State v. Baker , 2012 Ohio 1890 ( 2012 )

[Cite as State v. Baker, 2012-Ohio-1890.]
IN THE COURT OF APPEALS OF OHIO
THIRD APPELLATE DISTRICT
ALLEN COUNTY
STATE OF OHIO,
PLAINTIFF-APPELLEE, CASE NO. 1-11-49
v.
JOHN F. BAKER, SR., OPINION
DEFENDANT-APPELLANT.
Appeal from Allen County Common Pleas Court
Trial Court No. CR2011 0007
Judgment Affirmed
Date of Decision: April 30, 2012
APPEARANCES:
Michael J. Short for Appellant
Juergen A. Waldick for Appellee
Case No. 1-11-49
PRESTON, J.
{¶1} Defendant-appellant, John F. Baker, Sr. (hereinafter “Baker”), appeals
the trial court’s judgment entry of sentence. We affirm.
{¶2} On January 13, 2011, the Allen County Grand Jury indicted Baker on
28 counts, including: Count One of trafficking heroin in violation of R.C.
2925.03(A)(1), (C)(6)(a), a fifth degree felony; Count Two of trafficking heroin in
violation of R.C. 2925.03(A)(1), (C)(6)(b), a fourth degree felony; Count Three of
possession of drugs (alprazolam) in violation of R.C. 2925.11(A), (C)(2)(b), a
fourth degree felony; Count Four of possession of drugs (BZP) in violation of R.C.
2925.11(A), (C)(1)(a), a fifth degree felony; Count Five of possession of cocaine
in violation of R.C. 2925.11(A), (C)(4)(a), a fifth degree felony; Count Six of
possession of drugs (diazepam) in violation of R.C. 2925.11(A), (C)(2)(a), a fifth
degree felony; Count Seven of possession of drugs (fentanyl) in violation of R.C.
2925.11(A), (C)(1)(b), a third degree felony; Count Eight of possession of heroin
in violation of R.C. 2925.11(A), (C)(6)(a), a fifth degree felony; Count Nine of
possession of drugs (hydrocodone) in violation of R.C. 2925.11(A), (C)(2)(c), a
third degree felony; Count Ten of possession of drugs (MDMA) in violation of
R.C. 2925.11(A), (C)(1)(a), a fifth degree felony; Count 11 of possession of drugs
(methadone) in violation of R.C. 2925.11(A), (C)(1)(c), a second degree felony;
Count 12 of possession of drugs (morphine) in violation of R.C. 2925.11(A),
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(C)(1)(b), a third degree felony; Count 13 of possession of drugs (oxycodone) in
violation of R.C. 2925.11(A), (C)(1)(c), a second degree felony; Count 14 of
possession of drugs (propoxyphene) in violation of R.C. 2925.11(A), (C)(2)(a), a
fifth degree felony; Count 15 of possession of drugs (oxycodone) in violation of
R.C. 2925.11(A), (C)(1)(a), a fourth degree felony; Count 16 of possession of
drugs (oxycodone) in violation of R.C. 2925.11(A), (C)(1)(a), a fourth degree
felony; Count 17 of possession of drugs (oxycodone) in violation of R.C.
2925.11(A), (C)(1)(c), a second degree felony; Count 18 of possession of drugs
(methadone) in violation of R.C. 2925.11(A), (C)(1)(b), a third degree felony;
Count 19 of possession of drugs (alprazolam) in violation of R.C. 2925.11(A),
(C)(2)(a), a fifth degree felony; Count 20 of possession of drugs (hydrocodone) in
violation of R.C. 2925.11(A), (C)(2)(a), a fifth degree felony; Count 21 of
possession of drugs (diazepam) in violation of R.C. 2925.11(A), (C)(2)(a), a fifth
degree felony; Count 22 of possession of drugs (oxycodone) in violation of R.C.
2925.11(A), (C)(1)(b), a third degree felony; Count 23 of possession of drugs
(oxycodone) in violation of R.C. 2925.11(A), (C)(1)(b), a third degree felony;
Count 24 of possession of heroin in violation of R.C. 2925.11(A), (C)(6)(c), a
third degree felony; Count 25 of possession of heroin in violation of R.C.
2925.11(A)(1), (C)(6)(c), a fourth degree felony; Count 26 of possession of heroin
in violation of R.C. 2925.11(A)(1), (C)(6)(c), a third degree felony; Count 27 of
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possession of heroin in violation of R.C. 2925.11(A)(1), (C)(6)(c), a fourth degree
felony; and Count 28 of engaging in a pattern of corrupt activity in violation of
R.C. 2923.32(A)(1), (B)(1), a first degree felony. (Doc. No. 1).
{¶3} On January 24, 2011, Baker appeared for arraignment and entered a
plea of not guilty to all counts in the indictment. (Aug. 3, 2011 JE, Doc. No. 83).
{¶4} On August 2, 2011, Baker entered pleas of guilty to all counts in the
indictment pursuant to a written plea agreement. (Doc. Nos. 82-83). The trial
court accepted Baker’s pleas of guilty, entered convictions thereon, and sentenced
Baker to an aggregate 15-year mandatory sentence. (Doc. Nos. 83-84). The trial
court also ordered Baker to pay $4,150.00 in restitution to The West Central Ohio
Crime Task Force (“WCOCTF”). (Aug. 3, 2011 JE, Doc. No. 84).
{¶5} On August 31, 2011, Baker, pro se, filed a notice of appeal from the
trial court’s judgment entry of sentence. (Doc. No. 95). On that same day, Baker,
pro se, filed a Crim.R. 32.1 motion to withdraw his guilty plea. (Doc. No. 101).
On September 15, 2011, the trial court overruled Baker’s motion to withdraw.
(Doc. No. 103).
{¶6} Baker now appeals raising two assignments of error for our review.
We elect to address Baker’s second assignment of error first.
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ASSIGNMENT OF ERROR NO. II
THE TRIAL COURT ERRED IN NOT HOLDING A
HEARING ON DEFENDANT’S MOTION TO WITHDRAW
HIS GUILTY PLEA.
{¶7} In his second assignment of error, Baker argues that the trial court
erred by not holding a hearing on his Crim.R. 32.1 motion to withdraw. However,
appellant’s notice of appeal does not include the judgment entry denying this
motion, and Baker failed to separately appeal this judgment entry.
{¶8} App.R. 3(D) specifies that a notice of appeal “shall designate the
judgment, order or part thereof appealed from * * *.” The Court of Appeals is
“without jurisdiction to review a judgment or order which is not designated in the
appellant’s notice of appeal.” Parks v. Baltimore & Ohio RR., 77 Ohio App.3d
426, 428 (8th Dist. 1991), citing Schloss v. McGinness, 16 Ohio App.3d 96, 97-98
(8th Dist. 1984). See also State v. Wright, 8th Dist. No. 95634, 2011-Ohio-3583, ¶
6. Baker failed to amend his notice of appeal according to the procedures set forth
in App.R. 3(F) or file a separate notice from the denial of his motion to withdraw
his plea. Therefore, this assignment of error addresses issues outside the scope of
the present appeal and will not be addressed.
{¶9} Baker’s second assignment of error is, therefore, dismissed.
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ASSIGNMENT OF ERROR NO. I
THE TRIAL COURT ERRED IN ORDERING THE
DEFENDANT TO PAY RESTITUTION TO THE WEST
CENTRAL OHIO CRIME TASK FORCE.
{¶10} In his first assignment of error, Baker argues that the trial court erred
by ordering him to pay $4,150.00 in restitution to the WCOCTF for drug buy
money since it is a governmental entity, not a “victim” under R.C. 2929.18.
{¶11} The written plea agreement in this case provided, in pertinent part:
“[d]efendant will agree to pay restitution of $4,150.00 in exchange for no
recommendation of sentence.” (Doc. No. 82); (Aug. 2, 2011 Tr. at 2). Now, on
appeal, Baker argues that the trial court’s restitution order was in error under the
statute. Since Baker negotiated for the restitution order in exchange for no
sentencing recommendation by the State, any error in the trial court’s restitution
order was invited by Baker, and therefore, he cannot take advantage of this alleged
error upon appeal. State v. Stewart, 3d Dist. No. 16-08-11, 2008-Ohio-5823, ¶ 13
(Rogers, J.); State v. Wickline, 3d Dist. No. 8-10-20, 2011-Ohio-3004, ¶ 23
(Rogers, J., concurring in part, dissenting in part); State v. Shaffer, 3d Dist. No.
14-09-06, 2009-Ohio-4804, ¶ 15; State v. Rohrbaugh, 126 Ohio St.3d 421, 2010-
Ohio-3286, ¶ 7 (A defendant “cannot take advantage of an error that he invited
through the plea negotiations.”). While it is true that the plea agreement did not
mention the WCOCTF by name, it is clear that Baker would have realized that the
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restitution would be payable to a governmental entity since the State indicated
prior to Baker’s change of plea that the $4,150.00 in restitution “represent[ed] buy
money that was spent in the investigation.” (Aug. 2, 2011 Tr. at 2). Since it was
obvious that the restitution would be payable to a governmental entity (regardless
of which governmental entity) for funds it expended during its investigation, the
potential error was obvious prior to Baker changing his plea and the trial court’s
sentencing—yet Baker never objected. Even when the trial court ordered that
Baker pay the restitution to the “WCOCTF” at the sentencing hearing, Baker still
failed to object. (Id. at 42-43). The logical conclusion is that Baker never
objected because he agreed to the restitution order being paid to a governmental
entity. Viewing the record as a whole, it is clear Baker invited the very error he
now raises upon appeal.
{¶12} Furthermore, having failed to object to the restitution order at the
sentencing hearing, Baker has waived all but plain error on appeal. Stewart at ¶ 7;
Wickline at ¶ 13 (Rogers, J., concurring in part, dissenting in part). We recognize
plain error “‘with the utmost caution, under exceptional circumstances and only to
prevent a manifest miscarriage of justice.’” State v. Landrum, 53 Ohio St.3d 107,
110 (1990), quoting State v. Long, 53 Ohio St.2d 91 (1978), paragraph three of the
syllabus. For plain error to apply, the trial court must have deviated from a legal
rule, the error must have been an obvious defect in the proceeding, and the error
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must have affected a substantial right. State v. Barnes, 94 Ohio St.3d 21, 27
(2002). Under the plain error standard, the appellant must demonstrate that the
outcome of his trial would clearly have been different but for the trial court’s
errors. State v. Waddell, 75 Ohio St.3d 163, 166 (1996), citing State v. Moreland,
50 Ohio St.3d 58 (1990). To constitute plain error, an appellant who pled guilty
bears the burden of demonstrating that s/he would not have pled guilty but for the
trial court’s alleged error. State v. Smith, 6th Dist. No. L-07-1346, 2009-Ohio-48,
¶ 11; see State v. Webber, 125 Ohio App.3d 120, 127 (10th Dist. 1997); State v.
Payne, 114 Ohio St.3d 502, 2007-Ohio-4642, ¶ 17. On appeal, Baker has not even
asserted that he would not have pled guilty but for the trial court’s allegedly
erroneous restitution order let alone demonstrate that fact. (Appellant’s Brief at
5). As such, Baker has failed to demonstrate plain error.
{¶13} Besides the fact that Baker invited the error upon which he now
appeals and failed to demonstrate plain error, this Court has previously held that a
trial court may order a defendant to pay restitution to a governmental entity for
drug buy money when the defendant explicitly agreed to do so as part of a
negotiated plea agreement. Stewart, 2008-Ohio-5823, ¶ 13, 15 (Rogers, J.), citing
State v. Samuels, 4th Dist. No. 03CA8, 2003-Ohio-6106, ¶ 10 (“[R]estitution to [a]
police agency * * * is a matter that could have been explicitly addressed in a
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negotiated plea agreement * * *.”). Judge Rogers, speaking on behalf of a
unanimous Court, reasoned as follows:
While we found in Toler, Christy, and Wolf that R.C.
2929.18(A)(1) generally does not permit an award of restitution
to a government enforcement agency in the pursuit of its official
duties, the facts of this case are distinguishable.
Unlike in those cases, here, there was a specific agreement
between the State and Stewart for restitution to the sheriff’s
department. The language of R.C. 2929.18(A)(1) does not
specifically restrict the parties from agreeing to an award of
restitution that is not provided for in the statute. Furthermore,
restitution methods other than those explicitly stated in the
statute are contemplated by the statutory language, which
provides that the trial court is “not limited to” the specific
financial sanctions listed. State v. Rosebrook, 3d Dist. No. 8-05-
07, 2006-Ohio-734, ¶ 21. Additionally, Samuels, supra, supports
the idea of allowing the trial court to award restitution agreed to
by the State and the defendant, even though that particular form
of restitution may not be specifically addressed under R.C.
2929.18(A)(1). Finally, justice and sensibility should prevent
Stewart from prevailing on an error which he invited. By
agreeing to the restitution award in exchange for pleading guilty,
he received the benefit of his bargain: a reduced charge.
***
Because we find that R.C. 2929.18(A)(1) does not prohibit an
award of restitution to a government agency when such award is
made pursuant to the express plea agreement of the State and
the defendant, we find that the trial court did not err in ordering
Stewart to pay restitution to the Wyandot County Sheriff’s
Department.
Stewart at ¶ 12, 13, 15.
{¶14} As the Ohio Supreme Court has noted, “[s]tare decisis is the bedrock
of the American judicial system. Well-reasoned opinions become controlling
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precedent, thus creating stability and predictability in our legal system. It is only
with great solemnity and with the assurance that the newly chosen course for the
law is a significant improvement over the current course that we should depart
from precedent.” Westfield Ins. Co. v. Galatis, 100 Ohio St.3d 216, 2003-Ohio-
5849, ¶ 1. The reasoning of this Court’s decision in Stewart is sound and
overruling it would not be a “significant improvement over the current course that
we should depart from precedent.” Id. Courts (including this Court), defendants,
and prosecutors have now all relied upon Stewart. The Second District has relied
upon Stewart to conclude that a trial court may order a defendant to pay restitution
to an insurance company, a known third-party claimant, when the restitution
award is made pursuant to the express terms of the plea agreement. State v.
Johnson, 2nd Dist. No. 24288, 2012-Ohio-1230, ¶ 14-15. The Eleventh District
has relied upon Stewart to conclude that a trial court may order a defendant
convicted of animal cruelty to pay restitution to the Animal Protection League
where the defendant stipulated to the restitution order at the hearing. State v.
Silbaugh, 11th Dist. No. 2008-P-0059, 2009-Ohio-1489, ¶ 21-22. Similarly, the
Fifth District has concluded that a trial court may order a defendant to pay
restitution to a drug task force for reimbursement of drug buy money where the
defendant agreed to do so as a condition of his/her community control. State v.
Middlebrooks, 5th Dist. No. 2010 AP 08 0026, 2011-Ohio-4534, ¶ 2, 21, 26.
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{¶15} Furthermore, the rule in Stewart promotes settlements among the
parties, preserves judicial resources, and enables the recoupment of precious tax-
payer dollars. Most importantly, these agreements present no manifest
miscarriage of justice to the defendants. Like the defendant in Stewart, Baker
received the benefit of his bargain: no sentencing recommendation from the State
and a 15-year sentence when he was facing a total of 93 years. (Aug. 2, 2011 Tr.
at 5, 14, 41). If a defendant does not want to pay restitution to a governmental
entity, then s/he may simply reject the offered plea agreement or renegotiate the
same. No manifest miscarriage of justice occurs by holding Baker to his part of the
plea agreement.
{¶16} For all these reasons, Baker’s first assignment of error is overruled.
{¶17} Having found no error prejudicial to the appellant herein in the
particulars assigned and argued, we affirm the judgment of the trial court.
Judgment Affirmed
WILLAMOWSKI, J., concurs.
/jlr
ROGERS, J., Concurring in Part and Dissenting in Part.
{¶19} While I concur in the majority’s disposition of Appellant’s second
assignment of error, I must dissent on the first assignment of error.
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{¶20} The majority’s frequent reference to opinions in which this author
participated appears to be an attempt to compel my concurrence in the present
case. They have failed in that endeavor. While my later opinions may have
appeared, at least to the majority, to be inconsistent with my opinion in State v.
Stewart, 3d Dist. No. 16-08-11, 2008-Ohio-5823, I do not believe it to be so. The
opinion drafted by my chambers in Stewart was an ill-advised attempt at
unanimity. The major reason for my acquiescence in the result in Stewart was the
nominal amount of restitution ordered (the magnanimous sum of $120), and the
absence of a manifest miscarriage of justice.
When a court of appeals engages in a plain-error analysis, it must
conduct a complete review of all relevant assignments of error in
order to determine whether a manifest miscarriage of justice has
occurred * * *. (Emphasis added.) State v. Hill, 92 Ohio St.3d 191(2001), syllabus.
{¶21} Prior to, and subsequent to Stewart, I have consistently opposed the
imposition of restitution on a defendant for amounts that exceed the actual
economic loss caused to a victim by the crime for which the offender was
convicted. See State v. Wickline, 3d Dist. No. 8-10-20, 2011-Ohio-3004 (Rogers,
J. dissenting in part); State v. Rosebrook, 3d Dist. No. 8-05-07, 2006-Ohio-734, ¶
27-33 (Rogers, J. dissenting in part).1
1
A complete listing of all such opinions is too extensive to include here.
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{¶22} My primary objection to orders of restitution to persons or agencies
other than victims is the simple fact that it is not authorized by statute. A
secondary concern, although not a matter for appellate review, is the ethical
conflict of prosecutors negotiating civil remedies disguised as criminal penalties.
{¶23} The issue of negotiated restitution to a law enforcement agency, or
any other third party, invites the same abuses and contempt for the criminal justice
system as the issues discussed in my dissent in Wickline. If it is not actual
economic loss, caused to a victim, by the crime for which the offender was
convicted, it is not authorized by law. R. C. 2929.18(A). Courts must interpret
criminal statutes strictly against the state, and liberally in favor of the accused, and
applying that rule to the facts of this case, the first assignment of error should be
sustained. R. C. 2901.04(A).
{¶24} Further, while it may seem to be good politics for prosecutors to
negotiate and for judges to approve restitution to entities who are not victims, such
conduct encourages abuse of power and breeds mistrust for our system of criminal
justice. See Wickline at ¶ 25.
{¶25} Finally, the majority has resorted to the doctrine of stare decisis in an
apparent attempt to coerce my acquiescence to their result. Interestingly, the
majority cites to Westfield Ins. Co. v. Galatis, 100 Ohio St.3d 216, 2003-Ohio-
5849, in which the Supreme Court of Ohio corrected its previous peculiar holding
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announced in Scott-Pontzer v. Liberty Mut. Fire Ins. Co., 85 Ohio St.3d 660(1999). In response, I apologize to my peers on this court for relenting in Stewart
from my usual insistence on adherence to strict interpretation of criminal laws in
favor of unanimity. However, I have endeavored to explain that I relented in that
case only because the amount at issue was trifling and did not warrant a finding of
manifest injustice, and the cost to the state of correcting that inconsequential
irregularity would have been substantial. The apparent result of that transgression
is to be forever cited by my peers, and apparently some other courts, as authority
for bad law. Stewart was an anomaly, and stare decisis will not cause me to
abandon my sincere, and I believe legally correct, position. The trial court can
only impose the penalties authorized by statute and negotiating civil remedies in
the guise of criminal restitution is not authorized.
{¶26} For the foregoing reasons, I dissent from the majority opinion on the
first assignment of error.
/jlr
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