Lead Opinion
[¶ 1] Gerald Ray Middleton appeals from a district court order denying his application for postconviction relief. We affirm because trial counsel’s procedurally deficient motion for a new trial was not proven to prejudice Middleton.
I
[¶ 2] Middleton was found guilty by a jury of continuous sexual abuse of a child, a class AA felony, and corruption of a minor, a class C felony. After the trial, attorney Steven M. Light, now deceased, was substituted as Middleton’s new counsel. Middleton then moved for a new triаl. The brief in support of Middleton’s motion stated, in its entirety:
FACTS
On April 5, 2010, Gerald Middleton (hereinafter “Middleton”) was charged via Information with Continuous SexualAbuse of a Child, a Class AA Felony, and Corruption of a Minor, a Class C Felony. A Jury Trial commenced October 24, 2011. On October 29, 2011, the jury returned a verdict of Guilty on both counts.
LAW
Under Rule 33 of the North Dakota Rules of Criminal Procedure, the court may grant a new trial to the defendant if required in the interest of justice. State v. Kraft,413 N.W.2d 303 , 308 (N.D. 1987).
Respectfully submitted this 8th day of November, 2011.
The district court denied Middleton’s motion, ruling Middleton failed to include any legаl arguments or facts to support his motion. Middleton was sentenced, and a judgment was subsequently entered. Light died three months after submitting the brief in support of the new trial motion.
[¶ 3] Represented by new counsel, Middleton filed a direct appeal, arguing the district court erred in denying his pretrial motion to release the victim’s medical records and the State engaged in prosecu-torial misconduct during closing argument. See State v. Middleton,
[¶ 4] Middleton filed an application for postconviction relief, arguing his trial counsel and appellate counsel were ineffective on four grounds. With respect to Light, Middleton argued, “Post-trial counsel filed a substantively deficient motion for new trial thereby effectively denying Mr. Middleton direct appellate review of his case by the North Dakota Supreme Court[.]” After an evidentiary hearing, the district court denied Middleton’s application for postconviction relief. Regarding Middleton’s postconviction claims about Light, the district court held:
“D. Middleton failed to show how the results of his appeal would have been different if appellate counsel’s Motion for a New Trial was laden with more legal arguments and facts to support his position.
“The North Dakota Supreme Court applied N.D.R.Crim.P. 52(b) to Middleton’s appeal. State v. Middleton,2012 ND 181 , ¶ 7,820 N.W.2d 738 , 739-40. The Supreme Court found that Mr. Middleton had not ‘suffered serious injustice,’ and thus he was not entitled to a review of the issues for obvious error. Id. Consequently, the Court found appellate counsel’s performance did not deny Mr. Middleton the opportunity for direct apрellate review by the North Dakota Supreme Court.
“Here, Middleton was afforded an opportunity for an evidentiary hearing. The only evidence produced by Middleton at the evidentiary hearing was evidence of dissatisfaction with his trial attorney and his appellate attorney. There was no evidence presented to establish how a longer preparation time would have changed the outcome of the trial or that trial counsel failed to present relevant evidеnce that would have changed the outcome of the trial.”
II
[¶ 5] Middleton argues the district court committed reversible error in denying his application for postconvietion relief. Postconviction proceedings are civil in nature and governed by the North Dakota Rules of Civil Procedure. Moore v. State,
“A trial court’s findings of fact in a post-conviction proceeding will not be disturbed on appeal unless clearly erroneous under N.D.R.Civ.P. 52(a). A finding is clearly erroneous if it is induced by an erroneous view of the law, if it is not supported by any evidence, or if, although there is some evidence to support it, a reviewing court is left with a definite and firm cоnviction a mistake has been made. Questions of law are fully reviewable on appeal of a post-conviction proceeding.”
Broadwell v. State,
III
[¶ 6] Middleton argues Light provided ineffective assistance of counsel in filing his motion for a new trial.
“The issue of ineffective assistance of counsel is a mixed question of law and fact which is fully reviewable by this court. To succeed on a claim for ineffective assistance of counsel, a petitioner must prove counsel’s performancе fell below an objective standard of reasonableness and the deficient performance prejudiced him. Even where the' court finds that counsel’s representation fell below an objective standard of reasonableness, prejudice is not normally assumed. Unless counsel’s errors are so blatantly and obviously prejudicial that they would in all cases, regardless of the other evidence presented, create a reasonable probability of a different result, the рrejudicial effect of counsel’s errors must be assessed within the context of the remaining evidence properly presented and the overall conduct of the trial. Courts need not address both elements of the ineffective assistance of counsel test, and if a court can dispose of the case by addressing only one element, it is encouraged to do so.”
Broadwell,
A
[¶ 7] As we noted in Middleton:
“A defendant may move for a new trial under N.D.R.Crim.P. 33. A motion for a new trial must specify the alleged defects and errors with particularity. N.D.R.Crim.P. 33(a). A defendant is required to assert all alleged errors in a motion for new trial. State v. Jordheim,508 N.W.2d 878 , 880-81 (N.D.1993). A motion for a new trial is not necessary for appellate review, but if a defendant moves for a new trial he is limited on appeal to the grounds presented to the district court in the motion. State v. Zajac,2009 ND 119 , ¶8,767 N.W.2d 825 ; see also State v. Hernandez, ■2005 ND 214 , ¶ 34,707 N.W.2d 449 ; State v. Syring,524 N.W.2d 97 , 100 (N.D.1994); Jordheim, at 880-81.”
[¶ 8] Light died three months after filing the new trial motion and brief and was therefore unavailable to explain this course of action. However, even granting all reasonable inferences that can be drawn from the record, we conclude Light’s performanсe was objectively unreasonable. Cf. Heckelsmiller v. State,
B
[¶ 9] Middleton argues the district court misapplied the law when it equated this Court’s direct appeal holding that no obvious error existed to a holding that Light’s actions were not prejudicial. The district court reasoned:
“The North Dakota Supreme Court applied N.D.R.Crim.P. 52(b) to Middleton’s appeal. State v. Middleton,2012 ND 181 , ¶ 7,820 N.W.2d 738 , 739-40. The Supreme Court found that Mr. Middleton had not ‘suffered serious injustice,’ and thus he was not entitled to a review of the issues for оbvious error. Id. Consequently, the Court found appellate counsel’s performance did not deny Mr. Middleton the opportunity for direct appellate review by the North Dakota Supreme Court.”
Contrary to the district court’s holding, we did not evaluate the performance of Middleton’s attorneys in Middleton,
[¶10] Under N.D.R.Crim.P. 52(b), “[a]n obvious error or defect that affects substantial rights may be considered even though it was not brought to the court’s attention.” This Court’s explanation of whether a defendant’s substantial rights have been affected is similar to the language used to determine prejudice under an ineffective assistance of counsel analysis. Compare City of Fargo v. Erickson,
C
[¶ 11] Middleton argues he was prejudiced by Light’s filing of the new trial motion and his failure to preserve any issues for appeal. The State argues, “Middleton has failed to establish, with any evidence, that Mr. Middleton’s appeal would have been successful on its merits. In other words, Middleton fails to identify the probable different result.” The district court agreed with the State, as do we.
[¶ 12] The district court found, “Middleton failed to show how the results of his appeal would have been different if appellate counsel’s Motion for a New Trial was laden with more legal arguments and facts to support his position.” The district court concluded:
“Middleton was afforded an opportunity for an evidentiary hearing. The only evidence produced by Middleton at the evidentiary hearing was evidence of dissatisfaction with his trial attorney and his appellate attorney. There was no evidence presented to establish how a longer preparation time would have changed the outcome of the trial or that trial counsel failed to present relevant evidence that would have changed the outcome of the trial.”
[¶ 13] Middleton’s burden to show prejudice is well-established:
“To meet the prejudice prong of the Strickland test, the defendant bears the heavy burden of establishing a reasonable probability that, but for counsel’s unрrofessional errors, the result of the proceeding would have been different. To meet this burden the defendant must prove not only that counsel’s assistance was ineffective, but must demonstrate with specificity how and where trial counsel was incompetent and must specify the probable different result if trial counsel had not performed incompetently. We have explained that, ‘[u]nless counsel’s errors are so blatantly and obviously prejudicial that they would in all cases, regardless оf the other evidence presented, create a reasonable probability of a different result, the prejudicial effect of counsel’s errors must be assessed within the context of the remaining evidence properly presented and the overall conduct of the trial.’ ”
Osier v. State,
[¶ 14] Middleton has not established the existence of meritorious issues that could have been raised in either the new trial motion or the direct appeal had a new trial motion not been filed by Light. Rather, Middletоn argues prejudice should be presumed because the inadequate new trial motion effectively denied him the right to appeal.
[¶ 15] In support of his per se prejudice argument, Middleton relies on that part of Strickland v. Washington holding, “In certain Sixth Amendment contexts, prejudice is presumed. Actual or constructive denial of the assistance of counsel altogether is legally presumed to result in prejudice.”
[¶ 16] Middleton also cites to Commonwealth v. Lantzy,
[¶ 17] Outside of the narrow circumstance where a requested direct appeal is not taken, we have held a pоstconviction relief applicant “must demonstrate with specificity how and where trial counsel was incompetent and must specify the probable different result if trial counsel had not performed incompetently.” Osier,
[¶ 18] The dissent points out at ¶ 26 that this Court held differently in Heckelsmiller,
[¶ 19] Reversing the district court, this Court determined Heckelsmiller’s trial counsel’s performance fell below an objective standard of reasonableness when he failed to make an offer of proof. Heckelsmiller,
[¶ 20] As we explained above, we conclude the better rule is to reserve the per se presumption of prejudice to that narrow set of cases where counsel fails to perfect a requested appeal. Whiteman,
IV
[¶ 21] We affirm the district court order finding no showing was made that trial counsel’s procedurally deficient motion for new trial prejudiced Middleton.
Dissenting Opinion
dissenting.
[¶ 23] I respectfully dissent from part IIIC of the majority opinion. Light’s procedurally deficient new trial motion precluded all substantive review of Middleton’s аppellate claims. Therefore, prejudice should be presumed, ineffective assistance of counsel should be found, the district court’s order should be reversed, and the case should be remanded with leave for Middleton to file a new motion for a new trial.
[¶ 24] Middleton argues he should not be required to show prejudice, and there should be a presumption of prejudice because Light’s procedurally deficient motion constructively denied Middleton his right
[¶ 25] On appeal, this Court determined Heckelsmiller’s trial counsel’s performance fell below an objective standard of reasonableness when he failed to make an offer of proof. Id. at ¶¶ 9-11. This Court reasoned “at the very least, trial counsel should have asked the court to inquire into the testimony that Donna and William Heckelsmiller did observe. If the district court judge nonetheless excluded this testimony, trial counsel would have preserved the record for appeal, permitting a meaningful appellate review of the trial judge’s refusal to allow the witnesses to testify.” Id. at ¶ 10 (citation omitted). With respect to the issue of prejudice under the ineffective assistance of counsel standard, this Court held:
We need not speculate whether or not a reasonable probability exists that Andrew Heckelsmiller would have been acquitted of a crime requiring knowing misconduct if Donna and William Heck-elsmiller were allowed to corroborate Andrew Heckelsmiller’s only defense, and if William Heckelsmiller were allowed to testify.... Rather, the significant point is that counsel’s failure to make an offer of proof prevented a meaningful appeal on the issue of whether or not Donna and William Heckelsmiller should have been allowed to testify. [State u] Heckelsmiller,2004 ND 3 , ¶ 1,676 N.W.2d 813 ; cf. Whiteman [ v. State ],2002 ND 77 , ¶ 17,643 N.W.2d 704 (overruling cases that can be construed to require defendant to demonstrate how appeal would have been mеritorious in order to establish that defendant was prejudiced by attorney’s failure to preserve a requested appeal).
Id. at ¶ 12 (emphasis added).
[¶ 26] The majority concludes that the presumption of prejudice in ineffective assistance of counsel cases should be limited to those cases where counsel fails to perfect a requested appeal. However, the holding in Heckelsmiller is not so limited. The crux of that case was that counsel’s conduct prevented “a meaningful appeal.”
[¶ 27] In this case, Middleton attempted to raise two issues in his direct appeal: “the district court erred in denying his motion to release the victim’s medical records and the State engaged in prosecutorial misconduct during closing argument.” State v. Middleton,
[¶ 28] The majority states in ¶ 20 that it is “declin[ing] to apply Heclcelsmiller beyond its facts,” but gives no principled basis for declining to follow this Court’s own precedent. In Heclcelsmiller, this Court found the procedural default of an attorney at trial effectively deprived a criminal defendant of a meaningful appeal on whether witnesses should have been allowed to testify, citing this Court’s per curiam affirmance of Heckelsmiller’s conviction.
[¶ 29] The procedural default in this case was post-trial. The ineffectiveness of the attorney’s action is blatant on the record. It eliminated all issues on appeal for Middleton. Prejudice does not even need to be presumed; it is obvious on the record. If the majority is concerned the holding in Heclcelsmiller can be interpreted to presume prejudice when trial counsel’s ineffectiveness prevents meaningful appeal on a single issue, that is not Middleton’s situation. The procedural default in filing a motion for a new trial which identified no issues prevented appellate review of any issues. It is the equivalent of failing to file a notice of appeal, and the analogy here is closer to Whiteman than it was in Heclcelsmiller. On postconviction relief, when the petitioner asserts ineffectiveness of counsel, the burden on the petitioner is to establish that counsel’s performance was deficient and such deficiency resulted in prejudice. Both prongs are obvious on the record in this case. That being so, Middleton should be put in the position he was in at the time counsel’s performance harmed him. He should be allowed to file a motion for a new trial before the district court.
[¶ 30] I respectfully dissent.
[¶ 31] CAROL RONNING KAPSNER
