STATE OF OHIO, PLAINTIFF-APPELLEE, v. ROBERT C. FERDINANDSEN, DEFENDANT-APPELLANT.
CASE NO. 5-16-08
IN THE COURT OF APPEALS OF OHIO THIRD APPELLATE DISTRICT HANCOCK COUNTY
October 3, 2016
[Cite as State v. Ferdinandsen, 2016-Ohio-7172.]
Appeal from Hancock County Common Pleas Court
Trial Court No. 2014CR307
Judgment Affirmed
APPEARANCES:
William T. Cramer for Appellant
Alex K. Treece for Appellee
{¶1} Dеfendant-appellant, Robert C. Ferdinandsen (“Ferdinandsen“), appeals the February 23, 2016 judgment entry of sentence of the Hancock County Court of Common Pleas. We affirm.
{¶2} On December 30, 2014, the Hancock County Grand Jury indicted Ferdinandsen on one count of felonious assault in violation of
{¶3} On April 20, 2015, a change-of-plea hearing was held. (Apr. 20, 2015 Tr. at 3). Pursuant to a nеgotiated plea agreement, Ferdinandsen pled guilty to the count of the indictment, and the parties jointly recommended that Ferdinandsen be sentenced to five years of community control with a three-year reserved prison term. (Id. at 4-5); (Doc. Nos. 21, 23). The trial court conducted a Crim.R. 11 colloquy, accepted Ferdinandsen‘s guilty plea, and ordered a presentence investigation. (Id. at 5-18); (Id.).
{¶4} On July 28, 2015, Ferdinandsen filed a motion to withdraw his guilty plea. (Doc. No. 37). After a hearing on September 16, 2015, the trial court, on December 14, 2015, denied Ferdinandsen‘s motion to withdraw his guilty plea. (Doc. No. 55).
{¶6} Ferdinandsen filed his notice of appeal on March 22, 2016. (Doc. No. 87). He raises one assignment of error for our review.
Assignment of Error
The trial court abused its discretion in denying appellant‘s pre-sentence motion to withdraw his guilty plea.
{¶7} In his assignment of error, Ferdinandsen argues that the trial cоurt abused its discretion by denying his presentence motion to withdraw his guilty plea. In particular, he argues that the trial court abused its discretion by denying his motion because there was no evidence that the State would have been prejudiced and because he presented an arguable claim of actual innocence.
{¶8} A defendant may file a presentence motion to withdraw a guilty plea. Crim.R. 32.1. Although a trial court should freely grant such a motion, a defendant does not maintain an absolute right to withdraw his plea prior to sentencing. State v. Xie, 62 Ohio St.3d 521, 526 (1992). Instead, a trial court must hold a hearing to determine whether a “reasonable and legitimate basis” exists for the withdrawal. Id. at paragraph one of the syllabus.
{¶9} We consider several factors when reviewing a trial court‘s decision to grant or deny a defendant‘s presentence motion to withdraw a plea, including: (1)
{¶10} Ultimately, it is within the sound discretion of the trial court to determine what circumstances justify granting a presentence motion to withdraw a guilty plea. Xie at paragraph two of the syllabus. Therefore, appellate review of a trial court‘s decision to deny a presentence motion to withdraw a guilty plea is limited to whether the trial court abused its discretion. State v. Nathan, 99 Ohio App.3d 722, 725 (3d Dist.1995), citing State v. Smith, 49 Ohio St.2d 261, 361 (1977). An abuse of discretion implies that the trial court acted unreasonably,
{¶11} An examination of the reasonable-and-legitimate-basis factors supports that the trial court‘s decision to deny Ferdinandsen‘s presentence motion to withdraw his guilty plea was not unreasonable, arbitrary, or unconscionable. That is, the trial court did not abuse its discretion by concluding that Ferdinandsen‘s motion to withdraw his guilty plea was nothing more than a change of heart.
{¶12} First, Ferdinandsen argues that the first factor weighs in his favor—that is, that the State did not articulate any reasons that it would be prejudiced if Ferdinandsen‘s motion were to be granted. In response, the State acknowledges that it conceded at the September 16, 2015 hearing that it would not be prejudiced because all of the witnesses would be available to testify; however, the State argues on appeal that allowing Ferdinandsen to withdraw his guilty plea “could have potentially prejudiced the prosecution due to the continued delay of the case.” (Aрpellee‘s Brief at 5). “Prejudice will not be presumed when it is not articulated.” State v. Zimmerman, 10th Dist. Franklin No. 09AP-866, 2010-Ohio-4087, ¶ 23, citing Griffin at 554. The State conceded that all of the witnesses would be available for trial, and did not articulate to the trial court any other prejudice. Likewise, as in
{¶13} Although “the prejudice to the State is often classified as the most important factor in the balancing test,” the remaining factors weigh against granting Ferdinandsen‘s motion to withdraw his guilty plea. See id. at ¶ 23, citing State v. Cuthbertson, 139 Ohio App.3d 895, 899 (7th Dist.2000), citing Fish, 104 Ohio App.3d at 240. See also North, 2015-Ohio-720, at ¶ 27 (concluding that the trial court did not abuse its discretion by overruling North‘s presentence motion to withdraw his guilty plea even though there was a lack of prejudice to the prosecution).
{¶14} As Ferdinandsen concedes, the third, fourth, fifth, and eighth factors do not weigh in his favor. The trial cоurt conducted an extensive Crim.R. 11 hearing and an extensive hearing on Ferdinandsen‘s motion to withdraw his guilty plea. (Apr. 20, 2015 Tr.); (Sept. 16, 2015 Tr.). At Ferdinandsen‘s change-of-plea hearing, the trial court conducted a thorough colloquy with Ferdinandsen, as required by Crim.R. 11, and informed him of all of the rights he was waiving by pleading guilty to the charges. (Apr. 20, 2015 Tr. at 6-16). The trial court informed Ferdinandsen that he was waiving his right to a jury trial, the right to confront witnesses against
{¶15} “It is well-settled that there is no requirement under Crim.R. 11(C)(2) that trial courts apprise defendants of available defenses when accepting a change of plea.” State v. Phillips, 3d Dist. Van Wert No. 15-12-02, 2012-Ohio-5950, ¶ 31, citing State v. Reynolds, 40 Ohio St.3d 334 (1988), syllabus and State v. Ingram, 7th Dist. Mahoning No. 09 MA 98, 2010-Ohio-1093, ¶ 22. See also State v. Gardner, 3d Dist. Union Nos. 14-02-18 and 14-02-19, 2003-Ohio-1580, ¶ 1 (rejecting Gardner‘s argument that his plea colloquy was inadequate because “he was not informed that a guilty plea would waive any self-defense claim“). Moreover, Ferdinandsen did not indicate to the trial court at the change-of-plea hearing that he had а self-defense claim. See State v. Schlegel, 3d Dist. Defiance Nos. 4-14-12 and 4-14-13, 2015-Ohio-1183, ¶ 22 (“Moreover, Schlegel made no argument at the plea hearing, at the sentencing hearing, or on appeal that he had a
{¶16} The record also illustrates that Ferdinandsen understood the nature of the charge and potential sentence. Indeed, the following exchanges took place at the change-of-plea hearing:
[Trial Court]: I read the indictment when we came into court. Did you receive or were you served a copy of that indictment some time earlier?
[Ferdinandsen]: Yes, I was.
[Trial Court]: Have you read that over?
[Ferdinandsen]: Yes, I did.
[Trial Court]: Do you understand the charge?
[Ferdinandsen]: Yes, I do.
[Trial Court]: Do you understand that a plea of guilty to the charge today here in court by you is a complete admission that you committed this offense?
[Ferdinandsen]: Yes, I do, Your Honor.
(Apr. 20, 2015 Tr. at 9-10). Further, Ferdinandsen indicated that he understood the trial court‘s explanation of the рotential sentence for the crime to which he was
{¶17} Likewise, the record illustrates that the hearing on Ferdinandsen‘s motion to withdraw his guilty plea was extensive. Indeed, Ferdinandsen concedes that “the motion to withdraw turned into a mini trial with all three of the main witnesses testifying.” (Appellant‘s Brief at 9). Ferdinandsen further concedes that “the trial court gave ample consideration to the motion.” (Id.). As such, the fourth and fifth factors do nоt weigh in Ferdinandsen‘s favor.
{¶18} Further, we conclude that the second, sixth, seventh, and ninth factors do not weigh in Ferdinandsen‘s favor. As to the sixth factor, the timing of Ferdinandsen‘s motion to withdraw his plea was not reasonable. In this case, Ferdinandsen pled guilty to the charge in the indictment. Prior to sentencing, the trial court ordered a presentence investigation to be completed by the trial court‘s probation department. As part of its presentence investigation, the trial court requires defendants to рrovide to the probation department a urine sample for testing. At the time Ferdinandsen was providing his urine sample, it was discovered that he was using a “whizzinator,” “which is a device designed to hold urine in a bag around the waist that could be released through a fake penis attachment.” (Appellant‘s Brief at 1). The trial court ordered Ferdinandsen to remain at the probation department until he could provide his own urine sample. Ferdinandsen
{¶19} The timing of Ferdinandsen‘s motion is suspect because it was only after the whizzinator incident, and the State‘s subsequent indication that it intended to pursue a sentencing recommendation different thаn that in the negotiated plea agreement, that Ferdinandsen wanted to withdraw his plea.1 As such, we conclude that the timing of Ferdinandsen‘s motion is unreasonable. See Schlegel, 2015-Ohio-1183, at ¶ 21 (concluding that the timing of Schlegel‘s presentence motion to withdraw his guilty plea was unreasonable because “[i]t was only at the sentencing hearing, after Schlegel had been removed from [his rehabilitation program for failing to participate in the program], that he attempted to withdraw his plea“).
{¶20} Notwithstanding the suspect timing of Ferdinandsen‘s motion, Ferdinandsen states that the reasons for his motion are that he is actually innocent and that his trial counsel at the change-of-plea hearing “pressured and coerced [him]
{¶21} We will first address the ninth factor—Ferdinandsen‘s claim of innocence. “In weighing the ninth factor, ‘the trial judge must determine whether the claim of innocence is anything more than the defendant‘s change of heart about the plea agreement.‘” State v. Davis, 5th Dist. Richland No. 15CA6, 2015-Ohio-5196, ¶ 19, quoting State v. Davison, 5th Dist. Stark No. 2008-CA-00082, 2008-Ohio-7037, ¶ 45, citing State v. Kramer, 7th Dist. Mahoning No. 01-CA-107, 2002-Ohio-4176, ¶ 58. “A change of heart or mistaken belief about pleading guilty is not a reasonable basis for withdrawal of a guilty plea.” State v. Jones, 7th Dist. Mahoning No. 09 ΜΑ 50, 2011-Ohio-2903, ¶ 20, quoting State v. Smith, 8th Dist. Cuyahoga No. 94419, 2010-Ohio-5784, ¶ 9. Claims of innocence must be substantiated. North, 2015-Ohio-720, at ¶ 27.
{¶22} Ferdinandsen argues that he is innocent because he acted in self-defense. To establish a self-defense claim for the use of non-deadly force, the defendant must (1) not be “‘at fault in creating the situation giving rise to the affray,‘” and (2) have an “objectively reasonable and subjectively honest” bona fide belief, even if that belief is mistaken, “that he was in imminent danger of any
{¶23} As we noted above, the trial court provided Ferdinandsen great latitude in allowing him to present evidence of his self-defense claim. Indeed, Fеrdinandsen and his then-girlfriend, Kristen Hoffman (“Hoffman“), testified to the version of events that led to Ferdinandsen assaulting the victim. The testimony at the hearing on Ferdinandsen‘s motion revealed that he was involved in an altercation with Hoffman, which caused the victim to intervene to come to Hoffman‘s aid. (See Sept. 16, 2015 Tr. at 11-12, 20). When the victim did so, Ferdinandsen feloniously assaulted the victim. (Id. at 32-33). Notwithstanding that, Ferdinandsen and Hoffman testified that Ferdinandsen acted in self-defense because (1) it appeared that the victim had аn object in his hand, (2) Ferdinandsen was pinned against his garage, and (3) Ferdinandsen warned the victim to “stay back” two to three times as the victim was coming toward him. (Id. at 12-13, 31-32). After
{¶24} Nonetheless, in an effort to combat the conclusion that his wish to change his plea was anything more than a change of heart, Ferdinandsen points to the second factor and argues that his prior counsel was ineffective and coerced him into pleading guilty. With respect to his claim that he was denied the effective assistance of counsel, we note that a defendant asserting a claim of ineffective assistance of counsel must establish: (1) the counsel‘s performance was deficient or unreasonable under the circumstances; and (2) the deficient performance prejudiced the defendant. State v. Kole, 92 Ohio St.3d 303, 306 (2001), citing Strickland v. Washington, 466 U.S. 668, 687 (1984). To establish prejudice when ineffective assistance of counsel relates to a guilty plea, a defendant must show there is a reasonable probability that but for counsel‘s deficient or unreasonable performance, the defendant would not have pled guilty. Xie, 62 Ohio St.3d at 524, citing Hill v. Lockhart, 474 U.S. 52, 59 (1985) and Strickland at 687.
{¶26} On appeal, Ferdinandsen argues that his prior counsel was ineffective because he “ignored [his] protestations of innocence and guaranteed he would lose at trial based on his prior record.” (Appellant‘s Brief at 8). In particular, Ferdinandsen argues that his prior
counsel never explained that Ferdinandsen‘s record would not be admissible if he avoided testifying. And Hoffman could have provided all the facts relevant to self-defense without Ferdinandsen taking the stand * * * [b]ut counsel would not have known any of that because he never interviewed Hoffman.
(Id. at 9). Ferdinandsen cannot sustain his burden of proving that his prior counsеl‘s performance was deficient or unreasonable under the circumstances or that there is a reasonable probability that he would not have pled guilty.
{¶28} Furthermore, Ferdinandsen argues that his prior counsel‘s advice to accept the negotiated plea agreement amounted to ineffective assistance of counsel because his prior counsel failed to interview Hoffman and failed to explain to Ferdinandsen that Hoffman‘s testimony could have established Ferdinandsen‘s self-
{¶29} Ferdinandsen also did not demonstrate that he was prejudiced by his prior counsel‘s advice—that is, that he would not have pled guilty to the charge. As in State v. Ganguly, Ferdinandsen‘s argument that he was pressured to accept the negotiated plea agreement “taken on its face would make the second factor weigh heavily in [his] favor.” 10th Dist. Franklin No. 14AP-383, 2015-Ohio-845, ¶ 17. However, as in Ganguly, the trial court weighed Ferdinandsen‘s credibility when considering this factor, and did not find him to be crеdible. See id. First, at Ferdinandsen‘s change-of-plea hearing, there was no indication of any issues between Ferdinandsen and his then-counsel. At that hearing, Ferdinandsen represented to the trial court that he was satisfied with his then-counsel‘s legal advice and that he and his then-counsel had enough time to review the negotiated plea agreement prior to Ferdinandsen entering his guilty plea. (Apr. 20, 2015 Tr. at 7-8). Yet, Ferdinandsen‘s motion to withdraw his guilty plea represents that those statements were untrue.
{¶30} Ferdinandsen‘s prior attorney did not testify at the hearing on Ferdinandsen‘s motion to withdraw his guilty plea. As such, the only evidence
{¶31} Moreover, Ferdinandsen was offered a very favorable negotiated plea agreement in which the State agreed to jointly recommend to the trial court that Ferdinandsen be sentenced to five years of community control with a three-year
{¶32} Although we concluded that the prosecution would not be prejudiced if the trial court allowed Ferdinandsen to withdrаw his guilty plea, the indications that Ferdinandsen‘s motion is nothing more than a change of heart demonstrate that the trial court‘s denial of his motion was not unreasonable, arbitrary, or unconscionable. See North, 2015-Ohio-720, at ¶ 27 (“[It] is not an abuse of discretion for the trial court to find that a reasonable and legitimate basis did not exist on which to grant a motion to withdraw the plea even though the state would not be prejudiced if the motion were granted.“), quoting State v. Littlefield, 4th Dist. Ross No. 03CA2747, 2004-Ohio-5996, ¶ 12; Jones, 2011-Ohio-2903, at ¶ 20 (“When none of the [] factors weigh heavily in the dеfendant‘s favor regarding the presentence withdrawal of a guilty plea, a strong inference arises that the plea is being withdrawn merely because of a change of heart about entering the plea.“), quoting State v. Moore, 7th Dist. Columbiana No. 06 CO 74, 2008-Ohio-1039, ¶ 13.
{¶33} Ferdinandsen‘s assignment of error is overruled.
{¶34} 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 in Judgment Only.
/jlr
ROGERS, J. dissenting.
{¶35} I respectfully dissent from the opinion of the majority.
{¶36} First, the state conceded at the hearing on the motion to withdraw that it would suffer no prejudice by allowing the Appellant to withdraw his plea. This factor should be given great weight. The majority acknowledges that presentence motions to withdraw a plea should be freely granted, but then searches for reasons to deny the motion.
{¶37} Second, the Appellant stated the basis for withdrawing his plea. The Appellant stated that believes he may have a defense in the form of self-dеfense. In my opinion, the trial court proceeded to weigh the evidence of that potential defense and determined that the evidence of that defense was inadequate. However, it was not the role of the trial court to become the trier of fact on the issue of self-defense.
{¶39} These are all questions which should be presented to the trier of fact and not weighed by the judge.
{¶40} Accordingly, I would sustain the assignment of error and remand thе matter for trial.
