Chief Justice DURRANT, opinion of the Court:
¶ 1 This case presents two related issues: (1) must the prosecution provide proof of a conviction to establish that a defendant failed to comply with a plea in abeyance condition prohibiting any further violations of law;
¶ 2 As to the first issue, we affirm the decision of the court of appeals and hold that the prosecution need not provide proof of a conviction to establish that a defendant failed to comply with a "no violations of law" condition. Neither the plain language of the condition nor the plea in abeyance statute requires that the prosecution provide evidence of a subsequent conviction to establish that the defendant violated the law. And as to the second issue, we conclude that the prosecution must prove by a preponderance of the evidence that a defendant failed to comply with a plea in abeyance condition. This preponderance standard is applicable in settings similar to a plea in abeyance evidentiary hearing, most notably a probation violation hearing. Moreover, a defendant's right to be presumed innocent is inapplicable in a plea in abeyance evidentiary hearing because at such a hearing the prosecution does not attempt to prove the defendant is guilty of a crime but instead seeks only to enforce the contractual terms of the plea in abeyance agreement.
¶ 3 Accordingly, we affirm the court of appeals and remand the case to the district court to determine whether the prosecution can prove by a preponderance of the evidence that the defendant failed to substantially comply with the condition in his plea in abeyance agreement that he commit "no violations of law." The district court may exercise its discretion in making this determination by either holding an evidentiary hearing or relying on the existing record.
¶ 4 The defendant, Brent Sorenson Stevenson, was arrested in Layton City on February 18, 2009, and charged in Second District Court with patronizing a prostitute. He initially pled not guilty to the charge but later changed his plea to no contest after negotiating a plea in abeyance agreement with the prosecution.
¶ 6 About six months after Mr. Stevenson entered into the plea in abeyance agreement for the Layton City charge, he was charged in Sunset City Justice Court with sexual solicitation. Approximately six months later, he entered into a diversion agreement with the Sunset City prosecutor. Under this agreement, if Mr. Stevenson complied with certain conditions, the prosecution would dismiss the sexual solicitation charge. But if Mr. Stevenson failed to comply, the court could authorize the prosecutor to proceed with prosecution.
¶ 7 On October 14, 2010, after learning of the Sunset City charge, Layton City filed a motion for an order to show cause with the Second District Court and alleged that Mr. Stevenson violated the condition in the plea in abeyance agreement requiring that he commit no further violations of law. The district court issued an order to show cause, and Mr. Stevenson moved to strike the order and also requested an evidentiary hearing. The court scheduled an evidentiary hearing to determine whether Mr. Stevenson violated the plea in abeyance agreement.
¶ 8 At that hearing, the court heard testimony from three witnesses. The first, Jennifer Ben, testified that Mr. Stevenson was her landlord and that he offered rent relief in exchange for sex. According to Ms. Ben, she and Mr. Stevenson had two phone conversations about the proposed exchange. On cross-examination, she also testified that she waited approximately one week to report Mr. Stevenson's proposition, that he allowed her to remain in the apartment for several months without paying rent, and that she had a felony conviction for attempted forgery.
¶ 9 Corporal Brett Jameson also testified. He testified that he was with Ms. Ben when
¶ 10 Mr. Stevenson testified last. He denied the allegations that he offered rent relief for sex. He also testified that Ms. Ben owed him for six months of rent.
¶ 11 After the evidentiary hearing, the district court sought supplemental briefing from the parties on several issues, two of which are relevant to this appeal: (1) what must be proven to establish a violation of a plea in abeyance agreement, and (2) what is the proper standard of proof in order to demonstrate a defendant's failure to comply with a condition in a plea in abeyance agreement.
¶ 12 After supplemental briefing, the district court agreed with Mr. Stevenson that the "no violations of law" condition in the plea in abeyance agreement required a conviction and not merely an allegation of misconduct. It further agreed with Mr. Stevenson that entering into the diversion agreement with Sunset City did not constitute a conviction. As a result, the district court dismissed with prejudice the patronizing a prostitute charge pursuant to the plea in abeyance agreement.
¶ 13 Layton City appealed the district court's ruling to the Utah Court of Appeals. That court reversed and held that a "conviction is not a prerequisite to finding that a defendant has violated the law in contravention of a condition in a plea in abeyance agreement."
¶ 14 On a grant of certiorari, "we review the decision of the court of appeals and not that of the trial court."
¶ 15 Mr. Stevenson raises two main issues on appeal. The first is whether the "no violations of law" condition in his plea in abeyance agreement required the prosecution to provide proof of a conviction in order to establish that he failed to comply with the condition. The court of appeals held that "a `violation of law' may be supported by evidence of misconduct other than a conviction."
¶ 16 The second issue concerns the standard of proof to be applied where the prosecution seeks to establish that a defendant failed to comply with a condition in a plea in abeyance agreement. Although the court of appeals did not reach the issue, both parties have asked us to address it because it will necessarily be implicated on remand.
¶ 17 We first address the question of whether a "no violations of law" condition requires proof of a conviction to establish a defendant's failure to comply. Mr. Stevenson argues that the language of the condition requires proof of a conviction. He also argues that not requiring proof of a conviction "emasculates the presumption of innocence."
¶ 18 We reject these arguments for three reasons. First, the plain language of the condition does not require proof of a conviction. Second, the plea in abeyance statute anticipates an independent prosecution for misconduct constituting a failure to comply with a plea condition. And third, Mr. Stevenson's contention that his right to the presumption of innocence requires that the prosecution provide proof of a conviction is unpersuasive because that right does not apply where the prosecution merely seeks to enforce the terms of the plea in abeyance agreement. Accordingly, we affirm the court of appeals' decision and hold that the prosecution can establish a failure to comply with a "no violations of law" condition through evidence of misconduct other than a conviction.
¶ 19 Mr. Stevenson argues that general principles of contractual interpretation dictate that the "no violations of law" condition requires proof of a conviction.
¶ 20 The specific "no violations of law" condition at issue required Mr. Stevenson to commit "[n]o violations of law, except minor traffic, or like kind violations." Mr. Stevenson first argues that the district court correctly interpreted the condition's language and that we should interpret it similarly. The district court concluded "that a `violation of law,' under the terms of the [plea in abeyance agreement], must necessarily be a conviction and not merely an allegation of misconduct." Alternatively, Mr. Stevenson argues we should conclude that this provision is ambiguous because of "the disagreement between the parties regarding its meaning, as well as the disagreement between the trial court and Court of Appeals." He then argues that we must construe that ambiguity in his favor.
¶ 21 We reject each of Mr. Stevenson's arguments. As an initial matter, we conclude that the condition is not ambiguous. An overriding principle in contract law is that "the intentions of the parties are controlling."
¶ 22 We have previously rejected the argument that a contract provision is ambiguous merely because the parties disagree as to its meaning.
¶ 23 The language of the "no violations of law" condition unambiguously does not require proof of a conviction. Webster's Third New International Dictionary defines "violation" as "an infringement or transgression."
¶ 24 Reading the phrase "no violations of law" to not require proof of a conviction also comports with how we have interpreted similar conditions in the probation context. In State v. Bonza, a defendant facing revocation of his probation argued that his probation could not be revoked for a failure to comply with the law because "he was not formally charged with [a subsequent crime] in a separate proceeding nor found guilty by a jury."
¶ 25 For these reasons, we conclude that the plain meaning of the phrase "no violations of law" unambiguously does not require proof of a conviction to establish a defendant's failure to comply with the condition.
¶ 26 In concluding that the "no violations of law" condition does not require proof of a
¶ 27 There are numerous instances where a violation of a condition may result in a later independent prosecution. The hypothetical proposed by the court of appeals makes for a good example:
¶ 28 Layton City identifies several practical problems that might arise should the prosecution need to provide proof of a conviction in a later case to establish a failure to comply with a plea in abeyance condition in an earlier case. For instance, requiring proof of a conviction might cause undesirable delays and deprive a court that has accepted a plea in abeyance the ability to oversee the plea. Moreover, if the second jurisdiction moves slowly through its docket, the prosecutors in the first jurisdiction might simply run out of time to establish a defendant's failure to comply with a condition because the second jurisdiction does not enter a conviction before the plea in abeyance agreement expires. Indeed, that is precisely the situation we are presented with here. Mr. Stevenson's plea in abeyance agreement in the Layton City action had an eighteen month term and was set to terminate in August 2010. The Sunset City action resulted in a diversion agreement that terminated in May 2011. So it would have been impossible for the Layton City prosecution to know whether the Sunset City action would result in a conviction or dismissal until after the Layton City plea in abeyance agreement had already terminated.
¶ 29 The fact that section 77-2a-4(2) specifically anticipates an independent prosecution for a violation of a plea in abeyance condition supports our textual analysis of the "no violations of law" condition because it strongly indicates that a conviction is not required for the prosecution to establish a failure to comply with a condition.
¶ 30 Mr. Stevenson next argues that his right to the presumption of innocence
¶ 31 A plea in abeyance cannot be accepted by a district court until after the defendant enters either a guilty or no contest plea in compliance with rule 11 of the Utah Rules of Criminal Procedure.
¶ 32 Here, neither the plea in abeyance statute nor Mr. Stevenson's plea in abeyance agreement granted him the right to be presumed innocent in a plea in abeyance evidentiary hearing. For this reason, we conclude that the right to be presumed innocent was inapplicable at his evidentiary hearing and accordingly reject his argument.
¶ 33 Having determined that the prosecution need not provide proof of a conviction to establish a failure to comply with a "no violations of law" condition, we turn to the question of what the applicable standard of proof is in establishing violation of a condition.
¶ 34 Mr. Stevenson contends that the applicable standard is "beyond a reasonable doubt." He suggests that this standard is mandated by his right to be presumed innocent. He also argues that a plea in abeyance evidentiary hearing is akin to a criminal contempt proceeding where the standard of proof is beyond a reasonable doubt.
¶ 35 We disagree. The "preponderance of the evidence" standard is the appropriate standard of proof to apply in a plea in abeyance evidentiary hearing for two main reasons.
¶ 36 Mr. Stevenson argues that the appropriate burden of proof at a plea in abeyance evidentiary hearing is the "beyond a reasonable doubt" standard because that standard would be "consistent with the constitutional presumption of innocence."
¶ 37 We reject this argument for the same reason we reject it above in our discussion of the "no violations of law" condition.
¶ 38 Mr. Stevenson next argues that we should apply the "beyond a reasonable doubt" standard to plea in abeyance evidentiary hearings because such a hearing is effectively a criminal contempt proceeding. We disagree. A criminal contempt proceeding is fundamentally different from a plea in abeyance evidentiary hearing in that a person charged with criminal contempt is entitled to the right to be presumed innocent.
¶ 39 A better analog for a plea in abeyance evidentiary hearing is a probation violation hearing. Though the two proceedings are not identical, we agree with Layton City that the similarities between the two predominate, three of which we discuss below. Accordingly, we conclude that the "preponderance of the evidence" standard is the more appropriate standard for plea in abeyance evidentiary hearings.
¶ 40 First, a defendant's right to be presumed innocent is inapplicable in both a probation violation hearing and a plea in abeyance evidentiary hearing. As for plea in abeyance evidentiary hearings, a defendant is not entitled to be presumed innocent with respect to the underlying crime, because he waived that right by entering a rule 11 plea.
¶ 41 Second, a plea in abeyance and probation are similar in that each provides a defendant with the opportunity to avoid criminal penalties in exchange for compliance with certain conditions. The Utah Code expressly recognizes that "[p]robation is an act of grace by the court suspending the imposition or execution of a convicted offender's sentence upon prescribed conditions."
¶ 42 A defendant seeking a plea in abeyance similarly appeals to the grace of the court, as indicated by the language in the plea in abeyance statute. Section 77-2a-1(2) of the Utah Code states that a plea in abeyance agreement is only effective "following acceptance of the agreement by the court." A plea in abeyance is discretionary; nothing in the statute requires a court to accept a plea in abeyance agreement. The statute makes clear that a plea in abeyance, like probation, offers a defendant the opportunity to avoid criminal penalties to which the defendant would have otherwise been subject.
¶ 43 Finally, three statutory similarities between probation and a plea in abeyance support applying the same standard of proof. First, probation and a plea in abeyance are similar in terms of a court's ability to oversee administration of the benefit. In fact, the plea in abeyance statute expressly allows courts to oversee a plea in abeyance agreement in the same way the court would oversee probation: "[t]he court may require the Department of Corrections to assist in the administration of the plea in abeyance agreement as if the defendant were on probation."
¶ 44 Second, the probation and plea in abeyance statutes allow for similar conditions to be imposed on a defendant. In the probation setting, section 77-18-1(8) allows a court to require "as a condition of probation ... that the defendant ... comply with other terms and conditions the court considers appropriate." Similarly, section 77-2a-3(5) in the plea in abeyance statute provides that "[t]he terms of a plea in abeyance agreement may include ... an order that the defendant comply with any other conditions which could have been imposed as conditions of probation upon conviction and sentencing for the same offense."
¶ 45 And last, the probation and plea in abeyance statutes provide similar procedures for assessing whether a defendant has violated a condition. The plea in abeyance statute authorizes a court to "issue an order requiring the defendant ... to show cause why the court should not find the terms of the agreement to have been violated and why the agreement should not be terminated."
¶ 46 The probation statute provides for a similar procedure. After receiving "an affidavit alleging with particularity facts asserted to constitute violation of the conditions of probation," the court determines whether there is "probable cause to believe that revocation, modification, or extension of probation is justified."
¶ 47 In arguing against the proposition that a plea in abeyance is analogous to probation,
¶ 48 First, Mr. Stevenson points out that a plea in abeyance and probation differ in their timing. A plea in abeyance comes before a conviction is entered, whereas probation follows entry of conviction and imposition of a sentence. But this distinction is immaterial because both a plea in abeyance and probation follow an admission or judgment of guilt. A plea in abeyance comes after the defendant pleads guilty or no contest pursuant to a rule 11 colloquy. Probation can similarly follow a rule 11 plea, although it may also follow a conviction after trial.
¶ 49 Second, Mr. Stevenson relies on two cases decided by the court of appeals for the proposition that the standard of proof used in the probation setting cannot be used in the plea in abeyance setting. In State v. Wimberly, the defendant argued that the court should require the prosecution to show that he willfully violated his plea in abeyance agreement.
¶ 50 The other court of appeals case relied on by Mr. Stevenson, State v. Turnbow,
¶ 51 Although a plea in abeyance is not identical to probation, we agree with Layton City that the similarities between the two predominate. And we conclude that these similarities sufficiently support applying the "preponderance of the evidence" standard of proof to a plea in abeyance evidentiary hearing.
¶ 52 We hold that the prosecution need not provide proof of a subsequent conviction to establish a defendant's failure to comply with a "no violations of law" condition. Furthermore, we conclude that the applicable burden of proof for establishing a defendant's failure to comply with a plea in abeyance condition is the "preponderance of the evidence" standard. Accordingly, we affirm the court of appeals and remand the case to the district court to determine whether the prosecution can prove by a preponderance of the evidence that Mr. Stevenson failed to substantially comply with the condition in his plea in abeyance agreement that he commit no violations of law. The district court may exercise its discretion in making this determination by either holding an evidentiary hearing or relying on the existing record.
Regardless of what Mr. Stevenson intended with these inconsistent statements, because he has not preserved a challenge that the no contest plea was either unknowing or involuntary, we need not address the validity of his no contest plea. Further, based on the record before us, there is nothing to suggest that Mr. Stevenson did not know he was waiving important constitutional rights by entering the plea.