State v. Jones

877 N.E.2d 677, 116 Ohio St. 3d 211
Ohio Supreme Court·Decided November 21, 2007·No. Nos. 2006-1606 & 2006-1851·Published·Cited by 185 cases

Opinions

Lanzinger, J.

{¶ 1} In this case, we are asked to clarify the trial judge’s duties under Crim.R. 11 when accepting a plea in a misdemeanor case involving a petty offense. The Seventh District Court of Appeals certified a conflict, which we accepted along with the state’s discretionary appeal. We reverse the judgment of the court of appeals and remand for consideration of the second assignment of error.

I. Case Background

{¶ 2} Appellee, Joseph Jones Sr., was charged with three counts of domestic violence for allegedly hitting his fiancee’s children with a bug zapper. Two days before trial, Jones filed a motion to dismiss, arguing that R.C. 2919.25 was unconstitutional after the passage of Section 11, Article XV of the Ohio Constitution. On the day of his trial in the Mahoning County Court, Jones entered a plea of guilty to one count of domestic violence, a first-degree misdemeanor. The trial court sentenced him to 180 days in jail with 170 days suspended, a $ 150 fine plus jury costs, and 12 months of probation.1 Jones was ordered to begin serving his sentence that same day.

{¶ 3} Two weeks later, Jones filed a motion to withdraw his guilty plea, pursuant to Crim.R. 32.1. Jones also appealed his conviction and filed a motion to stay the balance of his sentence pending appeal. The court of appeals issued a limited remand for the trial court to rule on the motion to withdraw the guilty plea; after the trial court held a hearing and denied the motion, Jones filed a second notice of appeal.

{¶ 4} Jones argued to the Seventh District Court of Appeals that because the trial court failed to inform him of the effect of the plea of no contest as required by Crim.R. 11(E), he was unaware that he could have challenged on appeal the validity of the domestic violence statute if he had pleaded no contest instead of guilty. He further contended that the trial court abused its discretion when it denied his motion to withdraw his guilty plea. The Seventh District ruled that because the trial court never informed him of the effect of his guilty plea or the [213] effect of a no contest plea, Jones “did not enter his plea knowing, voluntarily, and intelligently.” State v. Jones, 7th Dist. No. 05-MA-69, 2006-Ohio-3636, 2006 WL 1976224, ¶ 48. The court of appeals reversed the trial court’s judgment, vacated the plea, and remanded to the trial court for further proceedings. Id. at ¶ 52. The appellate court determined that the assignment of error regarding the motion to withdraw the plea was moot. Id. at ¶ 51.

{¶ 5} The Seventh District certified its decision as being in conflict with the Tenth District’s decision in State v. Horton-Alomar, 10th Dist. No. 04AP-744, 2005- Ohio-1537, 2005 WL 736229, and the Second District’s decision in State v. Raby, 2d Dist. No. 2005-CA-88, 2005-Ohio-3741, 2005 WL 1707027, cases in which it was held that a trial court substantially complies with Crim.R. 11(E) by notifying a defendant of the maximum penalties that could result from the defendant’s plea of guilty and the waiver of the right to a jury trial that results from the plea. We accepted the state’s discretionary appeal and the certified conflict as follows: “Whether a trial court complies with Crim.R. 11(E) by simply notifying a defendant of the effect of his/her plea as set out in Crim.R. 11(B) or whether the trial court complies with Crim.R. 11(E) by notifying a defendant of the maximum penalties that could result from a plea and that the defendant waives his/her right to jury trial by entering a plea, but does not notify a defendant of the effect of his/her plea.” State v. Jones, 111 Ohio St.3d 1489, 2006- Ohio-6171, 857 N.E.2d 1228. Rephrased, the issue asks how a court accepts a plea to a petty misdemeanor, or more specifically, how a court informs a defendant of the “effect of a plea,” pursuant to Crim.R. 11(E).

II. Legal Analysis

Crim.R. 11

{¶ 6} A trial court’s obligations in accepting a plea depend upon the level of offense to which the defendant is pleading. State v. Watkins, 99 Ohio St.3d 12, 2003-Ohio-2419, 788 N.E.2d 635, ¶ 25. Crim.R. 11 governs the entering of pleas. Subsection (A) explains the types of pleas available: “A defendant may plead not guilty, not guilty by reason of insanity, guilty or, with the consent of the court, no contest.”2

{¶ 7} Crim.R. 11(B) explains the meaning of the various pleas:

{¶ 8} ‘With reference to the offense or offenses to which the plea is entered:

{¶ 9} “(1) The plea of guilty is a complete admission of the defendant’s guilt.

[214] {¶ 10} “(2) The plea of no contest is not an admission of defendant’s guilt, but is an admission of the truth of the facts alleged in the indictment, information, or complaint, and the plea or admission shall not be used against the defendant in any subsequent civil or criminal proceeding.”

{¶ 11} Crim.R. 11 sets forth distinct procedures, depending upon the classification of the offense involved. For a petty offense, defined in Crim.R. 2(D) as “a misdemeanor other than [a] serious offense,” the court is instructed that it “may refuse to accept a plea of guilty or no contest, and shall not accept such pleas without first informing the defendant of the effect of the plea of guilty, no contest, and not guilty.” Crim.R. 11(E). If the misdemeanor charge is a serious offense, meaning that the prescribed penalty includes confinement for more than six months, Crim.R. 2(C), the court shall not accept a guilty or no contest plea “without first addressing the defendant personally and informing the defendant of the effect of the pleas of guilty, no contest, and not guilty and determining that the defendant is making the plea voluntarily.” Crim.R. 11(D).

{¶ 12} The procedure set forth in Crim.R. 11(C)(2) for felony cases is more elaborate than that for misdemeanors. Before accepting a guilty plea in a felony case, a “trial court must inform the defendant that he is waiving his privilege against compulsory self-incrimination, his right to jury trial, his right to confront his accusers, and his right of compulsory process of witnesses.” State v. Ballard (1981), 66 Ohio St.2d 473, 20 O.O.3d 397, 423 N.E.2d 115, paragraph one of the syllabus. In addition to these constitutional rights, the trial court is required to determine that the defendant understands the nature of the charge, the maximum penalty involved, and the effect of the plea. Crim.R. 11(C)(2)(a) and (b).

{¶ 13} As we summarized and explained in Watkins, “[i]n all cases, the judge must inform the defendant of the effect of his plea. In felony cases and misdemeanor cases involving serious offenses, a judge must also ‘addres[s] the defendant personally’ and ‘determin[e] that the defendant is making the plea voluntarily.’ ” 99 Ohio St.3d 12, 2003-Ohio-2419, 788 N.E.2d 635, ¶ 26, quoting Crim.R. 11(C)(2)(a).

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State v. Jones, 877 N.E.2d 677, 116 Ohio St. 3d 211 (Ohio 2007).

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