Heilman v. Courtney
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Heilman v. Courtney
Opinion of the Court
Appellant Donald Heilman, a participant in the Challenge Incarceration Program administered by the Department of Corrections (Department), contends that he was "released from prison" within the meaning of Minn. Stat. § 169A.276, subd. 1(d) (2018), when he entered phase II of that program. Heilman asserts that, under the correct statutory analysis, the State failed to calculate his conditional-release term correctly and revoked his conditional release improperly after it had already ended.
FACTS
On September 13, 2004, Heilman was sentenced to a stayed 51-month prison sentence for a conviction of first-degree driving while impaired (DWI). See Minn. Stat. § 169A.24 (2018). The district court also imposed a 5-year conditional-release term as required by law. See Minn. Stat. § 169A.276, subd. 1(d) ("[W]hen the court commits a person to the custody of the commissioner of corrections [for first-degree DWI], it shall provide that after the person has been released from prison the commissioner shall place the person on conditional release for five years."). Following a probation revocation hearing, Heilman's prison sentence was executed on May 22, 2007.
In December 2007, Heilman entered the Department's Challenge Incarceration Program (Program). See
Heilman finished phase I boot camp in July 2008 and entered phase II of the Program, which allowed him to live at his home. Though at his home, Heilman remained subject to "intensive supervision and surveillance."
Heilman moved to North Branch as he entered phase II. During the subsequent 18 months, Heilman secured work with several employers. He progressed from phase II to phase III in January 2009. Had Heilman successfully completed phase III, he would have been "placed on supervised release for the remainder of the sentence." See
On December 27, 2010, the Department released Heilman. By this date, Heilman *391had served two-thirds of his original 51-month sentence, the statutorily required minimum "term of imprisonment." See
On March 12, 2014, Heilman was arrested for failing to complete inpatient chemical dependency treatment. On March 25, the Department held a hearing and revoked Heilman's release for 180 days from the date of arrest, but the Department then released Heilman on May 14. Why the Department released Heilman 50 days after this hearing, and 63 days after his arrest, is not clear from the record.
In July 2016, Heilman filed a complaint against Courtney, the Department's program manager, asserting claims against the State for negligence and false imprisonment. His complaint alleged the following:
• "By law, the conditional release period began after the plaintiff was released from prison."
• "Plaintiff was released from prison on July 9, 2008, to the Challenge Incarceration Program (also know[n] as 'Boot Camp.')."
• "Release to the boot camp program triggers the start of the conditional release period."
• "Five years from July 2008 is July 2013."
• "The plaintiff's conditional release period therefore expired sometime in July of 2013."
• "In the plaintiff's case, he was imprisoned until May of 2014-nearly a year beyond his lawful sentence."
Heilman asserts, consequently, that he had served his conditional-release term, and his incarceration for approximately 60 days in March, April, and May 2014 was not authorized by law.
The district court granted the State's motion for judgment on the pleadings and dismissed Heilman's claims with prejudice, concluding that Heilman failed to establish that the State intentionally caused his confinement beyond his release date or owed him a duty. Additionally, the district court held that Heilman's confinement was legally justifiable, which is a defense to a claim of false imprisonment, and that Heilman's common-law claims were barred by Heck v. Humphrey ,
Heilman appealed the dismissal of his negligence and false-imprisonment claims. Concluding that Heilman's conditional release was properly revoked, the court of appeals affirmed. Heilman ,
Heilman petitioned for review, which we granted.
ANALYSIS
We are presented with two issues. First, did the court of appeals err when it affirmed the legality of Heilman's 2014 incarceration by interpreting Minn. Stat. § 169A.276, subd. 1(d) ? Second, does a Challenge Incarceration Program participant begin a conditional-release term under Minn. Stat. § 169A.276, subd. 1(d), when entering phase II of the Program?
I.
We first address whether the court of appeals erred by interpreting Minn. Stat. § 169A.276, subd. 1(d), "sua sponte." Heilman claims that the court of appeals "sua sponte engaged in statutory interpretation of Minn. Stat. § 169A.276, subd. 1(d) to dispose of the case, even though the interpretation of Minn. Stat. § 169A.276, subd. 1(d) was not at issue below."
This issue presents a legal question regarding procedural rules, so our standard of review is de novo. Crowley v. Meyer ,
We begin with the observation that, in the district court proceedings, Heilman offered little in the way of legal authority supporting his argument. But in addition to accurate, if implied, references in his complaint to the statute setting out that his conditional-release term began after he was "released from prison," Heilman made the common-sense argument that the Department released him early because it recognized that he was not being lawfully held. The State does not contend that it did not understand the argument that Heilman made at the district court. Heilman's argument that he was wrongly detained by the State is based on a plain reading of the statute and is not complicated. See Minn. Stat. § 169A.276, subd. 1(d)
*393(stating that "after the person has been released from prison the commissioner shall place the person on conditional release for five years" (emphasis added)). It is true that Heilman did not cite the statute that we hold today supports this theory, but the State did cite the statute in its answer. Although the statutory argument could have been better developed and supported, Heilman's claim was presented, considered, and disposed of by the district court and is properly before our court.
II.
Now, we turn to the specific issue presented by this appeal: when did Heilman's conditional-release term begin? The court of appeals concluded that Heilman's conditional-release term began at the same time as his supervised-release term. Heilman ,
The State disagrees with the analyses of both Heilman and the court of appeals. The State asserts that we should find the relevant statutes ambiguous as applied to the Program. It asserts that the Department, in spring 2014, came to the conclusion that the language "released from prison" was ambiguous as applied to Program participants, and as part of a risk management assessment, it decided to "err on the side of under-incarceration." This unwritten policy change, the State explains, coincides with Heilman's reincarceration and early release.
To begin, we note that the court of appeals properly treated the State's motion for judgment on the pleadings as a summary judgment motion, based on the parties' decision to present matters to the court outside the pleadings. See Heilman ,
*394The goal of all statutory interpretation is to "ascertain and effectuate the intention of the legislature."
Several statutes are relevant here, and we consider those statutes by moving from the general to the specific. Under Minnesota's sentencing scheme, felons generally serve sentences in two parts: "(1) a specified minimum term of imprisonment that is equal to two-thirds of the executed sentence; and (2) a specified maximum supervised release term that is equal to one-third of the executed sentence."
Thus, supervised release occurs with most felony sentences, but an additional period of release-"conditional release"-is specifically imposed for certain classes of offenders. For example, certain sex offenders receive a mandatory 10-year conditional-release term; for others, a mandatory lifetime conditional-release term is imposed. See
Relevant here is the conditional-release term for first-degree DWI offenders. "[W]hen the court commits a person to the custody of the commissioner of corrections" for this offense, "it shall provide that after the person has been released from prison the commissioner shall place the person on conditional release for five years." Minn. Stat. § 169A.276, subd. 1(d).
We recently defined the plain meaning of "release" as " 'to set free from confinement or bondage.' " Duncan ,
*395This plain meaning is consistent with the structure of the Challenge Incarceration Program. Confinement is specifically required for phase I Program participants. See
The court of appeals reached a different conclusion for two reasons. We are not persuaded by either.
First, the court held that "supervised release and conditional release are necessarily concurrent ...." Heilman ,
In Maiers , a felon on supervised release violated the terms of release and argued that this violation occurred only during his supervised-release term, not also during his DWI conditional-release term.
*396[B]oth conditional and supervised release are mandated to begin at the same time, i.e., the offender's release from prison. See Minn. Stat. § 169A.276, subd. 1(d) (conditional release);Minn. Stat. § 244.05 , subd. 1b(a) (supervised release). Thus, they are necessarily concurrent until one of them expires.
The reasoning in Maiers is not applicable here. The DWI conditional-release term in question and supervised release under the Program are not "mandated to begin at the same time." Compare Minn. Stat. § 169A.276, subd. 1(d) (providing that DWI conditional release begins "after the person has been released from prison"), with
Second, the court of appeals held that "the physical location of the inmate is not determinative."
Finally, the State disagrees with the analyses of both Heilman and the court of appeals. It argues that Minn. Stat. § 169A.276 is ambiguous as applied to the Challenge Incarceration Program and that it would be absurd to conclude that a felon could be "released" from prison for conditional-release purposes while still in the first, mandatory, two-thirds "minimum term of imprisonment." The problem with this argument, and the similar argument that Justice Lillehaug makes, is that the Challenge Incarceration Program is a specific exception to the general statutory scheme. Most felons may spend two-thirds of their sentence as their minimum term of imprisonment before the Department frees them from confinement and sends them into the community on release. Cf. State v. Wukawitz ,
We close with two additional observations relevant to our conclusion, beginning with the past position of the Department. When Heilman failed the Program in September 2009, a Department record specifically stated the following: "Disposition: Revoke conditional release as described below." (Emphasis added.) That the Department revoked Heilman's "conditional release" in 2009 implies that Heilman did not begin his conditional-release term in 2010, as the State and the dissent now argue. That which has not yet begun cannot be revoked.
Second, our plain language analysis fits with the voluntary nature of the Program. See
CONCLUSION
For the foregoing reasons, we reverse the decision of the court of appeals and remand to the court of appeals for the court to address the remaining issues in this appeal.
Reversed and remanded.
Concurring, Hudson, J.
Dissenting, Lillehaug, McKeig, Thissen, JJ.
Dissenting, Thissen, J.
CONCURRENCE
Although respondent Patrick Courtney was named as a defendant in his individual capacity, it is undisputed that he was acting at all times in his capacity as an employee of the State of Minnesota.
Heilman also argues that he was denied due process and a right to be heard. But he also expressly concedes that any violation of his constitutional due-process rights has been remedied by his opportunity to brief the issue here, and the State agrees. We need not, and do not, address Heilman's due-process and right-to-be-heard claims. Cf. Day Masonry v. Indep. Sch. Dist. 347 ,
Even if we concluded otherwise, the statutory interpretation by the court of appeals also fits squarely within an exception to the general Thiele rule:
[A]n appellate court may base its decision on a theory not presented to nor considered by the trial court where the question raised for the first time on appeal is plainly decisive of the entire controversy on its merits and where there is no possible advantage or disadvantage to either party in not having had a prior ruling on the question by the trial court.
Zip Sort, Inc. v. Comm'r of Revenue ,
Although other issues were briefed at the court of appeals, both parties agreed that the legality of Heilman's confinement was a decisive issue. The State stated in its brief to the court of appeals that Heilman's complaint was "fundamentally premised" on the invalidity of the decision to revoke Heilman's conditional release. And Heilman stated in his briefing to that court that whether he was "incarcerated beyond what the law allowed" was "the point of the lawsuit."
The dissent of Justice Lillehaug makes the point that house arrest is confinement. We agree. But "released from prison" is the decisive statutory phrase, not merely "released" in the abstract. Minn. Stat. § 169A.276, subd. 1(d). Even if Heilman was not "released" from confinement in an absolute sense when he reached phase II, he was "released" in the sense that matters for Minn. Stat. § 169A.276, subd. 1(d) -"released from prison."
We also agree with the dissent of Justice Lillehaug that
This language suggests that an offender is "release[d] from incarceration" when "placed on intensive supervision." The Legislature expressly provided that phase II of the Program is "intensive supervision."
Our general statement in Duncan that an "inmate convicted of DWI serves a conditional-release term concurrently with a supervised-release term, without regard to whether the time is served in the community or in prison,"
The ambiguity analysis of Justice Lillehaug's dissent relies on the objectives of Minn. Stat. § 169A.276 to strengthen and make more uniform the penalties for serious DWI offenses. The dissent argues that our decision makes the statute less effective by giving some DWI offenders an early start on their conditional-release terms and less uniform by disconnecting those terms from supervised-release terms.
It is true that the result today is consistent with an early start for some offenders' conditional-release terms. But this early start is the result of the decision of the Legislature to create the Challenge Incarceration Program, which sends offenders back into the community after a boot camp program and effectively functions, as recognized by the court of appeals, as "an early-release program." Heilman ,
As for the lack of uniformity, it may be generally true that, as the dissent says, conditional-release terms and supervised-release terms are meant to be coordinated: "[C]onditional release is governed by provisions relating to supervised release." Minn. Stat. § 169A.276, subd. 1(d). But we also look to the immediately preceding statutory language that the dissent fails to consider: "Except as otherwise provided in this section , conditional release is governed by provisions relating to supervised release."
Nor are we persuaded by the dissent's reliance on the title of the Program. Although a title of an act may be considered when construing an ambiguous statute, it is " 'not of decisive significance and may not be used to vary the plain import of a statute's explicit language within the scope of the title.' " Wukawitz ,
Concurring Opinion
I agree with the court's plain-language analysis and the conclusion that the conditional-release term imposed by Minn. Stat. § 169A.276, subd. 1(d) (2018), begins when a participant in the Challenge Incarceration Program begins living in the community. Based on this conclusion, I also agree that this case must be remanded to the court of appeals to address the remaining issues in this appeal.
I write separately, however, to explain my concern with section I of the court's opinion, which concludes that the court of appeals did not err when it sua sponte interpreted the language of Minn. Stat. § 169A.276, subd. 1(d). In my view, the court of appeals' analysis violated the principle of party presentation. Under this important principle, we rely on the parties to frame the issues for decision and assign to courts the role of neutral arbiter of matters the parties present.
"A reviewing court must generally consider only those issues that the record shows were presented and considered by the trial court in deciding the matter before it." Thiele v. Stich ,
The court suggests that, even if I am correct that Thiele generally precluded the court of appeals from addressing the meaning of "released from prison," this case nevertheless falls within the no-possible-advantage exception of our forfeiture jurisprudence. I recognize that an appellate court may base its decision on a theory that was not presented or considered by the district court "where the question raised for the first time on appeal is plainly *399decisive of the entire controversy on its merits and where there is no possible advantage or disadvantage to either party in not having had a prior ruling on the question by the [district] court." Zip Sort, Inc. v. Comm'r of Revenue ,
The court also suggests that Heilman's stipulation of when he began his supervised-release term alleviates any potential disadvantage. But that stipulation is immaterial to the advantage/disadvantage analysis. What disadvantaged Heilman was not that the court of appeals used a particular date as the start date of Heilman's supervised-release term, but rather that the court concluded, without any input from Heilman, that his supervised-release date and his conditional-release date were the same date. The stipulation that Heilman's supervised-release date was in December 2010 does not affect the prejudice to Heilman that resulted from this analysis.
Finally, the court of appeals justified its decision to sua sponte interpret the statute on the basis that it could " 'affirm the judgment if it can be sustained on any grounds.' " Heilman ,
Of course, appellate courts have the power to "take any ... action as the interest of justice may require." Minn. R. Civ. App. P. 103.04. And courts have the responsibility to "decide cases in accordance with law," which is "not to be diluted by counsel's failure to specify issues or to cite relevant authorities." State v. Vasko ,
The interests of justice are not served when the appellate courts decide cases based on issues that were neither raised nor argued by the parties because in our *400adversary system, "we follow the principle of party presentation." Greenlaw v. United States ,
As this case exemplifies, the principle of party presentation is more than a prudential rule of convenience. Heilman persuasively argued, to our court, that he was denied due process and a right to be heard when the court of appeals decided this case based on an issue that was not subject to adversarial briefing and argument. The court properly declines to address this claim because Heilman conceded in this argument that any due-process violations have been remedied by his opportunity to brief the issue here, and therefore the court's consideration of the statutory-interpretation issue does not violate the principle of party representation. But to be clear, Heilman was afforded that opportunity only because we granted his petition for further review-a discretionary decision that we exercise sparingly. In the 2017-2018 term, we received 531 petitions for review and granted review in 81 cases-approximately 15 percent. These statistics underscore the importance of an adversarial system where appellate courts confine themselves to ruling on legal questions presented and argued by the parties before them.
Because Heilman was afforded the opportunity to brief the statutory-interpretation issue in our court and because under the unambiguous language of the statute Heilman was released from prison when he entered Phase II of the Challenge Incarceration Program, I agree with the result in this case, though I only join section II of the court's opinion.
DISSENT
Dissenting Opinion
Because there are two reasonable interpretations of Minn. Stat. § 169A.276, subd. 1(d) (2018), regarding when an offender is considered "released from prison," and because the court's interpretation is less reasonable than the court of appeals' interpretation, I respectfully dissent.
This case lies at the intersection of two statutes: one strengthening the law against driving while under the influence (DWI) by imposing mandatory penalties, Minn. Stat. § 169A.276, and the other governing the Challenge Incarceration Program, see
*401The question is, what did the Legislature mean by the phrase "released from prison"? The court interprets the phrase to mean that a DWI offender who participates in the Challenge Incarceration Program is "released from prison" upon completing the Program's Phase I; that is, when the offender is no longer confined within a Minnesota Correctional Facility. In other words, one is "released from prison" when one is no longer housed within the four walls of what is commonly thought of as a "prison." I agree that this interpretation is reasonable.
But there is a second reasonable interpretation: the one adopted by the court of appeals. An offender is "released from prison" when the offender completes the term of imprisonment . "Term of imprisonment" has long been defined by the Legislature as two-thirds of the executed sentence.
"If a statute is reasonably susceptible to more than one interpretation, it is ambiguous and we may resort to the canons of construction or legislative history to determine the intent of the Legislature." State ex. rel. Duncan v. Roy ,
First, the court of appeals' interpretation better fits with the plain meaning of the statutory word "release." We defined that word in Duncan , concluding that an offender is "released" when "set free from confinement or bondage." Id . at 277. In Duncan , we recognized that that moment was when the term of supervised release began. In the Challenge Incarceration Program, supervised release begins, not at the end of Phase I, but only when all three Phases of the Program have been completed successfully.
Second, as its title announces, offenders in the Challenge Incarceration Program are incarcerated. One who is "incarcerated" is not free from confinement or bondage. See The American Heritage Dictionary of the English Language 887 (5th ed. 2011) (defining incarcerate as "[t]o shut in; confine" as well as "[t]o put in a prison or jail"). After the offender completes Phase I, the offender is still "committed to the commissioner's custody,"
I doubt that offenders in Phase II of the Challenge Incarceration Program consider themselves "free from confinement or bondage." As the court acknowledges, such offenders are basically under "house arrest," subject to intensive supervision and surveillance, daily reporting, drug tests without notice, and any other requirements imposed by the commissioner.
Third, the court of appeals' interpretation better promotes the objective of section 169A.276 : to remedy a serious, repeated DWI problem by establishing mandatory penalties for felony violations. See
The court's interpretation makes the statute less effective and uniform. It gives some first-degree DWI offenders an early start on their conditional-release terms and disconnects those terms from the supervised-release terms. This discrepancy undermines the system of mandatory penalties the Legislature enacted to remedy a serious problem.
For all of these reasons, the court of appeals' reasonable interpretation of the statute is better aligned with the Legislature's intent. Therefore, I respectfully dissent from the court's conclusion that a first-degree DWI offender is "released from prison" upon completion of Phase I of the Challenge Incarceration Program. I would affirm the decision of the court of appeals.
I agree with the court that work release and the Challenge Incarceration Program differ in important respects. But in at least one important respect-the meaning of release, as opposed to confinement-the programs are sufficiently similar.
Minnesota Statutes § 244.085(5)(v) (2018), the statute which requires the commissioner of corrections to submit an annual report on DWI offenders, also supports the court of appeals' interpretation. One portion of that statute deals expressly with the Challenge Incarceration Program. It requires the commissioner to state the number of such offenders "placed in the challenge incarceration program, the number of offenders released from prison under this program, and the number of these offenders who violate their release conditions and the consequences imposed ...."
Dissenting Opinion
I join in the dissent of Justice Lillehaug.
Dissenting Opinion
I join in the dissent of Justice Lillehaug.
DISSENT
Dissenting Opinion
I join in Justice Lillehaug's dissent because I agree with his analysis of the legislative intent behind Minn. Stat. § 169A.276 (2018).
I write briefly because I find troubling the Department of Corrections' goalpost *403moving. In 2009, the Department stated that appellant Donald Heilman's "conditional release" was revoked. As the majority points out, "[t]hat which has not begun cannot be revoked." Nonetheless, in 2014, the Department switched positions, claiming conditional release did not start until December 2010. And then, several weeks later, the Department again switched course, claiming a new policy of "underincarceration." The Department's conduct is unacceptable when an individual's freedom is at stake and contributes to a sense that the criminal justice system is arbitrary and unfair. If there is a justification for the Department's indecision, it is due in part to the proliferation of conditional-release provisions with different rules for different crimes and the Legislature's enactment of a variety of early-release provisions, e.g., private employment of inmates,
Reference
- Full Case Name
- Donald G. HEILMAN v. Patrick C. COURTNEY, as Program Manager for Minnesota Department of Corrections
- Cited By
- 2 cases
- Status
- Published