Plaintiff Alan Cler suffered severe injury to his arm and hand after receiving intravenous chemotherapy treatment from defendant Oregon Hematology Oncology Associates, PC. Cler and his wife (plaintiffs) brought this action against defendant, alleging that one of defendant's nurses had caused Cler's injury by negligently administering the chemotherapy treatment. During defendant's closing argument, defense counsel made several factual statements regarding a nurse expert who did not testify at trial; the statements had no basis in this record. The trial court overruled plaintiffs' counsel's objections to the statements. The jury returned a verdict for defendant. On appeal, plaintiffs argued that the trial court had abused its discretion in allowing defense counsel, during closing argument, to present facts to the jury regarding the anticipated testimony of an expert witness that was not in the record. The Court of Appeals affirmed the trial court's decision. Cler v. Providence Health System-Oregon, 222 Or.App. 183, 192 P.3d 838 (2008).
After Cler was diagnosed with Hodgkin's Lymphoma, a form of cancer, he opted to undergo chemotherapy treatment that included the intravenous injection of a drug called Adriamycin. Adriamycin can cause tissue damage if it leaks out of a patient's vein and into other tissues. During Cler's first chemotherapy session, an oncology nurse employed by defendant administered Adriamycin, which leaked from Cler's vein and caused severe damage to Cler's arm and hand. Plaintiffs filed this personal injury action, alleging that defendant's nurse had not met the standard of care required for an oncology nurse in her treatment of Cler. The case proceeded to jury trial.
At the beginning of trial, the parties offered opening statements. During her opening statement, defense counsel told the jury that she would be calling an oncology nurse, a nurse manager at Oregon Health Sciences University, to testify as an expert witness. Defense counsel offered a summary of the nurse expert's expected testimony, namely, that defendant's nurse had met the applicable standard of care for oncology nurses in administering intravenous chemotherapy treatment and that several other events and circumstances, all consistent with good care, could have resulted in the injury that plaintiff suffered.
On the fifth day of trial, plaintiffs were still presenting their case-in chief. Before plaintiffs called Cler as their last witness, defense counsel stated to the court, "Judge, I do have a doctor here, who I would like to be able to get on if I can." Plaintiffs' counsel objected. After an off-the-record discussion in chambers, the judge and the lawyers returned to the courtroom, and the judge addressed the jury: "Jurors, we're going to give [defense counsel] an opportunity to talk with a couple of her witnesses in the hallway and then we'll be resuming testimony just shortly." After a short break, plaintiffs' counsel called Cler to testify. The next day, defendant's oncology doctor expert testified. Defense counsel did not call a nurse expert to testify on defendant's behalf at trial.
During closing argument, plaintiffs' counsel drew attention to defendant's failure to call a nurse expert:
Defense counsel raised no objection to those statements. Instead, in her closing argument, defense counsel stated:
Plaintiffs' counsel objected that defense counsel was "close to testifying as opposed to addressing the evidence that was before the court." The trial court responded: "I'm going to let her continue * * * in the same vein that you addressed the evidence." Defense counsel continued by stating that, at one point during the trial, her nurse expert had been in the courtroom waiting to testify. After plaintiffs' counsel objected twice more, the trial court asked counsel to discuss the matter in chambers. Following that discussion, defense counsel continued her closing argument:
In his rebuttal argument, plaintiffs' counsel addressed defense counsel's comments concerning the failure of the nurse expert to testify:
The trial court gave no special jury instructions regarding the nurse expert, but did give the jury the standard instruction that it must decide the case based on the evidence (testimony and exhibits) presented at trial and that counsel's opening statements and closing arguments are not evidence. The jury returned a verdict for defendant.
Plaintiffs filed a motion for a new trial, arguing, among other things, that the trial court had abused its discretion by permitting defense counsel to present facts in her closing
Plaintiffs appealed, assigning error to the trial court's ruling on plaintiffs' objections to the statements made in defendant's closing argument. The Court of Appeals agreed with plaintiffs that the trial court had abused its discretion in allowing improper argument by defense counsel during closing statements. Cler, 222 Or.App. at 189, 192 P.3d 838. The court concluded, however, that the error did not substantially affect plaintiffs' rights for three reasons: (1) the trial court instructed the jury that opening and closing statements are not evidence; (2) the discussion of plaintiffs' nurse expert "was not even a forkful of the entire evidentiary pie;" and (3) the trial court, which was in the best position to evaluate the effect of the improper argument, assessed any prejudice to plaintiffs as minimal. Id. at 191-92, 185 P.3d 494. Accordingly, the Court of Appeals affirmed the trial court judgment.
On review, the parties reprise the arguments that they made to the Court of Appeals. Plaintiffs argue that a trial court abuses its discretion by allowing counsel to deliberately relate facts not in evidence to the jury during argument, and that such action is per se prejudicial because it violates the other party's "right to a fair trial within well-established rules." In response, defendant argues that a trial court does not abuse its discretion by allowing counsel to introduce facts not in evidence during argument when those facts are collateral and when the opposing counsel has "opened the door" with his or her own improper argument. Defendant further argues that, on this record, plaintiffs cannot demonstrate that the statements at issue by defense counsel were sufficiently prejudicial so as to warrant reversal.
We review a trial court's decisions regarding control of jury argument for an abuse of discretion. R.J. Frank Realty, Inc. v. Heuvel, 284 Or. 301, 306, 586 P.2d 1123 (1978). In general, in presenting closing arguments to the jury, counsel have "a large degree of freedom" to comment on the evidence submitted and urge the jury to draw any all legitimate inferences from that evidence. Huber v. Miller, 41 Or. 103, 115, 68 P. 400 (1902). However, that freedom is not without limitations:
In closing argument in this case, over plaintiffs' counsel's objection, defense counsel made four statements of fact that were not testified to by any witness or otherwise admitted into evidence: (1) an oncology nurse manager with 20 years of experience had been prepared to testify on defendant's behalf; (2) the nurse expert had been waiting in the courtroom to testify on the afternoon of the fifth day of trial; (3) the reason that the nurse expert did not testify was because plaintiffs' counsel called a witness that afternoon
Defendant submits that, in this case, the extra-record statements were proper because, during closing argument, plaintiffs' counsel had commented on defendant's failure to call a nurse expert, asking the jury to draw the inference that defendant could not find a nurse expert who would have testified that the nurse who treated Mr. Cler had acted within the applicable standard of care. According to defendant, plaintiffs' counsel's comment was improper because plaintiffs' counsel was aware that the nurse expert had not testified because of scheduling issues. As a result, defendant concludes, plaintiffs' misleading statements "provoked" or "invited" defense counsel's statements. We disagree.
In calling attention to defendant's failure to call a nurse expert, plaintiffs' counsel invoked the missing witness inference. In general terms, that inference provides that, "[w]hen it would be natural under the circumstances for a party to call a particular witness * * * and the party fails to do so, tradition has allowed the adversary to use this failure as the basis for invoking an adverse inference." 2 McCormick on Evidence § 264, at 220 (6th ed. 2006). In Bohle v. Matson Navigation Co., 243 Or. 196, 198, 412 P.2d 367 (1966), the court approved generally the use of that inference, holding that the plaintiff's counsel in a personal injury case should have been allowed to comment in closing argument on the failure of the defendant to call a doctor who had examined the plaintiff at defendant's request because "it is a natural inference that he would have been called if his testimony would help the defendant's case." Id. The invocation of the missing witness inference by plaintiff's counsel was consistent with the holding in Bohle. As the trial court acknowledged, plaintiff's counsel's comments "addressed the evidence" in the trial record.
If a party believes that an opponent has invoked the missing witness inference improperly, the party is not without recourse. The party may timely object, and, if necessary, move to strike or request a curative jury instruction. If evidence in the record provides an alternative explanation for a party's failure to call a witness, that party properly may comment thereon. Trial, 88 CJS 360 § 313 ("It is proper for counsel to account for the absence of a desired witness where such absence would be a proper subject for comment by his or her opponent, where the explanation is based on evidence in the record, but not otherwise." (emphasis added; omitted)). But a party may not pursue the course of action that defendant chose in this case: A party may not deprive the court of the opportunity to rule on the propriety of an opponent's statement by remaining silent during the opponent's closing argument, and then resorting to self-help by presenting argument based on facts not in evidence. Here, defense counsel failed to object to plaintiffs' counsel's use of the missing witness inference in closing argument. Defense counsel never placed the propriety of plaintiffs' counsel's statements at issue at trial and that issue is not properly assigned as error on review.
The Court of Appeals, in assessing whether the trial court abused its discretion, determined that jury argument may refer to matters that are within the scope of the issues and the evidence, but that evidence outside the record may not be suggested by any means. 222 Or.App. at 183, 192 P.3d 838. For that proposition, the Court of Appeals cited ORS 40.025(3) (OEC 103(3)), which provides:
We agree with the Court of Appeals. Accordingly, we have no trouble also agreeing with the Court of Appeals that the trial court abused its discretion by overruling plaintiffs' objections to defendant's improper argument.
In addressing plaintiffs' contention that defense counsel's statements regarding facts not in evidence substantially affected plaintiffs' rights, we focus first on the particular right at issue in this case: the right to require opposing counsel to confine her closing argument to the jury to facts admitted into evidence and permissible inferences from those facts. Although not evidence themselves, closing arguments "are an integral part of trial" that can alter the result of the trial:
Charles v. Palomo, 347 Or. 695, 705, 227 P.3d 737 (2010) (holding that the trial court's error in denying the plaintiff rebuttal argument substantially affected the plaintiff's rights). The integrity of closing arguments can only be ensured when the court requires the parties to limit their arguments to the facts in evidence and permissible inferences from those facts. See Kuehl v. Hamilton, 136 Or. 240, 249, 297 P. 1043 (1931) (noting that "[e]very litigant is entitled to a fair trial, and this result cannot be achieved if counsel is permitted to make statements to the jury of facts not testified to by any witness nor admissible in evidence"). Thus, a party's introduction of facts not in evidence during closing arguments can substantially affect the opposing party's rights.
We determine that, in this case, defense counsel's introduction during closing argument of facts not in evidence substantially affected plaintiffs' rights. In his closing argument, plaintiffs' counsel framed his narrative of the case. One aspect of that narrative involved asking the jury to draw an inference from defendant's failure to call a nurse expert.
Moreover, by making the assertion that the nurse expert "would have supported" defendant's case, defense counsel supplied, at least in general terms, the testimony of a witness who was not subject to oath or cross-examination.
The assertion that a nurse expert would have supported defendant's position was material to the central issue in the case: whether defendant's nurse complied with the applicable standard of care for oncology nurses. Because defense counsel's assertion that the nurse expert "would have supported" defendant's case was not based on evidence in the record, the court's ruling deprived plaintiffs' counsel of the opportunity to cross-examine that factual assertion or otherwise rebut defense counsel's factual claim. In light of those circumstances, we conclude that the trial court's failure to sustain plaintiffs' objections to defense counsel's comments substantially affected plaintiffs' rights. ORS 19.415(2).
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.
LINDER, J., dissented and filed an opinion in which BALMER and KISTLER, JJ., joined.
LINDER, J., dissenting.
A common situation in jury trials, both civil and criminal, is the problem of the so-called "invited response" or "invited reply." It occurs when one party, in closing argument, resorts to an improper argument that, if left unaddressed, could mislead the jury or otherwise encourage the jury to base its verdict on an impermissible consideration. The other party fails to object and, to counter the provoking argument, resorts to improper argument in response. If the party who provoked the exchanges loses and appeals, it often falls to the appellate court to determine in such a circumstance whether the "invited response" was error and, if so, whether the error was prejudicial and warrants a new trial.
In this classic "invited response" situation, the majority holds that the fact that one party engages in improper argument does not mean that the opposing party may do the same in response. Thus, if the "invited response" is improper in substance, and if there is a timely objection to it, the trial court must sustain the objection. I agree
The majority takes a serious misstep in further holding, however, that the provoking argument is irrelevant in determining whether the error warrants reversal. To the contrary, the substance of the provoking argument is context for accurately evaluating the likelihood that the jury's verdict was influenced by an impermissible consideration. As I will discuss, plaintiffs in this case invited the jury to draw an unfavorable inference against the defense that the evidence in the record did not support. In response, defendant, too, improperly went beyond the evidence in the record. Considered in context, however, defendant's argument merely offset the improper inference that plaintiffs had invited the jury to draw. The only "prejudice" to plaintiffs was that they may have been deprived of the benefit of their own improper argument. Consistent with our precedents, the considered rule adopted by other courts, and our constitutional obligation to affirm in the absence of prejudice, plaintiffs are not entitled to a reversal and a new trial in this case. For that reason, I dissent.
I begin by recapping the pertinent facts. In this medical negligence case, the defense in opening statements to the jury briefly summarized the expected testimony of three experts it intended to call in support of its case, including that of a nurse manager of the oncology unit at Oregon Health and Science University. On the day that the nurse expert was to testify, she was in the courtroom throughout the afternoon. The defense did not call her that day due to scheduling issues, however. Because the nurse expert was leaving town the next day on a prescheduled vacation, the defense did not call her on either of the two remaining days of trial. By the time the parties presented closing arguments to the jury, defense counsel had explained to plaintiffs' counsel (as well as to the trial court) why the nurse expert had not testified. Despite his awareness of that explanation, plaintiffs' counsel during closing argument told the jury that "there's a reason" why plaintiffs had not called a nurse witness, that it was probably because the defense could not find one that would testify in its favor, and that the jury should so conclude.
Defense counsel did not object. In her closing argument, after arguing in detail and at length about the significance of the testimony of each side's experts, defense counsel noted that she wanted to "mention" something in response to plaintiffs' counsel's argument about defendant's failure to call an oncology nurse. Defense counsel reminded the jury that, in opening statements, she had indicated that she was going to call a nurse expert with 20 years of experience. Plaintiffs' counsel did not formally object at that point, but did voice concern to the trial court about where counsel might be headed with her argument. The trial court indicated that it would let defense counsel continue "in the same vein" in which plaintiffs' counsel had addressed the argument. Defense counsel continued by explaining why the nurse expert did not testify. Plaintiffs' counsel interrupted, objecting (more than once) that defense counsel was relying on facts not in evidence. The trial court, after discussing the matter in chambers with counsel, overruled the objection. Defense counsel completed her explanation to the jury, briefly reminding it that defendant's nurse expert had been in the courtroom, describing the scheduling conflict that caused defense counsel not to call the nurse expert, and stating that the nurse expert otherwise would have "testified in our case and supported our case."
In plaintiff's rebuttal argument, plaintiffs' counsel replied to defense counsel's response. Counsel asserted, without objection, that the defense had "every opportunity" to put that nurse expert on the stand and explained how the defense could have deposed or otherwise perpetuated the nurse expert's testimony. Plaintiffs' counsel concluded by again urging the jury to draw an inference against the defense from its failure to call a nurse witness. After deliberating, the jury returned a verdict for the defense.
As plaintiffs successfully argued to the Court of Appeals, and argue again to this court, defense counsel, in explaining why the
Plaintiffs' argument, however, was equally improper. In closing argument, after expressing incredulity at defendant's failure to call a nurse expert, counsel told the jury that "there's a reason" why defendant did not do so, and it was "probably because they couldn't get a nurse expert who would say that this was okay care." After defense counsel explained the scheduling issue that arose, plaintiffs' counsel in rebuttal advised the jury of ways in which the defense could have perpetuated the witness's testimony, and urged the jury again to draw an unfavorable inference against the defense from its failure to call a nurse expert. Plaintiffs' counsel advanced those arguments knowing that the defense had a nurse expert that it intended to call and aware of defense counsel's reasons for not calling her.
In making that argument, plaintiffs invoked a so-called "missing witness" inference —e.g., "[w]hen it would be natural under the circumstances for a party to call a particular witness, or to take the stand as a witness in a civil case * * * and the party fails to do so, tradition has allowed the adversary to use this failure as the basis for invoking an adverse inference." 2 McCormick on Evidence § 264, 220 (6th ed. 2006). For present purposes, it is not necessary to explore the intricacies of the inference and when it is properly invoked.
In the circumstances of this case, plaintiffs' resort to the missing witness inference was not proper argument. Plaintiffs' counsel invited the jury to draw an inference that he had no basis to believe was true (i.e., that no nurse expert was prepared to testify in favor of defendant), and had ample reason to believe was not true, given defense counsel's explanation in advance of closing arguments that her nurse expert did not testify due to scheduling issues. No authority approves of the missing witness inference when the party seeking the inference has been previously informed—as plaintiffs' counsel had been here—that the defense had not called the witness due to scheduling issues.
By urging the missing witness inference when it was not a permissible one, plaintiffs themselves invited the jury to rely on a "fact"—i.e., the inferred fact that defense counsel could not find any nurse expert to testify in its favor—that was not established by evidence in the record. That is the essential problem with a missing witness inference in circumstances that do not adequately support it. See generally Hatcher, 29 Or. at 315-16, 44 P. 584 (counsel's impermissible reliance on missing witness inference resulted in arguing facts to jury that were not in evidence); Tenny, 8 Or. at 521 (same).
The significant question that this case presents, therefore, is not whether a party may argue facts or inferences that lack evidentiary support in the record. It is undisputed that, as a general proposition, a party
On that point, the numerous courts in other jurisdictions that have wrestled with the "invited response" problem uniformly consider the provoking improper argument relevant. They differ only on the question: Relevant to what? One line of authority holds that the provoking argument is relevant to determine whether the "invited reply" is error at all or, if error, whether the provoking party is estopped to raise the error on appeal.
Although this court has not discussed or examined the invited response situation in any depth, our precedents are in general accord with that latter approach. The cases on point hold that the fact that one party advances an improper argument to the jury does not excuse or otherwise make it proper for the opposing party to respond in kind. See, e.g., Walker v. Penner, 190 Or. 542, 553, 227 P.2d 316 (1951) ("`[T]he mere fact that counsel for one party has injected improper matter into the case does not license opposing counsel to commit a similar wrong'[.]") (quoting Trial, 64 CJ § 300, 281); State v. Blodgett, 50 Or. 329, 92 P. 820 (1907) (same). But this court also has been unwilling to reverse such an error, even with timely objection, unless the objecting party was prejudiced, which depends on "the issue involved and the state of the evidence." Blodgett, 50 Or. at 344, 92 P. 820; see also Kuehl v. Hamilton, 136 Or. 240, 248, 297 P. 1043 (1931) (reversal not warranted where closing argument that placed facts not in evidence before jury did not materially prejudice the objecting party).
In assessing the likelihood that the jury's verdict was influenced by an impermissible consideration, this court has considered the substance of the provoking improper argument, as well as that of the responding argument. See, e.g., McKay v. Pacific Bldg. Materials Co., 156 Or. 578, 591-92, 68 P.2d 127 (1937) (not reversible error for plaintiff to
In this case, the majority takes a very different approach, one that no other jurisdiction or authority appears to endorse. The majority treats plaintiffs' own improper provoking argument as irrelevant to the prejudice analysis by deeming it "not in issue" given defense counsel's failure to object to it. 349 Or. at 491-93, 245 P.3d at 648-49. That, however, is an inadequate answer. The failure to object to an improper argument does not make the argument itself proper. See generally Kuehl, 136 Or. at 249, 297 P. 1043 (trial courts, consistently with their traditional power to properly oversee the arguments of counsel, should intervene to stop arguments based on facts not in the record, despite the lack of objection); Zimmerle v. Childers, 67 Or. 465, 474, 136 P. 349 (1913) (same).
Here, plaintiffs, who made the initial provoking argument, not defendant, ask this court to dislodge the jury's verdict and remand this case for a new trial. In keeping with our constitutional obligation, if plaintiffs are to have that remedy, they must identify prejudice by demonstrating that defendant's closing argument may have caused the jury to base its verdict on an impermissible consideration, rather than on the evidence. Or. Const., Art. VII (Amended), § 3 (the court must affirm a judgment on appeal, "notwithstanding any error committed during the trial," if the judgment "was such as should have been rendered in the case").
This record does not support such a conclusion. Even considered in isolation, defense counsel's argument lacked substance. Defense counsel explained that the defense had been prepared to call an experienced
But in all events, considered in context, the statements did no more than correct the misrepresentation that plaintiffs' counsel created. That is, defense counsel's statements neutralized the misleading inference that plaintiffs' counsel expressly invited the jury to draw—that the defense could not find a nurse expert who "would say that this was okay care." When defense counsel responded to that argument, she did not ask the jury to draw any affirmative conclusion. Rather, defense counsel expressly referred to plaintiffs' argument, and explained the circumstances. In context, the only point of the argument—and no other point was made— was to have the jury not indulge the inference that plaintiffs had invited. As is often true of invited responses, the net effect of that argument was merely to counter plaintiffs' own argument and to encourage the jury not to base its verdict on the missing witness inference.
When, as happened here, an improper invited response principally served to deprive the provoking party of the benefit of its misleading argument to the jury, that is not, under our constitution, a basis on which an appellate court may disturb the jury's verdict and give the party a new trial. Yet, that is the "prejudice" identified by the majority, which finds reversible error in this case because plaintiffs' effort to have the jury draw the missing witness inference was "weakened substantially" by defendant's response. 349 Or. at 494-96, 245 P.3d at 650-51. The inference was not a permissible one in this case, and the fact that plaintiffs may have been deprived of the benefit of their improper argument is not cognizable "prejudice" and not ground for reversal.
Finally, the relevant context properly must consider the trial court's instructions to the jury. Here, the trial court twice instructed the jury that the statements of counsel were not evidence—once at the beginning of the trial and again immediately before closing arguments. The majority is inappropriately dismissive of the value of those instructions. 349 Or. at 496-97, 245 P.3d at 651. This court generally presumes that a jury adheres to a trial court's instructions, Wallach v. Allstate Ins. Co., 344 Or. 314, 326, 180 P.3d 19 (2008), and does so in "invited reply" situations. See, e.g., Walker, 190 Or. at 554, 227 P.2d 316 (considering court's instructions as factor in whether improper invited response was reversible error). Such an instruction might not cure a highly prejudicial closing argument, in which counsel extensively argued inflammatory off-the-record facts that under no circumstance would have been admissible during the trial. See, e.g., Blodgett, 50 Or. at 344, 92 P. 820 (reversal for improper argument warranted where argument injected highly inflammatory and prejudicial material that "no one" would "contend for a moment" would have been admissible
For those reasons, I respectfully dissent.
BALMER and KISTLER, JJ., join in this dissent.