Opinion ID: 2689828
Heading Depth: 1
Heading Rank: 1

Heading: Failure to Advise of Right to Allocution

Text: In his first proposition of law, Campbell contends that the trial court violated Crim.R. 32(A)(1) by sentencing him for aggravated murder without advising him of his right to allocution. This proposition has merit. After the penalty phase, the trial court heard arguments from counsel, set a sentencing date, and discussed procedures. The judge said: “I’ll    render my decision and then I assume, once I’ve rendered my decision on [the aggravated murder counts], then there will be a sentencing where you will be able to make statements   .” (Emphasis added.) The prosecutor asked whether Campbell would “have an allocution right before the Court announces its sentencing decision.” Defense counsel stated: “After you’ve made your decision on Counts One through Four, then I think we have a right to make a statement in allocution as to the sentences on the other offenses.” (Emphasis added.) On April 3, 1998, the trial court sentenced Campbell to death on Count Three. On that date, Crim.R. 32(A)(1) provided: “Before imposing sentence the court shall afford counsel an opportunity to speak on behalf of the defendant and also shall address the defendant personally and ask if he or she wishes to make a statement in his or her own behalf or present any information in mitigation of 7 punishment.”1 The trial court did not ask Campbell if he wished to make a statement or present further information before sentencing him on Count Three. This omission clearly violated the requirements of Crim.R. 32(A)(1). Pursuant to Crim.R. 32(A)(1), before imposing sentence, a trial court must address the defendant personally and ask whether he or she wishes to make a statement in his or her own behalf or present any information in mitigation of punishment. Crim.R. 32(A)(1) applies to capital cases and noncapital cases. State v. Reynolds (1998), 80 Ohio St.3d 670, 684, 687 N.E.2d 1358, 1372-1373. The state invokes the doctrines of invited error, waiver, and harmless error. We examine each in turn. Invited Error The doctrine of invited error holds that a litigant may not “take advantage of an error which he himself invited or induced.” Hal Artz Lincoln-Mercury, Inc. v. Ford Motor Co. (1986), 28 Ohio St.3d 20, 28 OBR 83, 502 N.E.2d 590, paragraph one of the syllabus. The state contends that Campbell’s counsel invited the error by stating: “After you’ve made your decision on [the capital counts], then I think we have a right to make a statement in allocution as to the sentences on the other offenses.” However, the record does not show that defense counsel “induced” or “was actively responsible” for the trial court’s error. State v. Kollar (1915), 93 Ohio St. 8 89, 91, 112 N.E. 196, 197. This court has found invited error when a party has asked the court to take some action later claimed to be erroneous, or affirmatively consented to a procedure the trial judge proposed. See, e.g., Hal Artz, 28 Ohio St.3d at 28, 28 OBR at 89, 502 N.E.2d at 596, fn. 16; State ex rel. Lowery v. Cleveland (1993), 67 Ohio St.3d 126, 128, 616 N.E.2d 233, 234; State v. Wigglesworth (1969), 18 Ohio St.2d 171, 180-181, 47 O.O.2d 388, 393, 248 N.E.2d 607, 614. But defense counsel did not suggest, request, or affirmatively consent to this procedure. It was the judge who first said he would sentence on the capital counts before any allocution. At worst, counsel acquiesced. But invited error must be more than mere “acquiescence in the trial judge’s erroneous conclusion.” Carrothers v. Hunter (1970), 23 Ohio St.2d 99, 103, 52 O.O.2d 392, 394, 262 N.E.2d 867, 869. Waiver Alternatively, the state contends that Campbell’s failure to object at the sentencing hearing waived the issue, which means that an error would be cognizable only if it amounted to plain error. Ordinarily, a defendant does waive an error if he has not objected to it at trial. See, e.g., State v. Williams (1977), 51 Ohio St.2d 112, 116-117, 5 O.O.3d 98, 101, 364 N.E.2d 1364, 1367; State v. Campbell (1994), 69 Ohio St.3d 38, 40-41, 630 N.E.2d 339, 344-345. 9 However, in this context, we find the doctrine of waiver inapplicable. Crim.R. 32(A)(1) specifically provides that before imposing sentence, “the court shall    address the defendant personally” and inquire as to whether the defendant wishes to exercise his or her right to allocution. The rule does not merely give the defendant a right to allocution; it imposes an affirmative requirement on the trial court to “ask if he or she wishes to” exercise that right. This court has “consistently required strict compliance with Ohio statutes when reviewing the procedures in capital cases.” State v. Filiaggi (1999), 86 Ohio St.3d 230, 240, 714 N.E.2d 867, 877, citing State v. Pless (1996), 74 Ohio St.3d 333, 658 N.E.2d 766, paragraph one of the syllabus. Moreover, “[w]e have repeatedly recognized that use of the term ‘shall’ in a statute or rule connotes the imposition of a mandatory obligation unless other language is included that evidences a clear and unequivocal intent to the contrary.” State v. Golphin (1998), 81 Ohio St.3d 543, 545-546, 692 N.E.2d 608, 611. Of course, once the trial court has asked the defendant if he or she wishes to speak in allocution, he or she may waive the right to do so. But in the case at bar, no evidence exists that the defendant knew he had a right to personally address the court prior to sentencing. Had the trial court strictly complied with Crim.R. 32(A)(1), the record would affirmatively show that Campbell had indeed known of that right, thereby allowing him to choose whether to exercise it or not. But were 10 we to find waiver in this case, where the record of the sentencing hearing is silent as to the right of allocution, we would in effect be sanctioning a finding of waiver in every case in which the trial court failed to comply with the duty imposed by the rule. We would thereby render Crim.R. 32(A)(1) merely advisory, in direct contradiction to its express language. Harmless Error We have recognized that a trial court’s failure to address the defendant at sentencing is not prejudicial in every case. In State v. Reynolds, supra, we found such an omission to be harmless error because the defendant had made an unsworn statement to the jury and sent a letter to the judge, and defense counsel had made a statement to the judge on the defendant’s behalf. 80 Ohio St.3d at 684, 687 N.E.2d at 1372. Citing Reynolds, the state contends that the trial court’s noncompliance with Crim.R. 32(A)(1) here is also harmless. The state observes that the trial court had already heard Campbell’s confession (in which Campbell had displayed some remorse for killing Dials), Dr. Jeffrey Smalldon’s mitigation testimony (in which Smalldon repeated some things Campbell had told him), and the penalty-phase arguments of defense counsel. Moreover, the trial court held a special hearing a week before imposing sentence at which defense counsel argued to the judge for Campbell’s life. 11 Here, as in Reynolds, defense counsel did speak on Campbell’s behalf. Unlike the defendant in Reynolds, however, Campbell made no unsworn statement. Thus, the judge never heard Campbell personally appeal for his life. His videotaped confession was no substitute for a personal appeal to the judge. When he confessed, Campbell was not speaking to a tribunal about to decide whether he was to live or die. Nor was Dr. Smalldon’s repetition of facts Campbell had told him the equal of Campbell’s personal plea. We have no basis for assuming that Campbell would have said the same things to the judge that he said to the doctor. In any case, Campbell’s words filtered through Smalldon could never have the same impact as a plea from Campbell himself. Hence, this case is unlike Reynolds, and we reject the state’s harmless-error claim. Campbell’s first proposition of law is sustained. In a case in which the trial court has imposed sentence without first asking the defendant whether he or she wishes to exercise the right of allocution created by Crim.R. 32(A), resentencing is required unless the error is invited error or harmless error. Therefore, we remand this cause to the Franklin County Court of Common Pleas with instructions to resentence Campbell on Count Three after directly asking him “if he    wishes to make a statement in his    own behalf or present any information in mitigation of punishment.” Crim.R. 32(A)(1). 12 We therefore hold that pursuant to Crim.R. 32(A)(1), before imposing sentence, a trial court must address the defendant personally and ask whether he or she wishes to make a statement in his or her own behalf or present any information in mitigation of punishment, and that Crim.R. 32(A)(1) applies to capital cases as well as noncapital cases. We further hold that in a case in which the trial court has imposed sentence without first asking the defendant whether he or she wishes to exercise the right of allocution created by Crim.R. 32(A), resentencing is required unless the error is invited error or harmless error. II. Failure to Advise of Right to Unsworn Statement R.C. 2929.03(D)(1) permits a capital defendant to make a penalty-phase statement without oath or cross-examination. In his second proposition of law, Campbell contends that the trial court had a legal obligation to inform him of that right. No authority requires a trial court to inform a capital defendant of his right to make an unsworn, penalty-phase statement. Crim.R. 32(A)(1) does not apply, because an unsworn statement under R.C. 2929.03(D)(1) is not an allocution under the rule. See Reynolds, 80 Ohio St.3d at 684, 687 N.E.2d at 1372. Nor do existing legal principles require the adoption of Campbell’s novel theory. We have rejected the notion that a trial court must personally address a capital defendant to determine whether he knowingly, intelligently, and voluntarily 13 waived his right to present mitigating evidence. State v. Keith (1997), 79 Ohio St.3d 514, 530, 684 N.E.2d 47, 62-63. (Such an inquiry is required when a defendant seeks to waive the presentation of all mitigating evidence, State v. Ashworth [1999], 85 Ohio St.3d 56, 706 N.E.2d 1231, but Campbell did not do that.) We have also rejected the claim that a trial court must inform the defendant of his right to testify at trial. State v. Bey (1999), 85 Ohio St.3d 487, 499, 709 N.E.2d 484, 497. Campbell’s claim is not supported by Keith or Bey. Campbell’s second proposition of law is overruled.