State v. Hoelzel, No. C8-00-851.

• Decision Date: 14 February 2002
• Docket Number: No. C8-00-851.
• Citation: 639 N.W.2d 605
• Parties: STATE of Minnesota, Respondent, v. Richard Alan HOELZEL, Petitioner, Appellant.
• Court: Minnesota Supreme Court

639 N.W.2d 605

STATE of Minnesota, Respondent, v. Richard Alan HOELZEL, Petitioner, Appellant.

No. C8-00-851.

Supreme Court of Minnesota.

February 14, 2002.

John M. Stuart, Minnesota State Public Defender, Michael F. Cromett, Assistant State Public Defender, Minneapolis, for Appellant.

Michael A. Hatch, State Attorney General, St. Paul, Amy Klobuchar, Hennepin County Attorney, Mary M. Lynch, Assistant County Attorney, Minneapolis, for Respondent.

Heard, considered, and decided by the court en banc.

O P I N I O N

PAUL H. ANDERSON, Justice.

After a bench trial in Hennepin Count District Court, appellant Richard Alan Hoelzel was found guilty of a felony for burglary in the first degree and a gross misdemeanor for interference with an emergency call. The court stayed imposition of sentence on the gross misdemeanor, but refused to take further action on the felony. The state appealed and the Minnesota Court of Appeals held that the district court's action was the functional equivalent of a stay of adjudication, and as such was improper under the circumstances. The court of appeals reversed and remanded for sentencing on the felony burglary. We reject the court of appeals' characterization of the district court's action as a stay of adjudication, construe the state's appeal to be a petition for a writ of mandamus, and conclude that the state is entitled to a writ compelling the district court to act. We affirm in part, reverse in part, and remand.

Richard Alan Hoelzel and Diana Dioquino were married in May 1986. They separated around February 1999, and Dioquino moved in with her brother in Corcoran, Minnesota, while Hoelzel stayed at the family home in Medina, Minnesota. On March 15, 1999, Dioquino obtained an order for harassment hearing and an ex parte temporary restraining order (TRO) ordering Hoelzel to have no contact with Dioquino either in person or by telephone. The TRO was in effect until a hearing which was held on March 29, 1999, at which time both parties appeared and signed a stipulation continuing the hearing to October 4, 1999. The order continuing the hearing provided that the TRO remain in full force and effect. It also provided that "the parties may contact each other through attorneys" and that Dioquino "may contact" Hoelzel.

In June 1999, a default judgment and decree dissolving the marriage was entered. The decree granted Hoelzel temporary occupancy of the Medina home pending its sale. Service of the judgment and decree on Hoelzel could not be effectuated despite multiple attempts and the person attempting service concluded that Hoelzel was avoiding service of the judgment and decree. In July 1999, an ex parte order amending the judgment and decree was issued. The amended decree gave sole and exclusive possession of the Medina home to Dioquino, subject to Dioquino placing the home on the market for sale, with net proceeds being divided evenly between Dioquino and Hoelzel. Service of the order amending the judgment and decree was made on Hoelzel on July 28, 1999, along with correspondence demanding Hoelzel vacate the property by July 30, 1999. Hoelzel continued to remain in the Medina home until sometime in August 1999 when he was evicted by the sheriff. After Hoelzel's eviction, Dioquino took possession of the Medina home, but continued to reside with her brother in Corcoran.

On September 18, 1999, Dioquino was in the attached garage of the Medina home when Hoelzel walked up the driveway and into the garage. Dioquino told him that he could not be there, retreated into the home through the garage service door, and attempted to close the door behind her. Hoelzel prevented Dioquino from closing the door and pushed his way into the home by force.

Once inside the home, Hoelzel seated himself in the kitchen and began speaking about his relationship with Dioquino. Dioquino told Hoelzel to leave and, holding the portable phone receiver in her hand, said, "You don't want me to call the police, do you?" Hoelzel responded by unplugging the base unit of the portable phone. Hoelzel then left the home and sat in the backyard. At some point, Dioquino was able to call the police, and when the police arrived they arrested Hoelzel.

Hoelzel was charged with one count of first-degree burglary, a felony under Minn. Stat. § 609.582, subd. 1(a) (2000); one count of interference with an emergency call, a gross misdemeanor under Minn. Stat. § 609.78, subd. 2 (2000); and one count of violation of an order for protection, a misdemeanor under Minn.Stat. § 518B.01, subd. 14(a)(b) (2000). Hoelzel waived his right to a jury trial, and a bench trial was held. Over the course of the two-day trial, the court heard testimony from three witnesses: Dioquino, Hoelzel, and a former neighbor who was present at the Medina home on the date of the incident. The court found Hoelzel guilty of first-degree burglary and interference with an emergency call, but found him not guilty of violating an order for protection. Specifically, the court stated on the record that "burglary in the first degree has been proven beyond a reasonable doubt" and that Hoelzel "stands convicted of" burglary.

At sentencing, the judge who presided at the trial explained that he found Hoelzel guilty of first-degree burglary because the state satisfied the technical requirements of the law, but the judge questioned whether Hoelzel should be sentenced as a felon because of the circumstances in this case. While the judge was addressing these sentencing concerns, Hoelzel interrupted the judge, as he had done throughout the proceedings. This time, however, the judge found Hoelzel in contempt and continued the sentencing to the next day. On the next day, the judge repeated his concerns about sentencing Hoelzel as a burglar, drawing distinctions between the facts of this case and more typical first-degree burglaries. The judge indicated that while he had to find Hoelzel guilty because the state satisfied its burden of proof from a technical perspective, he did not believe Hoelzel was a burglar. The judge also explained that a felony record for first-degree burglary indicated a level of violence or danger that simply was not present in this case.

After making the foregoing statements, the court announced that Hoelzel was going to be sentenced only for the gross misdemeanor—interference with an emergency call. The court then stayed imposition of that sentence and placed Hoelzel on two years' probation under specific terms and conditions. The court stated that it would not sentence for the burglary because it did not see Hoelzel as a burglar and the conditions of probation for the gross misdemeanor would appropriately restrict his behavior. The court also stated that it was not sentencing for the burglary "until and unless I have to address it by either a revocation or the Court of Appeals tells me I must." Following the hearing, the court entered a sentencing order on May 1, 2000.¹ The record does not contain an official judgment of conviction or order of conviction.

The state appealed the district court's treatment of the burglary. The court of appeals ordered briefing on whether the court had jurisdiction to hear the appeal. The court of appeals ultimately accepted jurisdiction, concluding that the district court's action was the functional equivalent of a stay of adjudication, which is appealable by the state. State v. Hoelzel, 621 N.W.2d 44, 45-47 (Minn.App.2000). The court of appeals then concluded that the special circumstances required for a stay of adjudication were absent in this case and reversed and remanded for sentencing on the burglary count. Hoelzel appeals from this decision, arguing that the district court's action was not the functional equivalent of a stay of adjudication, but rather an appropriate exercise of sentencing discretion.

I.

The court of appeals characterized the district court's action on the felony burglary count as a stay of adjudication. This characterization is significant because the state may appeal from a stay of adjudication, but may not appeal from a sentence on a gross misdemeanor. See Minn. R.Crim. P. 28.04, subd. 1(2); State v. Thoma, 569 N.W.2d 205 (Minn.App.), aff'd, 571 N.W.2d 773 (Minn.1997). It is undisputed that the court did adjudicate the gross misdemeanor count of interference with an emergency call, but it is not clear what the court did with the felony burglary count. Therefore, the proper characterization of the court's action is a threshold issue in this appeal.

Even though both the state and court of appeals characterize the district court's action as the functional equivalent of a stay of adjudication, there is no support in the record for such a characterization. The district court did not state that it was granting a stay of adjudication nor does the term "stay of adjudication" appear anywhere in the record. Rather, the court found Hoelzel guilty of first-degree burglary and stated on the record that "burglary in the first degree has been proven beyond a reasonable doubt" and that Hoelzel "stands convicted of" first-degree burglary.

Unfortunately, it is not clear what the court meant or intended when it stated that Hoelzel "stands convicted." While court-accepted guilty pleas, jury verdicts of guilt, and findings of guilt by a court are often referred to as "convictions,"² a formal adjudication of conviction requires more. For accepted pleas, verdicts, or findings of guilt to become convictions under Minnesota law, the conviction must be recorded. Minn.Stat. § 609.02, subd. 5 (2000) (requiring acceptance and recording of pleas, verdicts, or findings). The general practice, and a practice to which district courts should adhere, is to have the conviction recorded and appear in a judgment entered in the file. See State v. Pflepsen, 590 N.W.2d 759, 767 (Minn. 1999); State v. LaTourelle, 343 N.W.2d 277, 284 (Minn.1984). To facilitate appellate review, courts should follow the steps set forth...