849 N.W.2d 225
N.D.2014Background
- Nicholas Baatz was convicted of gross sexual imposition in 2009 and sentenced to 20 years.
- Baatz filed multiple postconviction applications alleging denial of counsel at the preliminary hearing, ineffective assistance of trial counsel, and ineffective assistance of appellate counsel.
- Earlier appeals produced two North Dakota Supreme Court decisions (Baatz I and Baatz II) that permitted some claims to proceed and remanded for merits consideration of the right-to-counsel and trial-ineffective-assistance claims.
- On remand the district court (without a new evidentiary hearing) found Baatz had waived counsel at the preliminary hearing because he had not proven indigency or shown adequate attempts to obtain counsel, and that he failed to prove prejudice from trial counsel’s alleged deficiencies.
- The district court also had previously considered and rejected the ineffective-assistance-of-appellate-counsel claim; that issue was not before the Court on this appeal.
- The Supreme Court affirmed, holding (1) denial of appointed counsel at the preliminary hearing was not error because Baatz failed to prove indigency or inability to obtain counsel, and (2) Baatz failed to show prejudice from trial counsel’s conduct.
Issues
| Issue | Plaintiff's Argument | Defendant's Argument | Held |
|---|---|---|---|
| Denial of counsel at preliminary hearing | Baatz: he was indigent and did not validly waive right to counsel | State: Baatz did not prove indigency or show written proof of attempts to retain counsel; he waived by not requesting more time | Court: No error — Baatz failed to meet burden to show indigency or inability to obtain counsel; waiver found |
| Discretionary appointment of counsel under Rule 44(a)(3) | Baatz: court should have appointed counsel because he tried but could not obtain counsel | State: Baatz offered no written proof that attorneys refused and provided only last-minute, unsupported claims | Court: No error — Baatz failed to show required proof of unsuccessful attempts to retain counsel |
| Ineffective assistance of trial counsel | Baatz: counsel failed to investigate, hire investigator, depose witnesses, and misadvised him about pre-sentence interview | State: No prejudice shown; counsel’s conduct did not undermine fairness of trial | Court: No relief — Baatz failed to prove prejudice from counsel’s performance |
| Ineffective assistance of appellate counsel | Baatz: appellate counsel was ineffective on prior appeal | State: Issue was previously addressed and not remanded | Court: Not considered on appeal because it was not before the district court on remand |
Key Cases Cited
- Murchison v. State, 2004 ND 193, 687 N.W.2d 725 (preliminary hearing is a critical stage; defendant must establish indigency for appointed counsel)
- Wilson v. State, 2013 ND 124, 833 N.W.2d 492 (must provide written proof that at least two attorneys refused representation to establish inability to obtain counsel under Rule 44(a)(3))
- Broadwell v. State, 2014 ND 6, 841 N.W.2d 750 (standards of review and ineffective-assistance framework in postconviction context)
- Baatz v. State (Baatz II), 2013 ND 172, 837 N.W.2d 387 (remand for merits on right-to-counsel and trial-ineffective-assistance claims)
- Baatz v. State (Baatz I), 2011 ND 195, 806 N.W.2d 438 (affirmed conviction; preserved right to raise counsel claims in postconviction relief)