an option contract must rest on consideration. Compare 1 Richard A. Lord, Williston on Contracts § 5:16, at 722 (4th ed. 1992) (noting consideration requirement for option contract) with 3 id. § 7:1, at 7 (discussing contract consideration requirement at common daw).
It is elemental “that the essence of a valid agreement is consideration.” Sierra Blanca Sales Co. v. Newco Indus., Inc., 88 N.M. 472, 474, 542 P.2d 52, 54 (Ct.App.1975), rev’d on other grounds sub nom. Fortuna Corp. v. Sierra Blanca Sales Co., 89 N.M. 187, 548 P.2d 865 (1976); cf. Knoebel v. Chief Pontiac, Inc., 61 N.M. 53, 57, 294 P.2d 625, 628 (1956) (holding that conditional sales contract without consideration is unenforceable). A promise of one party may be consideration for the promise of the other party, but “[e]aeh promise is in need of consideration to be binding and enforceable.” Acme Cigarette Servs., Inc. v. Gallegos, 91 N.M. 577, 581, 577 P.2d 885, 889 (Ct.App.1978). Consideration adequate to support a promise is, therefore, essential to the enforcement of a contract. Romero v. Earl, 111 N.M. 789, 791, 810 P.2d 808, 810 (1991). In order to be binding as sufficient consideration, a promise must be “lawful, definite and possible.” Sanders v. Freeland, 64 N.M. 149, 152, 325 P.2d 923, 925 (1958). Under the terms of the Agreement and Instructions, Buyer gave no financial consideration and made no “definite” promise. See generally Friedman v. Tappan Dev. Corp., 22 N.J. 523, 126 A.2d 646, 650-51 (1956) (discussing requirement that contract promise be definite).
The Agreement says that “Sellers wish to sell and Buyer wishes to purchase the Property.” A gratuitous statement of intention, even when concurred in by the receiving party, is not sufficient to create a legal contract. Beverage Distribs., Inc. v. Olympia Brewing Co., 440 F.2d 21, 29 (9th Cir.), cert. denied, 403 U.S. 906, 91 S.Ct. 2209, 29 L.Ed.2d 682 (1971). Thereafter, Buyer warrants that it will “comply with all of the laws, rules and regulations of Dona Ana County.” A promise to do what a party is already obligated to do by law is not sufficient consideration. Hurley v. Hurley, 94 N.M. 641, 645, 615 P.2d 256, 260 (1980), overruled on other grounds by Ellsworth v. Ellsworth, 97 N.M. 133, 135, 637 P.2d 564, 566 (1981). The only other promise by Buyer contained in the Agreement is for Buyer “to provide public street access through the Property to the Sellers’ adjoining property.” This would be consideration only if Buyer had promised to make payment and assume possession of the Property so that Sellers’ property would become “adjoining.”
The Instructions also create no definite obligation. On the critical issue of payment, the Instructions state:
A. On or before forty (40) days of the date hereof, Buyer may deposit with you, as Escrow Agent, the sum of Twenty-eight Thousand and No/100 Dollars ($28,000).
(Emphasis added). These terms leave it entirely to the discretion of Buyer whether to deposit any payment for the Property, and that was clearly understood by both parties as the consideration. Indeed, as counsel for Buyer argues, “the Purchase Agreement could not have been an option because the quid pro quo is land in exchange for money, not the sale of a continuing offer in exchange for money.” At the time of the taking Buyer had not paid any money and did not possess any land. More importantly, it had no obligation to do so.
The testimony of the parties at trial also supports the conclusion that Buyer had no duty to make any payments and could walk away from the Agreement without legal consequence. On cross-examination, Buyer’s president, Charles Hamilton, admitted that his understanding under the Agreement and Instructions was that “we were not obligated to deposit the money.” On cross-examination he testified:
Q. And has James Hamilton Construction Company complied with any of the requirements in the escrow instructions that are in Paragraph 3?
A. We have not made any deposits up to this time.
Q. And there’s nothing under this agreement that required you to do so?
A. Not really, no.
Charles Crowder also testified on cross-examination that his understanding of the Agreement and Instructions was that Buyer had no duty to perform:
Q. And had they — if they never exercised the option and they never put the money down on the agreement for reasons of due-diligence, or if they just never put the money down, you didn’t have any particular remedy against them at that point, did you?
A. No, nor I didn’t seek any.
Q. Well, I mean, legally you couldn’t have held them to the agreement at that point, could you?
A. They did not have the duty.
Thus, the parties’ understanding and intent are consistent with what we view as the plain meaning of the language; Buyer was not obligated by the Agreement or Instructions to do anything.
A valid contract must possess mutuality of obligation. Williams v. Waller, 51 N.M. 180, 184, 181 P.2d 798, 800 (1947). Mutuality means both sides must provide consideration. See Vanzandt v. Heilman, 54 N.M. 97, 107, 214 P.2d 864, 870 (1950); see also 3 Lord, supra, § 7:14, at 287-90 (discussing consideration requirement). “It is also elementary that a contract, which leaves it entirely optional with one of the parties to perform, is not founded on mutual promises.” Acme, 91 N.M. at 581, 577 P.2d at 889; see also Berry v. Walton, 366 S.W.2d 173,173-74 (Ky.Ct.App.1963) (stating that contract placing no obligation on mineral lessee except payment of royalties on minerals actually removed lacked mutuality). A purported promise that actually promises nothing because it leaves the choice of performance entirely to the offeror is illusory, and an illusory promise is not sufficient consideration to support a contract. See Interchange Assocs. v. Interchange, Inc., 16 Wash.App. 359, 557 P.2d 357, 358 (1976); see generally 3 Lord, supra, § 7:7, at 88-89 (stating that illusory promise cannot serve as consideration). As we have indicated, because Buyer’s promise to perform under the Agreement and Instructions was entirely at its discretion, any consideration contained i n such a promise would be illusory. See Andreoli v. Brown, 35 Ohio App.2d 53, 299 N.E.2d 905, 906 (1972); cf. Commercial Movie Rental, Inc. v. Larry Eagle, Inc., 738 F.Supp. 227, 230-31 (W.D.Mich.1989) (finding promise to be illusory where offeror could never be held liable for failure to perform).
Nor could any of Buyer’s actions prior to the taking be interpreted as providing consideration. Buyer’s only actions were toward evaluation of the Property and preparation for obtaining the necessary subdivision approvals so that these development barriers could be hurdled if, and when, Buyer chose to bind itself under the Agreement. Time and money spent by an optionee to increase the value of his option cannot be construed as consideration for the agreement itself. See Berryman v. Kmoch, 221 Kan. 304, 559 P.2d 790, 795 (1977). Moreover, by their own admission, the parties had not complied with the terms of the Agreement as of August 1993. As Mr. Hamilton testified:
Q. Now, have you — when I say, “you”— has James Hamilton Construction Company made any payments for the purchase of the land in question at this point in time?
A. No, we have not.
Q. And why is that, Mr. Hamilton?
A. As the — as we did our work on the property and did our preparation to apply to the County for a subdivision, it became apparent that the sewer people there at Santa Teresa Sanitation Services had a problem with the Environmental Department, and they couldn’t — and the County was not willing to accept our subdivision until that problem was resolved with the sewer people; and in our — we felt that as ■ long as we withheld our payment of these funds, that that would keep Mr. Crowder more willing to be sure that that sewer problem was resolved, and then knowing that as soon as it was resolved, we were willing to go ahead to complete our contract.
(Emphasis added).
IV. BUYER WAS IN DEFAULT UNDER THE AGREEMENT.
Whether the “contract” is classified as an executory agreement or an option, the parties had failed to comply with its terms at the time of the condemnation taking. Paragraph, six of the Agreement provided:
6. Buyer shall have forty (40) days from the date hereof to complete its due diligence effort and verify to its satisfaction all matters pertaining to the Property and to review and approve or reject all matters pertaining to this transaction including, but not limited to, the survey and the binder for the policy of title insurance.
This dovetailed into the Instructions which require:
In the event, within forty (40) days of the date hereof, Buyer has accepted the terms and conditions of the Agreement identified herein as Item No. 2, and has deposited $28,000.00 with you, as Escrow Agent, you are to maintain this escrow. In the event Buyer fails to deposit the funds or notifies you that it does not intend to close this transaction, you are to return the documents deposited with you to the parties causing them to be deposited with you and cancel this escrow.
(Emphasis added).
There is no dispute over the fact that Buyer failed to deposit the $28,000. Nonetheless, the escrow agent did not return the documents or cancel the escrow. By its terms, the Agreement required performance within a specified time. That time expired without the specified performance. Rather, the parties testified that they orally agreed Buyer did not have to perform until the ' Crowders’ Santa Teresa Services Company resolved its problems with the Environmental Improvement Division. This oral agreement gave Buyer an indefinite extension. By the date of trial in August 1993, however, Buyer still had not tendered any money into escrow and therefore had acquired no interest in the land.
As the School District correctly points out, the modification which would allow Buyer an indefinite extension was not in writing and was therefore not valid. The Agreement and Instructions were obviously intended to convey real estate. See Hobbs Mun. Sch. Dist. No. 16 v. Knowles Dev. Co., 94 N.M. 3, 5, 606 P.2d 541, 543 (1980) (stating that interest acquired under an executory contract for sale of land is real estate). The statute of frauds requires that any conveyance of real property be in writing. Mercury Gas & Oil Corp. v. Rincon Oil & Gas Corp., 79 N.M. 537, 539, 445 P.2d 958, 960 (1968); see Ritter-Walker Co. v. Bell, 46 N.M. 125, 128, 123 P.2d 381, 382 (1942). The alleged oral extension does not meet this requirement. “An expired contract within the statute [of frauds] cannot be revived and extended by parol agreement, nor can a contract in writing be modified or varied by a subsequent oral agreement.” Gonzales v. United Southwest Nat’l Bank, 93 N.M. 522, 524, 602 P.2d 619, 621 (1979) (citations omitted); see also Dave Zerwas Co. v. James Hamilton Constr. Co., 117 N.M. 724, 725, 876 P.2d 653, 655 (1994) (stating that modification to agreement within the statute of frauds must itself be in writing). Buyer cannot, therefore, rely on the oral agreement as the basis for its claim to a legal interest in the Property.
Moreover, the Agreement itself provided that “no addition to or modification of any term or provision shall be effective unless set forth in writing and signed by both Sellers and Buyer.” Where the contract requires that any modification be in writing, oral modifications are ineffectual. United States ex rel. McDonald v. Barney Wilkerson Constr. Co., 321 F.Supp. 1294, 1295 (D.N.M.1971); see also Chavez v. Manville Prods. Corp., 108 N.M. 643, 645, 777 P.2d 371, 373 (1989) (oral modifications could not create enforceable contractual obligations in light of contract provision that modifications must be in writing).
Even if the December 1991 Agreement and Instructions did create a valid contract, Buyer was still in default as of the time of the taking and had forfeited whatever right to an interest in the Property it could have acquired. Because Buyer did not comply with the Agreement and Instructions, any property interest that these documents created in Buyer was lost prior to the time of the taking and Buyer’s right to obtain any interest in the Property could not be extended by oral agreement.
When private land is condemned, only the person who owns or occupies the land at the date of the taking or has some legal interest in the property has a claim for damages. See NMSA 1978, § 42-2-5(B) (Orig. Pamp.); see also Mesich v. Board of County Comm’rs, 46 N.M. 412, 416, 129 P.2d 974, 976 (1942) (discussing such person’s right to damages where private land is taken for public use). The “date of taking” for compensation purposes is generally the date the order of permanent entry is filed and the condemnee is entitled to actual possession of the condemned property. See State ex rel. State Highway Dep’t v. Yurcic, 85 N.M. 220, 222, 511 P.2d 546, 548 (1973); see also County of Dona Ana v. Bennett, 116 N.M. 778, 782-83, 867 P.2d 1160, 1164-65 (1994) (recognizing that taking may also occur in Special Alternative Condemnation Procedure when preliminary order has been entered and acted upon). The documents in this case indicate that this event occurred on January 7, 1993. The only owners of record on that date were Sellers. On January 15, 1993, the district court entered a Stipulated Partial Judgment, which awarded Sellers $130,000.00 for the thirteen acres condemned. (The $10,-000 per acre contained in the Stipulated Partial Judgment is the per acre purchase price contained in the Agreement and Instructions.) However, Buyer had not purchased so much as an acre, so it did not participate in the award under the stipulated judgment.
V. CONCLUSION
Only those with a legal interest in condemned property are entitled to compensation when that property is taken under eminent domain. The mere execution of the Agreement and Instructions gave Buyer no legal interest in the Property. While Buyer could have obtained a legal interest in the thirteen acres condemned by the School District, it had not done so at the time of the taking. Buyer is therefore not entitled to compensation, and the judgment of the district court is reversed.
IT IS SO ORDERED.
APODACA, C.J., and FLORES, J., concur. | [
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] |
OPINION
APODACA, Judge.
Defendant appeals his conviction for aggravated battery, raising two issues. He first contends his constitutional rights were violated by the state’s peremptory challenge of the only member of his race who was on the panel of potential jurors. In addition, he argues there was insufficient evidence to convict him. We disagree with defendant’s contentions and affirm his conviction.
I. PEREMPTORY CHALLENGE ISSUE
Defendant is black. The crime for which he was convicted involved a white victim. The jury panel assembled for defendant’s trial included only one black person, a Ms. Harty. During voir dire, defense counsel asked the jury panel if any of its members had previously sat on a jury. Several of them answered affirmatively, and counsel proceeded to ask follow-up questions. Ms. Harty had sat on a criminal jury that had not reached a verdict; a Mr. Godfrey, a white man, had also sat on a hung jury. The other panel members who had previously served as~ju^ors had sat on juries that had reached a verdict. During jury selection in the judge’s chambers, the prosecutor peremptorily challenged Ms. Harty. After the jury had been selected and counsel returned to open court, defendant informed his counsel that Ms. Harty was black, after which counsel objected to the peremptory challenge of the only black on the jury panel. From the record, it appears that neither the trial judge, the prosecutor, nor defense counsel realized Ms. Harty was black until after the jury selection process had been completed.
In Batson v. Kentucky, 476 U.S. 79, 106 S.Ct. 1712, 90 L.Ed.2d 69 (1986), the Supreme Court held that the state’s power to use peremptory challenges in criminal trials is limited by the equal protection clause of the federal constitution. This court followed that decision in State v. Sandoval, 105 N.M. 696, 736 P.2d 501 (Ct.App.1987). Thus, the state may not use its peremptory challenges in a racially-discriminatory manner to exclude members of a cognizable racial group from a jury simply because of such membership. Batson v. Kentucky; State v. Sandoval. The state’s discriminatory use of its peremptory challenges violates a defendant’s right to equal protection of the laws. Id.; U.S. Const, amend XIV; N.M. Const, art. II, § 18.
Batson and Sandoval provide us with a framework for analyzing defendant’s constitutional claim in this appeal. Under those cases, a claim of discriminatory use of peremptory challenges must be examined under a two-step process. First, a defendant raising the issue must establish a prima facie case tending to show that the state’s challenges were exercised in a discriminatory manner. Once the defendant has made the requisite showing, the burden then shifts to the state to come forward with racially-neutral explanations for its challenges. State v. Sandoval.
A. Establishment of Prima Facie Case
To establish a prima facie case, defendant must show that: (1) he is a member of a cognizable racial group; (2) the state has exercised its peremptory challenges to remove members of that group from the jury panel; (3) these facts and any other relevant circumstances raise an inference that the state used its challenges to exclude members of the panel solely on account of their race. State v. Sandoval. It is undisputed that defendant met the first two requirements: he is black, and the state used a peremptory challenge to remove a black woman from the jury panel. Thus, we are left to examine whether the third requirement is present here to establish a prima facie case.
We must initially decide what factors should be considered in determining whether a prima facie case of discriminatory challenges has been made. At least one court has held that the prosecutor’s reasons for the challenges should be considered at this initial stage as well as at the later stage when determining whether the prima facie case has been overcome. See State v. Antwine, 743 S.W.2d 51 (Mo.1987) (En Banc). Another court, however, rejected that approach and reasoned that the prosecutor’s justifications for the challenges should not be considered when determining whether a prima facie case has been established, but only when determining whether that prima facie case has been rebutted. See People v. Granillo, 197 Cal. App.3d 110, 242 Cal.Rptr. 639 (1987). We believe that analysis of the state’s justifications is properly left exclusively for the second stage of the Batson-Sandoval process, and we thus adopt the approach taken by the court in Granillo.
One circumstance that will always raise an inference of racial discrimination is a showing by defendant that his racial group is substantially underrepresented on the jury, in comparison to that group’s share of the general population. State v. Sandoval. Another indicator supporting such an inference is the susceptibility of the case to racial discrimination, i.e., where the victim is one race and defendant another, or all of defendant’s witnesses are of a different race than the state’s. Chew v. State, 71 Md.App. 681, 527 A.2d 332 (1987). Finally, a showing that the state’s challenges have caused the jury to contain no members of defendant’s race should raise such an inference. United States v. Chalan, 812 F.2d 1302 (10th Cir.1987).
Defendant in this appeal has shown that the state’s peremptory challenge prevented the only black panel member from serving on the jury. Additionally, the victim was white, both of the state’s witnesses were white, and the case involved overtones of an intimate interracial relationship. For these reasons, we believe the case was susceptible to discrimination, and the state had motivation to exercise its challenges in a discriminatory fashion. Defendant did not attempt to show that his race was substantially underrepresented on the jury. We hold nevertheless that defendant established the requisite prima facie case of discriminatory use of the state’s peremptory challenges.
B. Racially-Neutral Explanation
We necessarily reach the second step of our analysis: Did the state meet its burden of showing its peremptory challenge was racially neutral? Under this phase, the state must justify its peremptory challenge by explaining what racially-neutral considerations led to the challenge. The state’s explanations need not rise to the level justifying removal of the juror for cause. State v. Sandoval. They must, however, be clear and., reasonably specific reasons that are related to the case to be tried. State v. Gilmore, 103 N.J. 508, 511 A.2d 1150 (1986). The prosecutor may not rebut defendant’s prima facie case by merely stating that he challenged such jurors because he believed they would be partial to defendant because of their shared race. Batson v. Kentucky. Likewise, the prosecutor may not rebut by denying a discriminatory motive. Id. Instead, the prosecutor must articulate a neutral explanation related to the particular case, giving a clear, concise, reasonably specific legitimate explanation for excusing those jurors. Id. Further, the trial court may not merely accept the state’s proffered explanations, but has the duty to examine them and decide whether they are genuine and reasonable. State v. Gilmore; People v. Turner, 42 Cal.3d 711, 230 Cal.Rptr. 656, 726 P.2d 102 (1986) (In Bank). A trial court’s determination in this connection, like its determination of whether defendant has established a prima facie case, is a factual determination, not a question of law, and will not be disturbed on appeal unless it is unsupported by substantial evidence. Batson v. Kentucky; United States v. Woods, 812 F.2d 1483 (4th Cir. 1987) (trial court’s findings are not clearly erroneous, so will not be reversed); Gamble v. State, 257 Ga. 325, 357 S.E.2d 792 (1987) (same); cf. State ex rel. Reynolds v. Niccum, 102 N.M. 330, 695 P.2d 480 (1985) (equating “clearly erroneous” standard of review with “substantial evidence” standard).
Neither Batson nor Sandoval provide guidance to us with respect to the factors to be considered in assessing the state’s explanations for its challenges, because in neither case did the state offer any reasons for its challenges. Other cases decided since Batson, however, have addressed this question. An analysis of those cases establishes definite guidelines that courts should consider when called upon to determine whether the state’s justification for exercising a peremptory challenge is pretextual or genuine.
By far the most common factor noted by courts holding a state’s explanations to be pretextual is a varying treatment of white and nonwhite panel members. See, e.g., Gamble v. State (black juror struck because relative or friend had alcohol or drug abuse problem; white jurors who also had relatives or friends with such problems not struck; also, black struck because of allegedly low intelligence, but illiterate whites not struck); Floyd v. State, 511 So.2d 762 (Fla.App.1987) (black student challenged because prosecutor did not like to have students on his jury, but white student not challenged); People v. Turner (black juror made mistakes in answering long, extremely formal voir dire question; white jurors who also made mistakes not challenged); cf. People v. Hall, 35 Cal.3d 161, 197 Cal.Rptr. 71, 672 P.2d 854 (1983) (In Bank) (pre-Batson case decided under California interpretation of its constitution; black juror removed because she had a son about defendant’s age, but white jurors who also had sons about same age not removed). Varying treatment such as that exhibited in the cited cases is a strong indicator that the reason given for the challenge is not genuine, but instead was made for discriminatory purposes.
Another consideration in assessing peremptory challenges has been the extent of the prosecutor’s voir dire of potential jurors of defendant’s race. If the prosecutor has concerns about a juror’s attitudes, and especially if those concerns are based on that juror’s race, some courts have held that failure to question the panel members about those concerns indicates the concerns are not genuine and are covering up a discriminatory motive for challenging the jurors. See United States v. Brown, 817 F.2d 674 (10th Cir.1987) (blacks excluded from jury because defense counsel prominent black; court said prosecutor should have questioned panel members regarding affinity toward defense counsel); Gamble v. State (minimal voir dire of blacks; struck one black because left army after six years, and prosecutor assumed reason for leaving was sinister; should have questioned him about reasons for leaving service); People v. Turner (same); People v. Wheeler, 22 Cal.3d 258, 148 Cal.Rptr. 890, 583 P.2d 748 (1978) (pre-Batson case based on California constitution; general statement that desultory voir dire, or none at all, is indicator to be considered in assessing peremptory challenges).
If a prosecutor’s explanation shows that he is linking the panel member’s race with an assumption that the member will act in a certain way or hold certain beliefs, the peremptory challenges will not withstand judicial scrutiny. See United States v. Brown (assumption that all blacks will be influenced to acquit defendant because of defendant’s black counsel); State v. Gilmore (assumption that all blacks are Baptists). Instead of making such assumptions and acting on them, a prosecutor should attempt to ascertain whether the concerns based on those assumptions are valid by asking the panel members pertinent questions during voir dire.
An explanation for striking a juror that does not appear to be related to the case being tried is suspect, and may be held to be pretextual. See Gamble v. State (one reason for removing juror was his membership in the Mason organization; prosecutor did not explain why this membership was relevant to the case, leading to court’s conclusion that reason given was suspect); People v. Turner (challenge based on panel member’s medically-related job; no indication that such work would produce a specific bias applicable to the case).
One indicator that was crucial in pre-Baston cases is a past pattern of challenges against members of a particular racial group. If a defendant can show such a historical pattern, the claim that the prosecution’s justifications for its strikes are not genuine will be strengthened. See United States v. Mathews, 803 F.2d 325 (7th Cir. 1986), rev’d on other grounds, 485 U.S. 58, 108 S.Ct. 883, 99 L.Ed.2d 54 (1988).
On the other hand, a factor that will support the prosecution’s contention that the challenges were not made for purposes of discrimination is evidence that the prosecutor’s conduct during voir dire and the selection process indicated a careful consideration of each panel member’s merits as a juror. United States v. Mathews. We believe this factor is dispositive of this issue.
The prosecutor stated she had challenged Ms. Harty, the lone black juror, because that juror had previously been on a jury that had failed to reach a verdict. The prosecutor also claimed she did not know the juror was black when she exercised her peremptory challenge. The only other member of the panel who had been a member of a hung jury was Mr. Godfrey. However, his randomly-drawn number was such that the jury was selected before the prosecutor or defense counsel had an opportunity to use a peremptory challenge against him. Because of this circumstance, there is no indication that Ms. Harty, the only black panel member, was excluded based on a consideration that did not lead to the exclusion of Mr. Godfrey, a nonblack. Similarly, there is no evidence that the prosecutor was making racially-based assumptions about Ms. Harty’s beliefs or values. In addition there is no showing of a past pattern of discriminatory strikes against members of defendant’s race.
In essence, defendant argues that the state’s excuse for exercising its peremptory challenge against Ms. Harty was not related to the case to be tried, which shows that it was not a genuine explanation. Defendant contends the state should have asked questions about Ms. Harty’s service on the hung jury to establish that she might have been responsible for the jury’s failure to reach a verdict or that her attitude toward jury service had been affected by her service on that hung jury. Although it is true, as we previously noted, that a minimal or nonexistent voir dire of jury panel members is an indicator to be considered in assessing the state’s challenges, we cannot agree that the state’s failure to question the black panel member in this case mandates a finding that the peremptory challenge was racially motivated.
Instead, the totality of the circumstances leads us to the opposite conclusion. The record of the jury selection shows that the prosecutor took detailed notes regarding which panel members had formerly served on juries. She knew which of them had been on juries that had reached a verdict and which had sat on hung juries. Without further inquiry, the prosecutor’s assumed connection between a prospective juror’s previous service on a hung jury and a tendency or greater willingness to hang a subsequent jury may have been tenuous, but not implausible. The reason for the challenge is also related to the case to be tried in a way that, for example, membership in the Masons organization has been held not to be related. See Gamble v. State. A potential juror’s history of service on criminal juries is unarguably relevant to the trial of a criminal case. Under other facts than those presented by this case, and especially if there was some evidence that similarly-situated nonblack panel members were treated differently, we could conclude that a peremptory challenge exercised without questioning a panel member was a mere pretext for a racially-motivated exclusion. Under the circumstances of this case, however, we cannot conclude that the trial court’s determination to the contrary was not supported by substantial evidence.
Our determination is buttressed considerably by the unusual fact that the prosecutor, defense counsel and the trial judge all failed to recognize that Ms. Harty was black until the selection process had been completed. Normally, the prosecutor’s claim that she did not realize Ms. Harty was black would be akin to a mere assertion that no discriminatory motive prompted the challenge. Batson and Sandoval establish that such an assertion is not enough to overcome a defendant’s prima facie showing of discrimination. Here, however, both defense counsel and the trial judge stated they did not realize Ms. Harty was black. Defense counsel first became aware of her race when defendant pointed it out to him after the selection process was completed. The trial judge did not become aware of it until defendant objected to the use of the challenge. Since racially-discriminatory challenges are the evil that Batson and Sandoval aim to eliminate, and awareness of a panel member’s race is a logical prerequisite to a challenge based on race, the prosecutor’s apparent, and manifestly reasonable, lack of such knowledge militates against a determination that the challenge was racially motivated. We caution the trial courts, however, to note that this is an unusual factual situation and reiterate that in most cases a prosecutor’s bald assertion that he or she did not know the panel member’s race should have no effect on the court's assessment of the nature of the state’s use of its peremptory challenges.
In summary, although we have concluded that defendant established a prima facie case of discrimination involving the state’s use of its peremptory challenge, we hold nonetheless that the state rebutted the prima facie case by providing a racially-neutral explanation for its challenge. Defendant’s claim that the jury selection process denied him equal protection of the law must thus fail.
II. SUBSTANTIAL EVIDENCE ISSUE
Defendant contends the jury lacked sufficient evidence to convict him of aggravated battery. He testified that he intended to hit the victim with a large steel pipe to immobilize him. Additionally, he stated he hit the victim in self-defense. Yet, the other witnesses testified the victim had no weapon in either hand and was backing away from defendant when he was struck. Irrespective of this conflicting testimony, it was undisputed that the victim was knocked unconscious by the blow and his jaw was shattered. On appeal, this court must resolve all factual conflicts in favor of the verdict. See State v. Lankford, 92 N.M. 1, 582 P.2d 378 (1978). Consequently, we hold that substantial evidence supports the verdict.
Defendant’s conviction is affirmed.
IT IS SO ORDERED.
BIVINS and GARCIA, JJ., concur. | [
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OPINION
PICKARD, Judge.
This ease calls upon us to decide whether a trial court can disqualify a party’s counsel of choice in a domestic relations case on the basis of either an alleged conflict of interest because the counsel is the party’s spouse, or to serve the best interests of children involved in the matter. We decide that the trial court erred in disqualifying Mother’s counsel, reverse the trial court’s order disqualifying Mother’s counsel, and remand to the trial court for further proceedings.
Mother, Merle Applebaum Sanders, and Father, Michael G. Rosenberg, were granted a divorce on July 10, 1985. Subsequently, the trial court has had to resolve a number of issues regarding child custody and support, attorney fees, and access to the parties’ homes. During the course of this ongoing litigation, Mother married Steven K. Sanders in August of 1990, and Sanders entered his appearance for Mother. After several further proceedings, in the last of which Sanders requested attorney fees, Father made three separate motions to disqualify Sanders from his representation of Mother. The trial court issued a decision on the issue of disqualification, and entered an order disqualifying Sanders and certifying the issue for interlocutory appeal.
Initially, Husband argues that this Court does not have jurisdiction to hear this issue on interlocutory appeal, citing Richardson-Merrell, Inc. v. Roller, 472 U.S. 424, 434, 105 S.Ct. 2757, 2762, 86 L.Ed.2d 340 (1985), and State v. Pacheco, 115 N.M. 325, 327, 850 P.2d 1028, 1030 (Ct.App.1993). Those cases addressed the issue of whether interlocutory orders disqualifying counsel may be directly appealed under the collateral order doctrine. See Richardson-Merrell, 472 U.S. at 434, 105 S.Ct. at 2762-63; see also Pacheco, 115 N.M. at 327, 850 P.2d at 1030. In contrast, this case involves an issue certified for interlocutory appeal. Both New Mexico and the United States Supreme Court recognize that, although an order disqualifying counsel may not be properly appealed under the collateral order doctrine, an appellate court may hear the issue if it is certified by the trial court for interlocutory appeal. Richardson-Merrell, 472 U.S. at 435, 105 S.Ct. at 2763; see also NMSA 1978, § 39-3-4 (Repl.Pamp.1991); cf. Carrillo v. Rostro, 114 N.M. 607, 611, 845 P.2d 130, 134 (1992) (trial court denied party’s request to have a different issue certified for interlocutory appeal). Because the issue was properly certified and because we granted the application to hear the appeal, we have jurisdiction.
The trial court noted two reasons for its decision to disqualify Sanders: that SCRA 1986,16-107(B) (Repl.Pamp.1991), prohibited Sanders from representing Mother because the responsibility that Sanders owed to Mother’s children as their stepfather may materially limit his ability to adequately represent Mother; and that the best interests of the children were not being met by Sanders’ continued representation of Mother. Mother contends that the trial court erred in disqualifying Sanders for either or both of the above reasons.
SCRA 16-107(B) provides:
Unless otherwise required by these rules, a lawyer shall not represent a client if the representation of that client may be materially limited by the lawyer’s responsibilities to another client or to a third person, or by the lawyer’s own interests, unless:
(1) the lawyer reasonably believes the representation will not be adversely affected; and
(2) the client consents after consultation____
The Comment to the above rule warns that where an allegation of conflict is raised by the opposing party, “[s]uch an objection should be viewed with caution, however, for it can be misused as a technique of harassment.” Id. New Mexico courts should look upon allegations of conflict with skepticism, especially where they are not raised at the onset of litigation or at the time when the lawyer being objected to first enters an appearance in the case. See United Nuclear Corp. v. General Atomic Co., 96 N.M. 155, 244, 629 P.2d 231, 320 (1980), cert. denied, 451 U.S. 901, 101 S.Ct. 1966, 68 L.Ed.2d 289 (1981). Because motions for disqualification of opposing counsel carry with them the potential for abuse and harassment, the moving party must provide a “strong showing of necessity” of disqualification. See United States v. Perlmutter, 637 F.Supp. 1134, 1137 (S.D.N.Y.1986).
Father is correct in asserting that some courts have held that “[a] district court has broad discretion in determining whether disqualification is required in a given ease,”_ Greater Rockford Energy & Technology Corp. v. Shell Oil, 777 F.Supp. 690, 693 (C.D.Ill.1991), and other courts have held that any doubts should be resolved in favor of disqualification, World Plan Executive Council v. Zurich Ins. Co., 810 F.Supp. 1042, 1047 (S.D.Iowa 1992). However, those same courts are sensitive to the fact that disqualification motions can be used as a technique of harassment, and both they and other courts have stated the general rule that courts should be cautious in granting disqualification motions because of their potential to impact on a litigant’s choice of counsel. Board of Educ. v. Nyquist, 590 F.2d 1241, 1246 (2d Cir.1979); Sanders v. Russell, 401 F.2d 241, 246 (5th Cir.1968); Greater Rockford, 777 F.Supp. at 693-94; Baker v. BP Am., Inc., 768 F.Supp. 208, 213 (N.D.Ohio 1991). Thus, some courts take the position that discipline by the regulatory authorities is more appropriate than disqualification. See Nyquist, 590 F.2d at 1246. This is consistent with the commentary to our disciplinary rules. See SCRA 1986, 16-101 (Scope) (“[t]he rules are designed to provide guidance to lawyers and to provide a structure for regulating conduct through disciplinary agencies”). See also Linda A. Winslow, Federal Courts and Attorney Disqualification Motions: A Realistic Approach to Conflicts of Interest, 62 Wash.L.Rev. 863, 879-80 (1987) (suggesting use of sanctions for either conflict of interest or for frivolous motions to disqualify). Other courts take the view that disqualification motions are appropriate vehicles for policing ethical violations because of regulatory agencies’ apparent lack of vitality in enforcing disciplinary rules and because it is part of the judicial duty to clean one’s own house. In re American Airlines, 972 F.2d 605, 611 (5th Cir.1992), cert. denied, — U.S. -, 113 S.Ct. 1262, 122 L.Ed.2d 659 (1993).
These differences in perspective need not detain us in this case. As a sister state’s court has noted, “[although [a] district court has wide latitude in determining whether to disqualify counsel from participating in a given case, its discretion in such cases is not unlimited.” Cronin v. Eighth Judicial Dist. Ct., 105 Nev. 635, 781 P.2d 1150, 1153 (1989). There must be some identifiable conduct that is improper before a motion to disqualify will be sustained. See id.
In this case, the trial court based the portion of its ruling dealing with Sanders’ alleged unethical conduct on SCRA 16-107. Even if there appears to be a conflict present under that rule, the attorney may continue representation of the client if the attorney reasonably believes the representation will not be affected, and the client consents after consultation. Sanders represented to the trial court that his representation of Mother would' not be affected by any responsibilities that he might have to Mother’s children. Father made no allegations which would refute that assertion. Mother explicitly manifested her consent to Sanders’ representation after consideration of Sanders’ responsibilities to Mother’s children. Therefore, it does not appear that any violation of SCRA 16-107(B) occurred as a result of Sanders’ representation of Mother. See Standing Comm, on Legal Ethics of the Va. State Bar, Op. 1455 (1992), reprinted in 1001 ABA/BNA Lawyers’ Manual on Professional Conduct 8710 (Supp.1993) (lawyer representing his spouse in custody dispute with her ex-hus band may continue representation); see also Professional Ethics Comm, of the State Bar of Tx., Op. 468 (1991), reprinted, in 1001 ABA/BNA Lawyers’ Manual on Professional Conduct 8301 (1992) (lawyer who is not a named party to an action may represent his wife in the matter).
Father did not make a strong showing that disqualification of Sanders was necessary because of violations of SCRA 16-107. Given the lack of showing of an ethical violation, the trial court erred in disqualifying Sanders on this basis.
Father also asserts that the disqualification order was within the trial court’s inherent powers to make a ruling in the best interests of the children. Father points us to no authority that supports his position that a trial court may, absent violations of ethical or other rules, disqualify counsel based on the best interests of children involved in the matter. This strongly suggests that no authority exists. In re Adoption of Doe, 100 N.M. 764, 765, 676 P.2d 1329, 1330 (1984). While we agree that the authority of a trial court to fashicn rulings in the best interests of the children involved in an action is broad, see Jeantete v. Jeantete, 111 N.M. 417, 421, 806 P.2d 66, 70 (Ct.App.1990), we decline to find that such authority is broad enough to disqualify a party’s counsel of choice absent an ethical violation or other violation of law, court order, or rule sufficient to remove counsel from a case. See Nyquist, 590 F.2d at 1246 (“[W]ith rare exceptions^] disqualification has been ordered only in essentially two kinds of cases,” both involving breaches of Code of Professional Responsibility.). It is unfortunate but true that much domestic relations litigation is not in the best interests of children. Nonetheless, our legislature has provided for the resolution of domestic disputes in court with all of the benefits and burdens of the adversary system. NMSA 1978, §§ 40-4-1 to -4B-10 (Repl.Pamp.1994). We are extremely reluctant to open the floodgates to motions to disqualify counsel under these circumstances. Cf. In re Adoption of Francisco A, 116 N.M. 708, 720-33, 866 P.2d 1175, 1187-1200 (Ct.App.1993) (Hartz, J., specially concurring) (containing extended discussion of trial court’s powers to act in the best interests of children).
We find that it was an abuse of discretion for the trial court to order the disqualification of Sanders as Mother’s counsel. Thus, we need not reach Mother’s claim of error in the trial court’s refusal to take further evidence to determine the best interests of the children. We reverse and remand to the district court for proceedings consistent with the analysis herein.
IT IS SO ORDERED.
ALARID and BLACK, JJ., concur. | [
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] |
OPINION
FEDERICI, Chief Justice.
Plaintiffs brought suit in the District Court of Otero County seeking to enjoin defendants from selling wine and beer at restaurants operated by defendants which are situated in the original townsite of Alamogordo. The land titles of all of the parties involved in this case contain negative reciprocal easements, in the form of covenants, which prohibit the sale of alcoholic beverages in places of public resort. The district court denied plaintiffs’ requested relief and entered judgment in favor of defendants, declaring the restrictive covenants to be unenforceable. Plaintiffs appeal. We reverse.
On appeal, plaintiffs argue that the trial court erred when it refused to adopt a number of plaintiffs’ requested findings of fact. When a case is tried without a jury, the trial court is charged with a duty to make findings of fact and conclusions of law. NMSA 1978, Civ.P.R. 52 (Repl.Pamp.1980); State ex rel. Reynolds v. Board of County Commissioners, 71 N.M. 194, 876 P.2d 976 (1962). However, the court is required only to find those ultimate facts necessary to determine the issues. Thompson v. H.B. Zachry Co., 75 N.M. 715, 410 P.2d 740 (1966). It is not error for a trial court to refuse requested findings which are factually correct, yet are not ultimate facts necessary to support the judgment. State ex rel. State Highway Commission v. Pelletier, 76 N.M. 555, 417 P.2d 46 (1966). Nor is it error for the trial court to refuse findings of fact which are not supported by substantial evidence. Cf. Henderson v. Lekvold, 99 N.M. 269, 657 P.2d 125 (1983). Review of the requested findings which plaintiffs claim the trial court should have adopted reveals that they are either findings of evidentiary, not ultimate, facts, or are not supported by substantial evidence. We therefore hold that the trial court did not err in rejecting plaintiffs’ requested findings of fact.
Plaintiffs also contend that two of the findings of fact which the trial court did make are not supported by substantial evidence. After denying all of the requested findings of fact and conclusions of law submitted by the parties, the trial court adopted three of its own findings of fact, the second and third of which were as follows:
2. That the conditions pertaining to the use, character and enjoyment of the property covered by said covenants have materially changed since said covenants were first put in force and since the decision of our Supreme Court in Alamogordo Improvement Co. v. Prendergast, 45 N.M. 40 [109 P.2d 254 (1940)].
3. That because of such changed conditions it would be inequitable and oppressive to the defendants to enforce said covenants so as to prevent serving beer and wine as an incident of their food service in accordance with the Laws of the State of New Mexico, and such enforcement would not materially benefit the plaintiffs.
The judgment of a trial court will not be disturbed on appeal if the findings of fact entered by the trial court are supported by substantial evidence, Flinchum Construction Co. v. Central Glass & Mirror Co., 94 N.M. 398, 611 P.2d 221 (1980), and if the findings of fact are sufficient to support the judgment, Watson Land Co. v. Lucero, 85 N.M. 776, 517 P.2d 1302 (1974). However, findings not supported by substantial evidence which have been properly attacked cannot be sustained on appeal, and we must reverse any judgment dependent upon such findings. Getz v. Equitable Life Assurance Society, 90 N.M. 195, 561 P.2d 468, cert. denied, 434 U.S. 834, 98 S.Ct. 121, 54 L.Ed.2d 95 (1977). We hold that when the correct rule of law is applied, the trial court’s second and third findings of fact are not supported by substantial evidence and require reversal of the judgment entered in this case.
The rule of law applicable to the trial court’s judgment is known as the doctrine of “changed circumstances” or “change of conditions.” R. Powell, The Law of Real Property 11 679[2] (1949). The doctrine provides that injunctive relief against the violation of obligations secured by a covenant will not be granted where changes in conditions in the area “are so radical as to frustrate the original purposes and intention of the parties to such restrictions.” Chuba v. Glasgow, 61 N.M. 302, 305, 299 P.2d 774, 776 (1956). In order for changes in condition to be significant enough to invoke this doctrine, the changes must be of such a material nature that it becomes impossible to secure, to a substantial degree, the benefits sought to be obtained through the creation of the covenant. Restatement of Property § 564 (1944). Certain changes in the character of land use in and around a residential development are inevitable, and are considered to be within the contemplation of the parties. See, e.g., Alamogordo Improvement Co. v. Prendergast, 45 N.M. 40, 109 P.2d 254 (1940). The question, to be decided on the particular facts of each case, is whether the changes which have occurred are of such importance as to amount to a defeat of the purpose of the covenant. H.J. Griffith Realty Co. v. Hobbs Houses, Inc., 68 N.M. 25, 357 P.2d 677 (1960). Changes which merely reduce the benefits derived from the enforcement of a restrictive covenant are not alone sufficient to warrant the refusal of a court to enjoin a breach of the obligation arising from the covenant. Restatement of Property § 564 (1944). Substantial change which does not destroy the benefits arising out of a restrictive covenant is insufficient to warrant refusal of equitable relief. See Neff v. Hendricks, 57 N.M. 440, 259 P.2d 1025 (1953).
Plaintiffs do not contest that substantial changes have occurred in and around the original townsite of Alamogordo. They argue, however, that the changes are not of such a nature that they defeat the purposes of the covenant. They further maintain that the benefits they derive from enforcement of the covenant have not been reduced as a result of the changes which have admittedly occurred.
Defendants direct this Court’s attention to a large amount of evidence which would support a finding that the community of Alamogordo has changed since the time when the covenant was created. Defendants fail, however, to direct this Court’s attention to substantial evidence in the record which would tend to demonstrate that the changes which have taken place frustrate the original purposes and intentions of the parties who created the covenant.
The purposes and intentions of the parties in establishing the covenant were set out in the original deeds. The covenant was felt by the parties to be advantageous to the development of the town and in the best interests of the inhabitants of the original townsite. The intent and purpose behind creation of the covenant was “to develop such restricted area as desirable residence and business property and to further the best interests of the inhabitants thereof. Such plan was for the benefit of the restricted property.” Alamogordo Improvement Co. v. Prendergast, 45 N.M. 40, 43, 109 P.2d 254, 256 (1940). The evidence shows that the changes which have occurred may have reduced the benefits derived from the enforcement of the covenant, but the evidence does not support defendants’ contention that the changes make it impossible to secure the benefits sought to be attained through the creation of the covenant, nor does the evidence show that the changes defeat the purposes for which the covenant was established.
Defendants cite only one instance where this Court has found changes in conditions of a nature which supported a refusal to enjoin violations of restrictive covenants, Mason v. Farmer, 80 N.M. 354, 456 P.2d 187 (1969). The facts in that case are, however, distinguishable from those of the instant case. Mason dealt with restrictions prohibiting the use of property for commercial purposes. In holding that violations of the covenants would not be enjoined, this Court determined that the evidence supported a finding by the trial court that changes in condition had rendered the property on which the violation occurred unsuitable for residential purposes. 80 N.M. at 360, 456 P.2d at 193.
In this case, there is no contention that the changes in condition render the property unsuitable for either residential or commercial purposes. The only claim of this nature is that enforcement of the terms of the covenant makes restaurants located within the boundaries of the original town-site less competitive than those located elsewhere. Such economic considerations, without more, are insufficient to justify the refusal of equitable relief. See Mason v. Farmer; H.J. Griffith Realty Co. v. Hobbs Houses, Inc., 68 N.M. 25, 357 P.2d 677 (1960).
Defendants claim the trial court’s judgment should be affirmed on grounds other than those set out by the trial court in its findings of fact and conclusions of law. Defendants did not cross appeal, and do not claim as error the trial court’s refusal to adopt any of defendant’s requested findings of fact and conclusions of law. Any error that existed was not preserved for review. See NMSA 1978, Civ.App.R. 3(d) (Repl.Pamp.1984). We therefore cannot review the additional points raised by defendants in their answer brief. See Peterson v. Peterson, 98 N.M. 744, 652 P.2d 1195 (1982); Adams v. Thompson, 87 N.M. 113, 529 P.2d 1234 (Ct.App.), cert. denied, 87 N.M. 111, 529 P.2d 1232 (1974).
The trial court is reversed. The cause is remanded for entry of injunctive relief in plaintiffs’ favor.
IT IS SO ORDERED.
SOSA, Senior Justice, and RIORDAN and WALTERS, JJ., concur.
STOWERS, J., dissents. | [
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OPINION
ALARID, Judge.
Defendant pled guilty to driving while under the influence of intoxicating liquor (DWI). The judgment appealed from was filed on September 28, 1994. The notice of appeal was timely filed on October 4, 1994, and the docketing statement was timely filed on October 6, 1994. Defendant appeals the enhancement of his sentence pursuant to his conviction for DWI. The calendar notice proposed summary affirmance. Defendant has responded with a timely memorandum in opposition which was filed December 5 pursuant to an extension of time granted by this Court. We are not persuaded by Defendant’s memorandum and therefore affirm.
FACTS
The facts giving rise to the issue raised on appeal are uncontested. Defendant was charged with DWI under NMSA 1978, Section 66-8-102 (Repl.Pamp.1994), based on an incident that occurred on June 17,1994. Defendant was given notice that the State would seek to enhance the charge of DWI pursuant to the 1993 amendment to Section 66-8-102 (the new DWI statute), where Defendant could be found guilty of a fourth degree felony. Defendant admitted to the charge of DWI, but objected to use of previous DWI convictions to enhance his sentence. At the sentencing phase, the State introduced evidence of three prior DWI convictions with proper showing of counsel or waiver.
-DISCUSSION
Defendant contends that the words “under this section” without more, limit the State’s use of prior convictions; he can only be punished under Subsection E of the amended DWI statute, because he has only one conviction “under this section.” Defendant cites State v. Russell, 113 N.M. 121, 823 P.2d 921 (Ct.App.1991), to support his interpretation of “under this section.”
In Russell, this Court discussed an interpretation of “under this section” in the context of DWI law. Id. at 123-26, 823 P.2d at 923-26. Russell involved three previous DWI convictions under a municipal ordinance and a fourth conviction under Section 66-8-102. Id. at 122, 823 P.2d at 922. Although Russell held that the three convictions under the municipal ordinance were valid and could be used to distinguish between a first offender and a subsequent offender, this Court was not persuaded that these previous convictions could be used as offenses under Section 66- 8-102 for purposes of imposing a mandatory jail sentence not to be suspended, deferred, or taken under advisement for a fourth or subsequent conviction. Id. at 126, 823 P.2d at 926; see also 1988 N.M. Laws, ch. 56, § 8.
The ease at present is different. We note that the legislature enacted a provision in the new DWI statute specifically stating that DWI convictions under a municipal ordinance can be used to determine whether a DWI conviction is a second or subsequent conviction under the new DWI statute (emphasis added). See NMSA 1978, § 66-8-102(J) (Cum.Supp.1993). The term “subsequent offender” was added to the new DWI statute and is defined as someone who has been convicted of DWI under a federal law, state statute, or municipal ordinance. Russell, 113 N.M. at 128, 823 P.2d at 928 (Chavez, J., dissenting). If previous convictions under DWI municipal ordinances can be used for enhancement purposes, then it clearly follows that previous convictions under the state DWI statute can be used under the new DWI statute for enhancement purposes. Accordingly, we hold that the term “under this section” means under Section 66-8-102.
Defendant also argues that the enhancement of his sentence under the new DWI statute constitutes an ex post facto application of the amendments to the DWI statute and is therefore a denial of due process. “An ex post facto law has been defined ... as one ‘that makes an action done before the passing of the law, and which was innocent when done, criminal; and punishes such action,’ or ‘that aggravates a crime, or makes it greater than it was, when committed.’” State v. Alderette, 111 N.M. 297, 300, 804 P.2d 1116, 1119 (Ct.App.1990) (quoting Bouie v. City of Columbia, 378 U.S. 347, 353, 84 S.Ct. 1697, 1702, 12 L.Ed.2d 894 (1964) (quoting Colder v. Bull, 3 U.S. (3 Dall.) 386, 390, 1 L.Ed. 648 (1798))).
Statutes imposing additional punishments upon persons previously convicted of crimes do not punish habitual criminals for their earlier offenses, but merely increase the penalty for repetition of further acts of criminal conduct. State v. Oglesby, 96 N.M. 352, 353, 630 P.2d 304, 305 (Ct.App.1981). A sentence that is statutorily enhanced because of a predicate conviction, even though occurring before the enhancement of the penalty provisions, does not violate the constitutional prohibitions against ex post facto laws. United States v. Ahumada-Avalos, 875 F.2d 681, 684 (9th Cir.), cert. denied, 493 U.S. 837, 110 S.Ct. 118, 107 L.Ed.2d 79 (1989).
Defendant relies on Dobbert v. Florida, 432 U.S. 282, 97 S.Ct. 2290, 53 L.Ed.2d 344 (1977), and Bouie. In Dobbert, the United States Supreme Court examined whether a new criminal statute violated constitutional prohibitions against ex post facto laws. Dobbert, 432 U.S. at 298, 97 S.Ct. at 2300. The Court held that “the existence of the statute served as an ‘operative fact’ to warn the petitioner of the penalty which Florida would seek to impose on him if he were convicted” and was “in sufficient compliance with the ex post facto provision of the United States Constitution.” Id. In Bouie, the United States Supreme Court examined whether the construction of a criminal statute violated defendants’ due process rights. Bouie, 378 U.S. at 349, 84 S.Ct. at 1700. The Court, in holding that the construction of the criminal statute violated the Due Process Clause, stated that the criminal statute provided “no fair warning of the criminal prohibition under which [the defendants] now stand convicted.” Id. at 361, 84 S.Ct. at 1706.
In Alderette, this Court held that due process prevented retroactive application of the changed construction to a statute concerning escapes from jail. Id., Ill N.M. at 298, 804 P.2d at 1117. The change involved construing a statute so as to encompass escapes by persons held on criminal charges as well as those persons held on civil contempt charges. Id.
In the present case there was no such changed construction of the DWI statute. Under the amendments to the DWI statute, if a person is convicted of a fourth offense, that person is guilty of a fourth degree felony punishable by a jail term of not less than six months which shall not be suspended or deferred or taken under advisement. See § 66-8-102(G). This provision is also contained in the previous enactment of Section 66-8-102(E)(2) (Cum.Supp.1993). Defendant’s conduct under the previous DWI stat ute was criminal, and remains criminal under the new DWI statute. See Alderette, 111 N.M. at 300, 804 P.2d at 1119.
Since Defendant’s actions occurred six months after the new DWI statute was enacted, Defendant had “fair warning” that if he violated the new DWI statute his previous convictions for DWI could be used to enhance his sentence. See Dobbert, 432 U.S. at 298, 97 S.Ct. at 2300-01; cf. Bouie, 378 U.S. at 361, 84 S.Ct. at 1706-07. Therefore, Defendant was not denied due process. Cf. Alderette, 111 N.M. at 300, 804 P.2d at 1119 (Due Process Clause prevents retroactive applications of changed construction of statute).
Defendant attempts to argue that he must be punished as a “first offender” under Subsection E of the new DWI statute, because he has only one conviction “under this section.” See § 66-8-102(E). We disagree, and believe that the legislature intended that the new DWI statute should be read as a whole. See State v. Sinyard, 100 N.M. 694, 697, 675 P.2d 426, 429 (Ct.App.1983) (each section or part should be construed in connection with every other part or section and read as a whole), cert. denied, 100 N.M. 689, 675 P.2d 421 (1984). Moreover, to adopt Defendant’s interpretation of the statute would defeat its intended purpose, achieve an absurd result by providing a “DWI amnesty” for those convicted under previous enactments of the DWI statute, and contravene the public policy behind the DWI statute, which is to get drunk drivers off the road. See Alderette, 111 N.M. at 299, 804 P.2d at 1118; Incorporated County of Los Alamos v. Johnson, 108 N.M. 633, 634, 776 P.2d 1252, 1253 (1989).
We hold that the trial court’s enhancement of Defendant’s sentence neither constituted an ex post facto application of the new DWI statute nor a denial of Defendant’s due process rights. We therefore affirm the enhancement of Defendant’s sentence, and the judgment and sentence entered below.
IT IS SO ORDERED.
DONNELLY and BLACK, JJ., concur. | [
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] |
OPINION
BLACK, Judge.
Employer appeals the compensation order of the Workers’ Compensation Judge (WCJ) awarding Worker temporary total disability benefits. Employer raises two issues on appeal: (1) whether the WCJ erred in rejecting Employer’s false application defense; and (2) whether the WCJ erred by not apportioning liability for Worker’s benefits between Employer and Worker’s prior employer. We affirm.
FACTS
Because Employer does not challenge the WCJ’s findings of fact, we are bound by those findings on appeal. See Stueber v. Pickard, 112 N.M. 489, 491, 816 P.2d 1111, 1113 (1991) (unchallenged findings are binding on appeal). The WCJ found that Worker suffered a broken navicular bone in a 1988 accident while working for a previous employer, Silver City Welding. The bone apparently did not heal and formed a nonunion. Nevertheless, after a short treatment period, Worker returned to work and contin ued to work at various employment over the next four years without being significantly impaired or disabled.
In 1993, while working for Employer, Worker was involved in a work-related accident that reinjured the non-union of the fracture of his right navicular bone. The WCJ found that, although Worker’s pre-existing injury was the cause of most of his medical expenses and temporary total disability status, the pre-existing injury was in fact exacerbated by the work-related accident in 1993. The WCJ recognized that, while Silver City Welding may have responsibility for Worker’s 1988 injury and thus some of the current medical expenses, Silver City Welding was not a party to this action. Accordingly, the WCJ ordered Employer to pay for Worker’s medical expenses and temporary total disability benefits. The WCJ did, however, note that Employer could seek (in other proceedings) a contribution from Silver City Welding on the medical costs.
With regard to Employer’s assertion of a false application defense, the WCJ found that “Worker knowingly and willfully concealed information and made false representation^] as to his medical condition” in both his application for employment and preemployment medical questionnaire. The WCJ also found, however, that the application “did not clearly and conspicuously disclose that the Worker shall be entitled to no future compensation benefits if he knowingly and willfully conceals or makes false representations about the information requested.” Therefore, based on NMSA1978, Section 52-1-28.3 (Repl.Pamp.1991), the WCJ ruled that the false application defense was not available to Employer.
FALSE APPLICATION DEFENSE
Both parties agree that the 1991 version of the Workers’ Compensation Act, NMSA1978, Sections 52-1-1 to -70 (Repl.Pamp.1991) (the 1991 Act), applies to this case. Section 52-1-28.3 of the 1991 Act is the legislature’s codification of what was previously recognized by New Mexico case law as the false application defense. See Lamay v. Roswell Indep. Sch. Dist., 118 N.M. 518, 522, 882 P.2d 559, 563 (Ct.App.1994). Section 52-l-28.3(A) of the 1991 Act provides that, when an employer asks by written questionnaire about a worker’s medical condition, the worker is not entitled to compensation benefits if: (1) the worker conceals information or makes a false representation about his medical condition; (2) the employer did not know about the concealed information or relied on the false representations; (3) reliance was a substantial factor in the initial or continued employment of the worker; and (4) the concealed or falsely represented medical condition substantially contributed to the injury or disability. However, the provisions of Section 52-1-28.3(A) “do not apply unless, in the written questionnaire, the employer clearly and conspicuously discloses that the worker shall be entitled to no future compensation benefits if he knowingly and willfully conceals or makes a false representation about the information requested.” Section 52-l-28.3(B).
Employer’s employment application and preemployment medical questionnaire contained the following warnings, respectively:
I hereby affirm that the information provided in this employment application is true and complete to the best of my knowledge. I understand that any falsified information, misrepresentations or omissions may disqualify me from further consideration for employment or may result in dismissal if discovered at a later date.
IF EMPLOYED, ANY MISREPRESENTATION OR FALSIFICATION OF THIS RECORD MAY BE CAUSE FOR TERMINATION.
Athough Employer urges us to interpret Section 52-1-28.3 in light of what it perceives to be the legislature’s intent, “[w]hen the words of the statute are free from ambiguity and doubt, resort should not be undertaken to any other means of interpretation.” State ex rel. Stratton v. Roswell Indep. Sch., 111 N.M. 495, 500, 806 P.2d 1085, 1090 (Ct.App.1991). The language of Section 52-l-28.3(B) prohibits an employer from taking advantage of a worker’s failure to disclose medical conditions unless “the employer clearly and conspicuously discloses that the worker shall be entitled to no future compensation benefits if he knowingly and willfully conceals or makes a false representation about the information requested.” This limitation seems clear on its face.
Employer presents various policy arguments regarding why the warnings contained in its employment application and preemployment medical questionnaire were adequate and why the legislature would consider denial of compensation benefits to be appropriate in this case. Perhaps the legislature would have found these arguments persuasive when it considered Section 52-1-28.3, but “statutory language that is clear and unambiguous must be given effect.” V.P. Clarence Co. v. Colgate, 115 N.M. 471, 473, 853 P.2d 722, 724 (1993). The statute is explicit and unambiguous in the disclosure required. If the legislature had considered the matter, it may well have determined that a warning of loss of employment or perhaps a warning of possible criminal sanctions would be adequate. For whatever reasons, however, the legislature did not include such alternatives in the statute.
Employer further argues that preclusion of the false application defense in this case produces an “absurd” result. Employer suggests that disability benefits are intended to be a replacement for the wages Worker could have continued to earn with Employer but for his disability. Because the WCJ ruled that Employer is not required to rehire Worker, Employer believes it is absurd to require Employer to pay Worker benefits in compensation for wages he otherwise would not be entitled to earn. Again, Employer is simply arguing policy, and however persuasive one may find this policy argument to be, it is an argument clearly rejected by the statutory language. The legislature has permitted denial of compensation benefits only on very narrow grounds. Moreover, Employer’s argument again ignores that Worker still could have been employed elsewhere but for his disability. Viewed in that light, requiring Employer to pay Worker’s disability benefits, but not actually rehire Worker, is not absurd.
In a related argument, Employer seems to suggest that the WCJ erred in refusing to invoke a WCJ’s inherent equitable power to preclude Worker from receiving benefits. “[W]orkmen’s compensation statutes are sui generis and create rights, remedies and procedures which are exclusive.” Lucero v. Northrip Logging Co., 101 N.M. 420, 421, 683 P.2d 1342, 1343 (Ct.App.), cert. denied, 101 N.M. 419, 683 P.2d 1341 (1984). By enacting Section 52-1-28.3(B), the legislature obviously considered, and allowed for, the possibility that a worker who engaged in fraudulent conduct may still receive an award of benefits. To allow the WCJ to deny Worker such statutorily authorized benefits under the guise of inherent equitable power would be tantamount to authorizing the WCJ to ignore an express legislative mandate. In short, despite the representations made by Worker, we hold that the WCJ did not err in rejecting Employer’s false application defense because Employer failed to comply with the explicit requirements of Section 52-l-28.3(B).
APPORTIONMENT OF LIABILITY
Employer also challenges the WCJ’s decision to hold Employer entirely responsible for Worker’s disability. Employer argues that Worker suffered from a pre-existing disability as a result of his accident while working for Silver City Welding. Accordingly, Employer argues that Worker’s previous employer should be responsible for that preexisting disability and that Employer should only be responsible for any additional disability caused by the accident Worker suffered while working for Employer.
We begin by noting that it does not appear that Employer properly preserved this issue below. Employer’s requested findings of fact and conclusions of law asked the WCJ to find that Worker’s entire disability was caused by his prior 1988 accident. Employer’s requested findings and conclusions do not raise the apportionment argument that Employer now attempts to raise on appeal. Thus, the issue is not properly preserved for appeal. See Woolwine v. Furr’s, Inc., 106 N.M. 492, 496, 745 P.2d 717, 721 (Ct.App.1987) (“To preserve an issue for review on appeal, it must appear that appellant fairly invoked a ruling of the trial court on the same grounds argued in the appellate court.”).
Employer’s requested findings and conclusions may, however, have been sufficient to preserve what appears to be Employer’s related argument that there is not substantial evidence to hold Employer liable for the full extent of Worker’s disability. See Cockrell v. Cockrell, 117 N.M. 321, 324, 871 P.2d 977, 980 (1994). However, as we noted above, on appeal Employer has not challenged the WCJ’s findings. Thus, those findings are binding on appeal. Stueber, 112 N.M. at 491, 816 P.2d at 1113.
The WCJ found that Worker suffered a work-related accident on August 15, 1993, which exacerbated the injury that he previously suffered while working for Silver City Welding. The WCJ further found, to a reasonable medical probability, that as a direct and proximate result of the 1993 accident, Worker suffered an injury to his right wrist that rendered him temporarily totally disabled. Based on those findings, the WCJ was correct in holding Employer liable in the first instance for Worker’s medical expenses and disability benefits. Garcia v. Mora Painting & Decorating, 112 N.M. 596, 602-04, 817 P.2d 1238, 1244-46 (Ct.App.1991); Gonzales v. Stanke-Brown & Assocs., 98 N.M. 379, 386, 648 P.2d 1192, 1199 (Ct.App.1982); cf. McMains v. Aztec Well Serv., 119 N.M. 22, 24, 888 P.2d 468, 470 (Ct.App.1994) (medical benefits). Therefore, we need not decide whether Employer can obtain reimbursement from Silver City Welding or any other source in this action.
Based on the foregoing, we affirm the WCJ’s compensation order.
IT IS SO ORDERED.
DONNELLY and HARTZ, JJ., concur. | [
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OPINION
STOWERS, Justice.
Plaintiff-Appellants, the Regents of the University of New Mexico (the Regents), appeal from a judgment of dismissal ren dered in favor of defendant-appellee, Liberty Mutual Insurance Company (Liberty Mutual). The trial court determined that the action was time-barred under the New Mexico Hospital Lien Act, NMSA 1978, Sections 48-8-1 to -7 (Repl.Pamp.1987). We affirm.
The facts alleged in plaintiffs’ complaint deemed admitted by the motion to dismiss and subsequently dealt with by the trial court as a motion for summary judgment are as follows: On March 29, 1985, an accident occurred between Thomas R. Wadsworth, the driver of an automobile, and defendant, Vincent Lacey, .the driver of a motorcycle. The automobile was insured by Liberty Mutual. As a result of this accident, Lacey was treated at the University of New Mexico Hospital, operated by the Regents, from March 29 to August 12, 1985, incurring expenses in the amount of $20,594.51.
In accordance with NMSA 1978, Section 48-8-2, the Regents filed their notice of a hospital lien with the Clerk of Bernalillo County, dated April 26, 1985, with subsequent addenda on May 22, 1985, July 3, 1985, and February 16, 1986, and sent copies of the notices to all parties. A check in the amount of $58,265.35 was issued by Liberty Mutual on behalf of Wadsworth to Lacey and the law firm of Lamb, Metzgar, and Lines, P.A., for all the claims Lacey had against Wadsworth. The check was received by Lacey’s counsel, Farrell Lines, on May 28, 1986. On November 10, 1986, Lines requested from the Regents a 50 percent reduction of the amount Lacey owed the hospital. The Regents informed Lines that the hospital is constitutionally prohibited from accepting less than full payment. Nonetheless, on January 15, 1987, Lacey, through his attorney Lines, sent to the hospital only $10,000 as full payment.
On June 19, 1987, the Regents brought this action against Lacey and Liberty Mutual for debt and money due on an open account and enforcement of their hospital lien. Liberty Mutual moved to dismiss pursuant to NMSA 1978, Section 48-8-3(B). That section provides: “Liability of the person, firm or corporation for the satisfaction of the hospital lien shall continue for a period of one year after date of any payment of any money to the patient, his heirs or legal representatives as damages or under a contract of compromise or settlement.” (emphasis added). After hearing oral argument on the motion, the trial court determined that the Regents’ suit was time-barred since the effective date for the commencement of the statutory period of limitations was May 28, 1986. On that basis the court dismissed the case against Liberty Mutual with prejudice. This appeal follows.
Arguments made by the Regents on appeal are: (1) The mere tender of a release and two-party settlement check is not “payment of any money” under Section 48-8-3(B); (2) A payment to an attorney is not synonymous with payment to the legal representative under Section 48-8-3(B); and (3) A misrepresentation tolls the one-year statute of limitations in Section 48-8-3(B).
The check in the amount of $58,265.35 issued by Liberty Mutual and payable to Lacey and Lamb, Metzgar and Lines was received by Lines on May 28, 1986. Accompanying the check was a memorandum and release form from Liberty Mutual setting forth three prerequisites to creating a release. These were: “(1) Fill in the date the release is signed; (2) Write ‘Have Read This Release’; and (3) Sign your name in front of a notary.” The check was endorsed by Lacey and deposited into the law firm’s trust account on November 6, 1986. The Regents had no knowledge of the check or the deposit into the trust account until November 6, 1986, when Lines informed the hospital that “we finally settled with the insurance company.” The Regents contend there was no payment within the meaning of Section 48-8-3(B) until both Lacey and Lines negotiated the two-party settlement check and met the three requirements executing the release. Therefore, the Regents argue the one-year statutory time period did not begin to run before November 10, 1986.
“The delivery of a check does not, ordinarily, per se, constitute payment in a legal sense.” Franciscan Hotel Co. v. Albuquerque Hotel Co., 37 N.M. 456, 472, 24 P.2d 718, 726 (1933). However if, when the check is delivered, the drawer has funds in the drawee bank to meet it, and the check is honored and paid upon presentment, the conditional nature of the payment becomes absolute and the date of payment will be deemed to have been made as of the date of the original delivery of the check. Id. “When a check is paid, the payment of the underlying debt becomes absolute and it is deemed paid as of the date of the giving of the check.” 6 R. Anderson, Anderson On The Uniform Commercial Code § 3-802:19 (3d ed. 1984). Cases from other areas of the law also indicate that payment is made upon delivery of the check and not deposit in the bank. See, e.g., Fletcher v. Ray, 220 Ark. 844, 250 S.W.2d 734 (1952) (candidate’s election fee is paid as of delivery of check when check is subsequently paid in due course); Ogier v. Pacific Oil & Gas Dev. Corp., 135 Cal.App.2d 776, 288 P.2d 101 (1955) (payment for securities was made as of delivery of check when check is subsequently paid in due course); Wayzata Enterprises, Inc. v. Herman, 268 Minn. 117, 128 N.W.2d 156 (1964) (payment on real estate contract is deemed to be made as of delivery of check when check is subsequently paid in due course); Finn v. National City Bank of N.Y., 36 N.Y.S.2d 545 (N.Y.City Ct.1942) (mailing of check by bank constitutes delivery so as to prevent attachment of debt in New York prior to presentment); Texas Mut. Life Ins. Ass’n v. Tolbert, 134 Tex. 419, 136 S.W.2d 584 (1940) (insurance premium is paid as of delivery of check when check is subsequently paid in due course).
Payment of any money for purposes of Section 48-8-3(B) occurred when Liberty Mutual delivered the check to Lines on May 28, 1986. Although it was not negotiated until November 6, 1986, when upon presentment the check was honored and paid, the date of payment is the date of the original delivery of the check. Further, there is no language in the statute that requires the execution of a release before triggering the one-year limitation period.
In addition, delivery of this check to Lines, Lacey’s attorney, was “payment to the patient * * * or legal representative” as prescribed in Section 48-8-3(B). Settlement checks are usually given to attorneys on behalf of their clients. A legal representative, defined in its broadest sense, is one who stands in place of another and represents the interests of another; a person who oversees the legal affairs of another. Black’s Law Dictionary 807 (5th ed. 1979). An attorney is an agent or one who is appointed and authorized to act in the place or stead of another. Id., at 117. In considering the ordinary and usual meaning of the words used in this statute, an interpretation that an attorney may be a legal representative is not unreasonable. See Regents of Univ. of N.M. v. Fireman’s Fund Ins. Co., 103 N.M. 709, 711, 712 P.2d 1371, 1373 (1986).
We stated in Regents of Univ. of N.M., 103 N.M. at 711-12, 712 P.2d at 1373-74, that payment to the patient is the act that triggers the running of the one-year limitation period. The clear language of Section 48-8-3(B) however contemplates compliance when payment is made either to “the patient ... or legal representative.” We conclude that an attorney is a legal representative for purposes of receiving payment under this statute and to commence the running of the statute of limitations therein. “Where a statute grants a new remedy, and at the same time places a limitation of time within which the person complaining must act, the limitation is a limitation of the right as well as the remedy, and in the absence of qualifying provisions or saving clauses, the party seeking to avail himself of the remedy must bring himself strictly within the limitations.” Ortega v. Shube, 93 N.M. 584, 586, 603 P.2d 323, 325 (Ct.App.1979) (quoting Swallows v. City of Albuquerque, 61 N.M. 265, 266, 298 P.2d 945, 946-47 (1956)). Upon failure to institute the action within the specified period beginning May 28, 1986, the Regents’ right to do so ended.
Lastly, the Regents contend that Liberty Mutual should be estopped from raising the statute of limitations as a defense. The doctrine of equitable estoppel, however, is not applicable to the facts in this case.
The essential elements of equitable estoppel as related to the party estopped, Liberty Mutual, are: (1) conduct (by Liberty Mutual) which amounts to a false representation or concealment of material facts; (2) intention (by Liberty Mutual) that such conduct shall be acted upon by the Regents; and (3) knowledge, actual or constructive, of the real facts (by Liberty Mutual). Capo v. Century Life Ins. Co., 94 N.M. 373, 377, 610 P.2d 1202, 1206 (1980). The essential elements as related to the party claiming estoppel (the Regents) are: (1) lack of knowledge and means of knowledge of the truth as to the facts in question (by the Regents); (2) reliance (by the Regents) upon the conduct of the party estopped; and (3) action (by the Regents) based thereon of such a character as to prejudicially change its position. Id. See also In re Estates of Salas, 105 N.M. 472, 475, 734 P.2d 250, 253 (Ct.App.1987). “A party alleging and relying on a claim of estoppel has the burden of establishing all facts necessary to prove the claim.” In re Estates of Salas, 105 N.M. at 475, 734 P.2d at 253.
Under the facts presented herein, the element of misrepresentation or concealment of material facts by Liberty Mutual was not shown. Furthermore, the Regents did not show that they lacked knowledge of the true facts with respect to the one-year statute of limitations. They knew that the statute began to run when payment was made. The Regents learned no later than November 1986 that payment had been made, yet did not file suit until June 1987. There is no estoppel in this case.
The judgment of the district court is affirmed and the parties will bear their own costs and attorney fees.
IT IS SO ORDERED.
SCARBOROUGH, C.J., and RANSOM, J., concur. | [
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OPINION
WALTERS, Justice.
Reydesel Rojo, an employee of defendant landscaping firm, was injured on January 17, 1987, when he lifted a tree off the bed of a truck. Defendant Western Casualty & Surety Company (Western) made weekly compensation payments to Rojo for his injury. In August of 1987, Western’s adjuster and claimant’s attorney agreed to the terms of a lump sum compensation settlement agreement. On September 9, 1987, Mr. Rojo signed the settlement documents. The next morning Mr. Rojo was murdered, but before Western found that out it also signed the agreement. On the same day, still without knowledge that Mr. Rojo had died, claimant’s attorney filed with the Workers’ Compensation Administration the joint petition for approval of payment. Upon discovering prior to a hearing that claimant had died, Western decided to repudiate the agreement. Thus, when the matter came before the administrative officer, Western declared that it no longer agreed to the settlement. The hearing officer thereupon denied the petition for approval of payment of the lump sum settlement, concluding that the respondents at the time of the hearing, “were no longer in agree ment on the payment of a lump sum * * * a condition precedent.”
Decedent’s attorney appealed the hearing officer’s decision to the court of appeals which rendered a summary, affirming, memorandum opinion. We granted decedent’s petition for certiorari to answer the only issue presented: Whether or not a hearing officer may disapprove payment of a lump sum settlement which has been fairly negotiated, signed, and filed by the parties, solely on grounds that the offeror has elected to repudiate the contract before approval of payment is granted. No question of standing has been raised and we do not address it. Cf. Chavez v. Regents of University of N.M., 103 N.M. 606, 711 P.2d 883 (1985) (suit not barred because not brought by personal representative when situation can be remedied by amendatory pleading under Rules 15(c) and 17(a) of Civil Procedure; overruling Mackey v. Burke, 102 N.M. 294, 694 P.2d 1359 (Ct.App.1985)).
The statute provides that amounts payable as workers’ compensation may be converted to a lump sum settlement by agreement of the parties and after the agreement is approved by the hearing officer. NMSA 1978, § 52-5-14(B) (Repl.Pamp. 1987). In its calendaring notice, the court of appeals reasoned that the settlement agreement signed by the parties was without effect until approved by the hearing officer because approval was a condition precedent to a valid agreement between the parties. Because the parties were not in agreement at the time of the hearing, the court of appeals held that the hearing officer correctly denied approval.
Although we concur that the hearing officer must find an agreement between the parties before a lump sum settlement payment may be approved, we reverse the court of appeals and remand to the hearing officer for approval of the settlement, for three reasons: (1) the written and signed petition for approval, filed with the Workers’ Compensation Administration and presented to the hearing officer, provided explicit evidence of an agreement between the parties; (2) under Section 52-5-14(A), the hearing officer’s decision lacked the necessary grounds for disapproval of payment of the settlement; and, finally, (3) one party’s repudiation of the settlement contract does not authorize the hearing officer to provide the remedy of rescission to the repudiating party. Significantly, repudiation is not a basis for disapproving the contract. See Section 52-5-14(A).
Section 52-5-12(A) permits the parties to agree to a lump sum settlement payable to the claimant in exchange for claimant’s release of the insurer-employer’s obligation to make periodic payments. However, nothing in the statute requires that the agreement be in writing. Esquibel v. Brown Constr. Co., 85 N.M. 487, 490, 513 P.2d 1269, 1272 (Ct.App.) cert. denied, 85 N.M. 483, 513 P.2d 1265 (1973), expressly so held. Absent a statute of frauds or other cognizable defense, an oral contract may be as binding as a written one. See Pickett v. Miller, 76 N.M. 105, 108-09, 412 P.2d 400, 403 (1966). Consequently, a settlement agreement that is reduced to writing and signed by the parties is presumptively conclusive proof of a binding agreement. The record here contains a written settlement contract and petition for approval signed by the parties; that it was signed by both parties is not a matter of dispute. That petition, memorializing the earlier oral agreement of the parties, satisfied the conditions under which approval may be sought for payment of the stipulated sum. Id. Section 52-5-13, requiring only that the petition for approval be signed by both parties, was fully complied with. Western may have expressed dissatisfaction with the settlement it had reached, but the hearing officer erred in evaluating Western’s hindsight as sufficient to provide a legal basis for concluding that there was no agreement.
Section 52-5-14(A) directs that the hearing officer approve a lump sum payment agreement between the parties if it is fair and equitable and in accord with the Workers’ Compensation Act. The hearing officer may disapprove the settlement only if he or she determines that the settlement will not provide substantial justice to the parties. Id. The hearing officer made specific findings that in August, 1987, Western and claimant negotiated a settlement agreement; that the agreement was signed by the parties in September; that the settlement was fair and equitable; and that the settlement would provide justice among the parties.
None of those findings was challenged by either party on appeal, and appellant relies on them for reversal. Findings not challenged on appeal are treated as true by the reviewing court. State ex rel. State Highway Comm’n v. Sherman, 82 N.M. 316, 317, 481 P.2d 104, 105 (1971). All of the elements mandating approval and precluding disapproval were found to exist when the agreement was presented to the hearing officer, and the officer lacked any statutory basis, as precisely limited by Section 52-5-14(A), to disapprove it.
The hearing officer erroneously concluded that Western was entitled to withdraw its agreement after both offer and acceptance had been reduced to writing and signed. Consequently, there existed a valid agreement reflecting a binding expression of the parties’ intent. In view of the officer’s findings made following the hearing, he was without any authority to withhold his approval. It was error to do so.
Although the settlement contract was not expressly attacked on the grounds that Mr. Rojo had died, that argument lurks throughout the record and briefs, and we therefore address it.
The contention that a workers’ compensation agreement, reached orally in August and committed to paper in September, may be rescinded because the offeree died after acceptance but before payment had been approved is without support in any law to which we have been referred. By agreeing to the lump sum settlement, Western gambled that the claimant might live for the entire periodic payment period, and it thus took the risk that the lump sum settlement would reduce the total benefits that it would have had to pay if, instead, it were to continue making those periodic payments. Periodic payments admittedly would have ceased upon the death of the claimant. § 52-l-47(C). But that death will not occur is also a risk taken by a carrier when it offers to settle long-term compensation payments for a lump sum in order to be released from liability for future payments. See NMSA 1978, § 52-5-12 (Repl.Pamp.1988). We assume that Western weighed those considerations in reaching its agreement with decedent. Although from Western’s perspective it is unfortunate that claimant died after the oral agreement had been formally executed by both parties, in the absence of mutual mistake of fact, fraud, failure to express the agreement of the parties, or material breach by the other party, claimant’s death does not provide grounds to allow Western’s rescission of the contract. Esquibel; Prudential Ins. Co. of America v. Anaya, 78 N.M. 101, 428 P.2d 640 (1967); Smith v. Loos, 78 N.M. 339, 431 P.2d 72 (Ct.App.), cert. denied, 78 N.M. 337, 431 P.2d 70 (1967). Nor does death of a party after agreement has been reached satisfy the sole basis authorized under Section 52-5-14(A) for disapproval of payment of the settlement.
The cause is reversed and remanded to the hearing officer with directions, in light of the findings made by him, to approve payment of the lump sum settlement agreed upon by the parties prior to claimant’s death.
IT IS SO ORDERED.
SOSA, Senior Justice, and RANSOM, J., concur.
SCARBOROUGH, C.J., and STOWERS, J., dissent. | [
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OPINION
APODACA, Chief Judge.
Ronald Classen (Husband) appeals from the trial court’s denial of his motion for relief from judgment, pursuant to SCRA 1986, 1-060(B) (Repl.1992), in a divorce action. We hold that the trial court erred in ruling solely on the record below that Husband’s due process rights were not violated because of improper service of process. We therefore reverse and remand for further proceedings consistent with this opinion.
I. FACTUAL AND PROCEDURAL BACKGROUND
Lori Classen (Wife) did not file an answer brief to challenge the facts appearing in the docketing statement and discussed in the brief in chief. We thus adopt those facts as the facts of the case. See State v. Hernandez, 116 N.M. 562, 563, 865 P.2d 1206, 1207 (Ct.App.) (facts appearing in the docketing statement that are not challenged are to be accepted as the facts of the case), cert. denied, 116 N.M. 801, 867 P.2d 1183 (1993); State v. Calanche, 91 N.M. 390, 392, 574 P.2d 1018, 1020 (Ct.App.1978) (same).
On October 25, 1991, Wife filed a petition for dissolution of marriage in the Fifth Judicial District Court of New Mexico. In the petition, Wife sought a dissolution of marriage, division of community property, and custody of the parties’ two minor children.
On November 12, 1991, Wife filed an affidavit stating that she had “made due and diligent search of [sic] inquiry to ascertain the present whereabouts of [Husband], but such information [was] unknown and [could not] be ascertained.” Consequently, Wife indicated that only constructive service of process could be obtained on Husband. Con struetive service was published in the Carlsbad Current-Argus newspaper for four consecutive weeks, from November 18, 1991, to December 9, 1991. See SCRA 1986, 1-004(H) (Repl.1992).
On January 14, 1992, the trial court entered a judgment and decree of dissolution of marriage. The decree also granted to Wife sole custody of the parties’ children and divided the parties’ community property.
Approximately two years later, on January 3, 1994, Husband filed a motion for relief from judgment pursuant to SCRA 1-060(B). Husband alleged that the trial court lacked both subject matter jurisdiction and in personam jurisdiction over him because he was never served with process. Husband alleged that:
During the entire time of the action, [Wife] knew the exact whereabouts of [Husband]. During the entire time of this action [Wife] knew the whereabouts of [Husband’s] parents. During the time of this action the Carlsbad Sheriff knew the whereabouts of [Husband]. [Husband] was living in Phoenix at an address possessed by [Wife].
Husband further contended that during this time he received correspondence and telephone calls from his children. Based on these facts, Husband argued that the judgment and decree were void because, contrary to law, Wife failed to provide him with notice of the proceedings, thus depriving him of the opportunity to be heard.
The trial court denied Husband’s motion without a hearing. In its order denying the motion, the trial court stated: “The Court having reviewed the file and being fully informed in the premises finds that there was proper service by publication and that [Husband] was a fugitive from justice and his whereabouts were unknown. Therefore, the motion should be denied.” This appeal followed.
II. DISCUSSION
At first glance, Husband’s argument essentially appears to be that Wife committed fraud on the trial court based on her misrepresentation that she was unaware of Husband’s whereabouts and could therefore not personally serve him. Where the basis for the motion for relief from judgment is fraud or misrepresentation, such “motion shall be made ... not more than one-year after the judgment, order or proceeding was entered....” SCRA 1-060(B)(3), (6). Because Husband’s motion was made almost two years after the default decree was entered, it would appear that the motion was not timely. We determine, however, that Husband’s motion for relief was brought pursuant to SCRA 1-060(B)(4), not SCRA 1-060(B)(3), thus making the one-year time limit inapplicable.
Although Husband alleges fraud by Wife in filing her affidavit that permitted service by publication (so that it might appear Husband was seeking to set aside the judgment under SCRA 1-060(B)(3), which addresses judgments obtained by fraud), it is apparent that he is seeking relief under SCRA 1-060(B)(4) on the ground that the judgment is void because of improper service. See Marinchek v. Paige, 108 N.M. 349, 351-52, 772 P.2d 879, 881-82 (1989). In Marinchek, which is procedurally similar to the present case, our Supreme Court stated:
[T]he applicable ground [for relief] would be Rule 60(B)(4), void judgment, under which the failure to move to vacate within one year after the entry of judgment would not be controlling. Although [Appellee] couched his argument in terms of excusable neglect, he premised his motion on grounds of a due process violation.
(Emphasis added; citation omitted). Here, although Husband couched his argument in terms of fraud and misrepresentation, he premised his motion on the grounds of a due process violation. There is no time limitation on a motion filed pursuant to SCRA 1-060(B)(4).
Generally, the grant or denial of relief pursuant to SCRA 1-060(B) is a matter within the discretion of the trial court, and our review is limited to the question of whether there has been an abuse of that discretion. Sun Country Sav. Bank of N.M. v. McDowell, 108 N.M. 528, 532, 775 P.2d 730, 734 (1989); Click v. Litho Supply Co., 95 N.M. 419, 420, 622 P.2d 1039, 1040 (1981). The standard of review on appeal from the denial of a SCRA 1-060(B)(4) motion is not, however, whether there has been an “abuse of discretion.” When the grant or denial of a motion turns on the validity of the judgment, as in a SCRA 1-060(B)(4) motion, discretion has no place. Nesbit v. City of Albuquerque, 91 N.M. 455, 459, 575 P.2d 1340, 1344 (1977); Chavez v. County of Valencia, 86 N.M. 205, 209, 521 P.2d 1154, 1158 (1974). If the underlying judgment is void, it must be set aside. See Chavez, 86 N.M. at 209, 521 P.2d at 1158; Nesbit, 91 N.M. at 459, 575 P.2d at 1344. A judgment is void only if the court rendering it “lacked jurisdiction of the subject matter, or of the parties, or acted in a manner inconsistent with due process of law.” In re Four Seasons Sec. Laws Litig:, 502 F.2d 834, 841 (10th Cir.) (emphasis added; citations omitted), cert. denied, Ohio v. Arthur Andersen & Co., 419 U.S. 1034, 95 S.Ct. 516, 42 L.Ed.2d 309 (1974).
Many controversies have raged about the cryptic and abstract words of the Due Process Clause but there can be no doubt that at a minimum they require that deprivation of life, liberty or property by adjudication be preceded by notice and opportunity for hearing appropriate to the nature of the case.
An elementary and fundamental requirement of due process in any proceeding [that] is to be accorded finality is notice reasonably calculated, under all the circumstances, to apprise interested parties of the pendency of the action and afford them an opportunity to present their objections.
Mullane v. Central Hanover Bank & Trust Co., 339 U.S. 306, 313, 314, 70 S.Ct. 652, 657, 94 L.Ed. 865 (1950) (citations omitted); see Marinchek, 108 N.M. at 352, 772 P.2d at 882 (due process requires notice reasonably calculated, under all the circumstances, to inform parties of the action and afford them the opportunity to present their objections); Wells Fargo Bank v. Dax, 93 N.M. 737, 741, 605 P.2d 245, 249 (Ct.App.1979) (same).
Due process prohibits the use of constructive service where it is feasible to give actual notice. See Clark v. LeBlanc, 92 N.M. 672, 673, 593 P.2d 1075, 1076 (1979). It is as true now as it was in 1950 when Justice Jackson observed, “Publication may theoretically be available for all the world to see, but it is too much in our day to suppose that each or any individual ... does or could examine all that is published to see if something may be tucked away in it that affects his property interests.” Mullane, 339 U.S. at 320, 70 S.Ct. at 660. “[G]reat caution should be used not to let fiction deny the fair play that can be secured only by a pretty close adhesion to fact.” McDonald v. Mabee, 243 U.S. 90, 91, 37 S.Ct. 343, 344, 61 L.Ed. 608 (1917) (citation omitted).
The United States Supreme Court, however, did not prohibit the use of publication in all circumstances as a means of providing constitutionally adequate notice. The Court held that publication was still a valid means of providing notice to persons whose whereabouts could not with “due diligence” be ascertained. Mullane, 339 U.S. at 317, 70 S.Ct. at 659. The critical question in the instant case is whether Wife exercised due diligence, within the meaning of Mullane, to justify service of process by publication rather than the constitutional norm of actual service of process.
Husband contends that Wife knew, or easily could have ascertained with due diligence, his address at the time that she filed the petition for dissolution. Husband argues, therefore, that service by publication was improper. Assuming that Wife knew, or could have ascertained with due diligence, Husband’s address, we determine that service by publication was improper and did not comply with due process. If service did not meet due process standards, the judgment is voidable at any time under SCRA 1-060(B)(4). ,The only matters of record regarding propriety of service in this case are the conflicting affidavits of Wife (submitted on November 12, 1991) and Husband (submitted on January 3, 1994). On this record, the trial court cannot resolve the factual issues that control whether service was proper. The trial court may need to conduct an evidentiary hearing, unless further discovery produces uncontroverted dispositive facts. Because Husband is incarcerated at the Ci-bola County Correctional Center in Milan, New Mexico, it is not necessary that he be physically transported for an evidentiary hearing. Rather, at the trial court’s discretion, Husband can testify by deposition, telephone, or any other acceptable means, as long as the means chosen affords him an opportunity to call and examine witnesses.
III. CONCLUSION
We reverse and remand with directions that the trial court proceed in conformity with this opinion.
IT IS SO ORDERED.
DONNELLY and HARTZ, JJ., concur. | [
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OPINION
DONNELLY, Chief Judge.
Defendant appeals his conviction, under a plea and disposition agreement, of two counts of distribution of a controlled substance, (amphetamines), in violation of NMSA 1978, Section 30-31-22(A)(2) (Repl. Pamp.1980). Three issues are raised on appeal: (1) whether defendant’s right to due process was denied due to preindictment delay; (2) whether the state engaged in governmental misconduct denying defendant his right to effective assistance of counsel and the right to present a defense; and (3) whether defense counsel’s waiver of defendant’s presence at a hearing on a motion to dismiss deprived defendant of a fundamental right. We affirm defendant’s convictions.
FACTS
Defendant was arrested on November 18, 1986, and charged with the distribution of amphetamines on March 20 and April 11, 1986. At a preliminary hearing held January 6, 1987, New Mexico State Police Officers Bea Walsmith and Jerry Noedel testified on behalf of the state. Walsmith testified that on March 20, 1986, while working in Carlsbad as an undercover narcotics agent, she was introduced to defendant by Joe Lockett, a confidential informant. This introduction took place at a lounge and resulted in Walsmith purchasing amphetamines from defendant at a private residence that day.
Noedel also testified that he was working as an undercover narcotics agent on the evening of April 11, 1986, when Lockett introduced him to defendant. The meeting resulted in Noedel giving defendant $100 in exchange for what he believed was cocaine. The substance, however, was later determined to be amphetamines. Following defendant’s arrest and preliminary hearing, defendant was bound over for trial in district court. A criminal information was filed January 14, 1987.
Thereafter, defendant filed two motions to dismiss alleging preindictment delay. In defendant’s first motion to dismiss, he included an affidavit asserting that due to the delay, he was unable to remember where he was or who he was with on the days of the alleged transactions. Defendant also argued that the charges should be dismissed due to the arresting officers’ lack of memory, failure to determine the identities of certain potential witnesses, and the state’s inability to locate certain witnesses.
At the hearing on defendant’s first motion to dismiss, undersheriff Jack Childress testified about the undercover operation. He stated that the operation continued after the March 20, and April 11, 1986 transactions with defendant, and that in ensuing months additional purchases were made from other suspected drug dealers. Childress also testified that these drug purchases would have been compromised by an immediate arrest of defendant or by public knowledge of the undercover operation.
The trial court denied both motions to dismiss. Thereafter, defendant pled guilty to the charges, specifically reserving the right to appeal the constitutional issue regarding his claim of denial of a speedy trial.
I. PREINDICTMENT DELAY
Defendant claims that the trial court’s refusal to dismiss the indictment due to preindictment delay resulted in a denial of due process. Specifically, he argues that he has a fundamental right to a speedy trial and that he has satisfied the burden imposed on him by United States v. Marion, 404 U.S. 307, 92 S.Ct. 455, 30 L.Ed.2d 468 (1971), showing both that this delay was prejudicial and that it was intentionally imposed by the state to gain tactical advantage over him.
The state, on the other hand, contends that defendant’s voluntary entry into the plea and disposition agreement waived any issue on appeal concerning preindictment delay. We disagree. Defendant clearly conditioned his plea on the right to appeal the constitutional issue of speedy trial. The case law upon which the state relies does not relate to the situation where defendant expressly reserved his right to appeal a particular issue. See United States v. Brice, 565 F.2d 336 (5th Cir.1977); State v. Ball, 104 N.M. 176, 718 P.2d 686 (1986). Moreover, this issue was asserted below and considered by the trial court.
The state also argues that defendant has not satisfied his burden of showing that he suffered actual prejudice from any delay in his arrest and prosecution because assertions of defense counsel do not constitute evidence. See State v. Duran, 91 N.M. 38, 570 P.2d 39 (Ct.App.1977), cert. denied, 435 U.S. 972, 98 S.Ct. 1615, 56 L.Ed.2d 65 (1978). Defendant, however, filed an affidavit in support of his motion to dismiss, hence, this issue was properly preserved. Alternatively, the state argues that even if defendant’s assertions of delay are supported by evidence, there is no showing of prejudice. The state maintains that it is not enough to simply say memories have faded; defendant must show that his memory', loss would not have existed or would have been less of a problem had the delay been shorter. See State v. Grissom, 106 N.M. 555, 746 P.2d 661 (Ct.App.1987). Additionally, the state contends there is no evidence that the delay in prosecution was prompted by a desire to obtain a tactical advantage. The state argues that avoidance of the untimely disclosure of undercover agents is an acceptable reason for delay.
In general, the sixth amendment speedy trial guarantee does not attach until a defendant is indicted, arrested or accused. United States v. MacDonald, 456 U.S. 1 (1982), on remand, 688 F.2d 224 (4th Cir.1982), cert. denied, 459 U.S. 1103, 103 S.Ct. 726, 74 L.Ed.2d 951 (1983); see generally C. Torcia, Wharton’s Criminal Procedure § 420 (1975). During the preindictment period, any undue delay must be tested under the Due Process Clause of the fourteenth amendment of the United States Constitution and N.M.Const. art. 2, § 14. See generally United States v. Marion; State v. Duran, 91 N.M. 756, 581 P.2d 19 (1978). The Due Process Clause-requires dismissal of the charges if it is shown that the preindictment delay caused substantial prejudice to defendant’s rights to a fair trial, and the delay was an intentional device to gain tactical advantage over the accused. United States v. Marion; see United States v. Moore, 515 F.Supp. 509 (S.D.Ohio 1981).
In State v. Duran, our supreme court recognized the analysis adopted in State v. Jojola, 89 N.M. 489, 553 P.2d 1296 (Ct.App. 1976), as applicable to claims of denial of due process based on alleged prosecutorial delay. Jojola found as follows:
1. A showing of substantial prejudice is required before one can obtain a dismissal for pre-indictment delay. 2. the elapsed time, in itself, does not determine whether prejudice has resulted from the delay. 3. Substantial prejudice may not exist even when actual prejudice is shown; every delay-caused detriment does not amount to substantial prejudice. 4. Where actual prejudice is shown, the actual prejudice must be balanced against the reasons for the delay in determining whether a defendant has been substantially prejudiced.
Id. at 490, 553 P.2d at 1297. In addition, defendant has the burden of demonstrating “actual” prejudice by specifically establishing how his defense would have been more successful had the delay been shorter. State v. Grissom; see State v. Jojola.
In reviewing defendant’s contentions of denial of due process on appeal, we are required to conduct an independent review of the record and the law. State v. Grissom. Defendant claims prejudice in the preindictment period stemming from his diminished recollection of the transactions, and the loss or unavailability of certain defense witnesses and evidence. Defendant, however, has not demonstrated how his defense would have been more successful had the delay been shorter, nor has he shown that other witnesses were unavailable or that evidence sought to be utilized by him could not have been obtained from other sources. Cf. State v. Grissom.
Defendant rests his claim of prejudice on the following missing evidence and witnesses; (1) defendant was unable to locate the specific address on Edwards Street where the first sale allegedly occurred; (2) the eyewitness who would corroborate defendant’s claim that he did not hand a packet of drugs to Officer Walsmith could not be located; (3) all of defendant’s alibi witnesses were lost; and (4) the people in the parking lot who observed the second incident, who would exonerate defendant, also were now unavailable to testify. It is not clear who defendant's alibi witnesses were. In referring to an eyewitness to the transaction with Officer Walsmith, defendant apparently intended to refer to a man who came out of the home with defendant. If defendant intended to refer to anyone else, it is not clear that anyone else actually observed that transaction.
At the preliminary hearing, Walsmith testified that she did not believe the man who came out of the house on Edwards Street with defendant observed the transaction. Noedel testified that he was not sure anyone observed the transaction in which he was involved. He also testified he did not believe Lockett observed the transaction. It had occurred outside the lounge. This testimony casts doubt on the extent to which the missing evidence, including witnesses to the transaction, would have made the defense more successful.
The proof must be definite and not speculative: “ ‘[t]he assertion that a missing witness might have been useful does not show the ‘actual prejudice’ required by Marion.’ ” United States v. Mays, 549 F.2d 670, 677 (9th Cir.1977) (quoting United States v. Galardi, 476 F.2d 1072, 1075 (9th Cir.), cert. denied, 414 U.S. 839, 94 S.Ct. 90, 38 L.Ed.2d 75, 414 U.S. 856, 94 S.Ct. 160, 38 L.Ed.2d 106 (1973)); see also United States v. Pallan, 571 F.2d 497 (9th Cir.), cert. denied, 436 U.S. 911, 98 S.Ct. 2249, 56 L.Ed.2d 411 (1978). We conclude that defendant’s showing of prejudice was not sufficiently definite.
Defendant has failed to show the requisite prejudice necessary for dismissal due to preindictment delay. Moreover, a showing of reasonable delay in a defendant’s prosecution, by reason of an ongoing narcotics undercover operation, is a permissible basis for preindictment delay. See United States v. Emory, 468 F.2d 1017 (8th Cir.1972); Powell v. United States, 352 F.2d 705 (D.C.Cir.1965); State v. Polsky, 82 N.M. 393, 482 P.2d 257 (Ct.App. 1971), cert. denied, 404 U.S. 1015, 92 S.Ct. 688, 30 L.Ed.2d 662 (1972); State v. Baca, 82 N.M. 144, 477 P.2d 320 (Ct.App.1970). Even where a defendant presents evidence of prejudice, such showing does not automatically entitle defendant to a dismissal of the charges against him. In reviewing a claim of prejudice, the trial court and this court on appeal, must balance defendant’s showing of prejudice against the reasonableness of the conduct of the police and the state’s interest in continuing its undercover operation in order to detect other narcotic law violations. See State v. Baca; State v. Grissom; see also State v. Kilpatrick, 104 N.M. 441, 722 P.2d 692 (Ct.App.1986).
In this case, a delay of approximately eight months occurred following the first transaction and a little less than nine months following the second transaction. The undercover operation ended shortly before defendant was arrested. The failure to arrest defendant after the departure of Officers Walsmith and Noedel does not show the delay was unreasonable or intended to prejudice defendant. The evidence indicates that the undercover operation continued utilizing other officers. Under the record herein, we conclude that the prearrest delay was not unreasonable so as to violate defendant s right of due process or his right to a speedy or fair trial. See United States v. May; see also State v. Baca.
II. ASSISTANCE OF COUNSEL; RIGHT TO PRESENT DEFENSE; ABSENCE AT MOTION HEARING
Defendant further argues that the state engaged in governmental misconduct which denied him the right to effective assistance of counsel and the right to present a defense. Defendant also claims he was denied a fundamental right by his counsel’s waiver of his right to be present at the second motion to dismiss hearing. Although a defendant may have a fundamental right to be present during certain proceedings where evidence is taken, see State v. McDuffie, 106 N.M. 120, 739 P.2d 989 (Ct.App.1987), such is not the case here. Moreover, defendant’s voluntary entry into a plea and disposition agreement waived any nonjurisdictional claims of defects in the proceedings. See State v. Ball; State v. Williams, 78 N.M. 211, 430 P.2d 105 (1967); State v. Tipton, 78 N.M. 600, 435 P.2d 430 (1967).
CONCLUSION
Because defendant has failed to show substantial prejudice by reason of preindictment delay, we find no due process violation. The remaining issues have been waived due to defendant’s entry into the plea and disposition agreement.
Defendant’s convictions are affirmed.
IT IS SO ORDERED.
MINZNER and GARCIA, JJ., concur.
. Subsequent to the time defendant was charged with violating Section 30-31-22, this statute was amended effective March 19, 1987. See Laws 1987, ch. 68, § 4. Defendant was prosecuted and convicted under the statute as it existed prior to the 1987 amendment. | [
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OPINION
DONNELLY, Chief Judge.
Defendant appeals his sentence and convictions of kidnapping, attempted criminal sexual penetration, and criminal sexual penetration in the second degree in violation of NMSA 1978, Sections 30-4-1 and 30-9-ll(B) (Repl.Pamp.1984). Five issues are raised on appeal. We discuss: (1) claim of error in the admission of evidence; (2) claim of merger of the offense of kidnapping and criminal sexual penetration; and (3) claim of error in forms of verdict. We affirm.
FACTS
The victim, a seventeen-year-old high school student, encountered the defendant at a video game arcade in Albuquerque. The victim, a girlfriend of the victim, and the girlfriend’s foster brother then drove with defendant to a party later that evening. At the party defendant, age 24, asked the victim if she would give him a ride home. The defendant rode with the victim, her girlfriend, and the girlfriend’s foster brother in the victim’s car. The four purchased a six-pack of beer and went to a city park to drink.
While at the park, defendant kept asking the victim’s girlfriend to kiss him. She refused his advances. The girlfriend testified that defendant told her several times that “[wjhat you really need is a black man to take care of you and if you ever want anybody to take care of you, find me.” Thereafter, the four left the park. The victim dropped off her girlfriend and the girlfriend’s foster brother at their home. Defendant then gave the victim directions as to how to drive him to his home.
The victim testified that when she drove to the location defendant had described, he told her that he did not live there and instead lived at a new housing complex at Lomas and Tramway. As she was driving to the new location, defendant began choking her and telling her she had better do what he told her or he would kill her. The car stalled and defendant removed the keys. Defendant then twisted the victim’s arm and pulled her out of the car by her feet.
Defendant forcibly pulled off the victim’s pants and part of her underclothing. The victim began screaming for help and pleaded with defendant not to rape her, telling him she was still a virgin. She then grabbed a rock and struck him with it. Defendant then hit the victim in the eye and began cursing at her. The victim testified that the defendant continued striking her and forcibly performed oral and anal intercourse with her. The victim was rescued by a man who lived nearby and who had been awakened by the screams of the victim and the defendant’s yelling.
Defendant denied that he had committed criminal sexual penetration upon the victim, although he admitted hitting and beating her. He testified that twice the victim brought up his prior criminal record and the second time this happened, he lost control and began beating her.
Dr. Robert Baker, a physician, testified that he had examined the victim following the incident, that she had bruises on her neck consistent with having been choked, and that the victim’s rectum was swollen and abraded consistent with rectal penetration.
Barbara Crosby, a forensic serologist with the Albuquerque Police Department, testified that the defendant’s shirt and pants had stains on them containing seminal acid phosphates. Crosby stated that these stains were compatible with the defendant’s blood type.
I. ADMISSIBILITY OF EVIDENCE
Defendant contends that the trial court erred in denying his motion in limine to exclude first, a statement allegedly made by defendant to the victim’s girlfriend that “[w]hat you really need is a black man to take care of you and if you ever want anyone to take care of you, find me”; and second, a statement made by the victim to the defendant during the sexual assault pleading that she not be raped because she was still a virgin. The latter statement was repeated by the victim at trial. Defendant argues that the statements were irrelevant to the charges or, if probative of any relevant fact, the probative value was substantially outweighed by the danger of the unfair prejudice to defendant under NMSA 1978, Evid.Rule 403 (Repl.Pamp. 1983).
(a) The statement attributed to the defendant and sought to be suppressed by him was spoken to the victim’s girlfriend, while the victim, her companions, and the defendant were together in the park and shortly prior to the time they left the area to go home. The victim’s girlfriend testified that defendant kept asking her to kiss him and she kept saying, “No.” She testified that the defendant said to her a couple of times, “[wjhat you really need is a black man to take care of you and if you ever want anyone to take care of you, find me.”
The determination of whether to permit testimony under Evid.Rule 403, requires the trial judge to apply a balancing approach to ascertain whether the probative value of the evidence is outweighed by its possible prejudicial effect. State v. Day, 91 N.M. 570, 577 P.2d 878 (Ct.App.1978); State v. Henderson, 100 N.M. 260, 669 P.2d 736 (Ct.App.), cert. denied, 100 N.M. 259, 669 P.2d 735 (1983). The appellate issue is whether the trial court abused its discretion by allowing the testimony into evidence. To make this determination, the reviewing court must consider the probative value of the testimony. State v. Schifani, 92 N.M. 127, 584 P.2d 174 (Ct.App.), cert. denied, 92 N.M. 180, 585 P.2d 324 (1978).
Defendant contends that the remark of defendant was not relevant or probative of any of the issues herein. We agree. However, under the circumstances herein, any error ensuing from the admission of such evidence was harmless. The victim positively identified defendant and gave direct evidence of the commission of each of the charges upon which defendant was convicted. The overwhelming properly admitted testimony and evidence supports defendant’s convictions beyond a reasonable doubt. See State v. Moore, 94 N.M. 503, 612 P.2d 1314 (1980); State v. Ho’o, 99 N.M. 140, 654 P.2d 1040 (Ct.App.1982); see also State v. Martinez, 99 N.M. 48, 653 P.2d 879 (Ct.App.1982).
(b) Defendant also argues that the trial court erred in permitting the victim to testify that she pleaded with defendant not to “rape” her because she was still a virgin. Defendant argues that evidence of the victim’s virginity was barred by NMSA 1978, Section 30-9-16 (Repl.Pamp.1984).
Defendant has misused Section 30-9-16 which is intended to protect victims from having their sexual history brought into evidence at trial when it is not relevant. Evidence of a victim’s virginity is relevant in cases involving alleged forcible criminal sexual penetration where the consent of the victim is at issue. State v. Aveen, 284 Minn. 194, 169 N.W.2d 749 (1969); Annot., 35 A.L.R.3d 1447 (1971).
The court in Aveen balanced the relevancy of the evidence against its possibly inflammatory character and decided that evidence of the victim’s virginity was admissible to prove that she was forcibly raped even though she did not vigorously resist her attackers. Although the defendant did not raise the defense of consent in the case at bar because he denied any sexual contact with the victim, evidence that the victim had been forcibly raped was a fact necessary to be proven. In the present case, evidence as to what the victim said to the defendant before being sexually assaulted was relevant and admissible to show that the sexual attack actually oc curred and was carried out forcibly and violently. The victim’s testimony tends to support her claim that she was sodomized and was relevant both to establish what in fact occurred during the incident and to rebut defendant’s contentions that sexual penetration did not occur.
Defendant contends any relevance that the victim’s statement may have had was substantially outweighed by the possibility of prejudice ensuing to him. Evid.R. 403. We disagree. The fact that relevant evidence may tend to prejudice a defendant is not in and of itself grounds for the exclusion of the evidence. State v. Garcia, 99 N.M. 771, 664 P.2d 969, cert. denied, 462 U.S. 1112, 103 S.Ct. 2464, 77 L.Ed.2d 1341 (1983). The trial court weighed the probative value of the evidence against its prejudicial effect to the defendant and properly admitted the testimony in its evidence.
Defendant also argues that the combination of the trial court’s rulings on his two objections to the testimony sought to be excluded constituted cumulative error. Where no individual error is found, cumulative error does not exist. State v. McGuinty, 97 N.M. 360, 639 P.2d 1214 (Ct.App.1982).
II. CLAIM OF MERGER
Defendant argues that the kidnapping charge against him should be held to have merged with the two criminal sexual penetration charges. See People v. Lombardi, 20 N.Y.2d 266, 282 N.Y.S.2d 519, 229 N.E.2d 206 (1967), cert. denied, 416 U.S. 906, 94 S.Ct. 1611, 40 L.Ed. 111 (1974); People v. Daniels, 71 Cal.2d 1119, 80 Cal. Rptr. 897, 459 P.2d 225 (1969). Kidnapping is defined as “the unlawful taking, restraining or confining of a person, by force or deception, with intent that the victim: (1) be held for ransom; (2) as a hostage, confined against his will; or (3) be held to service against the victim’s will.” NMSA 1978, Section 30-4-1.
As set out in Section 30-9-11, the offense of criminal sexual penetration in the second degree “consists of all criminal sexual penetration perpetrated ... (2) by use of force or coercion which results in personal injury to the victim ... [or] (4) in the commission of any other felony____” Criminal sexual penetration is the “unlawful and intentional causing of a person, other than one’s spouse, to engage in sexual intercourse ... or the causing of penetration, to any extent and with any object, of the genital or anal openings of another, whether or not there is any emission.” Id. The term “force or coercion” is defined in NMSA 1978, Section 30-9-10(A)(2), to include “the use of threats to use physical violence or physical force against the victim or another when the victim believes that there is a present ability to execute such threats.”
Defendant contends that the offense of criminal sexual penetration necessarily requires the use of the same constraint found in kidnapping. See Annot., 43 A.L.R.3d 699 (1972). We disagree. The elements of the two offenses of second degree criminal sexual penetration which defendant was convicted of do not involve all of the elements of kidnapping because no “unlawful taking, restraining or confining of a person” is required to prove commission of criminal sexual penetration. Sections 30-4-1, 30-9-11; People v. Henderson, 36 Ill.App.3d 355, 344 N.E.2d 239 (1976) (defendant convicted of separate offenses of kidnapping, rape, and robbery which arise out of a series of closely related events but require different elements of proof). In State v. Sandoval, 90 N.M. 260, 263, 561 P.2d 1353, 1356 (Ct.App.), cert. denied, 90 N.M. 637, 567 P.2d 486 (1977), this court held:
“Merger” is the name applied to the concept of multiple punishment when multiple charges are brought in a single trial. Tanton I ... [State v. Tanton, 88 N.M. 333, 540 P.2d 813 (1975) ] Merger is an aspect of double jeopardy; it is concerned with whether more than one offense has occurred.
The test of whether one criminal offense has merged in another is not “whether two criminal acts are successive steps in the same transaction ... but whether one offense necessarily involves the other.” [Citations omitted.]
In the instant case the charges of criminal sexual penetration were not merged into the offense of kidnapping because different evidence was required for each crime. Under the facts of this case, the kidnapping occurred prior to the acts of criminal sexual penetration. Where different evidence underlies two offenses, no merger is required. State v. Sandoval. E.g., State v. Young, 91 N.M. 647, 579 P.2d 179 (Ct.App.), cert. denied, 91 N.M. 751, 580 P.2d 972, cert. denied, 439 U.S. 957, 99 S.Ct. 357, 58 L.Ed.2d 348 (1978). As held in State v. Clark, 80 N.M. 91, 451 P.2d 995 (Ct.App.), overruled on other grounds, 80 N.M. 340, 455 P.2d 844 (1969): “[I]f defendant committed other crimes in the process of violating our kidnapping statute, this does not immunize him from prosecution under our kidnapping statute.”
III. VERDICT FORMS
Defendant’s final point is premised upon the assumption that the offense of kidnapping should have merged with the two offenses of criminal sexual penetration. Defendant asserts that since both verdict forms did not permit a determination of whether defendant perpetrated the offenses of criminal sexual penetration during the commission of another felony, that it cannot be determined whether the jury’s verdict was based upon an improperly submitted issue.
As discussed previously, defendant’s convictions for criminal sexual penetration were not dependent upon his conviction for kidnapping but incident to the causing of personal injury. The forms of verdict were not improper or prejudicial.
The judgment and sentences are affirmed.
IT IS SO ORDERED.
HENDLEY and BIVINS, JJ., concur. | [
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OPINION
DONNELLY, Chief Judge.
Defendant appeals his convictions on two counts of battery on a peace officer contrary to NMSA 1978, Section 30-22-24 (Repl.Pamp.1984). Three appellate issues are presented: (1) whether there was substantial evidence to support the convictions; (2) whether defendant was deprived of effective assistance of counsel; and (3) claim of error in the instructions. The second calendar notice proposed summary affirmance of defendant’s convictions, and defendant responded with a timely memorandum in opposition. Not persuaded by the response, we affirm.
On August 23, 1987, two Lovington sheriff’s deputies and a Lovington city police officer responded to a call concerning a family disturbance. On arrival at the residence no disturbance was in progress. The officers spoke to the owner of the residence, Willie Jackson, who informed them that defendant had been arguing with his girlfriend but had left before the officers arrived. While the officers were conversing with Jackson, defendant returned to the scene, riding a bicycle. He threw his bicycle to the ground in an angry manner and asked the officers if they were looking for him. He then approached them in a belligerent manner. Defendant tried to go past the officers and enter the house. Defendant pushed Officer Chester Hardin, who then advised defendant that he was under arrest. Thereafter, defendant struck Officer Donald Surratt in the face. Surratt and Hardin, together with Officer Dan Harris, finally subdued defendant and placed him in a police vehicle.
1.SUFFICIENCY OF EVIDENCE
Defendant argues that the officers were acting in excess of their statutory duties and that there was insufficient evidence to convict him of the charges of battery upon a peace officer.
Battery upon a peace officer is defined as the unlawful touching of a peace officer while the officer is in the lawful discharge of his duties. § 30-22-24. See State v. Doe, 92 N.M. 100, 583 P.2d 464 (1978); State v. Gonzales, 97 N.M. 607, 642 P.2d 210 (Ct.App.1982). Defendant contends that, since the officers were acting in excess of their statutory duties, they were not engaged in the lawful discharge of their duties when defendant committed the batteries. Defendant also contends that under NMSA 1978, Section 3-13-2 (Repl. 1985), and NMSA 1978, Sections 4-41-2 and -9 (Repl.Pamp.1984), which authorizes a peace officer to suppress disturbances and breaches of the peace, the disturbance must already be in progress, or appear inevitable, before an officer may lawfully take any action. We disagree. The power and duty to suppress breaches of the peace includes the right to take any reasonable steps to prevent a breach of the peace from occurring when the officers have good reason to believe that a disturbance may take place. See, e.g., Black’s Law Dictionary 1291 (5th ed.1979) (definition of “suppress” includes “to prevent”).
In this case, defendant’s attitude toward the officers and his angry demeanor, combined with the telephone report that a disturbance had occurred and with Jackson’s statement that defendant had been arguing with his girlfriend, provided reasonable grounds for the officers to believe in good faith that intervention was necessary to prevent further disturbance or physical violence.
Pursuant to State v. Franklin, 78 N.M. 127, 428 P.2d 982 (1967), and State v. Boyer, 103 N.M. 655, 712 P.2d 1 (Ct.App.1985), defendant additionally argues that there was insufficient evidence to support his convictions because one officer stated that he was only resisting arrest. This testimony merely raised a conflict in the evidence, which the jury resolved against defendant. Where,there is conflicting evidence, the verdict of the jury will not be disturbed on appeal. See State v. Johnson, 99 N.M. 682, 662 P.2d 1349 (1983); State v. Davis, 97 N.M. 745, 643 P.2d 614 (Ct.App. 1982).
Under the facts herein, the officers were acting within the scope of their duties and there was sufficient evidence to support each of the verdicts.
II. ASSISTANCE OF COUNSEL
Defendant maintains that he received ineffective assistance of counsel because his attorney failed to request a battery instruction as a lesser included offense of battery on a peace officer. Defendant would have been entitled to such an instruction only if there was evidence that the officers were not acting in accordance with their lawful duties at the time of the altercation. See State v. Gardner, 85 N.M. 104, 509 P.2d 871, cert. denied, 414 U.S. 851 (1973) (defendant is entitled to an instruction on his theory of the case only if there is evidence supporting that theory). There is no evidence that the officers were acting outside the scope of their lawful duties at the time of the altercation; hence, there was no evidence to support the giving of a simple battery instruction in this case. Accordingly, defendant was not entitled to such an instruction and his attorney’s failure to request such an instruction did not result in ineffective assistance of counsel.
III. INSTRUCTIONS
Defendant’s final argument is a contention that the jury should have been instructed that defendant had to know his victims were police officers to be convicted of battery on peace officer. See Reese v. State, 106 N.M. 498, 745 P.2d 1146, on rhn’g 106 N.M. 505, 745 P.2d 1153 (1987). Defendant contends that Reese requires such an instruction even when, as in this case, lack of knowledge that the victims were peace officers has not been raised as a defense and no evidence of lack of knowledge has been presented to the jury. Defendant claims that the failure to give that instruction is jurisdictional error that requires a reversal in this case. We disagree with defendant’s interpretation of Reese.
In Reese, the defendant raised his lack of knowledge as a defense and pursued that theory strenuously, but the trial court refused to instruct the jury that it must find defendant knew the victim of his battery was a peace officer. In holding that the jury should have been so instructed, the Reese opinion relied on cases in which the defense of lack of knowledge was raised. See, e.g., United States v. Williams, 604 F.2d 277 (4th Cir.), cert. denied, 444 U.S. 967 (1979); Dotson v. State, 358 So.2d 1321 (Miss.1978). As indicated in Williams and Dotson, under some circumstances lack of knowledge may be a viable defense to a charge of battery on a peace officer.
In order to entitle a defendant to the defense of lack of knowledge, some evidence must be presented to support that defense. Reese indicates that an instruction regarding a defendant’s knowledge that the victim is a peace officer is necessary only when defendant raises lack of such knowledge as a defense to the charge and there is evidence that the defendant acted without knowing that the victim was a peace officer. A defendant is entitled to an instruction on his theory of the case only when there is evidence that supports that theory. See State v. Gardner; see also United States v. Williams; Dotson v. State.
Defendant did not raise lack of knowledge as a defense and there was no evidence tending to show that he lacked knowledge that the victims were police officers. Here, the evidence instead indicates that each of the officers was in uniform at the time of the incident. Under these circumstances, defendant was not entitled to an instruction regarding his contention that he was unaware that the victims were peace officers at the time of the offenses.
The judgment and sentences are affirmed.
IT IS SO ORDERED.
MINZNER and GARCIA, JJ., concur. | [
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OPINION
PICKARD, Judge.
Defendant appeals his conviction for first degree child abuse (resulting in death) of his child Patrick. Defendant raises issues concerning (1) the consolidation of the child abuse charge with charges for bribery of a witness; (2) the admission of evidence of other bad acts, specifically the events surrounding the bribery and other acts of Defendant directed toward family members; (3) the exclusion of testimony of another child regarding the events occurring on the day Patrick died; (4) the sufficiency of the evidence; and (5) cumulative error. We affirm. FACTS
Defendant was at home with Patrick, who was his son by a previous marriage; Paul Corona, who is the son of Defendant’s then current wife, Della, by her previous marriage; and Devonne Ruiz, who is Defendant and Della’s child by their current marriage. According to Defendant, Patrick was playing outside and had fallen. When Patrick came in from outside, he had a little blood on his lip. Defendant wiped off the blood, gave Patrick some water, and put him to bed. When Defendant checked on Patrick a few minutes later, his lips were blue and he was cold. Defendant then took Patrick to the hospital. On the way to the hospital, Defendant flagged down paramedics. Notwithstanding the efforts of the paramedics and others who arrived at the scene, Patrick was unable to be revived and was later pronounced dead.
Several experts testified that Patrick’s injuries were inconsistent with an accidental fall and were consistent with child abuse. A defense expert testified to the contrary — that Patrick’s injuries were consistent with having fallen or with efforts at resuscitation and inconsistent with child abuse. According to the paramedics, Defendant was standing by his vehicle with his arms crossed during their attempt to revive Patrick; Defendant provided them with information only in response to direct questions.
Based on the events on the day Patrick died, Defendant was charged with child abuse by torturing, confining, or punishing (NMSA 1978, § 30-6-1(0(2) (Repl. Pamp.1994)) and, in the alternative, child abuse by permitting Patrick to be in a dangerous situation (§ 30-6-l(C)(l)). He was also charged with two counts of child abandonment for leaving Paul and Devonne alone when he took Patrick to the hospital. The district court directed a verdict on these two charges.
Prior to trial on the child abuse and abandonment charges, Defendant and his wife, Della, were in the office of Defendant’s attorney. According to Della’s first statement, she was in an inner office with the attorney talking about Defendant’s past abuse of other children when Defendant, who had been listening at the door, barged in with fists raised, calling Della a liar. When this incident was investigated, it turned out that Defendant had several times earlier threatened Della that he would kill her or that she should “watch it” if she testified against him in this child abuse case. Della separated from Defendant because of the physical abuse Defendant inflicted on her surrounding his threats that she not testify against him.
Based on the events prior to the event in the attorney’s office and the event in the attorney’s office, Defendant was charged with two counts of bribery of a witness by intimidation or threats. The State moved to consolidate the charges, arguing that the evidence of the threats and intimidation would be admissible in any event in the child abuse case. Over Defendant’s objection, the district court ordered consolidation.
During trial, the district court admitted evidence of not only (a) the threats and intimidation but also (b) the evidence Defendant was attempting to suppress by threatening Della — his prior acts of violence or abuse toward children — and (c) evidence of Defendant’s prior battering of Della. The jury found Defendant guilty of the alternative count of child abuse, that involving placing the child in a dangerous situation, but the jury was unable to agree on a verdict on the main count of child abuse or the two counts of bribery of a witness.
CONSOLIDATION
We first address the issue of consolidation and, in doing so, we rely on the showing presented to the district court at the time that it ruled on the issue. When the district court ruled on the issue, the showing was that the threats and intimidation related to Defendant’s attempt to intimidate Della from testifying about Defendant’s behavior with other children. Defendant contends that the charges should not have been consolidated into one trial because he was prejudiced in his defense of the child abuse charges by the evidence relating to the bribery. Defendant relies on State v. Gallegos, 109 N.M. 55, 64, 781 P.2d 783, 792 (Ct.App.), cert. denied, 108 N.M. 771, 779 P.2d 549 (1989), for the proposition that severance should be ordered when prejudicial testimony, inadmissible in a separate trial, is admitted in the joint trial. We thus determine whether the evidence of the bribery would have been admissible in a trial of the child abuse charges alone.
We hold that the evidence of the threats and physical intimidation that were related to Defendant’s attempt to dissuade Della from testifying was admissible. In State v. Altgilbers, 109 N.M. 453, 471, 786 P.2d 680, 698 (Ct.App.1989), cert. denied, 109 N.M. 419, 785 P.2d 1038 (1990), we held that one reason a defendant’s acts of violence toward family members were admissible was that one could infer that the defendant’s acts were attempts to dissuade the family from reporting his offenses. The reason for our holding was that attempts to suppress evidence are admissible to prove intent. Id. This holding is nothing more than a specific application of the rule that evidence showing consciousness of guilt is admissible. See State v. Trujillo, 95 N.M. 535, 541, 624 P.2d 44, 50 (1981) (evidence of flight or plan of flight or evidence of escape from incarceration is admissible because it tends to show consciousness of guilt); State v. Kenny, 112 N.M. 642, 646, 818 P.2d 420, 424 (Ct.App.) (evidence of flight is admissible even if ambiguous, and prejudice does not outweigh probative value even if defendant has other explanation for flight), cert. denied, 112 N.M. 499, 816 P.2d 1121 (1991).
In evaluating this issue, we are cognizant of the fact that the trial evidence was not entirely clear as to the reason for Defendant’s outburst in his attorney’s office. We acknowledge that Della testified that the outburst, including striking her, was based not on her conversation with the attorney but rather on a conversation Defendant overheard at the reception area during which Della was talking about a new boyfriend. However, there was also evidence that, during the trial, Della was being intimidated by members of Defendant’s family.
OTHER BAD ACTS
The district court recognized that the evidence of other bad acts included (a) the battering of Della that formed the basis of the charges of bribery, (b) battering and other abuse of Paul Corona about which Defendant did not want Della to testify, and (c) battering of Della that occurred prior to Patrick’s death. The district court expressly ruled that the bribery of Della was directly relevant in the child abuse case. The battery and other abuse of Paul appeared to be considered relevant to provide context for the bribery charges and also probative in its own right on the child abuse charge. The earlier batteries on Della were considered relevant to the bribery charge, specifically as to whether Della believed that Defendant would carry out the threats and thus was capable of being bribed, and were also relevant to Della’s credibility and her willingness to testify. In accordance with SCRA 1986, 14r-5028 (Recomp.1986) and its trial rulings on the admission of the other-bad-acts evidence, the district court instructed the jury that “Evidence has been admitted concerning whether the defendant committed battery on Della Ruiz and Paul Corona. The evidence was received and you may consider it only for the purpose of determining the absence of mistake or accident in the death [of] Patrick Munoz.”
We had occasion to rule on the admissibility of evidence of other bad acts in a child abuse case in State v. Aguayo, 114 N.M. 124, 835 P.2d 840 (Ct.App.), cert. denied, 113 N.M. 744, 832 P.2d 1223 (1992). Recognizing the large potential for prejudice of other bad acts in that type of case, we held that district courts must be careful in admitting such evidence, must admit it only to prove some permissible factor under SCRA 1986, 11-404(B) (Repl.1994) other than propensity, and then must balance the probative value against the potential for prejudice. Aguayo, 114 N.M. at 128-32, 835 P.2d at 844-48. In an earlier case, State v. Hogervorst, 90 N.M. 580, 588, 566 P.2d 828, 836 (Ct.App.), cert. denied, 90 N.M. 636, 567 P.2d 485 (1977), we pointed out that the fact that evidence is prejudicial is not grounds for excluding it; exclusion is required only when the danger of “unfair” prejudice, see SCRA 1986, 11-403 (Repl.1994), outweighs the legitimate prejudice that is otherwise known as probative value. We recently applied this principle in State v. Jordan, 116 N.M. 76, 80, 860 P.2d 206, 210 (Ct.App.), cert. denied, 115 N.M. 795, 858 P.2d 1274 (1993). The teaching of these cases is that the prejudice is unfair when the tendered evidence goes only to character or propensity. However, when the tendered evidence serves a legitimate purpose other than character or propensity, then that legitimate purpose should be balanced against the jury’s tendency to use the evidence illegitimately.
Thus, in this case, we first evaluate whether the evidence had legitimate value other than as character or propensity evidence. We examine separately the evidence of (a) batteries on Della after Patrick’s death, (b) the abuse of Paul, and (c) the batteries on Della prior to Patrick’s death, and we hold that the first two items had legitimate probative value and were properly admitted. We further hold that, while the last item may not have been properly admissible in a trial of the child abuse charges alone, a number of factors combine to cause its admission not to require a reversal in this case.
a. Post-death Batteries
We have already held that the batteries on Della following Patrick’s death that were intended to dissuade Della from testifying.were admissible. We consider it significant that this evidence included one item when Defendant hit Della’s head against a bedpost until she was dizzy. Defendant told Della to stay up and walk around after this incident; “[h]e was afraid [she] was going to fall asleep and not wake up ... [l]ike Little Patrick [did].” Thus, the evidence of batteries on Della was not admitted as propensity evidence — to urge the jury to find Defendant guilty because he was a bad person. Rather, the evidence of batteries on Della was admitted to urge the jury to find Defendant guilty because he was doing things consistent with admitting his guilt. He was demonstrating thát he knew he was guilty and thus showing his guilty conscience, admissible under Kenny, Altgilbers, and Trujillo. That guilty knowledge was tantamount to a confession and also negated Defendant’s defense that Patrick’s death was caused accidentally or by mistake. In view of the significant legitimate probative value of this evidence, we cannot hold that the district court abused its discretion in striking the balance in favor of its admission.
b. Abuse of Paul
The evidence of the abuse of Paul was also legitimately relevant, i.e., not bearing solely on character or propensity. The evidence concerning Paul provided the context for why Defendant was battering Della. See Jordan, 116 N.M. at 81, 860 P.2d at 211 (permitting admission of other bad acts so that jury will know context of other admissible evidence); State v. Landers, 115 N.M. 514, 520, 853 P.2d 1270, 1276 (Ct.App.1992) (admission of other bad acts placed charged acts in context), cert. quashed, 115 N.M. 535, 854 P.2d 362 (1993). Compare State v. Crump, 82 N.M. 487, 494-95, 484 P.2d 329, 336-37 (1971) (acts that are part of transaction for which defendant is being tried are admissible) with State v. Rael, 117 N.M. 539, 540-42, 873 P.2d 285, 286-88 (Ct.App.1994) (innuendo concerning drugs is not admissible in trial for possession of gun). Accordingly, the evidence of the abuse of Paul was relevant to the same theory of lack of accident or mistake that the batteries on Della were.
We recognize that the challenged evidence included multiple incidents of corporal punishment of Paul Corona (grabbing by the collar and shaking; choking; spanking; smacking; hitting with a wrench) as well as comments by Defendant about how the child needs to be “tough” and a comment about how Defendant would kill the child if he was not removed from Defendant’s presence. Defendant argues that this is exactly the type of evidence that our decision in Aguayo was designed to exclude. The State counters that this evidence was much more probative than the sinister innuendo in Aguayo, and that the majority rule recognized both in New Mexico and in other jurisdictions would allow this type of evidence in any child abuse case to prove one or more of the exceptions to SCRA 11-404(B). See United States v. height, 818 F.2d 1297, 1303 (7th Cir.) (citing numerous state and federal cases), cert. denied, 484 U.S. 958, 108 S.Ct. 356, 98 L.Ed.2d 381 (1987); State v. Robinson, 93 N.M. 340, 600 P.2d 286 (Ct.App.) (prior injuries to the deceased child were admitted to prove absence of mistake or accident), cert. denied, 92 N.M. 532, 591 P.2d 286 (1979), overruled on other grounds by Santillanes v. State, 115 N.M. 215, 225 n. 7, 849 P.2d 358, 368 n. 7 (1993); State v. Fuentes, 91 N.M. 554, 577 P.2d 452 (Ct.App.) (same), cert. denied, 91 N.M. 610, 577 P.2d 1256 (1978). We need not decide whether the evidence concerning Paul, standing alone, would be admissible in this case. In contrast to that in Aguayo, the evidence challenged here had relevance to the bribery charge, which was in turn relevant to consciousness of guilt and lack of mistake or accident, and the State expressly offered such rationales below. Accordingly, we cannot say that the district court abused its discretion in admitting the evidence con-' cerning Paul.
c. Pre-death Batteries
The evidence concerning batteries of Della occurring prior to Patrick’s death are more problematic. While they may have some relevance to the child abuse charges in that (1) the prior batteries could explain Della’s hesitation in providing incriminatory testimony and thus (2) the prior batteries helped establish the bribery charge which, in turn, helped prove Defendant’s guilty knowledge, the relevance was sufficiently remote that it was likely substantially outweighed by the possibility of improper prejudice to Defendant. However, that does not end our inquiry, which on appeal includes whether the erroneous admission of evidence warrants a reversal.
A combination of several factors leads us to hold that the admission of the evidence of the earlier batteries of Della does not warrant a reversal. First, Defendant never expressly called to the district court’s attention a separate problem with regard to this evidence. See State v. Lucero, 104 N.M. 587, 590, 725 P.2d 266, 269 (Ct.App.1986) (party must make timely and specific objection). Second, the evidence of batteries of Della prior to Patrick’s death was cumulative of evidence of batteries of Della after Patrick’s death that were otherwise properly before the jury. See State v. Gibson, 113 N.M. 547, 556, 828 P.2d 980, 989 (Ct.App.) (prejudicial impact of evidence of prior crime was held marginal in light of other admitted evidence establishing criminal background), cert. denied, 113 N.M. 524, 828 P.2d 957 (1992); State v. Griscom, 101 N.M. 377, 380, 683 P.2d 59, 62 (Ct.App.) (admission of cumulative evidence may be harmless), cert. denied, 101 N.M. 362, 683 P.2d 44 (1984). Finally, there is little to suggest in this case that the evidence unduly prejudiced the jury, which was unable to return verdicts on some of the charges. Cf. State v. Montano, 93 N.M. 436, 440, 601 P.2d 69, 73 (Ct.App.) (when jury convicts on some counts and acquits on some counts, record does not show prejudice from failure to sever charges), cert. denied, 93 N.M. 683, 604 P.2d 821 (1979).
d. Other Contentions Regarding Other Bad Acts
Defendant argues that, if the district court was going to admit evidence of other bad acts, it erred in failing to instruct the jury according to his tendered instruction. Defendant’s requested instruction would have instructed the jury that:
Evidence has been admitted concerning whether Patrick Ruiz committed battery on Della Ruiz and Paul Corona. The evidence was received, and you may consider it only for the purpose of determining Mr. Ruiz’ innocence or guilt on the charge of Bribery of a Witness by Use of Threats as charged in Counts Four and Five. You may not consider evidence of any alleged batteries on Della Ruiz or Paul Corona as evidence that Patrick Ruiz acted in conformity therewith as regards the charges of Child Abuse Resulting in Death or Great Bodily Harm, as charged in Count One and Count One in the Alternative, or the charges of Child Abandonment, as charged in Counts Two and Three.
We disagree with Defendant’s contention. The district court properly instructed the jury in accordance with legitimate theories of lack of accident or mistake. Defendant’s tendered instruction was erroneous in two ways. First, it would have limited the jury’s consideration of the other-bad-acts evidence to the bribery charges whereas we have held that the evidence was admissible on the child abuse charges also- Second, it was in a form inconsistent with the uniform jury instructions in that it contained both a positive and negative statement of the same proposition. See State v. Torres, 99 N.M. 345, 347, 657 P.2d 1194, 1196 (Ct.App.1983).
Finally, Defendant contends that hearsay evidence concerning one assault on Paul should not have been admitted into evidence. Defendant acknowledges that the transcript does not contain a timely and specific objection to the alleged hearsay. Although Defendant contends that various portions of the transcript indicate that a hearsay objection was made in chambers, Defendant did not avail himself of the methods by which erroneous transcripts may be corrected, SCRA 1986, 12-2U(C)(4) (Repl.1992), or unavailable transcripts may be recreated, SCRA 12-211(H). Accordingly, we do not reach this issue. See Lucero, 104 N.M. at 590, 725 P.2d at 269 (party must make timely and specific objection).
EXCLUSION OF TESTIMONY
Defendant contends that the district court erred when it excluded evidence of what Paul told his grandmother, Julia Lovato, a few days after Patrick’s death. According to a tender of Lovato’s testimony, she would have testified that Paul told her that he saw Patrick go outside and come back in, he saw Defendant wipe something off Patrick’s face and put Patrick to bed, and he saw Defendant take Patrick out of the house and leave, telling Paul and his sister to stay home. Paul was called as a witness to testify about these things, but could not remember any of them. Among the reasons the district court excluded the tendered testimony was that Lovato was present in the courtroom during the whole trial in violation of the rule on exclusion of witnesses, SCRA 1986, 11-615 (Repl.1994), and Lovato had not been disclosed as a witness to the State.
The district court’s decision to exclude testimony because of a violation of SCRA 11-615 is reviewed for an abuse of discretion. State v. Trevino, 113 N.M. 804, 809, 833 P.2d 1170, 1175 (Ct.App.1991), aff'd, 113 N.M. 780, 833 P.2d 1146 (1992). The purpose of SCRA 11-615 is to prevent witnesses from tailoring their testimony to the testimony of other witnesses. State v. Simonson, 100 N.M. 297, 301, 669 P.2d 1092, 1096 (1983). The purpose of witness disclosure rules is to give parties a fair opportunity to test the credibility of the witnesses and to eliminate surprise and gamesmanship. See State v. Manus, 93 N.M. 95, 103-04, 597 P.2d 280, 288-89 (1979). While no witness testified to actually witnessing the version of the events about which Lovato would have testified, that version was alluded to in opening statement and in the testimony of other witnesses who related what Defendant told them. Thus, Lovato could have easily tailored her testimony about what Paul allegedly saw to the defense version of the facts. We cannot say that the district court abused its discretion in excluding Lovato’s testimony in these circumstances.
SUFFICIENCY OF EVIDENCE
Defendant contends that the evidence was insufficient to support the conviction. Defendant’s contention is based on a theory that since the jury convicted on the alternative count of placing the child in danger, this Court cannot now rely on any evi dence of Defendant’s cruelly punishing or torturing the child. However, even if the jury had acquitted on the punishment or torture alternative (which it did not), we review the conviction and not the acquittal. See State v. Leyba, 80 N.M. 190, 195, 458 P.2d 211, 216 (Ct.App.), cert. denied, 80 N.M. 198, 453 P.2d 219 (1969). The question we address is whether there was sufficient evidence for a rational jury to find each element of the crime beyond a reasonable doubt. See State v. Garcia, 114 N.M. 269, 274, 837 P.2d 862, 867 (1992). Although we review the evidence in the light most favorable to the State, we must articulate a reasonable analysis pursuant to which the jury might have determined guilt. See State v. Sizemore, 115 N.M. 753, 758, 858 P.2d 420, 425 (Ct.App.), cert. denied, 115 N.M. 709, 858 P.2d 85 (1993). That analysis is that the jury could have found that Defendant placed the child in a harmful situation by shaking or hitting him, but without torturing or cruelly punishing him. The analysis would be that, without meaning to hurt or kill the child, Defendant inflicted some sort of physical punishment on the child that caused the injuries from which Patrick died. The evidence was that Defendant was the sole caretaker of Patrick that day. Patrick died from injuries to his head, which doctors testified were from blunt force impact and violent, forceful shaking. Although the defense theory was that Patrick fell from a tree or trailer, doctors testified that his injuries involved impacts on all different surfaces of his head. There were no defensive wounds to his hands or arms indicating an attempt to block the impact of falling. These factors were inconsistent with an accidental fall. The jury was , free to reject Defendant’s story regarding the fall as well as the defense expert who supported that theory. See State v. Sutphin, 107 N.M. 126, 131, 753 P.2d 1314, 1319 (1988). Defendant, by his actions afterwards, demonstrated knowledge that he inflicted the child’s fatal injuries. Thus, there was sufficient evidence that Defendant placed Patrick in a situation that endangered his life.
CUMULATIVE ERROR
Finally, Defendant contends that there was cumulative error. However, where there is no error, the doctrine of cumulative error does not apply. State v. Larson, 107 N.M. 85, 86, 752 P.2d 1101, 1102 (Ct.App.), cert. denied, 107 N.M. 74, 752 P.2d 789 (1988).
CONCLUSION
Defendant’s conviction of child abuse resulting in death is affirmed.
IT IS SO ORDERED.
HARTZ and BOSSON, JJ., concur. | [
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OPINION
APODACA, Judge.
Petitioners appeal from a district court judgment affirming the New Mexico Personnel Board (Board), which in turn had affirmed disciplinary action taken by the New Mexico Corrections Department (Department). The action was taken against several guards at the Penitentiary of New Mexico (Penitentiary) following a prison break in 1983 in which two inmates escaped. The Department dismissed petitioners Anaya and Bayer for disciplinary reasons. The other petitioners were given suspensions ranging from one to five days.
Petitioners raise three issues: (1) whether the Board action was arbitrary, capricious and an abuse of discretion, and thus the district court erred in upholding it; (2) whether there was substantial evidence to support just cause for the action against petitioners; and (3) whether the Board determination of just cause is inconsistent with the law. We hold that petitioners’ contentions lack merit with respect to each of these issues and therefore affirm the district court.
1. Whether the Board Action Was Arbitrary, Capricious and an Abuse of Discretion.
The two inmates escaped sometime between the afternoon of Friday, February 18,1983 and 4:30 p.m. on Sunday, February 20, 1983. Petitioners argue that the disciplinary action was arbitrary and capricious because the exact time and manner of the escapes were never established. The Board considered establishment of these facts to be critical with respect to the disciplinary action taken. Petitioners also argue the district court failed to review the entire record on appeal because the court “apparently focused only on the evidence in favor of the agency decision, and ignored substantial evidence to the contrary.”
Petitioner Anaya was the officer in charge of cellblock 2 on the evening shifts on February 18, 19 and 20. One of Ana-ya’s assigned responsibilities was to conduct periodic counts of inmates assigned to his cellblock and to verify all inmates were properly accounted for. Anaya was terminated for having failed to follow proper count procedures and negligence in conducting counts of inmates under his supervision.
Petitioner Bayer was terminated for having participated in at least five official counts of inmates in cellblock 2, on February 18, 19 and 20, failing to remove obstructions from cell windows, and for changing the total count figure for the count conducted at 5:30 a.m., on February 19, 1983.
Petitioners Latshaw and Maestas were suspended for, among other grounds, failing to follow proper count procedures. Petitioner Trujillo was suspended for failing to check on one of the inmates who escaped, after receiving an inquiry from a prison officer, and for making a false statement during the escape investigation. Petitioner Vega was suspended for failing to discover the hole in the prison perimeter fence used in the escape.
The exact time and manner of escape is a factual question to be determined by the fact finder, in this case, the hearing officer. The hearing officer’s findings, if supported by substantial evidence, will be upheld on appeal. See Duke City Lumber Co. v. New Mexico Envt’l. Improvement Bd., 101 N.M. 291, 681 P.2d 717 (1984). The hearing officer found that following the escape an investigation was conducted by the Department and the New Mexico State Police but that “[n]either report was able to conclusively establish the time, place and manner of escape.” The hearing officer also found, however, that, based on the investigations, the Department had a reasonable basis to conclude the inmates escaped undetected during the evening of February 18.
The Department took disciplinary action based on its conclusion that the inmates left the Penitentiary February 18. Thus, the question on appeal is whether there is substantial evidence to support the hearing officer’s finding that the Department had a reasonable basis for its conclusion.
Petitioners are correct in contending that whole record review is the standard this court applies in appeals from an administrative decision. See Duke City Lumber Co. v. New Mexico Env’tl. Improvement Bd. It does not necessarily follow, however, that in upholding the Board, the district court did not review the entire record. The district court, in an appeal from an administrative proceeding, does not reweigh the evidence nor substitute its judgment for that of the administrative fact finder. Tapia v. City of Albuquerque, 104 N.M. 117, 717 P.2d 93 (Ct. App.1986). To determine whether the district court erred in upholding the decision of the Board, this court independently examines the entire administrative record to determine whether the decision of the hearing officer was not arbitrary and capricious, was supported by substantial evidence, and was within the scope of the administrative body’s authority. Id. In reviewing appeals from the district court perfected under the Personnel Act, NMSA 1978, Sections 10-9-1 to -25 (Repl.Pamp. 1987), the scope of our review is the same as that of the district court. Padilla v. Real Estate Comm’n, 106 N.M. 96, 739 P.2d 965 (1987); Jiminez v. Department of Corrections, 101 N.M. 795, 689 P.2d 1266 (1984). Under Section 10-9-18(G), a reviewing court on appeal must affirm the decision of the Board “unless the decision is found to be: (1) arbitrary, capricious or an abuse of discretion; (2) not supported by substantial evidence; or (3) otherwise not in accordance with law.” See also Perkins v. Department of Human Services, 106 N.M. 651, 748 P.2d 24 (Ct.App.1987). Thus, we must determine whether, on balance, the record as a whole contains substantial evidence to support the hearing officer’s finding. See Tapia v. City of Albuquerque.
Having reviewed the record proper and transcript of proceedings, we conclude that the finding is supported by substantial evidence. A report from the New Mexico State Police, which is part of the record and introduced without objection, indicates that more than one confidential informant reported the inmates never returned to their living unit after a class on the afternoon of February 18 and that they left the Penitentiary after dark that evening. The report includes evidence that the inmates were in class until 3:30 p.m. on the afternoon of February 18, that their books were later found under the modular school building where they had attended class, that there was room to crawl under the modular building, and that the area where the fence was cut was almost directly across from that building. The report also indicates that, at the time of his arrest on February 20, one of the escapees, Velasquez, told Agent Ortiz of the Santa Fe Sheriff’s Office that he had been out of the Penitentiary since the prior day. It is unclear whether Velasquez was referring to Friday or Saturday. The report also includes a statement that Velasquez told Santa Fe County Deputy David C de Baca that he had been out for two nights. The Penitentiary report includes the information that the inmates attended a class on February 18 until 3:30 p.m. and that it was believed they hid under the modular building until they thought it was safe to cut the fence. Addi tionally, testimony by the Penitentiary warden verified the textbooks were found under the modular building.
The only contrary evidence was that two corrections officers believed they had seen inmate McDonald, the other escapee, inside the penitentiary on Saturday, February 19. Also, a head count in cellblock 2, where the escapees were housed, did not come up short until the afternoon of February 20. However, the accuracy of these counts was at issue and was one of the reasons disciplinary action was taken against petitioners.
Based on this evidence, the hearing officer, as the fact finder responsible for weighing conflicting evidence, could reasonably find that the Department had a reasonable basis to conclude the escape occurred during the evening of February 18. We thus hold that the Board’s action was not arbitrary, capricious or an abuse of discretion.
2. Whether There Was Substantial Evidence to Support Just Cause for Action Against Petitioners.
Under this issue, petitioners argue that the legal residuum rule requires that an agency decision to terminate an employee must be supported by legally competent evidence and that, although hearsay is admissible in an administrative proceeding, it may not be relied upon to terminate an employee. They contend that information found in the reports by the New Mexico State Police and the Penitentiary contain hearsay on which the Board relied in reaching its decision.
As observed in Chavez v. Employment Security Comm’n, 98 N.M. 462, 649 P.2d 1375 (1982), whether the district court judgment, in reviewing an administrative agency decision, is supported by the requisite evidence, depends on whether there is a residuum of legally competent evidence in the record to support a verdict in a court of law.
The legal residuum rule does not require that all evidence considered by the administrative agency be legally admissible evidence, but only “that an administrative action be supported by some evidence that would be admissible in a jury trial.” Duke City Lumber Co. v. New Mexico Env’tl. Improvement Bd., 101 N.M. at 295, 681 P.2d at 721 (emphasis added). Besides, petitioners do not distinguish between inadmissible hearsay and hearsay that is admissible under one of the exceptions in the rules of evidence. The latter may be used to satisfy the legal residuum rule. See Young v. Board of Pharmacy, 81 N.M. 5, 462 P.2d 139 (1969).
The record contains other similar corroborative evidence to the same effect that clearly is not hearsay. Testimony adduced at the hearing indicated that prisoner counts were not conducted in accordance with standing orders. Petitioners Anaya and Maestas admitted that they did not follow required procedures involving counts. A review of the whole record supports the findings of the Board and lower court concerning the discipline of petitioners. Also, the report of the Penitentiary includes transcripts of interviews with petitioners Anaya and Trujillo. These interview statements, made during the investigation, would not fall within the definition of hearsay, since they are admissions. See SCRA 1986, ll-801(D)(2)(a). Thus, the record contains nonhearsay evidence supportive of the disciplinary action taken against each of the petitioners.
In addition, the information contained in the reports compiled by the New Mexico State Police and the Penitentiary was properly admissible under SCRA 1986, 11-803(H), the public records and report exception to the hearsay rule. That exception states:
H. Public records and reports. Records, reports, statements or data compilations, in any form, of public offices or agencies, setting forth
(1) the activities of the office or agency,
(2) 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, or
(3) in civil actions and proceedings and against the state in criminal eases, factual findings resulting from an investigation made pursuant to authority granted by law, unless the sources of information or other circumstances indicate lack of trustworthiness.
A report compiled by Lt. Patrick M. Aragon, acting investigator at the Penitentiary, includes the following statements:
It is beleived [sic] at this time that the two residents did not return inside the main Institution when class was let out at 3:30 P.M. 02/18/83. It is further believed that Mcdonald, and Velasquez crawled under the first Modular Education Unit, and hid till they thought it was safe enough to cut the 18" x 3' with out been [sic] seen by eather [sic] the Tower 2 Officer, or the Vehicle Patrol Officer.
Once through the opening the two escapeing [sic] inmate’s [sic] scaled the 12' foot outer perimeter fence to gain their freedom from the Institution.
From the evidence and foot prints [sic] found at the escape side [sic] the two inmate’s [sic] proceeded across the field in a South/East direction towards State Highway 14.
We hold that these statements, along with other parts of the reports, constitute “findings” for purposes of Rule 11-803(H)(3). See Zenith Radio Corp. v. Matsushita Elec. Indus. Co., Ltd., 505 F.Supp. 1125, 1144 (E.D.Pa.1980) (“we think the term is broad enough to encompass any statement of fact that represents a conclusion on the part of an investigator and that such factual statements need not be formally termed ‘findings’ in order to come in under 803(8)(C)”). Federal Rule of Evidence 803(8)(C) is the federal equivalent of Rule 11-803(H)(3).
Under Rule 11-803(H)(3), reports or records of a regularly conducted activity may be admitted as an exception to the hearsay rule. See Stone v. Morris, 546 F.2d 730 (7th Cir.1977) (upholding admissibility of memorandum prepared by correctional employee containing an account of events leading to plaintiff’s injuries, where party offering memorandum demonstrated that memorandum was prepared as part of employee’s routine duties); see also Diaz v. United States, 655 F.Supp. 411 (E.D.Va. 1987) (investigative report admissible where report was compiled pursuant to an internal fact finding investigation).
Although petitioners do not contend the reports are untrustworthy, they do point out collaterally that inmates and suspected accomplices to the escape, whose credibility and trustworthiness are suspect, were sources for the reports. However, it is the trustworthiness of the report that is relevant. See State v. Ramirez, 89 N.M. 635, 556 P.2d 43 (Ct.App.1976), overruled on other grounds, Sells v. State, 98 N.M. 786, 653 P.2d 162 (1982) (it is for the trial court to determine whether the record or report sought to be introduced is sufficiently trustworthy in and of itself).
In Baker v. Elcona Homes Corp., 588 F.2d 551 (6th Cir.1978), cert. denied, 441 U.S. 933, 99 S.Ct. 2054, 60 L.Ed.2d 661 (1979) the court noted that the advisory committee notes to the federal rules of evidence list four suggested factors to be considered in determining trustworthiness. Those factors are: (1) the timeliness of the investigations; (2) the special skill or experience of the official; (3) whether a hearing was held on the level at which conducted; and (4) possible motivational problems. Petitioners had the burden of showing the reports were inadmissible due to a lack of trustworthiness. Id. They have not made that argument. They assert, however, that the statements of witnesses included in the reports are hearsay within hearsay and are therefore excluded by SCRA 1986, 11-805. However, the issue on appeal is whether the factual findings made by the investigator were admissible.
Petitioners further contend under this issue that the use of hearsay evidence by the Department deprived petitioners of their right to confront and cross-examine witnesses against them. The sixth amendment right to confrontation applies to criminal proceedings. Petitioners cite no authority for applying this right in a civil proceeding, and we determine that public reports and records shown to fall within the exceptions contained in Rule 11-803(H) are properly admissible. Moreover, the findings of the Board and district court are supported by other evidence contained in the record as a whole.
3.Whether the Board Determination of Just Cause is Inconsistent With the Law.
Petitioners allege that the Board erred in focusing on the employees’ conduct rather than making findings and conclusions to determine the propriety of the agency’s acts. We first note the hearing officer concluded that the action taken by the Department was for just cause and should be affirmed. Also, in reviewing the Department’s action, it is necessary to review the entire record, including the evidence of misconduct by the employees. See Tapia v. City of Albuquerque. Without such review, it is impossible to determine whether the action taken by the Department was appropriate. We also note that two of the petitioners who were dismissed from their jobs, Anaya and Bayer, both had previous unsatisfactory work evaluations. This supports the Department’s action in imposing harsher discipline on them than on the other guards involved in this incident.
The action of the Department and the Board is supported by substantial evidence in the record as a whole and further supported by sufficient legally admissible evidence to meet the requirements of the legal residuum rule. The district court is affirmed. No costs are awarded.
IT IS SO ORDERED.
DONNELLY, C.J., and MINZNER, J., concur. | [
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OPINION
WALTERS, Justice.
We issued a writ of certiorari to the court of appeals to review the only question presented by the petitioner, i.e., whether NMSA 1978, Section 52-l-35(B) (Cum. Supp.1983) allows a petitioner in a worker’s compensation action to recover expert witness fees for the testimony of expert witnesses who testified but who were not subpoenaed to appear at trial. The district court’s award of those fees as costs was reversed by a majority of the court of appeals on grounds that a subpoena or court order to testify is a condition precedent to the recovery of such costs. Judge Fruman dissented on that issue, concluding that Section 52-l-35(B) did not require expert witnesses to be subpoenaed before the trial court could award to the petitioner the costs for their attendance. We think that Judge Fruman’s interpretation of the statute is correct and, accordingly, we reverse the court of appeals and affirm the trial court’s award.
Section 52-l-35(B), which applies because this action was filed before its repeal in 1986, reads:
No cost shall be charged, taxed or collected by the clerk except fees for witnesses who testify under subpoena. These witnesses shall be allowed the same fee for attendance and mileage as is fixed by law in other civil ■ actions. Notwithstanding the provisions concerning expert witness fees as provided in Section 38-6-4 NMSA 1978, the court may order the payment of reasonable fees for any expert witness whose examination of the claimant, report or trial attendance is determined by the court to be reasonably necessary in the trial of the case.
This version is an amended form of the 1978 statute, which was interpreted to allow an award for costs of expert witnesses only if the witnesses were subpoenaed. See Sedillo v. Levi-Strauss Corp., 98 N.M. 52, 56, 644 P.2d 1041, 1045 (Ct.App.), cert. denied, 98 N.M. 336, 648 P.2d 794 (1982); Lujan v. Circle K Corp., 94 N.M. 719, 723, 616 P.2d 432, 436 (Ct.App.1980); see also Smith v. City of Albuquerque, 105 N.M. 125, 128, 729 P.2d 1379, 1382 (Ct.App.1986) (citing Section 52-l-35(B) as allowing an award of costs only when witness is subpoenaed, and denying plaintiff’s own travel costs for appearing as a witness in her own case).
In Bower v. Western Fleet Maintenance, 104 N.M. 731, 726 P.2d 885 (Ct.App. 1986), the court of appeals noted that the statute had been amended following the decisions in Sedillo and Lujan, and that the “language of amended Section 52-1-35(B) appears to have liberalized the standard by which a court may award certain costs.” Id. at 738-39, 726 P.2d at 892-93. The court in Bower declared that pursuant to the amended version of Section 52-1-35(B), the standard of review on appeal was whether the trial court had acted arbitrarily or capriciously in granting or denying the award. Id.
A plain and fair reading of the amended Section 52-l-35(B) directs us to the conclusion reached by Judge Fruman that the first two sentences of the statute, which set forth the requirement for a subpoena before costs may be awarded, pertain only to nonexpert witnesses. The last clause of the last sentence, however, clearly affords the trial court the discretion to award costs for expert witnesses even if the experts have not testified or have not been consulted under subpoena or court order, if their testimony was reasonably necessary. See Bower, 104 N.M. at 739, 726 P.2d at 893. There has been no challenge made that the trial court, which found the costs to be reasonably necessary, acted arbitrarily or capriciously.
No. 10543.
Accordingly, we reverse the court of appeals and order that the trial court’s award of costs be reinstated.
SCARBOROUGH, C.J., RANSOM, J., and SOSA, Senior Justice, concur.
STOWERS, J., dissenting.
. Although NMSA 1978, Section 52-5-7(F) (Repl.Pamp.1987) contains language similar to Section 52-l-35(B), now repealed, we do not purport to extend our analysis herein or our holding today to Section 52-5-7(F). | [
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OPINION
NEAL, Judge.
The defendant was granted use immunity in exchange for his testimony at the capital murder trial of his co-defendant, Ralph Earnest. At the trial of Earnest the defendant refused to answer nine questions and the court held him in contempt. For his refusal to answer the first question the court sentenced him to eighteen years, and to one year for each additional refusal. The total sentence was twenty-six years.
The defendant appealed raising six issues. The first issue was that the immunity order was defective because it limited immunity to truthful statements. We agreed and reversed, relying on New Jersey v. Portash, 440 U.S. 450, 99 S.Ct. 1292, 59 L.Ed.2d 501 (1979). The Supreme Court then reversed our decision and remanded this case to us for consideration of the remaining issues. State v. Boeglin, 100 N.M. 470, 672 P.2d 643 (1983). We discuss (1) the effect of the defendant’s reliance on State v. Urioste, 95 N.M. 712, 625 P.2d 1229 (Ct.App.1980); and (2) the trial court’s refusal to seal the State’s file.
1. Reliance on Urioste.
At trial the defendant refused to answer on two grounds: that the immunity order was defective and that under Urioste the order was not sufficient to protect him because he could still face federal prosecution. The Supreme Court held that the immunity order was not defective. We now consider the defendant’s argument that he could not be held in contempt because in refusing to answer he was relying on Urioste.
In State v. Chavez, 100 N.M. 612, 673 P.2d 1345 (Ct.App.1983) we held:
The defendant contends that he cannot be held in contempt because under State v. Urioste, 95 N.M. 712, 625 P.2d 1229 (Ct.App.1980), he could face federal prosecution on the drug charges. To the extent Urioste suggests that a witness who has been granted use immunity may be subject to federal prosecution on the same charges, it is not to be followed.
Chavez then adopted the holding of Murphy v. Waterfront Commission of New York, 378 U.S. 52, 84 S.Ct. 1594, 12 L.Ed.2d 678 (1964):
[T]he constitutional privilege against self-incrimination protects a state witness against incrimination under federal as well as state law and a federal witness against incrimination under state as well as federal law.
When the defendant refused to answer Chavez had not been decided. Urioste was the law in New Mexico. The defendant’s refusal to answer, based on Urioste, was justified.
In Murphy, as here, the petitioners refused to answer, relying on Feldman v. United States, 322 U.S. 487, 64 S.Ct. 1082, 88 L.Ed. 1408, 154 A.L.R. 982 (1944). Murphy further held:
At the time they refused to answer, however, petitioners had a reasonable fear, based on this Court’s decision in Feldman v. United States, supra, that the federal authorities might use the answers against them in connection with a federal prosecution. We have now overruled Feldman and held that the Federal Government may make no such use of the answers. Fairness dictates that petitioners should now be afforded an opportunity, in light of this development, to answer the questions.
The order compelling the defendant to answer questions remains intact. However, consistent with Murphy we hold that fairness requires that the defendant’s contempt convictions be reversed. The defendant should have the opportunity to answer the questions in light of our ruling. See State v. Chavez.
2. Refusal to seal the State’s file.
Kastigar v. United States, 406 U.S. 441, 92 S.Ct. 1653, 32 L.Ed.2d 212 (1972) held that use and derivative-use immunity is coextensive with the Fifth Amendment privilege against compulsory self-incrimination. Transactional immunity, as opposed to use and derivative-use immunity, is broader than the Fifth Amendment privilege, and is not constitutionally required.
The defendant here has been granted use and derivative-use immunity. The State may not make any use of his compelled testimony. Kastigar. To insure this the defendant asked the trial court to seal the State’s file. The trial court refused. The defendant contends that no contempt conviction can stand because without sealing the file there is no way for him, or a court, to know what evidence may be developed from his compelled testimony.
Sealing the file, also called certifying the evidence, requires the prosecutor to file a report with the court. In this report the prosecutor details all the evidence he has in hand before the grant of immunity, including documents, affidavits, and other records. Then, at trial, the prosecution would be limited to the evidence certified in the filed report. See Note, Standards for Exclusion in Immunity Cases after Kastigar and Zicarelli, 82 Yale L.J. 171 (1972).
This procedure is not required by Kastigar. Kastigar, discussing the federal use-derivative use statute, states:
One raising a claim under this statute need only show that he testified under a grant of immunity in order to shift to the government the heavy burden of proving that all of the evidence it proposes to use was derived from legitimate independent sources.
406 U.S. at 461-62, 92 S.Ct. at 1665.
When the State seeks to prosecute a witness who has been granted immunity a proper procedure is to hold a taint hearing so that the prosecutor can affirmatively prove that the evidence sought to be used is independent from the compelled testimony. United States v. Tantalo, 680 F.2d 903 (2nd Cir.1982); United States v. Romano, 583 F.2d 1 (1st Cir.1978). We hold that a taint hearing is a proper procedure to insure that no use or derivative-use is made of immunized testimony. At the taint hearing, after the witness shows that he has been granted immunity, the prosecutor bears the “heavy burden of proving that all of the evidence it proposes to use was derived from legitimate independent sources.” Kastigar. As Kastigar states:
This burden of proof, which we affirm as appropriate, is not limited to a negation of taint; rather it imposes on the prosecution the affirmative duty to prove that the evidence is derived from a legitimate source wholly independent of the compelled testimony.
The defendant’s argument here is an interesting one. One case has noted that the practice of sealing the file, or certifying the evidence, is a safeguard against lawlessness by the government. See In re Weir, 377 F.Supp. 919 (S.D.Cal.), aff'd., 495 F.2d 879 (9th Cir.), cert. denied, 419 U.S. 1038, 95 S.Ct. 525, 42 L.Ed.2d 315 (1974). The defendant, however, has not cited us to any case, nor have we been able to find one which supports his argument that failure to seal the State’s file, in itself, justifies a refusal to answer. We decline to adopt such a rule here. On remand, the defendant may not refuse to answer claiming that the court did not seal the State’s file.
While we reject the defendant’s claim that failure to certify evidence prior to the grant of immunity justifies a refusal to answer, or requires reversal of a contempt conviction, we do not condemn the practice. It may indeed make easier the prosecutor’s burden to prove that his evidence was properly obtained. See Goldberg v. United States, 472 F.2d 513, 516 at n. 5 (2nd Cir. 1973).
Because of our disposition we do not reach the remaining issues. We do note that if the defendant again refuses to answer, State v. Case, 100 N.M. 173, 667 P.2d 978 (Ct.App.1983) details the options available to the State.
We reverse the defendant’s contempt convictions and sentence.
IT IS SO ORDERED.
ALARID and MINZNER, JJ., concur. | [
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OPINION
FEDERICI, Chief Justice.
Manzano Industries, Inc. (appellant) entered into a real estate contract with Edward Mathis and others (appellees) as part of a transaction involving the sale of a tract of land in Las Cruces. Appellant failed on numerous occasions to make payments when due, curing its default on each occasion shortly before the contractual 60-day period to cure had run. Appellant failed, however, to cure the delinquent July 1982 payment within 60 days of written demand. Forfeiture was declared and appellant’s interest in the property was terminated. Appellant brought suit to set aside the forfeiture. The trial court entered judgment denying appellant relief. We affirm.
Appellant claims on appeal that the forfeiture clause in the real estate contract is unconscionable and should not be enforced. We find no merit in this argument. The contract allowed appellees, upon appellant’s default, to terminate the real estate contract, regain possession of the property, and retain all payments made. We have repeatedly held such contracts to be enforceable. First National Bank v. Cape, 100 N.M. 525, 673 P.2d 502 (1983); Albuquerque National Bank v. Albuquerque Ranch Estates, Inc., 99 N.M. 95, 654 P.2d 548 (1982). Strong public policy favors enforcement of such contracts. Bishop v. Beecher, 67 N.M. 339, 355 P.2d 277 (1960).
This Court has, however, refused to enforce the literal terms of such contracts when to do so would work an unfairness which shocks the conscience of the court. Huckins v. Ritter, 99 N.M. 560, 661 P.2d 52 (1983); Eiferle v. Toppino, 90 N.M. 469, 565 P.2d 340 (1977). Appellant claims that the facts surrounding the forfeiture in this case work an unfairness of a magnitude which should render the contract’s forfeiture provisions unenforceable. We disagree.
This Court has held that, “[djetermination of whether a forfeiture provision of a real estate contract should be enforced is a matter within the sound discretion of the trial court,” Albuquerque National Bank v. Albuquerque Ranch Estates, Inc., 99 N.M. 95, 102, 654 P.2d 548, 555 (1982). Substantial evidence existed in this case to support the trial court’s decision to enforce the forfeiture provision of the real estate contract. The trial court found that appellant had basically four obligations under the contract: to make timely monthly payments; to keep the premises in good repair; to keep the premises insured; and to pay the taxes on the property. Appellant failed to meet its obligations in all four areas.
The contract required that adequate notice of default be given prior to seeking a forfeiture. Cf. Martinez v. Martinez, 101 N.M. 88, 678 P.2d 1163 (1984). Appellant failed to make payments twenty-three times when they were due under the contract. On eleven of these occasions written demand was made which began the running of the 60-day contractual period to cure the default. Forfeiture was obtained only after written demand was made for the past due July 1982 payment, and the 60-day period to cure had run.
Appellant seeks to analogize the facts in this case to those in Huckins v. Ritter, 99 N.M. 560, 661 P.2d 52 (1983). The only similarity in facts between the two cases is that in both cases a substantial downpayment was made. We refuse to hold that the forfeiture of a large downpayment will, in every case, shock the conscience of the court. The size of the forfeited downpayment is only one of the factors the trial court should consider. To hold otherwise would subvert the policy behind recognizing the enforceability of such contracts. See First National Bank v. Cape, 100 N.M. 525, 673 P.2d 502 (1983); Bishop v. Beecher, 67 N.M. 339, 355 P.2d 277 (1960).
We find that the forfeiture clause was not unconscionable, and that the trial court did not abuse its discretion in denying appellant equitable relief from the forfeiture provision of the real estate contract.
The judgment of the trial court is affirmed. Appellees shall recover their costs on appeal.
IT IS SO ORDERED.
SOSA, Senior Justice and STOWERS, J., concur. | [
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OPINION
MINZNER, Judge.
Plaintiff appeals from the trial court’s decision granting defendant’s motion for summary judgment and dismissing her negligence action with prejudice. At the time of her accident, plaintiff was an employee of Nuclear Pharmacy, one of three corporations which formed defendant partnership Enerpharm. Plaintiff contends that her action is not barred by NMSA 1978, Section 52-l-6(D) (Repl.Pamp.1987), because Enerpharm is a “person other than [her] employer” within the meaning of the Workers’ Compensation Act. We invited the participation of amicus curiae and scheduled oral argument. We now reverse.
BACKGROUND.
Enerpharm was organized for the purpose of acquiring, improving, and maintaining real property located in Bernalillo County. Nuclear Pharmacy manufactures pharmaceutical supplies. It leased a building and an adjacent parking lot from Enerpharm.
In the course and scope of her employment, plaintiff parked her car in the parking lot. On December 30,1982, she slipped and fell on layers of ice covered by newly-fallen snow and sustained a severe head injury..
Plaintiff’s complaint alleged that Enerpharm negligently maintained the sprinkler system, creating thick layers of ice on the pavement. Snow then covered the ice. Plaintiff sought judgment against the partnership; she did not join the partners.
In its answer, defendant raised the affirmative defense that plaintiff’s exclusive remedy was under the New Mexico Workers’ Compensation Act. See § 52-l-6(D). The trial court apparently granted summary judgment because it considered the employer and the partnership in which it participated essentially the same defendant, making plaintiff’s only possible cause of action a claim for workers’ compensation benefits. Plaintiff claimed workers’ compensation benefits and collected those benefits from Nuclear Pharmacy during November and December of 1984 and January of 1985. The trial court conditioned its order dismissing plaintiff’s negligence action on the filing of a claim for workers’ compensation benefits and the admission by Nuclear Pharmacy and its workers’ compensation carrier that plaintiff was injured in the scope and course of her employment. At oral argument before this court, counsel for defendant advised the panel that plaintiff’s entitlement to workers’ compensation benefits had been settled as a result of a suit filed against Nuclear Pharmacy pursuant to the trial court’s condition.
On appeal, plaintiff asserts that the trial court erred in granting summary judgment on the issue of Enerpharm’s liability because material issues of fact remain. She argues, first, that Nuclear Pharmacy may not be immune from suit under Section 52-l-6(D), because Nuclear Pharmacy was acting in a “dual capacity” or has a “dual persona.” Second, plaintiff argues that even if Nuclear Pharmacy is immune from suit, Nuclear Pharmacy’s immunity cannot be extended to Enerpharm or to the partners in Enerpharm other than Nuclear Pharmacy.
For the reasons that follow, we conclude that, under some circumstances, a partnership in Enerpharm’s position is subject to suit. We conclude that summary judgment in favor of Enerpharm was inappropriate and remand for factual determinations on several issues.
DISCUSSION.
Under Section 52-l-6(D), both an employer and an employee covered under the Workers’ Compensation Act (Act) are deemed to have surrendered any right to seek “any other method, form or amount of compensation or determination thereof” outside the provisions of the Act. However, the same subsection explicitly states: “Nothing in the ... Act, however, shall affect or be construed to affect, in any way, the existence of or the mode of trial of any claim or cause of action which the workman has against any person other than his employer..-..” Clearly, the Act intends to preserve an injured worker’s right to pursue an action against a third party.
The dispositive appellate issue is whether a partnership in which the employer participates can ever be considered a third party for purposes of Section 52-l-6(D). We hold that the possibility exists and remand for further proceedings to determine whether this is such an instance.
Our initial inquiry is whether Enerpharm can be considered plaintiff’s employer within the meaning of Section 52-l-6(D). The trial court apparently determined that, as a matter of law, Enerpharm had to be considered the same entity as plaintiff’s employer, Nuclear Pharmacy, because of the relationship between Enerpharm and Nuclear Pharmacy. We disagree.
The Uniform Partnership Act, adopted in New Mexico and appearing at NMSA 1978, Sections 54-1-1 to -43 (Repl. Pamp.1988), recognizes that a partnership is a legal entity distinct from its member partners for some purposes. See Loucks v. Albuquerque Nat’l Bank, 76 N.M. 735, 418 P.2d 191 (1966). For example, a partnership is a distinct legal entity to the extent that it may sue or be sued in the partnership name. Id. The situation presented here turns on whether a partnership is a legal entity distinct from one of its individual members.
However, we believe resolution of the question of whether Enerpharm can be considered plaintiff’s employer for purposes of Section 52-l-6(D) depends not so much upon the relationship between Enerpharm and Nuclear Pharmacy, but rather upon the relationship between Enerpharm and plaintiff. The crucial determination is whether an employment relationship existed between Enerpharm and plaintiff. See Swiezynski v. Civiello, 126 N.H. 142, 489 A.2d 634 (1985); Lindner v. Kew Realty Co., 113 A.D.2d 36, 494 N.Y.S.2d 870 (1985). The factors to be considered in this determination are whether Enerpharm had a right to control plaintiff’s performance and whether there was a corresponding right in plaintiff to seek remuneration from Enerpharm.
We therefore vacate the decision of the trial court and remand for a factual determination as to whether Enerpharm can be considered plaintiff’s employer. If an employment relationship is found, then Section 52-l-6(D) clearly presents a bar to this suit.
Our inquiry does not end here, because, while Enerpharm can be sued as an entity, Loucks v. Albuquerque Nat’l Bank, it can be held liable only for the commission of a tort by a member partner or other agent. Gatley v. Deters, 128 Misc.2d 209, 489 N.Y.S.2d 684 (1985). According to New Mexico’s Uniform Partnership Act, Section 54-1-13, the partnership is liable for the wrongful conduct of a partner “to the same extent" (emphasis added) as the offending partner. Thus, if plaintiff’s claim is based solely or partially upon negligence attributable to her employer, Nuclear Pharmacy, the trial court must decide whether Enerpharm can claim derivative immunity with respect to that portion of liability pursuant to Section 54-1-13.
In deciding whether Enerpharm can claim derivative immunity from Nuclear Pharmacy, the first issue is whether Nuclear Pharmacy is immune from suit under Section 52-l-6(D). This issue must be decided, because Enerpharm cannot derive immunity from Nuclear Pharmacy if Nuclear Pharmacy does not have immunity.
Plaintiff asserts that Nuclear Pharmacy may not be immune from suit because either the “dual capacity” doctrine or the “dual persona” doctrine applies.
The “dual capacity” doctrine imposes liability outside the workers’ compensation statutes where the facts show that employer’s conduct contributed to the inju ry sustained and is conduct of a nature not associated with the employer’s functions as an employer. 2A A. Larson, The Law of Workmen’s Compensation § 72.81(a) (1988). Larson has criticized the “dual capacity” doctrine as loose and over-extended. Id. It has also been criticized in case law and rejected in favor of the “dual persona” doctrine. See Henning v. General Motors Assembly Div., 143 Wis.2d 1, 419 N.W.2d 551 (1988). It is held with virtual unanimity that when the dual roles are those of employer and owner/occupier of land, they are not sufficiently distinct to allow imposition of liability. See generally Larson, supra, § 72.82; see, e.g., Royster v. Montanez, 134 Cal.App.3d 362, 184 Cal.Rptr. 560 (1982).
In Royster v. Montanez, the California Court of Appeals specifically disapproved of application of the “dual capacity” doctrine in cases where an employer was also a landowner and the basis for liability was one connected with the maintenance and repair of property. As the Royster court noted:
[A] substantial proportion of work-related injuries are caused, or plausibly can be alleged to be caused, by a dangerous condition of the place of employment. If the dual capacity doctrine were to be construed so broadly as to create premises liability in every such instance, little would be left to which exclusivity of remedy [provision of the workers’ compensation statute] could attach____ [T]he balance of reciprocal concessions which is the foundation of the workers’ compensation system would be seriously disturbed.
134 Cal.App.3d at 373, 184 Cal.Rptr. at 566. We agree, and, therefore, will not apply the “dual capacity” doctrine in cases such as this. See also Sharp v. Gallagher, 95 Ill.2d 322, 69 Ill.Dec. 351, 447 N.E.2d 786 (1983).
Under the “dual persona” doctrine, an employer may become a third person, vulnerable to a tort suit by an employee, if, and only if, he possesses a second persona completely independent from and unrelated to his status as employer. Larson, supra, § 72.81; Henning v. General Motors Assembly Div.
We believe an employer becomes vulnerable to a tort action by an employee and loses the immunity of Section 52-l-6(D) if the employer possesses a second persona sufficiently independent from and unrelated to the status of employer. Therefore, we will apply the “dual persona” doctrine to cases such as this. Larson, supra, § 72.81; Henning v. General Motors Assembly Div. The employer’s immunity from the additional, unpredictable tort liability of a third party should extend as far as, but only as far as, the employer has a reasonable expectation of immunity.
Never allowing the employer to be sued as a third party would give rise to the same type of situation we noted in Hernandez v. Home Educ. Livelihood Program, Inc., 98 N.M. 125, 645 P.2d 1381 (Ct.App.1982). There, summary judgment was reversed because the trial court erroneously equated the fact of employment with the exclusivity provisions of the Workers’ Compensation Act. This court rejected an argument that would have required us:
[T]o abolish any tort claim for an employee’s injury, even if it resulted from an automobile accident in which the employer, while returning from church, runs into the employee who is on his way to a baseball game ... is a result never contemplated nor' considered by the work[er]’s compensation enactment.
98 N.M. at 128, 645 P.2d at 1384.
Whether Nuclear Pharmacy has a “dual persona,” which is not immune from suit, is a question of fact which must be resolved by the trial court on remand. If Nuclear Pharmacy is found to be immune, then the issue of whether the immunity extends to shield Enerpharm from suit will arise.
A partnership is liable for tortious acts committed in the ordinary course of partnership business by a member partner or other agent. See § 54-1-13. While a partnership can be sued as an entity, it can only be held liable for the commission of a tort by a member partner or other agent. Gatley v. Deters. Although in this case the claim is described as based on an alleged tortious act of the partnership, plaintiff is actually asserting negligence on the part of an agent of the partnership, which may be imputed to the other partners.
However, immunity from liability is strictly construed, and is not to be extended from the individual partner to the partnership. Mathews v. Wosek, 44 Mich.App. 706, 205 N.W.2d 813 (1973); Eule v. Eule Motor Sales, 34 N.J. 537, 170 A.2d 241 (1961); cf. Restatement (Second) of Agency § 217(b) (1958) (a principal is not entitled to rely on the immunity granted its agent). Although the law permits the attribution of one partner’s fault to another, it does not necessarily follow that the partnership and other partners must be given immunity from suit when the partner whose negligence gives rise to suit is immune from suit. A distinction can be made between fault or culpability and liability for damages.
We believe the question of whether the partnership and the other partners should also be deemed immune as a matter of law is a policy question. See Mathews v. Wosek. We answer the question in favor of the worker. Id.; Eule v. Eule Motor Sales.
Good reason exists for preserving the right of an injured worker to sue a third person to the maximum extent that such actions are consistent with workers’ compensation laws. The fixed dollar ceiling on benefits under the workers’ compensation laws are the result of a trade-off of certain liability of the employer for reduced awards for the employee. Injured workers are entitled not only to recovery against employers under workers’ compensation laws, but also against third parties under tort law.
Lyon v. Barrett, 89 N.J. 294, 305, 445 A.2d 1153, 1158 (1982). In Lyon v. Barrett, an employee was allowed to recover against the individual, who owned the building and rented part of it to his own professional corporation, which was plaintiff’s employer. Plaintiff had recovered workers’ compensation benefits from the professional corporation.
When an employer enters into a separate, distinct investment, such as a partnership to acquire and manage real property, we see no reason why a reasonable expectation of immunity extends to the actions of that separate endeavor. The “dual persona” doctrine allows a third party suit against an employer when the facts demonstrate the employer’s status as a “separate legal entity.” The central requirement is that there be a separate and distinct legal persona rather than merely a second theory of liability in the same person. See Larson, supra, § 72.61(c).
Notwithstanding the foregoing, we note that, under some circumstances, the partnership and partners must be considered one entity. Cipriano v. FYM Assocs., 117 A.D.2d 770, 499 N.Y.S.2d 101 (1986). For example, where the partnership is the alter ego of the employer partner, it would be appropriate to view both the partnership and the employer partner as immune.
In Cipriano v. FYM Assocs., a New York appellate court found that the partnership and the partners were acting solely in furtherance of partnership business because the partnership agreement specified that its purpose was to purchase and develop the very premises at issue, one of the partners was retained to construct those improvements, that partner kept the partnership record and was reimbursed by the partnership, and there were only two partners: the building company itself and an officer of the building company who supervised the work. In such a fact pattern, there is no dual persona. There may be other fact patterns as well, in which for purposes of Section 52-l-6(D), a partnership and its partners must be considered one entity. See Sharp v. Gallagher. This we need not decide.
On the record before us, there are several issues of fact that make summary judgment inappropriate. The first issue is whether Enerpharm is plaintiff's employer. If an employment relationship exists between plaintiff and Enerpharm, Enerpharm is clearly immune from suit under Section 52-l-6(D). Another issue is whether Nuclear Pharmacy has a dual persona as part ner that is independent from and unrelated to its status of employer to the extent that Nuclear Pharmacy would not be immune from suit in its partnership capacity. This determination is necessary, because, if Nuclear Pharmacy is not immune from suit, Enerpharm cannot derive any immunity from Nuclear Pharmacy. Finally, assuming that Nuclear Pharmacy is immune from suit as partner, the remaining issue is whether Enerpharm and Nuclear Pharmacy are sufficiently separate and distinct entities, so that Nuclear Pharmacy’s immunity from suit cannot be extended to Enerpharm.
We do not decide, because the issue is not before us, whether Nuclear Pharmacy will be liable for any portion of a judgment rendered against the partnership, in the event that partnership assets prove insufficient.
CONCLUSION.
For these reasons, we conclude that a suit against Enerpharm is not necessarily barred by Section 52-l-6(D). Genuine issues of material fact, exist regarding Enerpharm’s relationship with plaintiff and with Nuclear Pharmacy. These issues must be decided before a determination can be made concerning Enerpharm’s immunity from suit.
The order granting summary judgment is reversed, and the case is remanded for further proceedings consistent with this opinion. Plaintiff shall recover her appellate costs.
IT IS SO ORDERED.
BIVINS and APODACA, JJ„ concur. | [
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OPINION
PICKARD, Judge.
Mother appeals from a district court order modifying child support and distributing house sale proceeds. Mother raises three issues in her brief in chief: (1) whether the trial court erred in ordering that child support be modified prospectively from the date of the hearing on the petition to modify child support and in refusing to retroactively increase child support from the date of the filing of the petition; (2) whether the trial court erred in using Worksheet A of the New Mexico Child Support Guidelines (the Guidelines), NMSA 1978, Section 40-4-11.1(J) (Repl.Pamp.1994) (hereinafter Worksheet A) instead of Worksheet B, NMSA 1978, Section 40-4-ll.l(K) (Repl.Pamp.1994) (hereinafter Worksheet B) to calculate the child support payments; and (3) whether the trial court erred in ordering that the parties bear then-own attorney fees. Mother withdrew a fourth issue regarding the assignment of an income tax deduction relating to the dependant child and does not challenge the trial court’s disposition of the home sale proceeds.
We hold that the trial court erred in using Worksheet A instead of Worksheet B and that this error necessitates a remand with directions that the trial court find further facts. This further factfinding may or may not result in a material change in the child support calculation, and if there is a change in child support, that may bear on the trial court’s decision regarding the effective date of the modification and on its decision regarding attorney fees. Because of these possibilities, in addition to the fact that the judge to whom this case was tried is no longer on the bench, we vacate all challenged portions of the trial court’s order and remand to allow a substitute trial judge to redecide all of these matters. See Blake v. Blake, 102 N.M. 354, 366, 368, 695 P.2d 838, 850, 852 (Ct.App.1985) (recognizing interrelated nature of various items in a divorce decree and holding that trial court could make adjustments to achieve fairness in light of remand on some issues); Apodaca v. Payroll Express, Inc., 116 N.M. 816, 821-22, 867 P.2d 1198, 2003-04 (Ct.App.1993) (providing that upon remand to a new judge, the new judge may conduct a full or partial evidentiary hearing); see also Grudzina v. New Mexico Youth Diagnostic & Dev. Ctr., 104 N.M. 576, 580-81, 725 P.2d 255, 259-60 (Ct.App.) (discussing whether new judge may proceed on the record or must conduct a new hearing), cert. quashed, 104 N.M. 460, 722 P.2d 1182 (1986).
Mother and Father were divorced on August 2, 1988, at which time both parties lived in Los Alamos County. There was one child born of the marriage. In the divorce decree, the trial court established joint custody and ordered Father to pay child support of $332.50 per month. Upon Mother’s request, Father voluntarily increased the amount of child support to $500 per month. Although that amount was not reduced to court order, Father generally complied in paying it. Mother petitioned for modification of child support on September 18, 1992. In the interim, Mother had moved from Los Alamos to Española to Albuquerque to Moriarity, where she resided at the time of the filing of the petition. Father had moved from Los Alamos to New Jersey, where he resided at the time of the filing of the petition, and back to Los Alamos, where he resided at the time of the hearing on the petition. The trial court ordered the child support matter referred to the family court mediation services for purposes of mediation. The mediator found that Mother had no monthly income, Father had a monthly income of $7,083, and Mother had no work-related child care expenses. The mediator also found that, with Father in New Jersey, the parties exercised a visitation schedule which required Worksheet A to be used to calculate the amount of child support that should be ordered under the Guidelines and recommended that Father be ordered to pay $758 per month as child support during the pendency of the petition. As an interim measure, the trial court adopted the mediator’s findings and recommendations in May of 1993.
After a March 22, 1994, hearing on the petition, the trial court entered a final order modifying child support on April 13, 1994. Even though the parties agreed that Father had custody of the child over thirty percent of the time, the trial court used Worksheet A to calculate the amount of child support that Father should be ordered to pay and ordered Father to pay child support of $692 per month, beginning in April 1994. The amount of child support that Father was ordered to pay was abated during the summer months when the child resided primarily with Father, and was ordered reduced upon the birth of Father’s second child in July 1994 to $660 per month. The final order specifically directed that there would be no retroactive increase in child support. The effect of the order was that the interim order was left intact, so that Father was required to pay $758 per month from the May 1993 interim order until April 1994, at which time the final order generally required Father to pay $660 per month. The final order also bore a handwritten note from the trial court directing that the parties were to bear their own attorney fees.
We first address the proper utilization of the child support worksheets. We initially note that Mother did not ask the trial court to make any findings of fact on any of the issues raised on appeal. Normally, this is fatal to a party’s challenge to the sufficiency of the evidence supporting a trial court’s ruling. See Cockrell v. Cockrell, 117 N.M. 321, 324, 871 P.2d 977, 980 (1994) (party who does not request findings or otherwise call trial court’s attention to problem with sufficiency of the evidence waives right to challenge sufficiency of the evidence supporting particular finding). However, at the April 13, 1994, presentment hearing, Mother did bring to the attention of the trial court her opposition to each of the three rulings that are the subject of her appeal, and she had earlier given closing argument on each of the issues. Under these circumstances, we believe that Mother sufficiently called the trial court’s attention to the legal error of using Worksheet A and may have adequately preserved the other issues as well. See id.
Mother challenged the trial court’s ruling that Worksheet A was to be used to calculate the basic child support obligation by arguing that, if the non-physical custodial parent has visitation with the child more than thirty percent of the time, then Worksheet B must be applied. The Guidelines require that Worksheet A be used to calculate child support obligations when the custody arrangement is a “basic visitation situation.” NMSA 1978, § 40-4-ll.l(F)(l) (Repl.Pamp. 1994). A basic visitation situation is defined by the Guidelines as:
a custody arrangement whereby one parent has physical custody and the other parent has visitation with the children of the parties less than thirty percent of the time. Such arrangements can exist where the parties share responsibilities pursuant to Section 40-4-9.1____
NMSA 1978, § 40^4-11.1(D)(2). The Guidelines require that Worksheet B be used for “other custody arrangements.” NMSA 1978, § 40-4-ll.l(F)(2) (Repl.Pamp.1994). There is no dispute that Father had visitation with the child more than thirty percent of the time, pursuant to a stipulated order of custody and time sharing. Mother argues that the thirty-percent factor in the definition of a basic visitation situation mandates that if the non-physical custodial parent has visitation with the child for more than thirty percent of the time, then Worksheet B must be used. We agree.
When we are called upon to interpret a statute, our primary goal is “to determine and give effect to the intent of the legislature.” State ex rel. Klineline v. Blackhurst, 106 N.M. 732, 735, 749 P.2d 1111, 1114 (1988). The stated purposes of the Guidelines are to:
(1) establish as state policy an adequate standard of support for children, subject to the ability of parents to pay;
(2) make awards more equitable by ensuring more consistent treatment of persons in similar circumstances; and
(3) improve the efficiency of the court process by promoting settlements and giving courts and the parties guidance in establishing levels of awards.
NMSA 1978, § 40-4-ll.KB) (Repl.Pamp. 1994). Where a statute is clear and unambiguous, it must be applied as written. See Johnson v. Francke, 105 N.M. 564, 566, 734 P.2d 804, 806 (Ct.App.1987). Mother contends that because the evidence was uncontradicted that Father had visitation with the child more than thirty percent of the time, the clear language of Section 40^4-11.1(D) and (F) required the trial court to apply Worksheet B. This conclusion is compelling and serves the purposes of the Guidelines by mandating consistent use of the worksheets for parties similarly situated. Because the trial court deviated from the requirements of the Guidelines and made no finding that application of Worksheet B and its amount of child support would be unjust, see NMSA 1978, § 40-4-11.2 (Repl.Pamp.1994) (such a finding necessary to deviate from the Guidelines), we hold that the trial court erred in awarding child support in the amount provided by Worksheet A.
However, this does not end the matter. The basic obligation amounts are much higher using Worksheet B than they are using Worksheet A for the same amounts of income. Accordingly, Father agreed at the hearing that, if Worksheet A were used, he would have no objection to utilizing a zero figure for Mother’s income, but that, if Worksheet B were used, he would urge the trial court to set an income figure for Mother. He argued that Mother’s direct examination testimony in which she testified to the zero figure was impeached on cross-examination when she admitted to earning $8,000 in wages during one year. He also argued that evidence surrounding the figures for Mother’s business indicated that she had more income than she was admitting. The trial court had before it evidence that, at the time of the petition for modification of child support, Mother was one of two partners in a private business, and had deposited $30,-467.57 in the business’s account in 1993. Mother’s partnership tax records for 1993 indicate that the business was operated at a loss due to depreciation and expenses. However, the trial court is not limited to the tax treatment of business income records, see Roberts v. Wright, 117 N.M. 294, 297, 871 P.2d 390, 393 (Ct.App.1994), and Mother also testified that the partnership account was used for both business and personal expenses. Thus, there existed evidence on which the trial court could have found that Mother had more than zero income.
Because the trial court used Worksheet A, it did not need to rule on Father’s request to set an income figure for Mother. However, now that we have reversed that use of Worksheet A, the income figure for Mother needs to be determined. Accordingly, we reverse and remand for the trial court to hold a - hearing if necessary, set an income figure for Mother if the trial court is persuaded that the evidence in the case warrants one, and calculate child support using Worksheet B.
As stated previously, we believe that the most equitable way of handling the other issues on appeal is to allow the new trial judge to redetermine them in light of its ruling on the amount of child support it orders. However, to provide guidance, we offer the following comment. Mother’s first issue raises the propriety of the trial court’s refusing to retroactively increase child support to the date of the filing of the petition. The general rule is “that the applicable date for any modification is the date of filing of the petition or pleading rather than the date of hearing ... unless there are unusual circumstances.” Montoya v. Montoya, 95 N.M. 189, 190, 619 P.2d 1233, 1234 (1980). Although we have held that the determination of whether the unusual circumstances warranting a departure from the general rule exist is within the discretion of the trial court, Roberts, 117 N.M. at 300, 871 P.2d at 396, that discretion should not be exercised in a manner that eliminates the general rule. The trial court should consider whether the circumstances of this case are really that unusual, and if it departs from the general rule, findings explaining such departure would facilitate review on appeal.
The final issue that Mother raises is the propriety of the trial court’s direction that the parties were to bear their own attorney fees. Mother contends that because the trial court modified child support, adopted her interpretation of a settlement agreement disposing of the proceeds of the parties’ house, and reduced the time that Father spent with the child pursuant to a stipulated order of custody and time sharing, she was the prevailing party. Accordingly, she asserts that she should have been awarded her attorney fees for the cost of the action for modification of child support. See NMSA 1978, § 40-4-7(A) (Repl.Pamp.1994).
The award of attorney fees under Section 40-4-7(A) rests within the sound discretion of the trial court. Gilmore v. Gilmore, 106 N.M. 788, 792, 750 P.2d 1114, 1118 (Ct.App.), cert. denied, 107 N.M. 16, 751 P.2d 700 (1988). That discretion is not unrestrained, however, see Roberts, 117 N.M. at 301, 871 P.2d at 397, and the trial court, in determining whether to award attorney fees, should consider various factors, including the most important one of economic disparity between the parties. See Foutz v. Foutz, 110 N.M. 642, 644, 798 P.2d 592, 594 (Ct.App. 1990). We have previously held that “[w]here a party lacks sufficient funds to pay attorney fees for representation incident to dissolution of marriage or rights incident thereto, and the financial situation of the parties is disparate, it is error to deny an award of reasonable attorney’s fees.” Sheets v. Sheets, 106 N.M. 451, 456, 744 P.2d 924, 929 (Ct.App.1987). However, economic disparity between the parties is not the only factor to be considered. Gilmore, 106 N.M. at 792, 750 P.2d at 1118. The trial court should also consider the “nature of the proceedings, the complexity of the issues, the relief sought and recovered, the ability of the parties’ attorneys and the ability of the parties to pay.” Id.
In the instant case, the trial court had conflicting evidence before it on the issue of the parties’ financial resources. Although the trial court used a figure of zero to represent Mother’s monthly income, as we have pointed out, the use of that figure was encouraged by Father for purposes of the worksheet calculation 'on condition that Worksheet A was used. While there was some evidence of more income for Mother, the undisputed facts are that there was economic disparity. Now that we are remanding for further factfinding on the issue of Mother’s income, we deem it appropriate to remand on the attorney fees issue. The trial court shall consider the- various factors relevant to the attorney fees issue and exercise its discretion accordingly.
For the foregoing reasons, we vacate the order from which appeal was taken and remand for redetermination of the three issues in accordance with this opinion. We award Mother her costs and $2,000 for attorney fees on appeal.
IT IS SO ORDERED.
BOSSON and BUSTAMANTE, JJ., concur. | [
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OPINION
FEDERICI, Chief Justice.
This is an action involving two applications for change in point of diversion and place of use of groundwater rights in the Portales Underground Water Basin (Basin). The State Engineer approved the changes and the protestants appealed the decisions to the District Court of Roosevelt County. By agreement of the parties, the actions were combined for trial. In a trial de novo the court ruled in favor of the protestants and denied the transfers. Both applicants appealed the district court decision. We reverse.
On December 1, 1981, the Federal Land Bank of Wichita and David Sanders (Sand ers) filed three applications to change the point of diversion and place of use of irri-' gation rights within the eastern administrative area of the Basin. Calvin Blevins and Robert Stokes (protestants) protested the move pursuant to NMSA 1978, Section 72-12-7, claiming that the move would impair their existing water rights. After an administrative hearing, the State Engineer found that the proposed move would not impair existing water rights and granted the permit to move the point of diversion.
On January 4, 1982, Robert Morgan (Morgan) filed an application for a permit to change the point of diversion of certain wells in the Basin. Protestants objected to this move for the same reasons that they challenged the Sanders application. The State Engineer concluded that the move would not impair existing water rights and granted the permit to move the point of diversion.
In both cases the parties agreed that the quantitative change in the water supply would be insignificant. The real issue in each case was whether termination of pumping at the move-from wells and commencement of pumping at the move-to wells would cause an increase in salinity in neighboring wells which would result in a decrease in crop yields. The Morgan and Sanders applications have three things in common: (1) all of the move-from and move-to locations are located in the eastern administrative area of the Basin; (2) Calvin Blevins and Robert Stokes protested each application; and (3) the important issue in each case is whether the moves would cause an increase in salinity which would constitute impairment of neighboring water rights. Because of these similarities the two cases were consolidated for appeal in the district court. On December 9, 1982, the district court judge rendered a single decision reversing the two orders of the State Engineer. In the appeal to this Court, Morgan and Sanders (applicants) claim that the district court erred in finding impairment, and also erred in the issuance of a single judgment to dispose of two factually distinct applications.
The move-from and move-to locations in these cases are located in the Portales Valley, a broad, shallow depression in the eastern plains area of New Mexico. Surface water in the valley is scarce and consists primarily of relatively small, saline lakes. The Basin is geologically an abandoned river valley filled with alluvial material derived from the Rocky Mountains. Saturated thickness of the aquifer in the area in question varies from 40 to 140 feet. The aquifer is being mined heavily, primarily for irrigation purposes. Water in the southern part of the aquifer is of a lower quality than that to the north. The water quality interface runs generally from the southeast to northwest, from the north of Section 29, Township 2 S., Range 36 E. to the southern half of Section 10, Township 2 S., Range 35 E. See Figure 1 for the approximate location of the interface. The interface appears to coincide with a depression or trough in the water table. The move-from locations of Sanders’ wells are south of this interface and the move-to locations and protestants’ wells are north of the interface. The Morgan move-from and move-to locations both appear to be north of the interface, although its configuration is not well defined in this area. In the time period from 1962 to 1982 the interface has migrated some distance to the north. Protestants argue that water to the south of the interface is not suitable for irrigation and that granting the Morgan and Sanders applications will accelerate the rate of intrusion of salt water into the aquifer underlying their wells. Protestants claim that this acceleration will shorten the effective lives of their wells and that this reduction in life expectancy constitutes impairment of their rights. ■
In a case such as this there are two separate bases upon which a showing of no impairment may be founded. The first is that the proposed increase in pumping will not significantly accelerate the rate of intrusion of poor quality water. The second is that the quality of the intruding water is still good enough to be used for existing purposes.
The rate of movement of water within an aquifer has been studied and a simple relationship between the hydrostatic gradient and water velocity has been found. This relationship generally follows Darcy’s Law.
The rate of intrusion is important because, as this Court has previously recognized, “the beneficial use by the public of the waters in a closed or non-rechargeable basin requires giving to the use of such waters a time limitation.” Mathers v. Texaco, Inc., 77 N.M. 239, 245, 421 P.2d 771, 776 (1966). The supply of water available from the shallow nonrecharging aquifer system of the Basin is primarily limited to stored water that has accumulated in the aquifer system over a period of several thousand years. At the present time water is being mined from the aquifer at a rate which is significantly higher than the recharge rate. Therefore, the aquifer has a finite life expectancy.
The State Engineer has developed a system of administration for the Basin which is intended to provide a reasonable measure of protection to existing water rights without unduly restricting the full economic utilization of existing water supplies in the Basin. S. Galloway and J. Wright, Administration of Water Rights, Portales Valley Underground Water Basin, New Mexico 17 (Office of the State Engineer, 1968) (introduced as State’s Exhibit No. 5). For purposes of administration, townships within the Basin were divided into nine square units of four sections each. Life expectancies for each block were calculated by dividing the average effective saturated thickness of the aquifer by the average annual historical water level change beneath the block. Decisions as to whether to allow additional appropriations are based on the life expectancy of the administrative block and immediately surrounding blocks. If the life expectancy is calculated to be less than 40 years from 1956, the block is considered to be fully appropriated. Id. at 24. Although this system obviously does not take into account water quality problems, it nonetheless indicates a time frame which should be considered in a determination of whether an increased rate of intrusion constitutes impairment.
The second important consideration in salinity impairment cases is the quantification of acceptable levels of degradation in water quality. Applicants contend that impairment, in the context of agricultural water use, should be defined as a decrease in crop yield. Applicants argue that any increase in salinity in protestants’ wells which does not result in decreased productivity does not constitute impairment. This appears to be the standard that was followed in City of Roswell v. Reynolds, 86 N.M. 249, 522 P.2d 796 (1974). Protestants contend, on the other hand, that lower salinity water is always preferable to higher salinity water for agricultural purposes and that any measurable increase in salinity necessarily constitutes impairment. The actual determination of whether an increase in salinity constitutes impairment is more complex than either party suggests.
An argument presented by applicants is that an increase in salinity is analogous to a lowering of the level of the water table (or a decrease in pressure in an artesian aquifer). This Court has held that a lowering of the water table does not necessarily constitute impairment of the water rights of adjoining appropriators. Mathers v. Texaco, Inc., 77 N.M. 239, 421 P.2d 771 (1966); Application of Brown, 65 N.M. 74, 332 P.2d 475 (1958). It is not clear that this analogy is a good one. A lowering of the water table may require existing wells to be deepened or pumping lift increased. Although this places an increased economic burden on owners of existing wells, it does not normally destroy the usefulness of the well. Generally, wells which must be retired from agricultural use because of insufficient quantities of water for irrigation may still produce enough water for domestic use. Increased salinity, however, has been recognized as a more serious, long-lasting problem in the underground water supply.
Because of the relatively slow movement of ground water, saltwater intrusion may detrimentally affect [the quality of the water in the aquifer] for years under the most favorable circumstances, or many decades in other cases. The movement of poor quality water into fresh water supplies is generally considered a more serious problem than ground water depletion. Wells may have to be abandoned while ample supplies of water are in the aquifer. Declining water tables may stabilize or rise if pumping is reduced, but dissolved contaminants may be difficult or impossible to remove.
General Accounting Office, Ground Water: An Overview 17-18 (Report to Congress by the Comptroller General, 1977) (hereinafter cited as GAO Report). Wells which must be retired from agricultural use because of excessive salinity are also generally unsuitable for domestic uses.
Detrimental effects from excessive salinity in irrigation water supplies range from a need for increased quantities of water for leaching to total destruction of crops and soils. See United States Department of the Interior, Westwide Study Report on Critical Water Problems Facing the Eleven Western States 117-118 (1975). Moderately saline water is unsuitable for human consumption or other domestic uses. Water which is too salty for irrigation may only be useful for limited stock watering purposes. Intrusion of saline ground water constitutes a potential problem in 42 states and is particularly prevalent in New Mexico. GAO Report at 17; see also 1 United States Water Resources Council, The Nation’s Water Resources 1975-2000 at 64-65 (1978).
The mere presence of dissolved solids in ground water does not necessarily indicate a water quality problem. Salts are present in varying amounts in all underground waters. This is a result of the contact between the water and soluble components of the solid matrix of the aquifer. A small amount of dissolved salt in water might even be desirable. For instance, calcium and magnesium, which are major constituents in “hard” water, are essential plant nutrients. H. Dregne and H. Maker, New Mexico Agricultural Experiment Station, Bulletin No. 386, Irrigation Well Waters of New Mexico 5 (1954) (hereinafter cited as Dregne and Maker). Some salts, such as potassium fluoride, are added to domestic water supplies because of their beneficial effects on human health. However, even beneficial salts, in high concentrations, will render water useless for irrigation and other purposes.
The level of salinity which may be tolerated in water depends on the intended use. Determination of acceptable salinity levels for irrigation water, which is our concern in this case, is not a simple task. Acceptable levels will depend on the type of soil to which the water is applied, the type of crop grown, prevalent irrigation practices, and other localized factors. 9 Nat.Res.J. 329, 336 (1969). See also H. Dregne, New Mexico Agricultural Experiment Station, Bulletin No. 543, Prediction of Crop Yields from Quantity and Salinity of Irrigation Water (1969) (hereinafter cited as Bulletin 543).
A variety of parameters are commonly employed in an attempt to describe water quality. Irrigation waters with high concentrations of dissolved solids present hazards which fall into two separate categories. The first is classified as the “salinity hazard.” Irrigation waters which contain high concentrations of dissolved solids generally suppress the ability of plants to absorb water through their roots. Plants with roots immersed in high salinity solutions may actually wilt and die from lack of water. Dregne and Maker at 4. The salinity hazard is determined by the concentration of total dissolved solids (TDS) in solution. TDS and the concentration of individual components of the solution are measured by chemical analysis. The salinity hazard of the water may also be gauged by the electrical conductivity (EC) of the water. Id. at 7. The second hazard presented by water with high concentrations of dissolved solids is the “sodium hazard.” When the sodium concentration greatly exceeds the concentration of calcium plus magnesium in water the sodium may cause unfavorable conditions in the soil. The potential sodium hazard is represented by the sodium absorption ratio (SAR). The higher the SAR, the greater the potential hazard from using the water. Id. at 9.
In this case the State Engineer argues that chloride concentration is a good indicator of water quality. Due to differences in composition of the solid matrix of different aquifers, on a statewide scale the relative concentration of chloride with respect to other dissolved ions in the water is highly variable. Therefore it is difficult to make a statewide generalization which relates water quality to chloride concentration alone. This assumption may have some validity on an intrabasin level where the composition of the solid matrix of the aquifer is relatively homogeneous.
Several factors must be considered before a determination of impairment due to increasing salinity can be made. These factors include: composition of the soil, composition of the solid matrix of the aquifer, type of crop grown, irrigation technique, EC of the irrigation water, concentrations of specific ions, and annual rainfall. In a case such as this one it is also important to know how the water quality in a particular location is changing with respect to time.
The record before us shows that most of the needed information was provided in the exhibits, although it may not have been explained in detail at the trial. State’s Exhibit No. 10 is an extensive list of wells in the area which have been tested both recently and in the past. Specific conductance (EC), TDS and chloride concentration are reported for each well. Protestants’ Exhibit No. 1 presents a detailed analysis of water quality for a few wells in the area. The usefulness of this data is diminished because the location of the wells is described only by a common name of the property on which the well is located. Therefore the exact location of the wells analyzed is not known. The data from protestants’ Exhibit No. 1 are, however, useful for determining the relative concentrations of some ions in the underlying aquifer (i.e., for the calculation of SAR). State’s Exhibit No. 15, Dregne and Maker at 9-10, proposes a classification system for ground water basins in New Mexico based on physical characteristics of the soil and crops grown.
Protestants’ Exhibit No. 1 contains a Water Analysis Report done by the Cooperative Extension Service at New Mexico State University which classifies the salinity hazard for water from one of the Blevins wells as “very high”. The report states that water of this quality is unsuitable for irrigation under ordinary conditions. Under the Dregne and Maker classification system, which takes local soil conditions into account, water from this well is “class 2” water. “Class 2 water can be used satisfactorily for most crops if care is taken to prevent the accumulation of soluble salt and sodium in the soil.” Dregne and Maker at 10. Application of additional quantities of water for leaching would probably be required in this area in order to sustain maximum crop yields. See Bulletin 543.
Regardless of the classification system used, in this case it appears that water south of the trough is of significantly lower quality than that north of the trough. Therefore, a situation exists in which intrusion of poor quality water could result in impairment of existing rights. Although it is clear that all factors must be considered on a case-by-case basis, City of Roswell v. Berry, 80 N.M. 110, 452 P.2d 179 (1969), a change in water quality from Dregne and Maker class 1 to class 2 (or from class 2 to class 3) that would result from the granting of a permit creates a strong inference of impairment. In this case there is at least a one-class difference between water north of the interface and that to the south. However, in order to find impairment, there must also be evidence that the grant of a permit would result in a reasonable scientific probability of a significant increase in the rate of intrusion of lower quality water into the fresh water aquifer. There must also be evidence of a causal connection between the drilling of the well in question and the increased movement of the water quality interface. In this case there is a lack of evidence in the record to support the impairment claimed due to an increased rate of intrusion.
Protestants argue that NMSA 1978, Section 72-12-7 imposes the burden of proof on the applicant to show no impairment will result from the relocation of the well. “No impairment” does not necessarily mean “no change in conditions.” This Court has previously held that the lowering of a water table does not necessarily constitute impairment, even though there may be some negative economic impact on adjacent water users. Mathers v. Texaco, Inc., 77 N.M. 239, 421 P.2d 771 (1966); Application of Brown, 65 N.M. 74, 332 P.2d 475 (1958). This result is necessary if the water is to be put to beneficial use, and if the use is to be made available to more than the initial appropriator. 77 N.M. at 245, 421 P.2d at 777. The same common-sense approach should be applied in salinity cases. New withdrawals which cause a minimal acceleration in the rate of saltwater intrusion or a minimal increase in salinity do not constitute impairment as a matter of law. Because of the number of variables involved it is impossible to set strict guidelines as to what constitutes a reasonable scientific probability of a significant increase in the rate of intrusion. The determination of whether there is impairment must be made on a case-by-case basis.
In applying this standard to the case before us we find that both applicants met their burden of proof. Testimony that the State Engineer has made a finding of no impairment pursuant to a valid hearing is considered strong evidence of no impairment. Spencer v. Bliss, 60 N.M. 16, 287 P.2d 221 (1955). The special knowledge and experience of state agencies should be accorded deference.
The State Engineer found, and there was expert testimony at the trial, that the small amount of water being pumped would have a minimal effect on the movement of the poor quality water in the vicinity of the move-to wells.
In opposition to the applicants’ case, protestants presented expert testimony that increased pumping to the north would accelerate movement of the poor quality water in that direction. Protestants, however, failed to present evidence on the magnitude of this acceleration claiming that any increase, no matter how small, constitutes impairment. Protestants’ expert, Mr. Kelly, admitted on cross-examination that the amount and rate of movement of the saline water was not a part of his study. Mr. Kelly also testified that it is clear that the quality of water in this area has degraded in the last twenty years. This degradation is undoubtedly an unfortunate condition but protestants have not shown that the proposed move will cause a significant change in the rate of deterioration.
It is clear that the underground encroachment of saline water into fresh water supplies is a very serious problem. Although individual applications for permits to drill new wells or to move existing wells must still be considered on a case-by-case basis, we feel that basinwide studies of salinity encroachment problems which would result in policy guidelines for the granting of permits, analogous to the document compiled by Galloway and Wright for aquifer depletion in the Basin would be very useful in combatting the expanding salinity encroachment problem.
Applicants also argue that it was improper for the district court judge to apply a singular finding of impairment to factually distinct cases. We have previously stated that “in the trial of consolidated cases * * ‘each case retains its distinctive characteristics and remains separate in respect of * * * verdicts, findings, judgments, and all other matters except the one of joint trial.’ ” Aragon v. Kasulka, 68 N.M. 310, 312, 361 P.2d 719, 721 (1961), quoting 88 C.J.S. Trial § 6 (1955). It appears that there were important factual differences between the Morgan and Sanders applications. We need not address this issue, however, since we find, on review of the evidence presented in this case under the guidelines for impairment stated above, that both applicants have met their burden of proof.
The district court is reversed in both cases. The cause is remanded for entry of judgment granting permits to both applicants. Appellants shall recover their costs on appeal.
IT IS SO ORDERED.
SOSA, Senior Justice, and RIORDAN and WALTERS, JJ., concur.
STOWERS, J., dissenting.
STOWERS, Justice, dissenting.
I respectfully dissent.
This case was tried de novo before the trial court.
The issue in this case is substantial evidence, and as we have held on many occasions, the trial court’s decision will not be disturbed where there is substantial evidence to support its findings. See Toltec International, Inc. v. Village of Ruidoso, 95 N.M. 82, 619 P.2d 186 (1980); State ex rel. Reynolds v. Lewis, 84 N.M. 768, 508 P.2d 577 (1973); Tapia v. Panhandle Steel Erectors Co., 78 N.M. 86, 428 P.2d 625 (1967). I find that to be the case here. For this reason I respectfully dissent.
. The general formulation of Darcy’s Law, as it applies to ground water velocity, is: v = K(dh/dL). Where v is the flow velocity, K is a constant which depends on the permeability of the solid matrix of the aquifer, and dh/dL is the hydrostatic gradient (the change in water table height over a given distance). R. Bowen, Ground Water 44-45 (1980); See also S. Davis and R. DeWiest, Hydrogeology 156-157, 174-175 (1966). | [
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] |
OPINION
WALTERS, Justice.
Under the provision of NMSA 1978, Section 34-2-8 (Repl.Pamp.1981), we accepted certification of a question of state law from the Tenth Circuit Court of Appeals. That question is:
Whether, in a sale of goods context governed by the New Mexico Commercial Code, a commercial purchaser of a computer system (hardware and programmable software) may maintain an action in tort against the seller for pre-contract negligent misrepresentations regarding the system’s capacity to perform specific functions, where the subsequently executed written sales contract contains an effective integration clause, and an effective provision disclaiming all prior representations and all warranties, express or implied, not contained in the contract.
We hold that the action for negligent misrepresentation may not be maintained.
FACTS.
Rio Grande Jewelers Supply, Inc. (Rio Grande) purchased computer hardware from Data General Corporation (Data General), and computer software from Automated Quill, Inc. (Automated Quill), in 1975. The system performed below Rio Grande’s expectations and Rio Grande brought suit in the federal district court in 1978 against Data General and Automated Quill, alleging negligent misrepresentation, fraud, negligence, breach of express and implied warranties, and strict liability. Only the negligent misrepresentation claim against both Data General and Automated Quill, and the breach of express warranties claim against Automated Quill, went to the jury, the trial court having disposed of the other claims in favor of Data General and Automated Quill. The jury awarded Rio Grande $10,000 against Automated Quill and $115,000 against Data General on its negligent misrepresentation claims. Judgment was entered accordingly. Data General appealed, raising the issue certified to us by the Tenth Circuit Court of Appeals.
DISCUSSION.
Citing Bell v. Lammon, 51 N.M. 113, 179 P.2d 757 (1947), Data General contends that the parol evidence rule (incorporated into the Commercial Code through NMSA 1978, Section 55-2-202), precludes the admission of any evidence of representations made prior to the formation of the written contract. To admit evidence of the prior representations on Rio Grande’s tort claim of negligent misrepresentation, it urges, would negate the intended effect of NMSA 1978, Section 55-2-316, which provides that warranties may be disclaimed, and would be contrary to the favored policy of “freedom of contract” discussed in Lynch v. Santa Fe National Bank, 97 N.M. 554, 627 P.2d 1247 (Ct.App.), cert. denied (1981).
In support of allowing such evidence, Rio Grande points to NMSA 1978, Section 55-1-103, where it is expressly provided that the law of misrepresentation shall supplement the provisions of the Commercial Code unless displaced by a particular provision of the Code. Rio Grande also argues, citing Maxey v. Quintana, 84 N.M. 38, 499 P.2d 356 (Ct.App.). cert. denied 84 N.M. 37, 499 P.2d 355 (1972), that a cause of action for negligent misrepresentation is recognized in New Mexico, and recovery for economic loss suffered as a result of the commission of that tort is allowed.
We are persuaded that, in the context of this case, Rio Grande’s action for negligent misrepresentation is in direct conflict with Section 55-2-316 of the Commercial Code and with the policy favoring freedom of contract.
Four factors are of critical importance in our disposition of the question in this case. First, the contract between Data General and Rio Grande specifically provided that it was to be the “complete and exclusive statement” of the agreement between the parties. Second, the question certified contains the datum that there was an effective disclaimer by Data General of warranties not contained within the written contract. Third, the representations alleged by Rio Grande in the negligent misrepresentation count are precisely the same representations alleged in the counts for breach of express and implied warranties. Fourth, fraud was not argued as an issue on appeal. See Bell v. Lammon. Under these circumstances, Rio Grande’s claim for negligent misrepresentation can be nothing more than an attempt to circumvent the operation of the Commercial Code and to allow the contract to be rewritten under the guise of an alleged action in tort.
In Smith v. Price’s Creameries, Division of Creamland Dairies, Inc., 98 N.M. 541, 650 P.2d 825 (1982), plaintiff sued when defendant terminated their contractual agreement. He alleged breach of contract, misrepresentation, and slander. Although defendant was permitted to terminate by the terms of the written contract, plaintiff alleged that defendant had made prior oral representations to the effect that the contract would not be terminated. The trial court granted summary judgment for defendant. The issue before us in that case was not whether an action for misrepresentation could be brought (the issue was the “unconscionability” of the termination clause in the contract); we nevertheless emphasized the rule that parties will be bound by the terms of written agreements to which they freely commit themselves. “[Wjhere the parties are otherwise competent and free to make a choice as to the provisions of their contract, it is fundamental that [the] terms of the contract made by the parties must govern their rights and duties.” 98 N.M. 544, 650 P.2d at 828. Addressing Smith’s claim of a prior oral representation by defendant that the contract would not be terminated as long as performance was satisfactory, we stated:
Even assuming the truth of this assertion, in the face of the clear wording of the rights of the parties under the termination clause, the oral statement of Price’s made prior to execution of the agreement cannot be deemed to constitute fraud or misrepresentation.
Id. Sections 55-2-202 and 55-2-316 codify that rule in transactions under the Commercial Code.
The contract between the parties here specifically provided, in bold-face type, that no warranties except those specifically listed in the contract were granted. There is no indication or claim that the transaction was not undertaken at arm’s length or freely entered into by two commercial entities. Under such circumstances, New Mexico’s Commercial Code precludes a claim of pre-contract negligent misrepresentation in suits concerned with sale of goods under the Code.
The question of law certified to us in this case is answered in the negative.
FEDERICI, C.J., SOSA, Senior Justice, and STOWERS, J., concur.
RIORDAN, J., dissents. | [
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] |
OPINION
BIVINS, Judge.
Convicted of eight counts of fraud in violation of NMSA 1978, § 30-16-6 (Cum. Supp.1983), defendant appeals raising two issues: (1) whether the trial court erred in refusing her requested instruction on mistake of fact; and (2) whether the trial court erred in admitting hearsay evidence under the business records exception. We affirm.
The transactions which gave rise to these charges occurred over a three-month period, starting in November, 1982. Defendant arrived in Albuquerque at that time after “hocking” her jewelry. She had previously called her sister-in-law in Albuquerque from Texas asking for money so that she could come to New Mexico and enter a hospital.
After the sister-in-law returned from a trip during the Thanksgiving holidays, she learned that defendant had leased an expensive home with an option to purchase. She had also purchased a Cadillac and leased office space from the same people who sold her the house.
Defendant told her sister-in-law, the people who leased the house and office and sold her their car, and other creditors that she was the trust officer for the Saudi Arabia Bank of Belgium (SABB), which was owned by the royal family of Saudi Arabia, and that she had been directed to establish an office in the United States to place loans. Defendant claimed to work directly under Joseph Ayoub, a Lebanese, who during the course of the transactions in question was allegedly hiding, engaged in peace talks or under house arrest.
A flurry of activity followed defendant’s representations. She purchased furniture, waterbeds, video equipment, a water filter system and other items for the house, and installed furniture, office equipment, a phone system and a telex with direct lines to Belgium and Saudi Arabia for the office. She also engaged an interior decorator to assist her.
For the goods and services acquired, defendant gave drafts on SABB or promises of payment in the future. The drafts were written on sight drafts or blank checks she purchased from an office supply store. A construction worker who at the time was selling meat door-to-door was engaged by defendant as SABB’s on-site inspector for developments that would be financed by SABB. He was never paid.
In making her representations, defendant spoke of having a country estate in England, a flat in Paris, and numerous cars, including a Maserati. She described the SABB offices in Belgium in detail.
The State’s theory was that all of these trappings were part of the web defendant was spinning to lure prospective borrowers to pay an advance fee for non-existent loans. It all came to an end when the drafts were returned unpaid and the creditors became suspicious. In February, with creditors in the outer office, defendant met with and obtained from some California businessmen a check for $150,000 representing an advance fee for a loan. She displayed the check to the creditors. The people who leased defendant their house and office space attempted to negotiate that check. It never cleared. Criminal charges followed.
1. Mistake of fact instruction
Defendant tendered the following instruction:
Evidence has been presented that Ada Griscom believed that SABB existed and she could draw upon funds in SABB. If Ada Griscom acted (or omitted to act) under an honest and reasonable believe [sic] in the existence of those facts, you must find her not guilty____
NMSA 1978, UJI Crim. 41.15 (Repl.Pamp. 1982).
Defendant contends the refusal to give this instruction constituted reversible error because intent is an essential element of fraud and because evidence supports her theory that she acted on the honest belief that the SABB existed and that she was authorized to draw funds from an account at that bank.
In support of the instruction defendant relies on two lines of evidence. First, she refers to the fact that she consistently represented herself as a trust officer of SABB, and appeared concerned, as testified to by others, when the drafts failed to clear. She also cites the testimony of the interior decorator that defendant appeared excited when it seemed that a loan had been made to a California company and that she would be receiving funds to pay her bills. Defendant implies that these and other facts prove her story was consistent.
Second, defendant points to testimony by a Colorado lawyer that defendant helped set up a meeting between the lawyer and Joseph Ayoub in Brussels. This lawyer said he met Joseph Ayoub and saw papers which mentioned the name “SABB”.
Intent is an essential element of fraud which may be established by inference from the evidence and surrounding circumstances. State v. Martinez, 95 N.M. 795, 626 P.2d 1292 (Ct.App.1979). In each of the elements instructions, covering the eight separate counts of fraud, the trial court instructed the jury that the State had to prove, inter alia, that “defendant, by any words or conduct, made a promise she had no intention of keeping ...” (emphasis added). In six of those instructions we find the additional language “intending to deceive or cheat”.
Thus, all the tendered instruction does is restate in a slightly different manner what has already been covered by other instructions. “Ordinarily, a defendant is not entitled to a specific instruction where the jury has already been adequately instructed upon the matter by other instructions.” State v. Venegas, 96 N.M. 61, 628 P.2d 306 (1981) (citation omitted). Our reading of Venegas leads us to conclude that whenever an intent instruction involving the defendant’s mental state is given, the mistake of fact concept is automatically included and does not merit a separate instruction. Without deciding whether the evidence defendant presented supports her asserted defense, we hold that the instructions given adequately covered any mistake of fact claim.
The trial court did not err in refusing to give defendant’s tendered instruction on mistake of fact.
2. Business records
Defendant contends that the trial court erred in admitting into evidence State’s Exhibits 40 and 41: telex communications between a Denver bank and a Brussels bank regarding collection on a draft drawn on the Saudi Arabia Bank of Belgium signed by defendant and made payable to a third party. The Belgian bank informed the Denver bank that “Bank of Belgium totally unknown in Belgium we have checked private address appearing on check maker unknow [sic]. We also confirm drawer entertains no account in our bank.” Ms. Stevens, a representative of the Denver bank through whom these exhibits were offered, testified on tender, that these communications were not actually made in the ordinary course of business at the time the check in question was returned but that they should have been, since the reason for the return was not clear. She made the inquiry sometime later at the request of the prosecutor in the present case, but said she made the follow-up inquiry in the course of the Denver bank’s business in order to protect that bank.
Defendant complains that these records should not have been admitted under the NMSA 1978, Evid.R. 803(6) (Repl.Pamp. 1983) exception to the hearsay rule because the messages were not sent out at or near the time of the bank’s attempt to collect on the draft nor were they a part of the bank’s regularly conducted business activity-
15] Assuming, without deciding, that the messages did not fall within the business records exception, any error in admitting them was harmless. State v. Martinez, 99 N.M. 48, 653 P.2d 879 (Ct.App.1982). There was other testimony, without the message, to establish that SABB did not exist at the address shown on the checks and was unknown in Belgium. The Belgian police officer testified as to his own investigation. Defendant did not cross-examine. Ms. Stevens could find no such bank in the reference book she examined. Moreover, defendant never really challenged this evidence. She argued that SABB existed on paper but that Joseph Ayoub never got it off the ground. Thus, we hold that in light of this cumulative and unchallenged evidence, defendant was not harmed by the admission of the two exhibits.
We affirm the judgment and sentence.
IT IS SO ORDERED.
WOOD and HENDLEY, JJ„ concur. | [
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OPINION
SOSA, Senior Justice.
This is an appeal from the trial court’s refusal to award attorney’s fees in a breach of contract action. We affirm the trial court.
The sole issue on appeal is the award of attorney’s fees. The threshold question to be decided is whether there was substantial evidence to support the trial court’s finding that the defendant breached his contract, making him ineligible to receive attorney’s fees under the contract.
Plaintiff McClain Co., Inc. (McClain), a subcontractor, entered into a contract with defendant Page & Wirtz Construction Co. (P & W), a general contractor, for the installation of a wood gymnasium floor in a new school building in Carlsbad. Near the time of completion, an unexpected torrential rain fell and water entered the building.
McClain then brought suit for payment for work performed under the contract. P & W counterclaimed for $64.75. This sum represented the amount incurred to complete the job, over and above what was allegedly owed to McClain. The trial court found both parties breached their contract and concluded that both parties failed to sustain their allegations. The court then dismissed both parties’ claims with prejudice, stating neither party was entitled to recover, and ordered each party to pay its own attorney’s fees.
At trial evidence was presented that work on the floor stopped after the rain, and that P & W and McClain disagreed on how to proceed with the repair and completion of the floor. Additionally evidence was heard as to the cause of the floor damage and the cost to repair it. After McClain refused to do further work on the floor, P & W hired a new subcontractor to complete the floor.
Other findings by the trial court were: McClain and P & W agreed McClain should pull off the job and wait to see if any damage resulted from the water which ran under the wood floor; McClain refused responsibility for water damage to the floor and refused to repair or continue work on the floor without a work order from P & W; McClain left the job after the rain; McClain had not allowed a two inch expansion void around the perimeter according to the job specification; P & W refused to pay McClain for the work completed prior to the rainfall; and P & W paid another subcontractor to finish the floor. The trial court’s final finding was:
Both parties breached their contract. Defendant failed to provide a building that was reasonably safe from weather; and Plaintiff failed to make the best of a bad situation when the floor was damaged.
P & W claims it did not materially breach the contract. It contends the court erred because under the contract, if the subcontractor breaches the contractor may declare the contract terminated and charge the expenses for taking over the contract work, including legal fees, to the subcontracting party.
P & W urges that the trial court did not have substantial evidence before it to sustain a finding that the plaintiff’s failure to continue to perform was a result of P & W’s initial breach of failing to provide a building that was reasonably safe from poor weather.
We find there was substantial evidence before the trial court to make a finding of breach by P & W. Toltec International, Inc. v. Village of Ruidoso, 95 N.M. 82, 619 P.2d 186 (1980).
The general rule in New Mexico is that absent a statute or court rule, each party to a litigation must pay his own attorney’s fees. Martinez v. Martinez 101 N.M. 88, 678 P.2d 1163 (1984); State v. Lujan, 43 N.M. 348, 93 P.2d 1002 (1939). Exceptions have been granted in rare cases, but this cause of action does not come within any recognized exception. Gregg v. Gardner, 73 N.M. 347, 388 P.2d 68 (1963).
Since territorial times New Mexico has permitted contractual provisions, such as the one here, for attorney’s fees. Bank of Dallas v. Tuttle, 5 N.M. 427, 23 P. 241 (1890). The present agreement provides for attorney’s fees for breach by the subcontractor. Ordinarily this would sustain an award of attorney’s fees under Bank of Dallas, but we are obliged to consider that the trial court found that the other party also breached the agreement. We find no New Mexico case where an award of attorney’s fees was made to a party found to have breached his agreement. The Ninth Circuit has considered this question and held against an award, stating:
In seeking attorney’s fees, [appellant] asked the court to enforce part of the very contract for whose termination [appellant] was partly at fault. The court in its discretion could conclude that allowing attorney’s fees when both parties had acted improperly would be inequitable and unreasonable. [Citation omitted.]
United States ex rel A.V. DeBlasio Construction, Inc. v. Mountain States Construction Co., 588 F.2d 259, 263 (9th Cir. 1978). See also Cable Marine, Inc. v. M/V TRUST ME II, 632 F.2d 1344 (5th Cir.1980); First Atlantic Building Cory. v. Neubauer Construction, 352 So.2d 103 (Fla.App.1977).
Under the facts of this case, P & W, as a breaching party should not be awarded the attorney’s fees provided under the contract. The trial court is affirmed.
IT IS SO ORDERED.
FEDERICI, C.J., and RIORDAN, J., concur. | [
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] |
OPINION
SOSA, Senior Justice.
Plaintiffs Jerry and Ruth Brooks appeal from a district court judgment granting Fermin and Cecilia Herrera (Herreras) the right to use a roadway easement across the Brooks’ property.
The issues are whether the provisions of a real estate contract created an express easement for road purposes, or whether a roadway easement was created by prescription or by necessity.
Reference to the following sketch which appears in the record as Plaintiffs’ Exhibit 8 will enhance understanding of the facts and issues presented herein.
Lewis R. Tanner, Sr. (Seller) was the owner of six lots in the Monticello Subdivision of Tijeras Canyon, east of Albuquerque. In 1953, Seller conveyed two lots (numbered 138 and 139) to Hazel Calverley together with a twelve-foot easement over lot 14 and a portion of lot 140. This easement provided access from the property sold to Monticello Drive, a major thoroughfare of the subdivision. This property is now owned and occupied by Dale Sonnenberg.
A real estate contract was entered into between the Brooks (Buyers) and Seller on April 4, 1969. The contract provided for sale of lots 14 and 15 as well as the westerly forty feet of lots 140 and 141. Seller retained the easterly portions of the latter two lots and reserved a twelve-foot easement across the land sold which provided access from the retained property to Monticello Drive.
In 1972, Seller attempted to convey the right to use an easement across lots 14 and 140 to Marie Oliver (Oliver) by an instrument entitled “Deed of Right-of-Way and Easement.” The easement was to be used for access to Monticello Drive. Oliver’s property, a tract of approximately twelve acres, was located immediately to the east of the subdivision lots in question.
In December, 1972, Herreras became owners of the Oliver tract. Regular access to their property at that time was via an “old road” which ran directly south from the property through two other tracts and intersected with a public highway. In March, 1980, Herreras graded a new access road to their property as suceessors-in-interest to the purported easement granted Oliver by Seller in 1972. The newly constructed portions of the road ran across the Herrera tract and along the southerly border of Seller’s retained property. This new road connected with the existing road across Buyer’s property which provided access to the Calverley and Tanner (Seller) lots. A direct route for motor vehicles was thus provided from the Herrera tract over Seller's and Buyers’ properties to Monticello Drive. Prior to the improvements, this route had been unsuitable for regular vehicular access to the Herrera tract.
Traffic on the road over Buyers’ property increased substantially as a result of use in. connection with the Herrera tract, which by this time contained a number of mobile homes. Buyers then sought to preliminarily enjoin Herreras from continuing trespass on grounds that the grant of the easement from Seller to Herreras’ predecessor-in-title, Oliver, was without legal effect. The district court denied the injunction. Suit was then brought seeking a permanent injunction barring Herreras from use of the roadway easement. After trial on the merits, the district court found that Seller had expressly reserved an easement for road purposes in the contract, that Seller properly conveyed the easement to Oliver, and Herreras, as successors-in-title to Oliver, were entitled to use the roadway easement. The court also found that Herr-eras had acquired the roadway easement by prescription as well as by necessity.
Express Easement
The first issue we address is whether Seller expressly reserved an appurtenant easement or an easement in gross by express provisions of the contract.
Determination of this issue calls for a precise construction of the relevant contractural provisions.
If it appears from such a construction of the grant or reservation that the parties intended to create a right in the nature of an easement in the property retained for the benefit of the property granted, or to reserve such a right in the property granted for the benefit of the property retained, as the case may be, such right will be deemed an easement appurtenant, and not in gross, regardless of the form in which such intention is expressed. On the other hand, if it appears from such a construction that the parties intended to create a right to be attached to the person to whom it was granted or by whom it was reserved, it will be deemed to be • an easement in gross.
28 C.J.S. Easements § 4 (1941)(footnotes omitted).
The evidence bearing on the issue is substantially all documentary, being comprised of the contract and the various instruments referred to therein. This Court is therefore as well positioned as the district court to consider the evidence and determine the extent of the easement. Garry v. Atchison, Topeka and Santa Fe Railway Co., 71 N.M. 370, 378 P.2d 609 (1963). We are not bound by findings of the trial court as to the extent or nature of the contested easement. See Id.
Since the challenged easement is set forth in the 1969 real estate contract, the instrument as a whole must be considered. See Shaeffer v. Kelton, 95 N.M. 182, 619 P.2d 1226 (1980). The contract first described the land to be sold. Existing easements for utility and septic lines were then set forth. The contract then specifically made the sale of land to Buyers
SUBJECT TO restrictions, reservations and easements of record and easements as shown upon the plat of the above described property prepared by Ronald E. Tyree, Registered Professional Land Surveyor No. 3516, in accordance with survey made March 29, 1969, a copy of which plat is hereto attached, marked Exhibit “A” and made a part hereof; and to taxes for the year 1969 and subsequent years, and
SUBJECT also to a road easement granted to Hazel Calverley along and over the Southerly twelve (12') feet of the above described property, recorded in Book D-598, page 80, Records of Bernalillo County, New Mexico; and Owner hereby reserves an easement for road purposes over the Southerly twelve (12') feet of the above described property for use in connection with that portion of Lots 140 and 141 of Monticello and not included in this sale and for ingress and egress from his property to Monticello Drive, which easement shall be left open. * * *
The survey plat referred to in the first-quoted paragraph delineates the various utility and septic easements as well as a twelve-foot “Road Easement by Deed” along the southerly border of the land. This was an obvious reference to the easement Seller granted Hazel Calverley as part of the 1953 sale previously noted. This easement was to provide access to Monticello Drive. The description of the Calverley easement in the survey plat and in the contract did not create a separate easement in.favor of Seller. Neither did these descriptions give Seller an interest in this easement which he had the power to convey. Rather, the record indicates that this easement was solely for the benefit of the property conveyed to Calverley.
The reservation to Seller in the second-quoted paragraph, by its precise terms, indicates it is to be used in connection with that portion of the lots not included in the sale and is for “ingress and egress from his property to Monticello Drive.” Emphasizing this latter clause, Herreras maintain that its language either expanded the easement reserved in the prior clause, or created an additional easement resulting in an easement in gross for general road purposes in favor of Seller.
In construing the terms of the contract, each part of the contract is to be accorded significance according to its place in the contract so as to ascertain and give effect to the intentions of the parties. Schultz & Lindsay Construction Co. v. State, 83 N.M. 534, 494 P.2d 612 (1972). Herreras’ asserted construction would render meaningless the contractual phrase which provided that the easement was to be used “in connection with that portion of Lots 140 and 141 of Monticello” not included in the sale. We will not adopt such a construction. See Id. Had the parties intended an easement in gross, no such limitation would have been necessary since Seller could have used such an easement for any purpose.
The terms of the reservation indicate that the easement was to be used in connection with Seller’s property. At the time the contract was executed, Seller owned no other property in the vicinity other than the portions of the two lots he retained. Seller did not at that time, nor did he ever, possess any interest in the Oliver tract which was eventually deeded to Herreras. The easement was clearly appurtenant and not in gross, with Seller’s retained property as the dominant estate and the property sold to Buyers as the servient estate. Our determination is buttressed by the strong constructional preference for appurtenant easements over easements in gross. 3 R. Powell, The Law of Real Property ¶ 405 at 34-20; (1981); 28 C.J.S., supra, § 4.
The contract language did not, as some of Herreras’ arguments imply, operate as an exception whereby Seller retained title to the twelve-foot easement which he could thereafter freely convey. The contractual language we have reviewed re served only an easement for ingress and egress. Such a clearly expressed, limited reservation cannot be construed as an exception of a fee interest. See Kennedy v. Bond, 80 N.M. 734, 460 P.2d 809 (1969).
Lastly, our opinion in Martinez v. Martinez, 93 N.M. 673, 604 P.2d 366 (1979), does not, as Herreras maintain, compel consideration of extrinsic evidence to ferret out the intentions of the parties. Martinez involved the rather exceptional situation of a non-specific grant creating an easement. There, extrinsic evidence was necessary to determine the location and extent of the disputed easement and thus to give effect to the intentions of the parties. Here, we are presented with a specific, straightforward reservation of an easement. We find the intentions of the parties to be clear from the language utilized in the contract. The terms of the easement reservation to Seller are specific and unambiguous. There is no need for reference to extrinsic evidence; the terms of the reservation are decisive of the limits of the easement. See Dyer v. Compere, 41 N.M. 716, 73 P.2d 1356 (1937).
In sum, neither the reservation to Seller, nor the Calverley easement, as each is set forth in the contract, gave Seller the right to use Buyers’ property for access from the Herrera tract to Monticello Drive. Furthermore, no permission was obtained from Buyers for use of their property in this manner. The burden on Buyers’ property, as the servient estate, cannot be increased without their consent. Posey v. Dove, 57 N.M. 200, 257 P.2d 541 (1953). The record indicates that Buyers have clearly objected to the increased use of their property in connection with access to the Herrera tract.
We hold that the easement reserved by Seller was an appurtenant easement. Seller had no power to convey or expand the use of that easement for use in connection with the Oliver tract which Herreras purchased.
Prescriptive Easement
Buyers also challenge the district court’s determination that a roadway easement over their property for access to the Herrera tract was acquired by prescription. Proof of an easement by prescription requires a showing by clear and convincing evidence of open, uninterrupted, peaceable, adverse, and notorious use for a ten-year period under a claim of right, with the knowledge or imputed knowledge of the property owner. Garmond v. Kinney, 91 N.M. 646, 579 P.2d 178 (1978); Hester v. Sawyers, 41 N.M. 497, 71 P.2d 646 (1937).
Contrary to the district court’s determination, we find that these requirements were not met. The record indicates that several persons used the road across Buyers’ property with Buyers’ knowledge. The road, however, was used almost exclusively for access to the Tanner (Seller) and Calverley properties. Such use was perfectly consistent with the limited easements for such access set forth in the real estate contract and cannot serve as a basis for an easement by prescription.
Herreras’ assertions that Seller used the easement as a public road are also groundless. There is simply no evidence that Seller used the easement for access to any property other than his own. Even if evidence of public use were present, such use would be inconsistent with the assertion of a prescriptive right. Garmond v. Kinney, 91 N.M. at 647, 579 P.2d at 179.
The only evidence which could conceivably serve as a basis for a prescriptive easement across Buyers’ property was Mr. Herrera’s use of the road approximately three times per year for access to his property. However, the record reflects that the maximum period of Mr. Herrera’s use was at least two years short of the ten years required to establish a prescriptive easement. In addition, the use by Mr. Herrera was quite sporadic and not of a nature which would impart notice to Buyers that Herreras claimed a prescriptive right to use the road. We find the evidence is insufficient as a matter of law to establish a prescriptive easement.
Easement by Necessity
The district court’s determination that a way of necessity existed over Buyers’ property to Herreras’ tract was also incorrect as a matter of law. “A way of necessity can only arise where an owner of property severs a portion of his property and the portion retained or sold is cut off from access to a public route by the land from which it was severed.” Amoco Production Co. v. Sims, 97 N.M. 324, 326, 639 P.2d 1178, 1180 (1981). The fundamental requirement of common ownership, Id.; Otero v. Pacheco, 94 N.M. 524, 612 P.2d 1335 (Ct.App.), cert. denied, 94 N.M. 674, 615 P.2d 991 (1980), is lacking in the instant case. There is no proof that Seller ever owned the Herrera tract in addition to the lots he owned in the Monticello Subdivision, or that he conveyed or retained portions thereof in a manner which would landlock the Herrera tract.
Conclusion
No easement of any kind exists over Buyers’ property for access to the Herrera tract. The district court therefore erred in refusing to enjoin Herreras from use of the contested easement. The owners of the Herrera property and their successors and assigns should be permanently enjoined from use of the claimed easement across Buyers’ property. See Kennedy v. Bond, 80 N.M. 734, 460 P.2d 809 (1969).
We note that Buyers also sued Seller’s estate and Lewis R. Tanner, Jr. as its executor, essentially claiming that any valid easement grant by Seller to Oliver in 1972 was a breach of the 1969 real estate contract. In light of our conclusion that Buyers’ property is not burdened by an easement in favor of Herreras, Buyers’ action for breach is no longer well founded. Such a claim would lie only had Seller’s actions resulted in the creation of an additional valid easement across Buyers’ property not set forth in the contract.
The district court is reversed and the cause remanded for further proceedings consistent with this opinion.
The parties are to bear their own costs and attorney fees on appeal.
IT IS SO ORDERED.
FEDERICI, C.J., and WALTERS, J., concur. | [
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OPINION
RANSOM, Justice.
We issued a writ of certiorari to the Court of Appeals to review -that Court’s opinion in Torris v. State, 116 N.M. 379, 862 P.2d 1238 (Ct.App.), cert. granted, 117 N.M. 802, 877 P.2d 1105 (1993), in which the Court of Appeals affirmed the dismissal of a complaint brought by Esperio Torres and John Beeks as personal representatives of the estates of their adult sons. Torres and Beeks sought wrongful-death damages against the Albuquerque Police Department and others under the New Mexico Tort Claims Act, NMSA 1978, §§ 41-4-1 to -27 (Repl.Pamp.1989 & Cum.Supp.1994). The district court dismissed the action for failure to state a claim upon which relief could be granted. Accepting as true all facts well pleaded, see Jones v. International Union of Operating Eng’rs, 72 N.M. 322, 325, 383 P.2d 571, 573 (1963), we reverse.
Facts and proceedings. On the morning of November 29, 1988, a gunman entered an Albuquerque bagel shop and killed three people. Witnesses described the gunman to the Albuquerque Police Department (“APD”), and the description appeared in the news media later that day. Albuquerque Mayor Ken Schultz instructed Chief of Police Sam Baca to put as many officers as needed on the investigation and authorized all overtime needed to arrest the murderer. In an effort to prevent the gunman from leaving town, APD informed the media that officers were guarding the airport, train depot, and bus station.
On the afternoon of November 29 an employee at an Albuquerque gun shop telephoned the New Mexico Department of Public Safety (“DPS”) and spoke with Officer Robert Vanderhee. The employee informed Vanderhee that a man by the name of Nathan Trupp matched the description of the gunman and that Trupp had purchased a handgun on November 28. The employee gave Trupp’s address to Vanderhee. Vanderhee attempted to reach his liaison at APD, Sergeant Desi Garcia, but Garcia was not in. He then tried to reach Officer Ruth Lowe, who was in charge of the investigation, but Lowe had left for the day. Vanderhee left a message for Lowe and went home without following up on the information he had received. Lowe received Vanderhee’s message on the evening of November 29 but was unable to reach him at his office.
At 8:30 the next morning (November 30) Vanderhee reached either Garcia or Lowe and relayed the information he had received. That same morning a taxi driver informed Lowe and Vanderhee that, on November 28, he had driven Trupp to several Albuquerque gun shops and then to do target shooting. The taxi driver gave Lowe and Vanderhee a description of Trupp, Trupp’s address, and a summary of Trupp’s activities, including the purchase of the handgun. The driver believed Trupp was mentally unstable.
At approximately 10:15 that morning APD sent officers to Trupp’s apartment complex. The officers observed the complex until approximately 1:30, at which time they forcibly entered Trupp’s apartment. Trupp was not in his apartment and could not be located. Fearing that Trupp would flee, APD stationed police officers at the airport, train depot, and bus Station.
A subsequent investigation revealed that Trupp had committed the murders in the bagel shop. Trupp spent the night of November 29 in his apartment and stayed there until approximately 9:00 the next morning, at which time he paid his rent. After paying rent, Trupp went to the bus station and boarded a 12:30 bus for Los Angeles. He arrived in Los Angeles on December 1. At approximately 6:45 that evening Trupp shot and killed Armando Torres and Jeren Beeks, who were both security guards at Universal Studios. Trupp used the same handgun that was used in the bagel-shop murders.
On November 29, 1990, Esperio Torres and John Beeks filed an action under the Tort Claims Act. In addition to the facts set out above, the complaint alleged that Trupp was delusional and hearing non-existent voices from November 28 to December 1. The complaint also alleged that APD did not request an interstate warrant for Trupp nor did it ask the Federal Bureau of Investigation to become'involved in the search. Finally, the complaint alleged that APD failed to notify out-of-state law enforcement authorities of the murders or of Trupp’s unknown whereabouts. According to Torres and Beeks, these failures amounted to a breach by APD and DPS of their statutory duty to investigate and their common-law duty to exercise — for the safety of others foreseeably at risk from assault by the same gunman— that care ordinarily exercised by reasonably prudent and qualified officers in light of the nature of the crime and the urgency of the investigation. They argue that such breaches proximately caused the deaths of their sons.
On April 8, 1991, the district court dismissed with prejudice the complaint, holding that “as a matter of law, the injured parties were not foreseeable plaintiffs and the defendants owed no duty to plaintiffs.” The Court of Appeals affirmed.
Policy reasons advanced by the Court of Appeals are not determinative. The Court of Appeals held that as a matter of policy the duty to investigate and the duty to exercise ordinary care should not be extended to the victims in this case because it would be “unrealistic in light of rising criminal activity and limited public resources.” 116 N.M. at 384, 862 P.2d at 1243. Although “rising criminal activity” and “limited public resources” may be factors for the jury to consider in determining whether APD or DPS breached its duties, we do note that Mayor Schultz here ordered Police Chief Baca to put as many officers as needed on the case, authorizing as much overtime as needed to apprehend the killer; and while these factors may bear upon the discharge of duty, they do not bear upon the existence of the statutory duty of law enforcement officers to investigate crimes.
Policy determines duty. With deference always to constitutional principles, it is the particular domain of the legislature, as the voice of the people, to make public policy. Elected executive officials and executive agencies also make policy, to a lesser extent, as authorized by the constitution or the legislature. The judiciary, however, is not as directly and politically responsible to the people as are the legislative and executive branches of government. Courts should make policy in order to determine duty only when the body politic has not spoken and only with the understanding that any misperception of the public mind may be corrected shortly by the legislature.
What is the existing public policy with respect to governmental liability for the acts or omissions of law enforcement officers? The legislature specifically has waived immunity from liability under “traditional tort concepts of duty and the reasonably prudent person’s standard of care in the performance of that duty.” Section 41-4-2(B). This waiver of immunity applies to actions for wrongful death from battery “caused by law enforcement officers while acting within the scope of their duties.” Section 41-4-12; Methola v. County of Eddy, 95 N.M. 329, 333, 622 P.2d 234, 238 (1980) (holding that under Section 41-4AL2 officer’s negligence may proximately “cause” battery by third person against another); Blea v. City of Española, 117 N.M. 217, 221, 870 P.2d 755, 759 (Ct.App.) (holding battery committed by intoxicated driver gave rise to action against law enforcement officers claimed to have been negligent in failing to detain driver earlier), cert. denied, 117 N.M. 328, 871 P.2d 984 (1994); Ortiz v. New Mexico State Police, 112 N.M. 249, 252, 814 P.2d 117, 120 (Ct.App.1991) (holding law enforcement officers liable when negligent supervision and training of subordinates leads to battery), cert. quashed, 113 N.M. 352, 826 P.2d 573 (1992). With NMSA 1978, Section 29-1-1 (Repl.Pamp.1994), the legislature has imposed on law enforcement officers a duty to investigate crimes called to their attention, and an action for injuries proximately caused by an officer’s negligent breach of this duty is within the contemplation of Section 41-4-12. Schear v. Board of County Comm’rs., 101 N.M. 671, 676, 687 P.2d 728, 733 (1984); see California First Bank v. State, 111 N.M. 64, 801 P.2d 646 (1990) (recognizing private cause of action under Section 41^4-12 when law enforcement officer’s negligent failure to discharge duties under Section 29-1-1 results in personal injury).
In this case the Court of Appeals has formulated public policy by which it restricts the statutory duty of law enforcement officers. It is not necessary, however, for the courts to formulate policy in order to apply the law to this case. Because the trial court dismissed the complaint for failure to state a claim, we need only recognize the statutory duty and examine the complaint for any set of facts provable under the claim that may show breach under traditional tort concepts of ordinary care required for the safety of persons foreseeably at risk. See California First Bank, 111 N.M. at 66, 801 P.2d at 648.
We apply New Mexico tort law in this case. Although neither party argued that the district court applied the wrong law, we feel it necessary to review which state’s law applies in this case because the deaths occurred in California. In determining this issue, this Court generally follows the doctrine of lex loci delicti and applies the law of the state in which the wrongful conduct occurred. See Zamora v. Smalley, 68 N.M. 45, 47, 358 P.2d 362, 363 (1961) (stating that because accident occurred in Colorado, the law of that state applied); First Nat’l Bank in Albuquerque v. Benson, 89 N.M. 481, 481-82, 553 P.2d 1288, 1288-89 (Ct.App.) (applying Zamora), cert. denied, 90 N.M. 7, 558 P.2d 619 (1976). The “place of the wrong” under this rule is “the location of the last act necessary to complete the injury.” Wittkowski v. State, 103 N.M. 526, 528, 710 P.2d 93, 95 (Ct.App.), cert. quashed, 103 N.M. 446, 708 P.2d 1047 (1985), overruled on other grounds by Silva v. State, 106 N.M. 472, 477, 745 P.2d 380, 385 (1987). This rule is not utilized, however, if such application would violate New Mexico public policy. Id.
In this case the shooting in California was the “last act necessary to complete the injury,” and one could argue that this Court should apply California law. This is not, however, an action against Trupp for the murder; it is an action against various defendants for failure to investigate a crime in New Mexico and for failure to exercise ordinary care to prevent Trupp from leaving New Mexico. As stated in Wittkowski, the duties of law enforcement personnel are defined by the Tort Claims Act and by decisional law. Id. Thus “[pjublic policy dictates that New Mexico law determine the existence of duties and immunities on the part of New Mexico officials.” Id. at 529, 710 P.2d at 96.
The issue of foreseeability is a question for the jury. The district court determined that the victims in this case were not foreseeable, and thus APD and DPS did not owe them a duty. Foreseeability is a question of law when a court, in reviewing whether a duty exists, can determine that the victim was unforeseeable to any reasonable mind. Calkins v. Cox Estates, 110 N.M. 59, 61-62, 792 P.2d 36, 38-39 (1990); Palsgraf v. Long Island R.R., 248 N.Y. 339, 162 N.E. 99, 100 (1928) (holding that a court cannot impose a tort duty in relation to another person absent foreseeability); W. Page Keeton et al., Prosser and Keeton on the Law of Torts § 43, at 284-85 (5th ed. 1984). In light of its holding that as a matter of policy APD and DPS did not owe a duty to the victims, the Court of Appeals did not address the issue of foreseeability. We believe that the trial court erred in finding that, as a matter of law, the victims were not foreseeable.
APD and DPS argue that the victims were so removed from the alleged wrongful conduct that they were unforeseeable as a matter of law. In particular, APD argues that a victim is not foreseeable unless he or she is in imminent danger, citing for support Schear, 101 N.M. at 676, 687 P,2d at 733, and California First Bank, 111 N.M. at 71-75, 801 P.2d at 653-57. In Schear the plaintiff was the victim of a crime that the police knew to be taking place. There was a foreseeable risk of injury if the officers did not respond to the call for help. In California First Bank the victims were members of the traveling public and there was a foreseeable risk of injury “to the traveling public in the event sheriff deputies failed to apprehend [a drunk driver] after they knew of his dangerously intoxicated condition.” 111 N.M. at 74 n. 7, 801 P.2d at 656 n. 7.
In point of .fact, neither Schear nor California First Bank discuss foreseeability in terms of imminent danger. Although in both cases the victims were injured either concurrently with or immediately after the alleged act of negligence, this Court did not base the scope of the officers’ duty on considerations of time and place. As discussed later in this opinion, the legislature has enunciated no policy that gives rise to arbitrary time and place restrictions on the duty of law enforcement officers. Traditionally, time and place factors are left to the jury in its determination of proximate cause and breach of duty. See Keeton et al. § 43, at 283 (“[W]hen causation is found, and other factors are eliminated, it is not easy to discover any merit whatever in the contention that ... physical remoteness [of time or space] should of itself bar recovery.”).
DPS further tries to distinguish this case from California First Bank by arguing that there the police knew the identity and condition of the criminal. The knowledge of the identity and condition of the criminal, however, is not determinative in defining duty. In Schear the police were told only that an armed intruder had entered a house and refused to allow the victim to leave. The police did not know the identity of the intruder and did not know of the criminal's physical or mental condition, other than knowing that he was armed. Despite this, we held that the police had a duty to the victim. 101 N.M. at 676, 687 P.2d at 733. Thus, foreseeability does not turn on the officer’s knowledge of the true identity or condition of the criminal if there is a possible risk of injury to some victim and the officer knows of that risk.
The amended complaint has stated a set of facts under which Torres and Beeks might prevail on the issue of foreseeability. It is not unlikely that a murderer would flee the city in which he committed the crime and, given modern-day transportation, that this person would flee across state lines. Further, the police knew or should have known that it is possible that a person who kills randomly with no motive would kill again; it is the very irrationality of the random killing that portends danger to others. The harm in this case was not so removed from the conduct of the Defendants that we may say as a matter of law that the victims were unforeseeable. Thus foreseeability is a question for the jury to determine by giving thought to, among other things, the time, space, and distance between the alleged failure to investigate and the deaths of the two security guards. See Calkins, 110 N.M. at 66, 792 P.2d at 43.
APD and DPS officers have a duty to exercise that care ordinarily exercised by reasonably prudent officers in similar circumstances. — Duty to investigate. In Schear, 101 N.M. at 676, 687 P.2d at 733, and California First Bank, 111 N.M. at 71-75, 801 P.2d at 653-57, this Court established that law enforcement officers are hable for harm caused by the negligent performance of their statutory duty to investigate crimes. In this case Torres and Beeks allege that the officers failed to investigate the bagel-shop murders in a reasonable fashion. As we said in Cross v. City of Clovis, 107 N.M. 251, 254, 755 P.2d 589, 592 (1988),
a failure to act, to be negligent, must be a failure to do an act which a reasonably prudent and qualified law enforcement officer, in the exercise of ordinary care, would do in order to prevent injury to a person whom the officer would foresee to be exposed to risk of injury.
Thus the officers had a duty to exercise that care ordinarily exercised by reasonably prudent and qualified law enforcement officers as they investigated the murders.
—Persons for whose benefit or protection the statutory duty of investigation is intended. APD and DPS argue that, aside from the foreseeability issue discussed above, the duty of law enforcement officers extends only to known victims of a crime in progress or specific segments of the public in imminent danger and, then, only for the benefit of persons within the political boundaries of New Mexico. In essence, APD and DPS argue that the victims in this case were not within the class of persons to be protected by the statutory duty to investigate.
In Schear this Court held that officers may be liable for their failure to investigate when they know the identity of the victim of a crime in progress. 101 N.M. at 676, 687 P.2d at 733. Similarly, in California First Bank we held that law enforcement officers may be hable for failure to arrest a drunken driver because their omission places a specific segment of the population (the traveling public) in imminent danger. 111 N.M. at 75, 801 P.2d at 657. In both cases this Court extended the duty of law enforcement officers to foreseeable victims; neither ease specifically limited their duty to identified victims or a specific segment of the population imminently at risk. See California First Bank, 111 N.M. at 74 n. 7, 801 P.2d at 656 n. 7 (stating that liability rested upon foreseeability of the victims and not specific knowledge of investigating police). As the Court of Appeals correctly stated in Wittkowski, the statutory duty to investigate “is for the benefit and protection of the public.” 103 N.M. at 531, 710 P.2d at 98. In creating the duty, the legislature did not limit the traditional tort concept of foreseeability that would otherwise define the intended beneficiaries of the statute. All persons who are foreseeably at risk within the general population are within the class of persons to be protected by the duty to investigate. See Keeton et al. § 36, at 224 (“The class of persons to be protected ... extend[s] to all those likely to be injured by the violation [of the statute].”).
As to the argument regarding political boundaries, the Court of Appeals rejected this contention, stating that “the scope of [a] duty is determined by the foreseeability of the injury, and not by reference to geographical boundaries.” Torres, 116 N.M. at 383, 862 P.2d at 1242. We agree because, although the class of persons the legislature sought to protect is not stated explicitly, to limit the class to those within the state would lead to illogical results. We interpret statutes to avoid implied limitations that are not warranted by sound reason. Cf. Sandoval v. Rodriguez, 77 N.M. 160, 163, 420 P.2d 308, 310 (1966) (stating that legislative enactments “must be interpreted to accord with common sense and reason”). If we were to hold that the duty to investigate was limited by state boundaries, we must infer that the legislature intended to discriminate against foreseeable victims a stone’s throw across the border in favor of foreseeable victims 300 miles across the state. We need not address whether the legislature could thus classify persons intended to be benefit-ted by the statute. There is no reason to believe that they did so. Cf. Udy v. Calvary Corp., 162 Ariz. 7, 780 P.2d 1055, 1059 (Ct.App.1989) (holding landlord had duty to protect tenant from injury that occurred off landlord’s premise and rejecting notion that “geographic limits ... necessarily delimit the scope of any duty of care imposed upon the parties to [a] relationship”).
When the duty to investigate is breached and the wrongdoer is not apprehended, the risk of injury may extend to a known individual, as in Schear, or to a class of individuals, as in California First Bank. In most circumstances, however, the identity of potential victims will not be known to the investigating officers. Because it is now as easy to travel from Albuquerque to Los Angeles as it is to travel from Albuquerque to Las Cruces, New Mexico, the statutory duty to investigate logically must extend to benefit or protect all foreseeable victims, including those persons outside the state. E.g., Keeton et al. § 36, at 227 (“[I]n the absence of any other guide, a statute may well be assumed to include all risks that reasonably may be anticipated as likely to follow from its violation.”). If the owner of a motor vehicle learns that a permitted driver is incompetent or even a madman (as here) with the most reckless and wanton propensities behind the wheel, it hardly could be argued that proportional liability of the owner for taking inadequate steps to intervene would attach only to specifically identifiable victims of highway mayhem or within some geographic boundary.
Based on Schear and California First Bank, we hold that when any person “of the public” (regardless of geographic location) is foreseeably at risk of injury by a party reported to be in violation of the criminal law, officers undertaking an investigation of the crime owe that person a duty to exercise the care ordinarily exercised by prudent and qualified officers. Although APD and DPS did investigate and attempt to apprehend Trupp in this ease, the question whether the investigation and attempt to apprehend was reasonable and done with due care is to be decided by the factfinder, keeping in mind that “[a]s the risk of danger that reasonably should be foreseen increases, the amount of care required also increases.” Cross, 107 N.M. at 254, 755 P.2d at 592.
The conduct of APD and DPS must be compared to the conduct of Trupp. The trial court should be aware of our recent holdings in Reichert v. Atler, 117 N.M. 623, 875 P.2d 379 (1994), and Barth v. Coleman, 118 N.M. 1, 878 P.2d 319 (1994), in which we analyzed our comparative-liability jurisprudence. In those cases we reaffirmed that bar owners or operators could be held liable for breaching their duty to protect patrons from foreseeable harm and held that the negligent conduct of the owner or operator could be compared to the conduct of the third party who was actually responsible for the injury. This case is similar in that if a jury finds that APD and DPS have breached their duty to investigate and their duty to exercise ordinary care, it must compare that breach with Trupp’s conduct in determining liability.
Conclusion. We hold that police officers have a statutory duty to investigate and a common-law duty to exercise, for the safety of others foreseeably at risk, that care ordinarily exercised by reasonably prudent and qualified officers. Because foreseeability, breach, proximate cause, and comparative liability are questions for the jury, we reverse the district court and Court of Appeals and remand this case for proceedings consistent with this opinion.
IT IS SO ORDERED.
FRANCHINI and MINZNER, JJ., concur.
. Although in one passage from Torres, 116 N.M. at 383, 862 P.2d at 1242, it is not clear whether the author was discussing “duty” or "breach of duty,” in Blea v. City of Española, 117 N.M. 217, 221, 870 P.2d 755, 759 (Ct.App.), cert. denied, 117 N.M. 328, 871 P.2d 984 (1994), the Court of Appeals specifically stated, “The gist of the complaint in [Torres ] was that there was a duty for the police to have taken faster action, and this Court held that it would be unreasonable to find a statutory or common-law duty to promptly investigate and solve every reported homicide.” | [
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OPINION
RIORDAN, Justice.
Plaintiff Ambassador Insurance Company (Ambassador), as excess insurance carrier for Memorial General Hospital of Las Cruces, New Mexico (insured), brought this action in the United States District Court for the District of New Mexico (district court) against defendant St. Paul Fire & Marine Insurance Company (St. Paul), the primary insurance carrier for the insured. Ambassador alleged that St. Paul negligently and in bad faith failed to settle a medical malpractice claim brought against the insured within the primary policy limits, despite an offer to do so. As excess insurer, Ambassador was liable for any amounts over the primary policy limits.
On St. Paul’s motion, the district court dismissed Ambassador’s claim for negligent failure to settle on the grounds that New Mexico did not recognize such a cause of action. Ambassador’s claim for bad faith failure to settle was tried to a jury which returned a verdict in favor of St. Paul. Ambassador appealed the dismissal of its negligence claim and also challenged the instructions given to the jury regarding its bad faith claim.
The case comes to us on certification from the United States Court of Appeals for the Tenth Circuit pursuant to our certification statute, NMSA 1978, Section 34-2-8. The questions submitted for our determination are:
I.Whether New Mexico recognizes negligent failure to settle as a cause of action?
II.Whether the trial court correctly instructed the jury on the meaning of bad faith as a basis for failure to settle?
I. Negligent Failure to Settle.
The district court interpreted American Employers’ Insurance Co. v. Crawford, 87 N.M. 375, 533 P.2d 1203 (1975), the pivotal case on which Ambassador relied, as holding that a claim for negligent failure to settle is not recognized by New Mexico courts. On appeal, Ambassador asserts that the district court misread Crawford (in which a claim of negligent failure to settle was raised) because it either implicitly recognized such cause of action or, alternatively, never reached the issue. Our reading of the case leads us to the conclusion that the Crawford court did not directly address the issue of whether New Mexico recognizes a cause of action for negligent failure to settle. Instead, Crawford found that since there was no coverage under the policy, the insurer had no duty to pay the judgment against its insured and therefore could not be held accountable for its failure to settle the claim. Id. at 381, 533 P.2d at 1209.
However, while referring to the clause as sounding in tort or contract, Crawford did discuss bad faith by the insurance company in dealing with its insured. Dicta in Crawford indicates that New Mexico will interpret the duties between insured and insurer as based in contract rather than in tort:
Clearly, the company violated no contractual obligation to Crawford, and we fail to understand the source or nature of any duty recognized in the law of tort which the company owed or breached.
Id. at 380, 533 P.2d at 1208 (emphasis added). The court cites as authority for this statement such cases as Prickett v. Hawkeye-Security Insurance Co., 282 F.2d 294 (10th Cir.1960), and Bourne v. Seal, 53 Ill.App.2d 155, 203 N.E.2d 12 (1964). These cases discuss the duty of good faith imposed upon the insurer under the contract of insurance. Further, it should be noted that the great majority of cases employ this good faith rule. Annot., 40 A.L.R.2d 168 (1955).
Relying on the above quote from Crawford, the district court found that New Mexico does not recognize the cause of action of negligent failure to settle. However, the Crawford court did not conclusively determine the issue; instead it stressed the difficulty of conceptualizing such a cause of action, and the above quoted statement is strong evidence of how the Crawford court would have decided the question of negligent failure to settle had it been necessary for a determination of the case.
Based on this language from Crawford, on our reading of other New Mexico cases that have viewed the duty between the insurer and insured as one of good faith, and on our review of the various jurisdictions that have already decided the issue, we now determine that New Mexico does not recognize the cause of action of negligent failure to settle.
Negligence has been defined as follows: If there is some probability of harm sufficiently serious that ordinary men would take precaution to avoid it, then failure to do so is negligence * * *.
Dumas v. Hartford Accident and Indemnity Co., 94 N.H. 484, 489, 56 A.2d 57, 60 (1947) (citation omitted). In cases such as the one before us, where the harm to the insured is that he or she will be found liable in excess of the policy limits if the case proceeds to trial, the only precaution available to the ordinary and prudent man to avoid such harm is to settle the claim within policy limits because inherent in the trial process is the risk that judgment will go against one party or the other. The possibility always exists that the insured’s case, even though seemingly sound and grounded on solid case law, will fail. If it were otherwise, all cases would be settled or dismissed during the pretrial stages and trials would become unnecessary. Under the theory of negligent failure to settle, the risk to the insured of going to trial would always be “sufficiently serious” to merit automatic settlement within policy limits.
Merely because there is the ever present chance that the insured’s case will fail at trial and a judgment will be entered in excess of policy limits, recognition of this cause of action could be read as requiring the insurer to settle every case despite an honest belief that the settlement offer is much greater than the amount that would ultimately be awarded as damages. The New York Court of Appeals addressed the problem of recognizing negligent failure to settle as a cause of action and stated:
Even when there was little likelihood of recovery, many reasonable persons would think it wise to settle rather than to take any chance with a jury. In most of the accident cases, disputed questions of fact arise. Is the insurance company to determine at its peril whether reasonable-minded men would believe the plaintiff’s witnesses in preference to its own? Again, even on conceded facts, as frequently happens, a serious question of law arises as to the nature or extent of liability, if any. Is a jury to say that the insurance company was guilty of negligence in choosing to try out such a question in the courts rather than to settle? These questions suggest the wisdom of adhering to. the contract of insurance which the parties have made. If the insurance company is to be obligated to make a settlement under any given circumstances, it must be a matter to be dealt with between the insured and the insurer, or else regulated by the Legislature.
Best Building Co. v. Employers’ Liability Assurance Corp., 247 N.Y. 451, 455-56, 160 N.E. 911, 912-13 (1928).
It is the policy of this state to favor settlement whenever feasible. Ratzlaff v. Seven Bar Flying Service, Inc., 98 N.M. 159, 646 P.2d 586 (Ct.App.), cert. denied, 98 N.M. 336, 648 P.2d 794 (1982). However, it is not our policy to require that settlements be made where no duty to settle exists. The relationship between insurer and insured is a contractual one. The only duty imposed upon the insurer in the contract is the duty to defend the suit against the insured. It is left to the judgment of the insurer whether to settle the case or not.
However, under the contract of insurance, there is an implied covenant of fair dealing which creates an obligation between the parties to act in good faith. 17 Am.Jur.2d Contracts § 256 (1964). New Mexico recognizes this duty of good faith between insurer and insured. See State Farm General Insurance Co. v. Clifton, 86 N.M. 757, 527 P.2d 798 (1974); State Farm Fire and Casualty Co. v. Price, 101 N.M. 438, 684 P.2d 524 (Ct.App. 1984); Chavez v. Chenoweth, 89 N.M. 423, 553 P.2d 703 (Ct.App.1976); Lujan v. Gonzales, 84 N.M. 229, 501 P.2d 673 (Ct.App.), cert. denied, 84 N.M. 219, 501 P.2d 663 (1972). This implied covenant is an exception to the general rule that only those obligations contained in the written agreement will be imposed upon the parties. 17 Am.Jur.2d Contracts § 255 (1964). To impose a negligence standard on the insurer would violate this general rule and impose a duty that is not expressly provided for in the contract of insurance. However, because the insurer has, by its insurance con tract, taken over the duty to defend the case against the insured:
[A]nd because the contact prohibits the insured from settling, or negotiating for settlement, or interfering in any manner except upon the request of the insurer, such as assisting in the securing of witnesses, etc., its exercise of this right should be accompanied by considerations of good faith. Its decision not to settle should be an honest decision. It should be the result of the weighing of probabilities in a fair and honest way. If upon such consideration it decides that its interest would be better promoted by contesting than by settling the claim, the insured must abide by whatever consequences flow from that decision. He has so agreed. But, as already stated, such decision should be an honest and intelligent one. It must be honest and intelligent if it be a good-faith conclusion. In order that it be honest and intelligent it must be based upon a knowledge of the facts and circumstances upon which liability is predicated, and upon a knowledge of the nature and extent of the injuries so far as they reasonably can be ascertained.
This requires the insurance company to make a diligent effort to ascertain the facts upon which only an intelligent and good-faith judgment may be predicated.
Radcliffe v. Franklin National Insurance Co., 208 Or. 1, 33, 298 P.2d 1002, 1017 (1956) quoting Hilker v. Western Automobile Insurance Co., 204 Wis. 1, 14, 235 N.W. 413, 415 (1931).
Thus, when failure to settle the claim stems from a failure to properly investigate the claim or to become familiar with the applicable law, etc., then this is negligence in defending the suit (a duty expressly imposed upon the insurer under the insurance contract) and is strong evidence of bad faith in failing to settle. Here, basic standards of competency can be imposed, and the insurer is charged with knowledge of the duty owed to its insured. In this sense, such negligence becomes an element tending to prove bad faith, but not a cause of action in and of itself. However, “where an insurer acts honestly and in good faith on adequate information, it should not be held liable for excess liability due to its failure to reach a settlement.” Brisco v. Meritplan Insurance Co., 132 Ariz. 72, 74, 643 P.2d 1042, 1044 (Ct.App.1982).
Based on the above analysis and giving full weight to the statements found in Crawford and other New Mexico cases referring to the duty between insurer and insured as one of good faith, we determine that the district court was correct in its conclusion that the cause of action of negligent failure to settle was not and would not be recognized in New Mexico.
II. Jury Instructions.
Ambassador argues that the district court erred in its instructions to the jury regarding the definition of bad faith failure to settle as applied in New Mexico. Ambassador claims that the sole standard used in New Mexico for determining whether the insurer acted in good faith toward its insured is:
[A]n insurer cannot be partial to its own interests, but must give its interests and the interests of its insured equal consideration.
* * * * •}: *
To fulfill the duty of giving equal consideration to the interests of the insured and the insurer there must be a fair balancing of these interests.
Lujan v. Gonzales, 84 N.M. at 236, 501 P.2d at 680. However, Ambassador failed to note that the court in Lujan prefaced the above language with the following statement:
What is good faith? We do not attempt to give a complete definition because of the variety of situations held to involve a question of good faith.
Id. (citation omitted; emphasis added). As with a definition of good faith, New Mexico does not adhere to a single definition of bad faith in the context of insurance matters. See Hendren v. Allstate Insurance Co., 100 N.M. 506, 672 P.2d 1137 (1983); State Farm General Insurance Co. v. Clifton; State Farm Fire and Casualty Co. v. Price; Chavez v. Chenoweth.
The challenged jury instructions given by the district court on the issue of bad faith state:
Instruction No. 13
St. Paul had a duty to exercise good faith in determining whether to accept or reject the offers of settlement made by [the] estate of Mr. Sugarman. This good faith duty included the duty to investigate the incident and claims in the subsequent lawsuit to such an extent that it would be in a position to exercise an honest judgment as to the merits of such claims and whether they should be settled considering both the interests of its insured, Memorial General Hospital, the interests of Ambassador Insurance Company, as well as its own.
In order to find against St. Paul you must believe that its conduct in failing to settle the claim of the Sugarman Estate within the amount of its policy limit was of such an arbitrary and reprehensive nature as to constitute bad faith, meaning the breaching of a known duty through some motive of interest or ill will.
Instruction No. 14
As has been mentioned, an insurer cannot be partial to its own interests, but must give its interests and the interests of its insured equal consideration. The failure of an insurance company to fairly balance those interests can constitute bad faith.
Instruction No. 17
A legal defense to be put forth in good faith requires the insurance company asserting it to have adequately investigated the reasonableness of the defense prior to its assertion and that the legal defense is one which has not yet been ruled on by the Court of last resort.
Ambassador argues that Instruction No. 13 “plainly requires the jury to find, as a necessary element of recovery by [Ambassador], that the conduct of [St. Paul] was of an ‘arbitrary and reprehensive nature’, and also, that [St. Paul] was motivated by interest or ill will.” Ambassador misreads the instruction. It does not require a finding of both arbitrary and reprehensive conduct and interest or ill will. It only requires that for the jury to find bad faith, it must believe that St. Paul, in failing to settle within policy limits, was motivated by self-interest or ill will. The instruction says no more than that St. Paul may not prefer its own interest over those of its insured; to do so would be to act out of “motive of interest or ill will.” This accords with New Mexico law, see Lujan v. Gonzales, and when viewed in context with Instruction Nos. 14 and 17, it is clear that, as a whole, the instructions are correct regarding the definition of bad faith. See Blackburn v. State, 98 N.M. 34, 644 P.2d 548 (Ct.App.1982).
Ambassador also argues that Instruction No. 14 was improper in that the use of the word “can” in the second sentence instead of the word “must” constitutes error. We disagree. The instruction merely paraphrases the language of Lujan, and taken as a whole conveys an appropriate statement of the law in New Mexico. Therefore the district court was not in error.
Ambassador further argues that Instruction No. 17 is “contrary and unrelated to the appropriate standard in New Mexico, balancing of interest” and only “focuses in on considerations regarding the [insurer’s] likelihood of success and does not discuss nor consider any of the interests of the insured.” However, Ambassador fails to see that the logical conclusion of the insurer’s success in the courtroom is the insured’s success in the courtroom. Putting forth a legal defense after adequate investigation of the claim constitutes a balancing of the interests of the insurer and the insured because if the insurer feels such defense is strong as to its interests, then logically the defense must be strong as to the insured’s interests. Further, Instruction No. 17 accords with our previous discussion regarding negligent failure to settle. If the insurer, based on its honest judgment and acting on adequate information after competent investigation of the claim, does not settle and instead proceeds to trial, then it has acted in good faith and cannot be found liable for any excess caused by its failure to settle.
For these reasons we determine that the jury instructions, read as a whole, were adequate statements of New Mexico law and the district court did not err in giving them. Also, we agree with the district court’s holding that New Mexico does not recognize a cause of action for negligent failure to settle.
IT IS SO ORDERED.
FEDERICI, C.J., and STOWERS and WALTERS, JJ., concur. | [
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