State v. Chitwood
Or.
Or.
305
Argued and submitted January 20; decision of Court of Appeals reversed;
judgment of circuit court reversed, and case remanded to circuit court for
further proceedings October 20, 2022
STATE OF OREGON,
Respondent on Review,
v.
NATHAN THOMAS CHITWOOD,
Petitioner on Review.
(CC 15CR48036) (CA A165817) (SC S068655)
518 P3d 903
Defendant was convicted on sexual abuse charges involving his then-
13-year-old stepdaughter. On appeal, defendant argued that the prosecutor, in
her rebuttal closing argument, made two highly improper statements, which, he
contended, deprived him of a fair trial. He had not objected to those statements,
but he argued on appeal that they were so prejudicial that the trial court judg-
ment should be overturned on plain error review. The Court of Appeals agreed
that the statements were improper, but it declined to conduct plain error review.
Held: The prosecutor’s statements—referring to a matter not in evidence and
misstating the state’s burden of proof—constituted plain error, and the court
exercises its discretion to correct that error.
The decision of the Court of Appeals is reversed. The judgment of the cir-
cuit court is reversed, and the case is remanded to the circuit court for further
proceedings.
On review from the Court of Appeals.*
Lindsey Burrows, O’Connor Weber LLC, Portland, argued
the cause and filed the briefs for petitioner on review.
Greg Rios, Assistant Attorney General, Salem, argued
the cause and filed the brief for respondent on review. Also
on the brief were Ellen F. Rosenblum, Attorney General, and
Benjamin Gutman, Solicitor General.
Before Walters, Chief Justice, and Balmer, Flynn, Duncan,
Nelson, and Garrett, Justices, and Kistler, Senior Judge,
Justice pro tempore.**
______________
* On appeal from Douglas County Circuit Court, Francis Burge, Judge. 310
Or App 22,483 P3d 1157
(2021).
** Nakamoto, J., retired December 31, 2021, and did not participate in the
decision of this case. DeHoog, J., did not participate in the consideration or deci-
sion of this case.
306 State v. Chitwood
WALTERS, C. J.
The decision of the Court of Appeals is reversed. The
judgment of the circuit court is reversed, and the case is
remanded to the circuit court for further proceedings.
Garrett, J., dissented and filed an opinion, in which
Balmer, J., and Kistler, S. J., joined.
Cite as 370 Or 305 (2022) 307
WALTERS, C. J.
In a 20-count indictment, defendant was accused
of sexually abusing his then-13-year-old stepdaughter. A
jury acquitted defendant of all but three counts. Defendant
appealed his convictions, contending that the prosecutor
had made two highly improper statements during the rebut-
tal closing argument. Defendant did not object to either of
those statements, but, on appeal, he argued that the pros-
ecutor’s argument was so prejudicial that the trial court
judgment should be overturned on plain error review. The
Court of Appeals agreed that the prosecutor’s statements
were improper, but it declined to conduct plain error review.
That court reasoned that the prosecutor’s argument was
not so prejudicial as to deny defendant a fair trial and
that there was a possibility that defense counsel’s failure
to object was strategic. State v. Chitwood, 310 Or App 22,483 P3d 1157
(2021). We allowed defendant’s petition for
review and now hold that the prosecutor’s argument consti-
tuted plain error: The prosecutor’s statements were imper-
missible and, taken together, were so egregious that they
deprived defendant of a fair trial. We exercise our discretion
to review that error and reverse the decision of the Court of
Appeals.
The following procedural facts are uncontested.
Defendant’s then-13-year-old stepdaughter reported that
defendant had subjected her to various forms of sexual
abuse over the course of a year. Defendant was charged
with three counts of first-degree sexual abuse, five counts
of second-degree sodomy, one count of second-degree sexual
penetration, 10 counts of second-degree rape, and one count
of unlawful delivery of marijuana to a minor. In charging
each sexual offense the indictment begins with the same
wording: “The defendant, on or between August 2, 2014,
and August 2, 2015, in Douglas County, Oregon, did unlaw-
fully and knowingly” engage in the charged conduct. The
indictment does not allege facts differentiating the sexual
offense counts from each other. At trial, the victim testified
to multiple instances of sexual abuse. There was no physical
evidence supporting the allegations, and defendant consis-
tently denied that the abuse had occurred.
308 State v. Chitwood
The following facts provide context for defendant’s
present challenge to the prosecutor’s rebuttal closing argu-
ment. During voir dire, the prosecutor questioned a prospec-
tive juror, Strong, who ultimately was not seated. Strong
revealed that he had been accused, falsely, of sexually abus-
ing his daughter. According to Strong, the child was exam-
ined by a doctor, who determined that the allegation was
false, and no charge was brought against Strong.
Prior to closing arguments, the trial court instructed
the jury, concerning the burden of proof, as follows:
“The defendant is innocent unless and until the defen-
dant is proven guilty beyond a reasonable doubt. The bur-
den is on the state, and the state alone, to prove the guilt of
the defendant beyond a reasonable doubt.
“Reasonable doubt is based on common sense and reason.
Reasonable doubt is not an imaginary doubt. Reasonable
doubt means an honest uncertainty as to the guilt of the
defendant. You must return a verdict of not guilty if, after
careful and impartial consideration of all the evidence in
the case, you are not convinced to a moral certainty that
the defendant is guilty.”
The court did not define the phrase “moral certainty.”
During her closing argument, the prosecutor empha-
sized that the case turned on credibility, and she asked the
jury to find that defendant was not credible. In response,
defense counsel highlighted inconsistencies in the child’s
allegations and pointed to the lack of specificity in the state’s
case. The prosecutor then made the following rebuttal clos-
ing argument:
“I get to speak to you one last time because I have the bur-
den of proof and that’s the reason I get to speak with you. * * *
“The things that I want to cover with you is [sic] do you
remember Mr. Strong, our juror that said he was falsely
accused and he described to you that his false accuser was
washed out at the forensic interview stage? I don’t know if
you all remember that but he claimed he had been falsely
accused of a sex crime and she washed out because it was
false. And this is not false.
“I want to talk to you about moral certainty because
that’s the threshold. Deep down in your core is your moral
Cite as 370 Or 305 (2022) 309
core and that’s where you’re deciding this case from. Moral
certainty. And if, after considering all the evidence, and
again, I encourage you to listen to and look at everything
that you see here today. Based on the evidence presented
to you, without bias or sympathy for anyone, if you deter-
mine that [defendant] should not reside with an adolescent
girl, that’s your moral certainty and I have proven my case
beyond a reasonable doubt.”
Defendant did not object to that argument, ask for a cura-
tive instruction, or move for a mistrial. Nor did the trial
court offer a curative instruction or declare a mistrial.
After the prosecutor concluded her rebuttal closing
argument, the trial court gave additional jury instructions
explaining the verdict form, but it did not reinstruct the
jury on the substantive legal standards or the elements of
the offenses. Defendant was convicted of one count of first-
degree sexual abuse, one count of second-degree sodomy,
and one count of second-degree rape.
Defendant appealed his convictions to the Court of
Appeals, arguing, as relevant here, that the prosecutor’s
rebuttal closing argument, quoted above, amounted to prose-
cutorial misconduct and that the trial court had plainly erred
in failing to issue a curative instruction or declare a mistrial.
The Court of Appeals agreed that the prosecutor’s
argument was impermissible in both respects identified by
defendant:
“It is not permissible to base closing argument on extra-
record evidence. * * * And the prosecutor’s assertion that
she had proved her case beyond a reasonable doubt if the
jury felt that defendant should not live with an adolescent
girl is not an accurate statement of the law and risked mis-
leading the jury into thinking it could convict based on its
comfort level with defendant living with an adolescent girl.
That appeal was, in effect, an impermissible plea to the
jury to decide the case based on how the evidence made
it feel about defendant, instead of deciding it based on a
determination that it was persuaded by the evidence that
defendant had committed the charged crimes.”
Chitwood, 310 Or App at 27. The court noted, however, that “defendant did not object[,] so we are in a plain error pos- ture.” That, the court said, “means that we would have to be 310 State v. Chitwood persuaded to exercise our discretion to correct the alleged error, were we to conclude that it was plain.”Id.
The court gave two reasons for declining to exer-
cise its discretion. It first stated, without elaboration, that
the record did not compel the conclusion that defendant had
been denied a fair trial. Id.And it then stated that the pos- sibility that defense counsel had chosen, for strategic rea- sons, not to seek a curative instruction or mistrial weighed against correcting plain error.Id. at 28
. The court said that “there is a possibility that defendant made a strategic choice not to request a mistrial[,] [insofar as the] prosecu- tor’s remarks occurred in rebuttal, at the very end of trial, a point at which defendant may well have had a sense of how the trial was going and may have wanted it to go forward to the jury, rather than end in a mistrial.”Id.
Similarly, the court said, it was possible that defense counsel had made a strategic choice not to request a curative instruction “so as not to highlight the prosecutor’s argument with an instruc- tion addressing it right before the case went to the jury.”Id.
The court cited this court’s decisions in State v. Fults,343 Or 515, 520, 523
,173 P3d 822
(2007), for the proposition that “the possibility that [the] defendant made a strategic choice not to object” weighs against correcting plain error and that appellate courts should “take into consideration any strate- gic purpose that [a] defendant may have had in not objecting to the trial court’s course of action.”Id.
On review, defendant agrees with the Court of
Appeals that the prosecutor’s rebuttal closing argument
was impermissible, but he argues that that court erred in
declining to conduct plain error review. Defendant contends
that he neither invited the prosecutor’s remarks nor bene-
fitted from them and asks this court to conclude that the
prosecutor’s argument was so egregious that it denied him
a fair trial. Defendant asks that we exercise our discretion
and reverse the judgment of conviction.
I. ANALYSIS
We begin our analysis with the obvious obstacle to
our review—the fact that defendant did not object to the pros-
ecutor’s rebuttal closing argument or move for a mistrial.
Cite as 370 Or 305 (2022) 311
Because of that, defendant is entitled to review only if we
find “plain error” and are willing to consider it. ORAP
5.45(1) (“No matter claimed as error will be considered on
appeal unless the claim of error was preserved in the lower
court and is assigned as error in the opening brief in accor-
dance with this rule, provided that the appellate court may,
in its discretion, consider a plain error.”).
The first step in a plain error analysis is to deter-
mine whether the claimed error is “plain,” which, in turn,
involves examining the following three factors: (1) whether
the claimed error is one of law; (2) whether the claimed error
is obvious and not reasonably in dispute; and (3) whether
the claimed error appears on the record. State v. Vanornum,
354 Or 614, 629,317 P3d 889
(2013). If those requirements are satisfied, the second step is to decide whether to exer- cise discretion to consider the error. “That discretion entails making a prudential call that takes into account an array of considerations, such as the competing interests of the par- ties, the nature of the case, the gravity of the error, and the ends of justice in the particular case.”Id. at 630
.
Here, defendant describes the error that he contends
is “plain” as an error by the trial court in failing to order
a mistrial or issue curative instructions. See, e.g., State v.
Fanus, 336 Or 63, 84,79 P3d 847
(2003); State v. Simonsen,329 Or 288, 301
,986 P2d 566
(1999); State v. Montez,324 Or 343, 356
,927 P2d 64
(1996) (all identifying issue as whether trial court’s error in failing to act to address prosecutor’s allegedly impermissible comments was plain error). If the trial court had been asked to take those actions and denied motions to do so, an appellate court would review such a denial for abuse of discretion. State v. Davis,345 Or 551, 582-83
,201 P3d 185
(2008); State v. Bowen,340 Or 487, 508
,135 P3d 272
(2006) (both applying that standard). And such a denial would not constitute an abuse of discretion unless the effect of the prosecutor’s misconduct was to deny a defendant a fair trial. Davis,345 Or at 583
. Generally, a proper jury instruction is adequate to cure any presumed prejudice from a prosecutor’s misconduct.Id.
However, some prosecutorial statements may be “so prejudicial that, as a practical matter, the bell once rung, cannot be unrung by 312 State v. Chitwood such an admonishment.”Id.
(quoting State v. Jones,279 Or 55, 62
,566 P2d 867
(1977) (internal quotation marks omit- ted)). Ultimately, an appellate court is required to decide “whether, under the circumstances as a whole, defendant was denied the right to a fair trial, as a matter of law, by the events that transpired at trial.” Davis,345 Or at 583
; see also State v. Compton,333 Or 274, 293
,39 P3d 833
(2002), cert den,537 US 841
(2002) (same).
As noted, those principles apply when an appellate
court reviews a preserved challenge to a prosecutor’s
remarks and a court’s denial of a motion for mistrial. Here,
of course, defendant did not object to the prosecutor’s argu-
ment or make a motion for mistrial, and, accordingly, the
trial court did not make rulings subject to appellate review.
Nevertheless, appellate review is permitted, and reversal
may be warranted if “it is beyond dispute that the prose-
cutor’s comments were so prejudicial as to have denied
defendant a fair trial.” Montez, 324 Or at 357. Thus, in this instance, the standard for our review of a preserved error and for our review of a claim of plain error is identical. That is, as in the context of a preserved error, it is not enough for a defendant to show that a prosecutor’s comments were improper; a defendant asserting plain error must demon- strate that the prosecutor’s comments were so prejudicial that an instruction to disregard them would not have been sufficiently curative to assure the court, in its consideration of all the circumstances, that the defendant received a fair trial. In that situation, we have described the denial of the right to a fair trial as indicating “plain error.”Id.
In using that moniker, we have thought of the error
as attributable to the trial court—describing the error as
the trial court’s failure to step in and declare a mistrial.
See, e.g., Montez, 324 Or at 357. But another way to view the error is as an error by the prosecutor in making remarks that are so egregious that, if the defendant had made a motion for mistrial, the trial court would have erred, as a matter of law, in denying it. Understanding the error in that way is consistent with the test for legal error—whether the prosecutor’s comments were so prejudicial as to have denied defendant a fair trial. Describing the claimed error that way Cite as370 Or 305
(2022) 313
properly focuses the inquiry without changing the substan-
tive standard that must be met to permit appellate review.1
Again, to establish legal error, a defendant who
seeks review of an unpreserved challenge to prosecutorial
1
In adopting that focus, we align ourselves with the description of the error
used by the federal courts. The federal courts’ analysis appears uniformly to
focus exclusively on whether the prosecutor’s remarks were erroneous and unduly
prejudicial; whether the trial court should have intervened is not a factor in the
analysis. See, e.g., United States v. Young, 470 US 1,105 S Ct 1038
,84 L Ed 2d 1
(1985) (Court recognized that trial court should have intervened, but plain error analysis centered on whether prosecutor’s remarks were erroneous and whether they deprived the defendant of a fair trial); United States v. Roberts,119 F3d 1006
(1st Cir 1997) (prosecutor plainly erred in commenting on defendant’s failure to testify and in alluding to evidence not in the record during closing, and convic- tion had to be vacated; trial court’s failure to intervene not discussed); United States v. Elias,285 F3d 183
(2d Cir 2002) (prosecutor’s comments were erroneous but not so prejudicial as to warrant reversal; trial court’s failure to intervene not discussed); United States v. Vargas, 583 F2d 380 (7th Cir 1978) (prosecutor’s erroneous statement in closing constituted plain error and warranted reversal; trial court’s failure to intervene not discussed); Government of the Virgin Islands v. Mills,821 F3d 448
(3d Cir 2016) (prosecutor’s improper statements in closing were clearly erroneous, but court found that defendant’s substantial rights had not been violated and therefore reversal was not warranted; trial court’s failure to intervene not discussed); United States v. Mitchell,1 F3d 235, 242
(4th Cir 1993) (prosecutor’s statements in closing were improper because they encouraged jury to convict for an impermissible reason and they “prejudicially affected the defendant’s substantial rights,” requiring reversal; trial court’s failure to inter- vene not discussed); United States v. Flores-Chapa,48 F3d 156
(5th Cir 1995)
(prosecutor’s closing argument referring to excluded evidence was plain error
affecting substantial rights, requiring reversal; court found error should have
been “plain” to trial court, but analysis centered on whether the prosecutor’s
statement affected defendant’s substantial rights).
Some states also focus their inquiry in that way. See, e.g., Collins v. State,
966 NE2d 96(Ind 2012) (prosecutor’s closing argument in which the prosecutor made disparaging comments about defense counsel and referred to a prior arrest that was not in evidence was highly prejudicial and constituted fundamental error requiring reversal; trial court’s failure to intervene not discussed); Knight v. State, 672 So 2d 590, 591 (Fla 1996) (reversing conviction where “prosecutor’s improper comments reach[ed] to the very heart of the case and [rose] to the level of fundamental error obviating the need for multiple or contemporaneous objec- tions”; trial court’s failure to intervene not discussed); State v. Betancourt,151 Idaho 635
,262 P3d 278
(2011) (court reversed because prosecutor’s comment during closing stating that jury could infer defendant’s guilt from his invoca- tion of his Fourth Amendment right to refuse to consent to search vehicle was fundamental error and there was a reasonable possibility that the impermissi- ble comments affected the outcome of the trial; trial court’s failure to intervene not discussed); West v. State,764 P2d 528
(Okla 1988) (prosecutorial misconduct
during closing argument, in which prosecutor indirectly referred to defendant as
a liar, used language that improperly played on societal alarm, and improperly
commented on defendant’s refusal to continue talking to police after they started
questioning him, which constituted fundamental error that went to foundation of
case, requiring reversal; trial court’s failure to intervene not discussed).
314 State v. Chitwood
statements must demonstrate that the statements were so
prejudicial that they deprived the defendant of a fair trial.
We proceed to that question, and, in doing so, we take a dif-
ferent approach than did the Court of Appeals. That court
began by considering whether the prosecutor’s statements
were permissible, found that they were not, and then, rather
than considering whether those improper statements consti-
tuted “plain error,” proceeded to the second step in the plain
error analysis and declined to exercise its discretion to con-
duct review. In following that path, the Court of Appeals did
not consider the factors used to determine whether unpre-
served error is “plain”; that is, (1) whether the claimed error
is one of law; (2) whether the claimed error is obvious and
not reasonably in dispute; and (3) whether the claimed error
appears on the record. We find it helpful to complete that
inquiry before we turn to the second, discretionary, step in
the analysis.
A. The prosecutor’s argument was plainly impermissible.
As discussed, defendant highlights two aspects of
the prosecutor’s closing argument as impermissible and cog-
nizable as plain error. The first is the prosecutor’s comment
referencing “Mr. Strong,” a prospective juror:
“The things that I want to cover with you is [sic] do you
remember Mr. Strong, our juror that said he was falsely
accused and he described to you that his false accuser was
washed out at the forensic interview stage? I don’t know if
you all remember that but he claimed he had been falsely
accused of a sex crime and she washed out because it was
false. And this is not false.”
The prosecutor’s discussion of her conversation with
the prospective juror during voir dire was impermissible in
two ways. First, in deciding a defendant’s guilt or innocence,
a jury may consider only facts properly received in evidence.
See Cler v. Providence Health System-Oregon, 349 Or 481,
488,245 P3d 642, 646
(2010) (trial counsel’s freedom to comment on evidence in closing is not without limitations, and “[o]ne such limitation is that counsel may not make statements of facts outside the range of evidence”) (internal quotation marks omitted); State v. Wederski,230 Or 57, 61
, Cite as370 Or 305
(2022) 315368 P2d 393
(1962) (reversing trial court ruling declining to order mistrial based on prosecutor’s improper invitation to jury to consider matters not in evidence). Second, a pros- ecutor may not encourage the jury to decide the case on an improper basis. See State Highway Commission v. Callahan,242 Or 551, 558
,410 P2d 818
(1966) (inflammatory argu- ments encourage jury to decide case on improper basis and are impermissible); Bratt v. Smith et al.,180 Or 50, 60
,175 P2d 444
(1946) (arguments appealing to “passion and prej-
udice” encourage jury to decide case on improper basis and
are impermissible).
Here, the prosecutor violated both rules. She raised
the prospective juror’s recitation of what had happened in a
prior situation—facts not in evidence—and used those facts
to suggest an improper basis for reaching a conclusion—
that, because, in the prior instance, the victim’s accusations
had “washed out” at the forensic interview stage and that
had not happened here, the victim’s accusations in this case
should be taken as true. The prior situation and this case
were similar in that both involved child sexual abuse, and,
in both, professionals had conducted forensic interviews of
the children who had made accusations. But, the prosecu-
tor argued, the prospective juror’s accuser “washed out” at
the “forensic interview stage * * * because [the accusation]
was false.” In contrast, the prosecutor argued, “this [accusa-
tion] is not false.” That argument exceeded the bounds of the
permissible.
The second aspect of the prosecutor’s argument that
defendant highlights is the prosecutor’s reference to the
trial court’s jury instruction regarding reasonable doubt:
“You must return a verdict of not guilty if, after careful and
impartial consideration of all the evidence in the case, you
are not convinced to a moral certainty that the defendant is
guilty.” As the United States Supreme Court has explained,
use of the phrase “moral certainty” in jury instructions
means the same thing as “beyond a reasonable doubt”:
“[Historically,] moral certainty meant a state of subjective
certitude about some event or occurrence. * * * Indeed, we
have said that proof to a moral certainty is an equivalent
phrase with beyond a reasonable doubt. * * * [And it does
316 State v. Chitwood
not mean] anything different today than it did in the 19th
century.”2
Victor v. Nebraska, 511 US 1, 12,114 S Ct 1239
,127 L Ed 2d 583
(1994) (citations and internal quotation marks omit- ted). In turn, the beyond-a-reasonable-doubt standard “impress[es] upon the factfinder the need to reach a sub- jective state of near certitude of the guilt of the accused.”Id. at 15
.
In her rebuttal closing, the prosecutor told the jury:
“I want to talk to you about moral certainty because
that’s the threshold. Deep down in your core is your moral
core and that’s where you’re deciding this case from. Moral
certainty. And if, after considering all the evidence, and
again, I encourage you to listen to and look at everything
that you see here today. Based on the evidence presented
to you, without bias or sympathy for anyone, if you deter-
mine that [defendant] should not reside with an adolescent
girl, that’s your moral certainty and I have proven my case
beyond a reasonable doubt.”
That statement distorted the burden of proof by suggest-
ing, incorrectly, what the jury must find in order to convict
defendant. Rather than confirming to the jurors that they
must “reach a subjective state of near certitude of the guilt
of the accused,” Victor, 511 US at 15, the prosecutor told the
jurors that they could find defendant guilty if they “deter-
mine[d] that defendant should not reside with an adoles-
cent girl.” In addition, by equating that determination with
“moral certainty,” the prosecutor urged the jurors to decide
2
The United States Supreme Court, in Victor v. Nebraska, 511 US 1, 14,114 S Ct 1239
,127 L Ed 2d 583
(1994), did, however, recognize that the phrase “moral certainty” is obscure and may confuse modern juries: “We are willing to accept [the] premise that ‘moral certainty,’ standing alone, might not be rec- ognized by modern jurors as a synonym for ‘proof beyond a reasonable doubt.’ ” For that reason, some courts around the country have discouraged its use. See, e.g., People v. Hewlett,133 AD2d 417, 418
,519 NYS2d 555
(1987) (it is reversible error to use the phrase “moral certainty”); Com. v. Bonds, 424 Mass 698, 703,677 NE2d 1131, 1133
(1997) (“We conclude that these instructions which equate proof beyond a reasonable doubt with moral certainty, and then give no content to the phrase ‘moral certainty’ except to compare it with the certainty required to make important personal decisions cannot withstand constitutional scrutiny.”). This court has also agreed that including the phrase “moral certainty” in the instruction on reasonable doubt “is not particularly helpful to the jury.” State v. Williams,313 Or 19, 37
,828 P2d 1006
(1992). Cite as370 Or 305
(2022) 317
the case on an improper basis; the comment appealed to the
jurors’ moral sensibility about an irrelevant circumstance
rather than their certainty about defendant’s guilt based on
the evidence presented. That comment was improper and
impermissible.
B. The prosecutor’s impermissible argument was cognizable
as plain error.
As we have explained, however, that conclusion
does not end the inquiry. The prosecutor’s improper com-
ments are reviewable as “plain error” only if they constitute
legal error, and they rise to that level only if they are so
prejudicial that they deprived defendant of a fair trial. For
the following reasons, we conclude that, taken together, the
prosecutor’s comments meet that standard.
First, the requirement that the state prove every
element of the offense beyond a reasonable doubt is funda-
mental to the American justice system. In re Winship, 397
US 358, 363-64,90 S Ct 1068
,25 L Ed 368
(1970); Mahorney v. Wallman, 917 F2d 469, 472 (10th Cir 1990) (describing the reasonable doubt standard as a “constitutionally rooted * * * basic right”); State v. Rosasco,103 Or 343, 357
,205 P 290
(1922) (“The presumption of innocence is not a mere form, but a substantial part of the law.”). The beyond-a-reasonable- doubt standard “provides concrete substance for the pre- sumption of innocence * * * [and] lies at the foundation of the administration of our criminal law.” Winship,397 US at 363
(citation omitted). Because that standard is so fundamental, a prosecutor’s misstatement of it can be so prejudicial that plain error review and reversal are warranted. United States v. Roberts,119 F3d 1006, 1011
(1st Cir 1997) (plain error jus-
tified reversal based, in part, on prosecutor’s misstatement
of the burden of proof); Floyd v. Meachum, 907 F2d 347, 355
(2d Cir 1990) (overturning state conviction because of prose-
cutorial misconduct that “in effect distort[ed] the burden of
proof by suggesting incorrectly what the jury must find in
order to reach a certain verdict”).
Second, the timing of the prosecutor’s remark about
the burden of proof exacerbated the risk that it would be
prejudicial. The comment came at the end of the prosecu-
tor’s rebuttal closing argument. Thus, it was the last thing
318 State v. Chitwood
that the jury heard before beginning deliberations. And,
because it was the last thing the jury heard, its impact was
likely to have been significant, insofar as a defendant had
no opportunity to make a counter argument to the jury.
Arguments made in rebuttal have the power of
recency in the minds of the jury. Research shows that peo-
ple tend to remember best, and be influenced most, by the
latest event in a sequence, making rebuttal the most per-
suasive aspect of closing arguments. See, e.g., Ryan Patrick
Alford, Catalyzing More Adequate Federal Habeas Review of
Summation Misconduct: Persuasion Theory and the Sixth
Amendment Right to an Unbiased Jury, 59 Okla L Rev
479, 513-15 (2006) (summarizing empirical psychological
research showing that tendency); United States v. Sanchez,
659 F3d 1252, 1259(9th Cir 2011) (reversing conviction on plain error review due to prosecutorial misconduct during rebuttal closing argument, stating that, “[g]iven the timing, the impact was likely to be significant, and the court did not intervene”); United States v. Alcantara-Castillo,788 F3d 1186, 1198
(9th Cir 2015) (reversing conviction on plain error review due to prosecutorial misconduct during rebuttal clos- ing argument, reasoning that, “[b]ecause the government’s rebuttal was the last thing the jury heard before beginning its deliberations, the impact of the misconduct was likely to be significant” (internal quotation marks omitted)); United States v. Torres-Colón,790 F3d 26, 34
(1st Cir 2015) (“We view problematic statements during rebuttal with particu- lar scrutiny, because the government’s rebuttal argument offers the last word before the jury begins deliberations.”); United States v. Ayala-García,574 F3d 5, 20
(1st Cir 2009)
(reversing conviction on plain error review due to prosecu-
torial misconduct in rebuttal closing, stating, “the rebuttal
context increased the likelihood of prejudice because the
improper remarks were among the last words spoken to
the jury by the trial attorneys” (internal quotation marks
omitted)).
Here, the prosecutor’s improper argument was the
final word on the meaning of reasonable doubt; the court
had instructed the jury on that topic earlier, before the clos-
ing arguments. Thus, the last thing that the jury heard—
from either the lawyers or the court—regarding the state’s
Cite as 370 Or 305 (2022) 319
burden of proof was the prosecutor’s incorrect and inappro-
priate statement: “Based on the evidence presented to you,
without bias or sympathy for anyone, if you determine that
[defendant] should not reside with an adolescent girl, that’s
your moral certainty.”
Such an infringement of a defendant’s fundamen-
tal rights cannot easily be corrected by curative instruction,
as two of this court’s prior decisions demonstrate. In Jones,
the state charged the defendant with rape. 279 Or at 57. At trial, the prosecutor persisted in insinuating to the jury that the defendant had committed rapes many times before, even calling an officer who so testified. After the defendant objected, the trial court instructed the jury “to disregard the statement made by [the officer]. You are directed to erase it from your mind and pay no attention to it.”Id. at 62
. The trial court denied the defendant’s motion for a mis- trial, but, on review, this court reversed, concluding that the defendant had been denied a fair trial. We noted that the prosecutor had to have known that there was no evidence in the record that the defendant had prior convictions for rape, reasoned that the case depended on the credibility of the prosecuting witness and the defendant, and concluded that the cautionary instruction could not unring the bell.Id. at 62-63
.
In State v. White, 303 Or 333, 336,736 P2d 552
(1987), the prosecutor remarked, in opening statement, that the defendant had refused to testify in his codefendant’s trial. Immediately thereafter, defense counsel moved for a mistrial. The trial court concluded that the remark was inappropriate but denied the motion on the ground that, at that stage of the proceeding, “an indication to the jury that whether or not [the defendant] chose to testify in a prior pro- ceeding [was] not relevant[.]”Id. at 337
. The trial court then instructed the jury that the defendant’s refusal to testify was “not relevant” and not “probative of the evidence in this case.”Id. at 338
.
On review, this court concluded that that cura-
tive instruction was insufficient, reasoning that it is well-
established that a prosecutor is prohibited from drawing
the jury’s attention to the defendant’s exercise of the right
320 State v. Chitwood
to remain silent. We explained that the admission of such
evidence is “ ‘usually reversible error * * * if it is done in a
context whereupon inferences prejudicial to the defendant
are likely to be drawn by the jury.’ ” Id.at 341-42 (quoting State v. Smallwood,277 Or 503, 505-06
,561 P2d 600
(1977)). And, in view of that “presumably harmful effect,” we drew the conclusion that the trial judge had been required to do something more than instruct the jury that defendant’s refusal to testify in his codefendant’s trial was irrelevant. White,303 Or at 342-44
. We said that “the misconduct [in White] was at least as serious as that involved in [Jones],” and we held that the defendant was entitled to a new trial.Id. at 344
.
In this case, the prosecutor told the jurors that they
could convict defendant if they were convinced, not that he
had committed the charged crimes, but that, in the future,
he should not live with an adolescent girl. The jurors’ feel-
ings about whether defendant should reside with an adoles-
cent girl were not at issue in the case, and those feelings cer-
tainly had nothing to do with whether the state had proved
defendant’s guilt beyond a reasonable doubt or to a “moral
certainty.” “[P]rosecutors may not urge jurors to convict a
criminal defendant in order to protect community values,
preserve civil order, or deter future lawbreaking. The evil
lurking in such prosecutorial appeals is that the defendant
will be convicted for reasons wholly irrelevant to his own
guilt or innocence.” Sanchez, 659 F3d at 1256 (internal quo-
tation marks and citations omitted). The bell of misdirec-
tion that the prosecutor rang in this case, directing the jury
away from the facts toward emotion and risk of error, was
an infringement of defendant’s fundamental rights and was
a bell that was as difficult to unring as were the bells of
misconduct at issue in White and Jones.
Third, the prosecutor compounded the error by
referring to other irrelevant matters that were not in evi-
dence when she raised the issue of a prospective juror’s prior
experience and suggested that the jury could consider what
happened there to decide that, in this case, the victim was
telling the truth. The prosecutor’s blatant and repeated
argument that it was up to the jurors to decide defendant’s
fate based on their own beliefs and experiences would
Cite as 370 Or 305 (2022) 321
have made it nearly impossible for the trial court to cor-
rect course and ensure that defendant received a fair trial.
Although, strictly speaking, the prosecutor did not raise
facts that the jury had not previously heard, she framed
that information in a new way, giving the jury permission
to ignore defendant’s fundamental right to proof beyond a
reasonable doubt—a right that is every bit as fundamental
and long-standing as the right to remain silent. The court
did not provide a cautionary instruction, but, even if it had,
we conclude that any such instruction would not have been
sufficient to cure the prejudice inherent in the prosecutor’s
improper remarks.
Fourth, and finally, the case was close. See
Alcantara-Castillo, 788 F3d at 1197 (“That the government
felt the need to engage in * * * improper tactics only enforces
just how close the credibility contest was, further demon-
strating that [the prosecutor’s misconduct] was highly prej-
udicial.”). Defendant was charged with 20 criminal offenses,
19 of them sexual offenses. The indictment did not specify
a particular instance of criminal conduct charged in each
count. Each of the sexual abuse, sodomy, and rape counts
were indistinguishable from one another and each count
alleged that the criminal conduct occurred at some point
during a one-year period. There was no physical evidence
supporting any of the charges against defendant. Rather,
the case came down to a credibility contest between defen-
dant and the victim, and the jury acquitted defendant of 17
of the 20 counts charged in the indictment.
Given all of those factors, we conclude that, taken
together, the prosecutor’s comments—her misstatement of
the reasonable doubt standard and her improper reference
to the prospective juror—were so prejudicial as to have
denied defendant a fair trial and that plain error review
is permitted: The error was one of law because the state-
ments were so prejudicial that, if defendant had objected
and moved for a mistrial, the trial court would have com-
mitted legal error had it denied the motion. The error also
is obvious and not reasonably in dispute, and it appears on
the record. Therefore, there is a legal basis for our review of
the claimed error, and we proceed to the second step in the
plain error analysis.
322 State v. Chitwood
C. We will exercise our discretion to correct the error.
As discussed, the decision at step two of the plain
error analysis requires an exercise of discretion, and, gener-
ally, consideration of factors such as “the competing interests
of the parties, the nature of the case, the gravity of the error,
and the ends of justice in the particular case.” Vanornum,
354 Or at 630. However, before we undertake that analysis,
a preliminary matter requires our attention: this court’s
role on review.
In this case, as we have noted, the Court of Appeals
considered the prosecutor’s comments to be improper, but it
declined to determine whether those comments constituted
“plain error.” Instead, the court indicted that it would not
exercise its discretion to conduct review even if it had deter-
mined that the error were plain, reasoning, in part, that
the record did not compel the conclusion that defendant was
denied a fair trial. Although the Court of Appeals relied on
that conclusion at the second, rather than at the first, step
in the analysis, the conclusion it reached, and on which it
relied, was one of law. For the reasons we have given, that
conclusion also was erroneous. The record compels a conclu-
sion that defendant was not afforded a fair trial.
Given that error, we could send this case back to the
Court of Appeals, as we did in Vanornum, to recognize the
error it identified as “plain error” and then to decide anew
whether to exercise its discretion to correct it. However, such
a remand is not always required. ORAP 5.45(1) gives “the
appellate court” discretion to consider a plain error, and, in
the circumstances here presented, we consider it appropri-
ate that we undertake that analysis.
Looking to the factors articulated in Vanornum, the
one that most obviously calls for our exercise of discretion
is the “gravity of the error”—here, an error so grave that it
denied defendant a fair trial. The reasoning that supports
our finding of plain error also urges our intervention to cor-
rect it.
The state suggests, however, that the “competing
interests of the parties” militates against a decision to cor-
rect the error. That is, the state argues that the Court of
Cite as 370 Or 305(2022) 323 Appeals correctly concluded that there was “a possibility that defendant made a strategic choice” not to request a mistrial or a curative instruction. Chitwood,310 Or App at 28
. In such a case, it would be unfair to the state were we to
exercise our discretion to correct the error.
As noted, the Court of Appeals relied on this court’s
decision in Fults, 343 Or at 523, where this court held that
the possibility that the defendant had made a strategic
choice not to object weighed against correcting plain error.
The Court of Appeals concluded that there was such a possi-
bility in this case:
“Here, there is a possibility that defendant made a
strategic choice not to request a mistrial. The prosecutor’s
remarks occurred in rebuttal, at the very end of trial, a
point at which defendant may well have had a sense of how
the trial was going and may have wanted it to go forward
to the jury, rather than end in a mistrial.
“As for a curative instruction, there is a possibility that
defendant made a strategic choice not to request one so as
not to highlight the prosecutor’s argument with an instruc-
tion addressing it right before the case went to the jury.”
Chitwood, 310 Or App at 28. For those reasons, the court
declined to exercise its discretion to correct the errors.
Fults, however, is inapposite. In Fults, the defendant
was convicted of multiple criminal offenses and sentenced
to a 36-month term of probation. On appeal, the defendant
asserted that the trial court’s failure during sentencing to
make findings supporting a departure sentence from 24
months to 36 months on one of the counts was plain error.
343 Or at 518. This court held that plain error review was inappropriate, because “the record permit[ted] the conclu- sion that [the] defendant’s failure to object was a conscious choice.”Id. at 520
. We observed that the error complained of was technical, insofar as the trial court had already imposed an undisputedly permissible 36-month probation term on another count. Additionally, we noted that the defendant had expressed a desire to be released on proba- tion as soon as possible and the trial court had reluctantly agreed. And we said that, under those circumstances, the defendant might reasonably have feared that an objection to 324 State v. Chitwood the departure sentence would “break the deal” and the best tactic would be to remain silent. Thus, we concluded, “there [was] a significant possibility that [the] defendant’s failure to object was in fact a strategic choice.”Id.
(emphasis in orig- inal). As we later described that decision, we emphasized the defendant’s “ ‘apparent encouragement of the judge’s choice.’ ” State v. Serrano,355 Or 172, 188
,324 P3d 1274
(2014) (quoting Fults,343 Or at 523
).
Thus, Fults stands for the proposition that, when
the record shows that a defendant invited or encouraged a
trial court’s decision, the defendant may not take advan-
tage of the failure to object to that decision. Since Fults, this
court has proceeded accordingly. In Serrano, the defendant
had challenged on review the trial court’s answers to cer-
tain questions from the jury. This court concluded that plain
error review was not appropriate because the court had con-
sulted the parties before crafting the answer and the par-
ties, including the defendant, had agreed with the answer
given. 355 Or at 184. Likewise, in State v. Steen,346 Or 143
,206 P3d 614
(2009), the defendant had assigned as plain error the admission of hearsay evidence. This court declined plain error review because “the record before us discloses not only that defendant failed to object to testimonial hearsay when it was presented, but also that defense counsel stipulated to the procedure that the state and the trial court followed. In this case, the record does not present an opportunity for us to address the role that silence plays in reviewability, because defendant’s trial strategy registers on the record fortissimo.”Id. at 154
; see also State ex rel Juv. Dept. v. S. P.,346 Or 592, 606
,215 P3d 847
(2009) (court declined to review as plain
error alleged deprivation of youth’s right to confront a wit-
ness where the youth made an explicit decision to stipulate
to the witness’s unavailability at trial; youth “may not seek
refuge from that deliberate choice on appeal”).
In the foregoing cases, the alleged errors were
the trial courts’, and this court concluded that the record
showed that the defendant had encouraged or even sought
the court’s ruling. In this case, the state similarly views the
error as error by the trial court in failing to act, sua sponte,
Cite as 370 Or 305 (2022) 325
to declare a mistrial or issue curative instructions. The state
argues that defendant may have wished to avoid drawing
attention to the prosecutor’s statements and may not have
wanted the trial court to act, and he therefore encouraged or
benefitted from the trial court’s failure.
There are several problems with that argument.
First, although the record may permit an inference that
defendant had reason to remain silent, the record does not
demonstrate that, as in the cases discussed above, defen-
dant invited or encouraged a particular trial court ruling.
Here, the prosecutor’s improper remarks did not call for a
trial court ruling. The prosecutor did not make the remarks
in arguing a legal point or in response to something that
defense counsel stated. Rather, the prosecutor’s remarks
were unexpected, and there can be no legitimate argument
that defendant encouraged or invited them.
Second, even if defendant may have benefited by
remaining silent and failing to object to the prosecutor’s
remarks, that advantage, if any, occurred at the instigation
of the prosecutor. Objecting during closing arguments is
fraught with risk:
“Defense counsel may be concerned about maintaining
good relationships with prosecutors, which can be import-
ant for her ability to advocate successfully for future clients.
Additionally, counsel may be concerned about irritating the
judge or jury by interrupting opposing counsel, which can
heighten jurors’ general tendencies to favor prosecutors
over defense counsel. More specifically, defense counsel may
be concerned about the jury’s likely reaction if her objection
is overruled. A trial court decision to overrule an objection
to improper prosecutorial misconduct may actually encour-
age the jury to rely on those comments, although appellate
courts rarely recognize that type of prejudice. Additionally,
courts and some commentators overstate the value of a
trial court’s decision to sustain an objection to prosecu-
torial trial misconduct. In fact, the misconduct may still
prejudice the defendant: The defense attorney’s complaint,
even if sustained by the court, may have exactly the oppo-
site effect from the one intended. It may call attention to
the prosecutor’s improper remarks and reemphasize them
in the jurors’ minds.”
326 State v. Chitwood
Mary Nicol Bowman, Mitigating Foul Blows, 49 Ga L Rev
309, 357-58 (2015) (footnote and internal quotation marks
omitted). A defense lawyer’s concern about drawing further
attention to objectionable information is legitimate and sup-
ported by empirical evidence. See Shari S. Diamond et al.,
The “Kettleful of Law” in Real Jury Deliberations: Successes,
Failures, and Next Steps, 106 NW U L Rev 1537, 1592 (2012)
(discussing and citing an empirical study on the effect of
an overruled objection). Here, the prosecutor’s inclusion of
improper statements in her rebuttal closing argument put
defense counsel, through no fault of his own, in the unten-
able position of either objecting and risking calling further
attention to the matter and incurring other adverse conse-
quences or deciding not to object and potentially losing the
right to make an argument based on the prosecutor’s mis-
conduct on appeal.
Moreover, we must remember that, just as defense
counsel “may well have had a sense of how the trial was
going and may have wanted it to go forward to the jury,”
Chitwood, 310 Or App at 28, the prosecutor also may have
had a sense of how the trial was going and may have thought
it was worth the risk of a mistrial to make the arguments
that she did. The state argues that “[g]ranting plain-error
review where it is inferable that a defendant omitted an
objection for strategic gain incentivizes such gamesmanship
in other cases.” But that argument ignores the fact that,
here, defendant did not initiate the “game.” Indeed, pre-
cluding plain error review here could encourage prosecutors
to make improper remarks in rebuttal argument in future
cases.3
Given the prosecutor’s role in creating the predica-
ment, and, given that the record does not show that defen-
dant encouraged or invited the prosecutor’s conduct, we do
3
A prosecutor with a weak case has “incentives under the current system to
[engage in] misconduct * * *, as the risk of an appellate court ordering a new trial
is less significant than the risk of an acquittal at trial.” Bowman, Mitigating Foul
Blows, 49 Ga L Rev at 316. When a court finds error but fails to correct it, the
court risks “tacitly inform[ing] prosecutors that they can weigh the commission
of evidentiary or procedural violations not against a legal or ethical standard of
appropriate conduct, but rather, against an increasingly accurate prediction that
the appellate courts will ignore the misconduct.” Bennett L. Gershman, The New
Prosecutors, 53 U Pitt L Rev 393, 425 (1992).
Cite as 370 Or 305(2022) 327 not consider the benefit that defendant may have obtained by failing to object to that conduct to be unfair or a basis for refusing to conduct plain error review. It is not just the appellate court’s responsibility to ensure that a defendant receives a fair trial—it is also the prosecutor’s. In Jones,279 Or at 63
, this court stated: “While it is expected that a prosecuting attorney will be zealous in his efforts to convict a defendant believed by him to be guilty of a crime, it must also be remembered that the prosecuting attorney, as a representative of the state, owes a primary duty to see that all criminal defendants receive a fair trial.” In a similar vein, the United States Supreme Court admon- ished that the prosecutor “ ‘is [a] representative not of an ordinary party to a con- troversy, but of a sovereignty whose obligation to govern impartially is as compelling as its obligation to govern at all; and whose interest, therefore, in a criminal prosecu- tion is not that it shall win a case, but that justice shall be done. As such, he is in a peculiar and very definite sense the servant of the law, the twofold aim of which is that guilt shall not escape or innocence suffer. He may prosecute with earnestness and vigor—indeed, he should do so. But, while he may strike hard blows, he is not at liberty to strike foul ones. It is as much his duty to refrain from improper meth- ods calculated to produce a wrongful conviction as it is to use every legitimate means to bring about a just one.’ ” Viereck v. United States,318 US 236, 248
,63 S Ct 561
,87 L Ed 734
(1943) (quoting Berger v. United States,295 US 78, 88
,55 S Ct 629
,79 L Ed 1314
(1935)).
In deciding to exercise our discretion to correct
what we have found to be plain error, we disagree with the
dissent’s contention that our ruling today places a defendant
who timely objects to a prosecutor’s improper remarks and
asks for a curative instruction or mistrial in a worse position
than a defendant who remains silent and claims plain error
on appeal. It is true that a lawyer who, for example, asks
for and receives a curative instruction must live with the
result, even if this court, on plain error review, ultimately
would have concluded that a curative instruction was insuf-
ficient to protect the defendant’s right to a fair trial. But we
328 State v. Chitwood
do not think that that means that defendants who remain
silent are better off than defendants who speak up, or that
defense counsel has an incentive to refrain from making a
meritorious objection. The lawyer’s duty is to zealously pro-
tect the client’s interests. If a lawyer believes that a prose-
cutor’s remarks are so prejudicial as to deprive the client of
a fair trial, we do not think that our decision here will deter
the lawyer from making a timely objection. We agree that
trial courts are in the best position to assess the effect that
a prosecutor’s remarks may have. Therefore, lawyers will be
well advised to seek a favorable, immediate, ruling from the
trial court, rather than take the risk that, years later, an
appellate court will find, on a cold record, that the defendant
was denied a fair trial.4
Relatedly, we think that the dissent overstates the
risk that we will be rewarding silence in cases that present
“closer questions, where reasonable lawyers and judges may
differ in real time as to whether or to what degree a prose-
cutor’s conduct crossed the line.” 370 Or at 336 (Garrett, J.,
dissenting). A defendant who fails to preserve an error at
trial will only prevail on appeal if an appellate court con-
cludes that the defendant was denied a fair trial. That is an
exceedingly high bar. Where it is a “close question” whether
a prosecutor crossed the line, it is doubtful that reasonable
lawyers will forego making timely objections in the trial
court, hoping for success on appeal. In such cases, the like-
lihood of prevailing on appeal is much slimmer, and counsel
are even more likely to advocate for immediate corrective
rulings.
In this case, we conclude that the prosecutor’s
rebuttal closing argument deprived defendant of the right
4
We also do not agree with the dissent that our ruling today poses a dilemma
for the trial court concerning how to respond to improper prosecutorial comments
when a defendant does not object. The dissent states that, in that situation,
“[t]rial judges who intervene sua sponte risk making ‘corrections’ that defendants
do not want, subjecting courts to criticism or even reversal on appeal; judges
who do not do so risk having verdicts thrown out on plain-error grounds.” 370 Or
at 332-33 (Garrett, J., dissenting). Those, however, are not the only two options
available to the trial court. A third course of action eliminates the dilemma that
the dissent highlights: The trial court could send the jury out, call the parties to
the bench, point out the improper comment, and ask for the parties’ positions.
That approach could resolve the matter and eliminate the potential for plain
error review.
Cite as 370 Or 305 (2022) 329
to a fair trial and constituted “plain error.” We also conclude
that “the ends of justice” require that we exercise our discre-
tion to correct the error and reverse defendant’s convictions.
The decision of the Court of Appeals is reversed.
The judgment of the circuit court is reversed, and the case
is remanded to the circuit court for further proceedings.
GARRETT, J., dissenting.
Those in the best position to assess the impact of
the prosecutor’s comments in closing argument were the
people in the courtroom at the time. See State v. Farrar, 309
Or 132, 167,786 P2d 161
(1990) (affirming denial of motion for mistrial, reasoning that the trial judge was “in the best position to assess the impact of the district attorney’s com- ment on the jury”); see also State v. Pratt,316 Or 561, 583
,853 P2d 827
, cert den,510 US 969
(1993) (affirming denial
of motion for mistrial based on improper witness testimony,
noting that the trial judge “was present throughout the
entire trial and * * * heard the inadvertent testimony in its
full context”).
Defendant did not object to the prosecutor’s state-
ments. The majority’s analysis is driven by the view that
those comments were so egregious that defendant was
deprived of a fair trial, and that defendant’s counsel was put
to a Hobson’s choice in which he feared that calling further
attention to the improper comments might be even worse
than remaining silent. Another possibility, however, is that
defendant’s counsel perceived that the prosecutor had made
a transparent attempt to salvage a weak case, that the jury
would see through it, and that it was to defendant’s advan-
tage to leave things alone. That tactical choice could have
been informed by the sorts of observations that are available
to trial practitioners but not, unfortunately, to an appellate
court reviewing a cold record, such as the manner in which
the prosecutor’s comments were delivered (not just the words
that were used), the visible reactions of jurors (including
body language), and the “full context” of the trial. Pratt, 316
Or at 583. In short, defendant’s counsel could have believed
that the prosecutor’s comments had been ineffective or had
even backfired—a belief arguably borne out by the fact that
defendant was ultimately acquitted on 17 of 20 counts.
330 State v. Chitwood
Even putting the possibility of tactical choice aside,
the content of the prosecutor’s comments does not compel
the conclusion that defendant was deprived of a fair trial.
Those comments probably could have been adequately
addressed through a curative instruction—had defendant
wanted one. This case is not like the two cases cited by the
majority for the proposition that “the bell once rung, cannot
be unrung.” 370 Or at 311-12; id. at 319-20 (discussing State
v. White, 303 Or 333,736 P2d 552
(1987), and State v. Jones,279 Or 55
,566 P2d 867
(1977)). In both of those cases, the prosecutor introduced new and extremely prejudicial infor- mation from outside the record; this court concluded both times that the jury could not be expected to “unhear” the damning information it had just received. See White,303 Or at 343-44
(concluding that a curative instruction was insufficient where the prosecutor informed the jury that the defendant had declined to testify in the prior trial of a codefendant, thus improperly drawing the jury’s attention to the defendant’s exercise of his constitutional right); Jones,279 Or at 61-63
(concluding that a curative instruction was
insufficient in a prosecution for rape where the prosecutor
elicited unsubstantiated testimony that the defendant had
committed rape “many times before”).
Here, in contrast, although the prosecutor’s refer-
ence to her dialogue with prospective juror Strong during
voir dire was outside the bounds of proper argument, it intro-
duced no new information that the jurors had not previously
heard. The suggestion that jurors should ask themselves
whether defendant should “reside with an adolescent girl”
was wrong and inflammatory, certainly. But the majority
gives no reason to think that jurors of ordinary intelligence
would not have responded appropriately to an instruction
from an authority figure—the trial judge—telling the jury
that the prosecutor had overstepped. Our system rests on
the assumption that jurors are capable of that and more.1
1
The majority emphasizes that the prosecutor’s remarks occurred during
rebuttal and were thus among the “last words” the jury heard. 370 Or at 317-19.
But that argument cuts both ways. If defendant had objected and the trial court
had given a curative instruction, the last words that the jury would have heard
would have been the trial judge’s admonishment that the prosecutor’s improper
comments should be disregarded. That could have been a powerful force in defen-
dant’s favor.
Cite as 370 Or 305(2022) 331 See State v. Terry,333 Or 163, 177
,37 P3d 157
(2001) (“Jurors
are assumed to have followed their instructions, absent an
overwhelming probability that they would be unable to do
so.” (Emphasis added; internal citation and quotation marks
omitted.)). I do not see an “overwhelming probability” here
that the jurors were so awed by the prosecutor’s attempt at
rhetorical flourish that they could not have followed instruc-
tions to decide the case based on the evidence.
For all of those reasons, the Court of Appeals rea-
sonably decided that the record did not compel the conclu-
sion that defendant was deprived of a fair trial, and that,
even assuming that a plain error occurred in this case, it
was not one that the court would exercise its discretion to
correct.
In charting a different course, the majority adopts
a novel conception of “error,” reasoning that the reversible
error here was committed by the prosecutor. 370 Or at 312-
13. That formulation is without precedent in our case law, at
least to my knowledge. Under the Oregon Rules of Appellate
Procedure, appellate courts review actions and omissions by
lower tribunals, not parties. ORAP 5.45(3) (“Each assign-
ment of error must identify precisely the legal, procedural,
factual, or other ruling that is being challenged.” (Emphasis
added.)). “Error” is committed by the only participant in the
trial process that has the capacity to rule: the court. A party
does not “err” by, for example, introducing hearsay evidence;
the trial court errs by admitting it over an objection. A party
does not “err” by requesting a jury instruction that mis-
states the law; the trial court errs by giving it.
Here, the prosecutor did not “err” by saying things
to which defendant could have objected; if error occurred, it
could only have been by the trial court in not taking reme-
dial action. Both parties recognize as much in the way that
they have framed the issues, and we should frame them the
same way: whether the trial court plainly erred in failing to
either (1) give a curative instruction to the jury sua sponte,
or (2) order a mistrial sua sponte. That is, we should ask
whether the trial court’s failure to take those steps meets
the criteria for plain-error review, i.e., an “error of law” that
is “obvious and not reasonably in dispute” and is “apparent
332 State v. Chitwood
on the record.” State v. Vanornum, 354 Or 614, 629,317 P3d 889
(2013); see State v. Montez,324 Or 343, 357
,927 P2d 64
(1996) (“[T]he prosecutor’s comments were not so prejudicial
that the trial court’s failure to grant a mistrial sua sponte,
on the basis of those comments, amounts to an ‘error of law
apparent on the face of the record.’ ” (Emphasis added.)).
The distinction is not merely semantic. Focusing
on whether the “prosecutor” erred obscures the plain-error
analysis by diverting attention from what the trial court
was supposed to do in the face of objectionable comments to
which defendant did not object. The majority explains that
characterizing the error here as prosecutorial is “consistent
with the test for legal error,” reasoning that “a defendant
who seeks review of an unpreserved challenge to prosecu-
torial statements must demonstrate that the statements
were so prejudicial that they deprived the defendant of a
fair trial.” 370 Or at 312, 313-14. That of course is the same
showing that we would require of a defendant who preserved
the challenge by timely seeking a mistrial: that the prose-
cutor’s statements were so prejudicial that the trial court
erred in denying the defendant’s timely motion. Indeed, the
majority states that, “in this instance, the standard for our
review of a preserved error and for our review of a claim of
plain error is identical.” 370 Or at 312.
But those standards are not the same, because the
question whether the prosecutor’s statements would have
required a trial court response if defendant had requested
one is altogether different from the question whether the
trial court was required to respond where defendant made
no such request. Describing the error in this case as “prose-
cutorial” allows the majority to avoid saying expressly that
the trial court did anything wrong. But whether this result
is couched in terms of trial court error or not, trial judges
understand that the burden is on them to get things right
to avoid reversal on appeal, and today’s decision presents
them with a dilemma. How should they respond to improper
prosecutorial comments when a defendant does not object,
and when circumstances suggest to the trial judge that
defendant might have made a conscious choice? Trial judges
who intervene sua sponte risk making “corrections” that
Cite as 370 Or 305 (2022) 333
defendants do not want, subjecting courts to criticism or
even reversal on appeal; judges who do not do so risk having
verdicts thrown out on plain-error grounds.
The majority’s analysis creates a further oddity, in
that defendant fares better on review by virtue of having
remained completely silent than he would have if he had
timely objected to the prosecutor’s comments and requested
a curative instruction. That paradox flows from the major-
ity’s treatment of State v. Fults, 343 Or 515,173 P3d 822
(2007).
In Fults, we explained that discretion to correct plain
error is appropriately not exercised when “the record permits
the conclusion that [the] defendant’s failure to object was a
conscious choice.” 343 Or at 520. The majority does not dis-
pute that defendant reasonably could have made a conscious
choice here, but it attempts to clear that hurdle by arguing
that Fults applies only where a defendant “invited or encour-
aged a trial court’s decision,” whereas, in this case, “the record
does not demonstrate” that “defendant invited or encouraged
a particular trial court ruling.” 370 Or at 324, 325.
Fults does not support that interpretation. Fults,
rather, expressly separated the question of whether the defen-
dant had invited or encouraged the ruling from the question
of whether the defendant could have made a strategic choice
not to object, concluding that the latter could have occurred
even though the former had not. Fults, 343 Or at 520. In Fults, the defendant responded to the trial court’s imposi- tion of a three-year probation term, although the sentencing guidelines only provided for a two-year probation term, by stating “[w]e have no objection to that, whatsoever.”Id. at 517-18
. On appeal, the defendant argued that the trial court plainly erred in sentencing him to a probation term that exceeded the presumptive probation term for his offense.Id. at 518
. The state responded that the defendant had invited the error and that the error, in any event, was not plain.Id. at 519
. The Court of Appeals held that declining to object was not the same as “inviting” the error because the defendant had not “actively sought” the sentence, and that the error was plain. State v. Fults,210 Or App 150, 153-54
, 334 State v. Chitwood149 P3d 1248
(2006), rev’d,343 Or 515
,173 P3d 822
(2007).
That court then concluded, without further explanation,
“nor is there any indication that defendant’s failure to object
constituted a strategic choice for which defendant now seeks
to shift the blame.” Id. at 154.
On review, this court held that the Court of Appeals
had conflated the question of invited error with that of
whether the defendant had “possibly” made a strategic
choice:
“Although we do not question the court’s conclusion that
defendant did not engage in conduct that constitutes
invited error, we do think the record permits the conclusion
that defendant’s failure to object was a conscious choice:
This defendant desired a sentence that would lead to his
release on probation as soon as possible. The trial judge,
although restive, was willing to give him that. Moreover,
the court had already decided to impose an indisputably
permissible 36-month probation term for one of defendant’s
other offenses. Under those circumstances, defense coun-
sel easily could have feared that a technical objection to
the extra 12 months of probation on [one] conviction would
‘break the deal,’ and that the best tactic for his client was to
remain silent. In other words, the Court of Appeals’ state-
ment to the contrary notwithstanding, there is a signifi-
cant possibility that defendant’s failure to object was in fact
a strategic choice.”
Fults, 343 Or at 520(citing State v. Gornick,340 Or 160, 169-70
,130 P3d 780
(2006) (emphases in original)). We went on to explain that, even assuming the existence of a plain error, the Court of Appeals should have considered the pos- sibility that the defendant had made a strategic choice at the second step of the analysis.Id.
Thus, where the record suggests a “significant possi-
bility” that a trial court’s action or inaction was the result of
a party’s strategic choice not to object, that counsels against
the exercise of discretion to correct an asserted plain error.2
2
The case that Fults cited, Gornick, indicated that no plain error even exists
in that circumstance. In Gornick, this court reviewed a record that involved a
defendant who “sat by quietly” and made no objections to a trial court’s finding of
aggravating facts. 340 Or at 169. Because the record supported multiple compet-
ing inferences as to whether the defendant made a strategic choice, counsel was
ineffective, or the trial court had erred, we concluded that the trial court’s error
Cite as 370 Or 305(2022) 335 Contrary to the majority’s view, Fults made it clear that such an inference was permissible even where the party “remain[ed] silent.”Id.
Under the majority’s interpretation of Fults, how-
ever, plain-error correction is appropriate where a defendant
remains silent regarding the asserted error but inappropri-
ate where the record affirmatively indicates that the defen-
dant made a strategic choice. That will lead to incongruous
results.
Suppose that, here, immediately after the prosecutor
made her comments, defendant had objected and the trial
judge had called counsel to the bench to discuss options,
including whether defendant intended to seek a mistrial.
Suppose that defendant had said no and requested a curative
instruction, and then, on appeal, made the same plain-error
argument for a new trial that he makes here. As I under-
stand the majority’s reasoning, the court in that instance
would not exercise its discretion to correct the error because
the record would reflect that defendant made a choice.
Defendant’s counsel, by timely asserting his client’s rights,
would have left defendant in a worse position on appeal than
if he had said nothing. Moreover, if the majority is correct
that the prosecutor’s comments were so egregious that no
curative instruction would have made a difference, it is odd
that the availability of plain-error correction should turn on
whether defendant requested one.
The foregoing reasons illustrate why the correction
of unpreserved error is supposed to be “made with utmost
caution.” Ailes v. Portland Meadows, Inc., 312 Or 376, 382,823 P2d 956
(1991). It has destabilizing consequences for trial
courts, and it unsettles the reasonable expectations of liti-
gants, who assume that they are in control of the issues that
the court will resolve. In the atypical cases where prosecutors
flagrantly break the rules, those systemic consequences may
was not “appearing on the face of the record.” Id. at 169-70 (internal quotation
marks omitted). Our subsequent cases have left unresolved the question whether
a party’s strategic choice not to object is relevant to the existence of plain error,
or relevant only to the discretionary choice to correct such an error, or both. For
purposes of this dissent, I assume that it is relevant only at the second step, the
exercise of discretion.
336 State v. Chitwood
seem attenuated. But most cases will present closer ques-
tions, where reasonable lawyers and judges may differ in
real time as to whether or to what degree a prosecutor’s con-
duct crossed the line. Today’s decision will contribute more
uncertainty as to how they should respond.
In addition to my disagreement with the way that
the majority characterizes the nature of the “error” in this
case, I also question the majority’s decision to displace the
Court of Appeals’ exercise of discretion with this court’s own.
Plain-error review is a two-step process in which
the court determines, first, whether plain error occurred,
and, second, whether to exercise its discretion to correct the
error. Ailes, 312 Or at 381-82. The Court of Appeals chose
not to exercise that discretion in this case, noting that
the record does not compel the conclusion that defendant
was deprived of a fair trial and that defense counsel could
have been speculating on a favorable verdict. The majority
reaches a different conclusion as to the existence of plain
error. It does not follow, however, that the Court of Appeals
“erred” at step two of the analysis, when it declined to exer-
cise its Ailes discretion.
The concept of “speculating on the verdict” is one
that this court has previously cited as a basis for denying
untimely requests for relief. In State v. Marsh, 260 Or 416,
440,490 P2d 491
(1971), this court held that, even though the trial court should not have given a supplemental jury instruction, it would not reach the defendant’s plain-error claim that the instruction warranted a mistrial. Seeid.
at 430 n 29 (listing examples of cases where defense counsel made a tactical decision not to object). The court noted that the defendant’s attorney was “able and experienced” and “may well have deliberately withheld exceptions to the terms of those instructions under the strategy that the defendant might obtain complete acquittal as a result of such instruc- tions.”Id. at 440
.3
3
On a different but related point, we have specifically cautioned that requests
for a mistrial based on a prosecutor’s statements or questions must be timely and
prompt—i.e., before further trial developments. See, e.g., State v. Walton, 311 Or
223, 247-48,809 P2d 81
(1991), overruled in part on other grounds by State v. Davis,336 Or 19, 30
,77 P3d 1111
(2003) (concluding that a motion for mistrial Cite as370 Or 305
(2022) 337
The majority does not deny that the tactic of spec-
ulating on the verdict is a real one, but it rejects that as a
basis for denying plain-error relief in this case. At the same
time, the majority does not say that the Court of Appeals
abused its discretion in concluding that the possibility of
strategic choice was a basis for denying plain-error relief.
Nothing in today’s decision prevents the Court of Appeals,
in future cases, from inferring that a party could have made
a strategic choice not to object and, for that reason, declin-
ing to correct the error.
By simply choosing a different exercise of discretion
here than what the Court of Appeals chose, the majority’s
approach is in tension, if not plainly inconsistent, with what
this court did in Vanornum, 354 Or at 631. There, we noted that “the Court of Appeals is the error-correcting tribunal to which claims of error and plain error may be presented as a matter of right.”Id.
We reasoned that “[t]he nature of discretion is that it is best exercised by the entity principally charged with its exercise. In this instance, that is the Court of Appeals.”Id.
We ultimately concluded that the correct disposition in that case, where we concluded that the error was “plain,” was to remand the case to the Court of Appeals to decide whether to exercise its discretion to review the error.Id.
The approach articulated in Vanornum is jurispru-
dentially sound. The Court of Appeals is the tribunal in
Oregon with principal responsibility for correcting error. It
annually decides many cases in which litigants assert plain
error; this court decides very few. The Court of Appeals is in
a superior position, therefore, to consider such questions as
whether the exercise of Ailes discretion in a particular case
is consistent with how that discretion has been exercised in
other cases. Such questions are meaningful if the correction
of plain error is to be perceived by the bench and bar as—
and if it is to be—anything other than ad hoc. Accordingly,
assuming that the majority were correct in concluding that
the error here was plain, the better disposition would be to
remand to the Court of Appeals to consider, in light of this
court’s analysis, whether to exercise discretion to correct it.
based on prosecutor’s improper question was untimely where it was not asserted
until after additional witnesses had testified).
338 State v. Chitwood
I respectfully dissent.
Balmer, J., and Kistler, S. J., join in this dissenting
opinion.
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