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Factual and Procedural Background

Jeremiah T., a minor born October 10, 1990, was adjudicated delinquent after a contested hearing in Cochise County Superior Court for assault under A.R.S. § 13-1203(A)(3), a class three misdemeanor, and placed on six months' probation. The charges originated from an incident in a Sierra Vista middle school boys' locker room where the victim, C., testified that Jeremiah and another student, Nikko, accosted him by physically bumping into him with their pelvises after Jeremiah said, "let's rape him." The delinquency petition charged Jeremiah with two class one misdemeanors: assault under § 13-1203(A)(1) and threatening under § 13-1202(A)(1). The juvenile court found the state failed to prove the charges under (A)(1) and (A)(1) threatening but found Jeremiah responsible under (A)(3), treating it as a lesser-included offense of (A)(1). Jeremiah appealed, contending the court erred in this legal ruling.

Legal Issues Presented

  1. Whether assault under A.R.S. § 13-1203(A)(3) is a lesser-included offense of assault under § 13-1203(A)(1) as charged in the delinquency petition.
  2. Whether the juvenile court properly amended the delinquency petition to conform to evidence by adjudicating Jeremiah delinquent of an offense different from that charged without his consent or prior notice.

Arguments of the Parties

State's Arguments

  • The juvenile court's ruling effectively amended the delinquency petition to conform to the evidence, which is permissible under Rule 29(D)(1), Ariz. R.P. Juv. Ct.
  • The delinquency petition was implicitly amended to charge assault under § 13-1203(A)(3) without formal request or express ruling, which is constitutionally permissible because the nature of the offense did not change.
  • The nature of the offense charged involved physical contact resulting in injury, which aligns with both the original charge under (A)(1) and the adjudicated offense under (A)(3).

Minor's Arguments

  • Assault under § 13-1203(A)(3) is not a lesser-included offense of assault under § 13-1203(A)(1) because the elements of the two offenses differ significantly.
  • The juvenile court erred in adjudicating delinquency for an offense different from that charged without his consent or prior notice.
  • Prejudice is presumed when the nature of the offense charged is changed by amendment, so no additional showing of prejudice is required.

Table of Precedents Cited

Precedent Rule or Principle Cited For Application by the Court
State v. Celaya, 135 Ariz. 248, 660 P.2d 849 (1983) Elements test for lesser-included offenses: lesser offense must be composed solely of some but not all elements of the greater offense. Used to determine that assault under § 13-1203(A)(3) is not a lesser-included offense of assault under (A)(1).
State v. Cisneroz, 190 Ariz. 315, 947 P.2d 889 (App. 1997) Affirmation of the elements test for lesser-included offenses. Supported the court's analysis of the distinct elements of the two assault subsections.
State v. Cutright, 196 Ariz. 567, 2 P.3d 657 (App. 1999) Elements test requires commission of greater offense always results in commission of lesser offense. Confirmed the court's focus on statutory elements rather than factual circumstances.
State v. Siddle, 202 Ariz. 512, 47 P.3d 1150 (App. 2002) Clarifies that the lesser-included offense must always be a constituent part of the greater offense, not just in a particular case. Guided the court's rejection of the state's reliance on facts rather than statutory elements.
State v. Mathews, 130 Ariz. 46, 633 P.2d 1039 (App. 1981) Definition of "touching" under § 13-1203(A)(3) includes indirect contact through setting in motion a force or process. Used to explain the distinct nature of the (A)(3) assault offense.
State v. Sanders, 205 Ariz. 208, 68 P.3d 434 (App. 2003) Recognition that different assault subsections are distinct crimes and not lesser-included offenses of each other. Supported the court's conclusion that (A)(3) assault is not a lesser-included offense of (A)(1) assault.
State v. Foster, 191 Ariz. 355, 955 P.2d 993 (App. 1998) Determines disorderly conduct is a lesser-included offense of aggravated assault under (A)(2), but not assault under (A)(1). Used to illustrate distinctions among different assault offenses.
State v. Eastlack, 180 Ariz. 243, 883 P.2d 999 (1994) Supports permissible amendment of charges to conform to evidence in theft cases. Distinguished by the court as inapplicable to assault charges due to differing statutory nature.
State v. Winter, 146 Ariz. 461, 706 P.2d 1228 (App. 1985) Similar to Eastlack, addresses amendment of charges in theft cases. Distinguished from the present case for the same reasons as Eastlack.
In re Maricopa County Juvenile Action No. J-75755, 111 Ariz. 103, 523 P.2d 1304 (1974) Requires consent or prior notice for amendment changing the nature of the offense charged. Supports the court's holding that the juvenile court erred in adjudicating a different offense without consent or notice.
Hunter v. New Mexico, 916 F.2d 595 (10th Cir. 1990) Violation of Sixth Amendment by amendment modifying an essential element of the offense is reversible per se. Used to support the presumption of prejudice and reversible error from the unauthorized amendment.

Court's Reasoning and Analysis

The court applied the statutory elements test to determine whether assault under § 13-1203(A)(3) is a lesser-included offense of assault under § 13-1203(A)(1). The court compared the elements of each subsection, noting that (A)(1) requires causing physical injury but does not require touching, whereas (A)(3) requires knowing touching with intent to injure, insult, or provoke but does not require injury. The court emphasized that it is possible to commit assault under (A)(1) without committing (A)(3), and vice versa, demonstrating the distinctness of the offenses.

The court rejected the state's argument that the delinquency petition was implicitly amended to conform to evidence under Rule 29(D)(1), reasoning that the juvenile court did not expressly amend the petition and that the nature of the assault offenses under the different subsections are distinct crimes, not mere variants of a single offense. The court distinguished this case from theft cases where such amendments have been allowed.

Because the juvenile court adjudicated Jeremiah delinquent of an offense different from that charged without his consent or prior notice, the court found a violation of his constitutional rights. Prejudice was presumed as a matter of law due to the change in the nature of the offense charged. Accordingly, the adjudication was vacated.

Holding and Implications

The court held that assault under A.R.S. § 13-1203(A)(3) is not a lesser-included offense of assault under § 13-1203(A)(1), and the juvenile court erred in adjudicating the minor delinquent of the former offense when he was charged only with the latter.

As a result, the court vacated the juvenile court's orders of adjudication and disposition. This decision directly affects the parties by nullifying the delinquency adjudication based on the unauthorized amendment of the charged offense. The opinion does not establish new precedent beyond clarifying the distinctness of the assault subsections and the procedural protections required when charges are amended.

In re JEREMIAH T.

OPINION

PELANDER, Chief Judge.

¶ 1 After a contested hearing, the minor, Jeremiah T., born October 10, 1990, was found responsible for assault pursuant to A.R.S. § 13-1203(A)(3), a class three misdemeanor. See § 13-1203(B). He was adjudicated delinquent and placed on six months' probation. On appeal, he contends the juvenile court erred as a matter of law in ruling that assault under § 13-1203(A)(3) is a lesser-included offense of assault under § 13-1203(A)(1), the offense charged in the delinquency petition. We agree and therefore vacate the adjudication.

¶ 2 The charges against Jeremiah (also known as Jeremy) arose from an incident that occurred in the boys' locker room of a Sierra Vista middle school. The victim, C., testified that he had just finished dressing for his physical education class when he was accosted by Jeremiah and another male student, Nikko, both of whom were older and bigger than C. According to C., "Nikko and Jeremy came up to me, and Jeremy said [`]let's rape him,['] and Jeremy stood in front of me and Nikko stood behind me and they bumped into me with their pelvis area." C. immediately reported the incident to the physical education teacher and subsequently described the event to the school principal, his mother, and an investigating police officer.

In addition to C., the four other witnesses who testified at the adjudication hearing were the investigating officer, Jeremiah, Nikko, and Charles, a student who had also been present in the locker room. Charles testified he had seen Jeremiah and Nikko approaching C. and C. backing away from them. Although there were a number of conflicts and inconsistencies in the five witnesses' testimony for the trial court to resolve, see In re Maricopa County Juvenile Action No. JS-8490, 179 Ariz. 102, 107, 876 P.2d 1137, 1142 (1994) (fact-finder assesses credibility and resolves evidentiary conflicts), their existence and resolution are irrelevant to the purely legal issue presented on appeal.

¶ 3 The delinquency petition charged Jeremiah with committing two class one misdemeanors: "knowingly, intentionally and recklessly assault[ing C.], in violation of A.R.S. § 13-1203(A)(1)," and "threatening by word or conduct to cause physical injury to [C.], in violation of A.R.S. § 13-1202(A)(1)." At the conclusion of the adjudication hearing, the juvenile court found the state had not proved either charge beyond a reasonable doubt but had proved the elements of § 13-1203(A)(3), which the court deemed a lesser-included offense of § 13-1203(A)(1).

Although count one of the delinquency petition cited A.R.S. § 13-1203(A)(1), it did not accurately mirror the language of the statute. See ¶ 4, infra.

¶ 4 Section 13-1203(A) provides:

A person commits assault by:
1. Intentionally, knowingly or recklessly causing any physical injury to another person; or
2. Intentionally placing another person in reasonable apprehension of imminent physical injury; or
3. Knowingly touching another person with the intent to injure, insult or provoke such person.

¶ 5 To be a lesser-included offense, "the offense must be composed solely of some but not all of the elements of the greater crime so that it is impossible to have committed the crime charged without having committed the lesser one." State v. Celaya, 135 Ariz. 248, 251, 660 P.2d 849, 852 (1983); accord State v. Cisneroz, 190 Ariz. 315, 317, 947 P.2d 889, 891 (App. 1997). "Put another way, the greater offense contains each element of the lesser offense plus one or more elements not found in the lesser." Cisneroz, 190 Ariz. at 317, 947 P.2d at 891; see also State v. Foster, 191 Ariz. 355, ¶ 8, 955 P.2d 993, 995 (App. 1998). "The elements test requires that commission of the greater offense always result in commission of the lesser offense." State v. Cutright, 196 Ariz. 567, ¶ 2, 2 P.3d 657, 662 (App. 1999), disapproved on other grounds by State v. Miranda, 200 Ariz. 67, 69, 22 P.3d 506, 508 (2001). In applying the elements test, "we focus on the elements of each provision" without regard to the facts of the case before us. State v. Siddle, 202 Ariz. 512, ¶ 10, 47 P.3d 1150, 1154 (App. 2002).

As this court has noted, "[i]n the context of lesser-included offenses, the test has been articulated as `whether [the purported lesser-included offense] is, by its very nature, always a constituent part of the greater offense, or whether the charging document describes the lesser offense even though it does not always make up a constituent part of the greater offense.'" State v. Siddle, 202 Ariz. 512, ¶ 10, 47 P.3d 1150, 1154 (App. 2002), quoting State v. Chabolla-Hinojosa, 192 Ariz. 360, ¶ 12, 965 P.2d 94, 97 (App. 1998) (emphasis and alteration in Siddle). As discussed below, neither of these alternative tests is satisfied here.

¶ 6 It is readily evident from comparing § 13-1203(A)(1) and (A)(3) that the elements of the two offenses differ and that a person can commit either offense without necessarily committing the other. Subsection (A)(1) requires that a person cause physical injury to another person but does not require "touching," while subsection (A)(3) requires touching but not resultant injury. "Touching" for purposes of § 13-1203(A)(3) does not require direct, person-to-person physical contact. It is sufficient if the defendant sets in motion a force or process that produces some sort of contact with the victim. State v. Mathews, 130 Ariz. 46, 49, 633 P.2d 1039, 1042 (App. 1981). Examples discussed or suggested by Mathews include throwing urine from a container onto a person, spitting on someone, poisoning food that the victim ingests, transmitting a disease, or placing caustic chemicals on a surface touched by the victim. Causing physical injury for purposes of § 13-1203(A)(1), however, can be accomplished without any touching at all — as, for example, by withholding needed medication from a dependent or incapacitated victim.

¶ 7 In addition, the touching required under subsection (A)(3) must be knowing while the necessary physical injury under subsection (A)(1) can be caused intentionally, knowingly, or recklessly. And the knowing touch required under subsection (A)(3) must be accompanied by a specific intent either "to injure, insult or provoke" the victim, which thus may or may not overlap with subsection (A)(1)'s "intentionally, knowingly or recklessly causing . . . physical injury."

¶ 8 In short, the offense described in § 13-1203(A)(3) is a less serious offense than the offense described in § 13-1203(A)(1) and a lower class of misdemeanor, see § 13-1203(B), but it is not a lesser-included offense because the elements of the two offenses are distinct. See State v. Sanders, 205 Ariz. 208, ¶ 33, 68 P.3d 434, 442 (App. 2003) (the two types of assault under § 13-1203(A)(2) and (A)(3) are "distinctly different crimes[;] . . . neither is a lesser-included offense of the other because each offense has elements that the other does not"); State v. Foster, 191 Ariz. 355, ¶¶ 9-10, 955 P.2d 993, 995 (App. 1998) (disorderly conduct is lesser-included offense of aggravated assault charged under § 13-1203(A)(2) but not of assault under § 13-1203(A)(1)).

¶ 9 The state characterizes the juvenile court's ruling as effectively amending the delinquency petition to conform to the evidence presented at the adjudication hearing. Such an amendment was permissible, the state contends, pursuant to Rule 29(D)(1), Ariz. R.P. Juv. Ct., 17B A.R.S. Like its counterpart in the criminal rules, Rule 29(D)(1) provides: "The charge may be amended only to correct mistakes of fact or remedy formal or technical defects, unless the juvenile consents to the amendment. The charging document shall be deemed amended to conform to the evidence presented at any court proceeding." (Emphasis added.) See Ariz. R.Crim. P. 13.5(b), 16A A.R.S. But, the juvenile court gave no indication that it intended such an amendment; it stated only that it found the assault in § 13-1203(A)(3) to be a lesser-included offense of assault under subsection (A)(1).

¶ 10 Citing State v. Eastlack, 180 Ariz. 243, 258, 883 P.2d 999, 1014 (1994), and State v. Winter, 146 Ariz. 461, 465, 706 P.2d 1228, 1232 (App. 1985), the state suggests the delinquency petition was amended automatically, without a formal request by the state or an express ruling by the court, and that the amendment was constitutionally permissible because changing the offense from subsection (A)(1) to subsection (A)(3) did not change the nature of the offense. The state argues that "[t]he nature of the offense charged in this case was physical contact that resulted in actual injury" and that the nature of the "lesser-included offense" under § 13-1203(A)(3) was likewise physical contact, that is, "touching."

¶ 11 The argument suffers from several flaws. First, it overlooks the divergent elements of the applicable subsections and instead focuses improperly on the particular facts of this case. See Siddle, 202 Ariz. 512, ¶ 10, 47 P.3d at 1154; State v. Cook, 185 Ariz. 358, 361, 916 P.2d 1074, 1077 (App. 1996). Second, it ignores the fact that the delinquency petition alleged only that Jeremiah had "knowingly, intentionally and [sic] recklessly assaulted" C. in violation of § 13-1203(A)(1), mentioning neither physical contact nor resulting injury. Third, it overlooks that "causing . . . physical injury" under subsection (A)(1) does not inherently require "touching."

¶ 12 Finally, unlike the theft offenses involved in Eastlack and Winter, the three subsections of § 13-1203(A) are not simply variants of a single, unified offense; they are different crimes. See Sanders, 205 Ariz. 208, ¶ 33, 68 P.3d at 442. As Division One of this court observed in Sanders, "Whatever merit Winter's unitary approach might have in the context of Arizona's theft statute, it does not transfer to Arizona's assault statute." 205 Ariz. 208, ¶ 44, 68 P.3d at 444. We agree with Division One's reasoning and thus reject the state's contention that "the nature of the charge" is the same under either § 13-1203(A)(1) or (A)(3), permitting an implicit revision of the charge during trial without prior notice or a formal request by the state.

¶ 13 Because the elements of § 13-1203(A)(1) and (A)(3) differ, and because it is possible to commit assault under (A)(1) without also violating (A)(3), assault under the latter subsection is not a lesser-included offense of assault under the former. Consequently, the juvenile court erred in adjudicating Jeremiah delinquent for a different offense from the one with which he had been charged, in the absence of his consent to the change or prior notice. See In re Maricopa County Juvenile Action No. J-75755, 111 Ariz. 103, 106, 523 P.2d 1304, 1307 (1974). Jeremiah was not required to demonstrate prejudice because, when an amendment changes the nature of the offense charged, "prejudice inheres in the amendment and is conclusively presumed." Sanders, 205 Ariz. 208, ¶ 20, 68 P.3d at 440. "[W]hen the Sixth Amendment is violated by an amendment that `actually modifies an essential element of the offense charged . . . it is reversible per se.'" Id., quoting Hunter v. New Mexico, 916 F.2d 595, 599 (10th Cir. 1990).

¶ 14 Accordingly, we vacate the juvenile court's orders of adjudication and disposition.

Concurring: PHILIP G. ESPINOSA, Presiding Judge and WILLIAM E. DRUKE, Judge.

A retired judge of the Arizona Court of Appeals authorized and assigned to sit as a judge on the Court of Appeals, Division Two, pursuant to Arizona Supreme Court Order filed December 6, 2005.

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IN RE JEREMIAH T
(Jan 9, 2006)