Lead Opinion
During оpening statements at Johnson Kenneth Taylor’s trial arising out of a fight that he initiated on the Southern Ute Indian Reservation, the prosecutor urged the jury to convict Mr. Taylor in order to “end the cycle of violence” on the reservation. Mr. Taylor objected to this remark and the district court promptly issued a curative instruction. Mr. Taylor did not voice any concerns about the content or sufficiency of the instruction or any lingering prejudice. Accordingly, the trial proceeded and, after three days, resulted in Mr. Taylor’s conviction. Mr. Taylor now contends for the first time on appeal that the prosecutor’s remark was insufficiently addressed by the district court’s instruction.
There is no question that the prosecutor’s remark was inappropriate. The jury’s role in a criminal trial is to find facts related to the defendant’s innocence or guilt, a function in which prosecutorial appeals to the resolution of social ills play no useful role. Nevertheless, because Mr. Taylor expressed no dissatisfaction with the ameliorative course adopted by the district court, we are able to review the district court’s failure to issue either a mistrial or further corrective instruction sua sponte only for the presence of plain error. Discerning none, we affirm.
I
Viewing the facts in the light most favorable to the jury’s verdict, as we must, this case arose from a fight at an outdoor party. Following a tribal powwow, Mr. Taylor, the victim Justin Boyd, and several others went to a bar in Ignacio, Colorado where they drank heavily and used cocaine. When the bar closed, the group drove to a remote location on the reservation to continue the party, stopping on the way to pick up more alcohol. Roughly 200 people attended. At some point during the party, Mr. Taylor’s ex-wife, Raylene Echohawk, became distraught and told Mr. Taylor that a man had made lewd comments to her and groped her. Ms. Echohawk then saw Mr. Boyd and indicated that he was the man in question. Mr. Taylor ran over to the car in which Mr. Boyd was sitting in the front passenger side seat. Mr. Taylor approached the side of the car and, through an open window, struck Mr. Boyd twice on the right side of his face. Mr. Taylor then opened the car door and dragged Mr. Boyd from the vehicle.
Mr. Boyd testified at trial that he subsequently ended up on the ground on his hands and knees, where he was repeatedly kicked in the face and ribs by multiplе people. Mr. Boyd lost consciousness during the beating, and was dragged 50 yards from the car. He was left semi-conscious in nearby bushes and his wallet, cell phone, belt, and cocaine were stolen. The next morning, a bloodied Mr. Boyd regained consciousness and managed to walk 20 minutes to a house where he sought assistance for his injuries. He was taken to a hospital, and several days later had plastic surgery to repair a shattered orbital bone around his left eye. His lip and nose were scarred, and he continues to suffer from double vision and “flashes.”
During opening statements at trial, the prosecutor made the following remark:
You have to kind of put yourself in the shoes of those living on the Southern Ute Reservation and look at it through their eyes and get past the alcohol and the cocaine, not that it doesn’t happen here every day with our families and friends. That’s the reality of the reservation.
This case is about asking you, the jury, to tell Johnson Taylor that he had no justifiable sufficient legal right to sucker punch Justin Boyd, to scar him permanently, and to end the cycle of violence out there.
Trial Tr. at 161. Defense counsel immediately objected that the remark was “inappropriate.” Id. The court responded by admonishing the jury to “remember that what the lawyers tell you is not evidence, and the evidence in the case is what you must decide.” Id. at 161-162. Defense counsel did not object to the content of the court’s instruction, move for further instructions, move for a mistrial, or otherwise register any dissatisfaction with the court’s curative course.
After entry of judgment, Mr. Taylor appealed his conviction arguing for the first time that the district court’s instruction was insufficient to cure the prejudice created by the prosecutor’s remark and that a new trial is necessary.
II
A criminal trial is about the innocence or guilt of the individual defendant as measured against the statutory elements devised by Congress. Comments suggesting to the jury that a guilty verdict may be proper for reasons outside of the four corners of the statute run the risk of erroneous convictions. Appeals about the need to address societal ills speak not to the question whether the accused. сommitted the crime alleged, but divert attention from that dispositive question and confuse the task of the jury — as finder of fact— with the task of elected officials — as the authors of social policy. Our sister circuit captured our concern when it explained that “[t]he amelioration of society’s woes is far too heavy a burden for the individual defendant to bear.” United States v. Monaghan,
On appeal, the impropriety of the prosecutor’s remark is common ground. Throughout its oral presentation, the government conceded that the comment had no proper place at trial. The remaining disputed question . before us is, thus, whether the district court’s curative -instruction, not objected to by defense counsel, sufficed to address the prejudice suffered by the defendant. In confronting that question, we must first resolve an antecedent question concerning the appropriate standard of review.
A
Where the defendant contemporaneously moves for a mistrial on the basis of prosecutorial misconduct, we review the denial of such a motion for abuse of discretion. United States v. Gabaldon,
We think that the rationales for applying plain error review apply here, and that standard of review ought to control. The district court issued a curative instruction in response to Mr. Taylor’s objection, effectively agreeing with Mr. Taylor that the challenged action was, in fact, prosecutorial misconduct. Because it sided with him, Mr. Taylor cannot fairly be said to be appealing the district court’s ruling on his objection. See United, States v. Inglese,
The rationale for this rule stems from concerns of fairness, an appreciation of the benefits of adversarial process, and the promotion of effective appellate review. If failing to object does not yield a more deferential standard of review than when an objection is interposed, savvy litigants, after having protested opposing counsel’s remarks, would be encouraged by our legal rules to remain mum about any problems they see lurking in a district court’s proffered curative instructions and raise those concerns only on appeal. Such a rule would thus effectively invite litigants to sandbag opponеnts and the district court and afford them no opportunity to address and correct, if possible, any alleged deficiency in the court’s curative actions.
Our application of plain error review comports with our past practice in analogous situations. For example, in United States v. Gonzalez-Montoya,
Our holding today also mirrors those of several of our sister circuits who have already confronted the question we do today. See United States v. Griffin,
B
Mr. Taylor argues that United States v. Pulido-Jacobo,
Neither is the distinction merely a formal one. When a defendant’s objection to prosecutorial misconduct has been overruled, the defendant has put the district court on notice that he believes that there is an issue of uncured prejudice, and the district court simply disagrees. Having objected, there is little else that a defendant can do to ensure the fairness of his trial and preserve his or her issue for appeal. By contrast, in our case the district court agreed with the defendant’s objection and thought it had fully addressed it; the defendant did nothing to raise and share his apparent lingering concerns and we have no indication that, if asked, the district court would have declined the opportunity to take further corrective action.
Our respected colleague in concurrence would reject this distinction between overruled and sustained objections, advancing two arguments in support of this proposition. First, the concurrence suggests that we have “allowed the government — rather than Defendant — to frame the issue Defendant has appealed.” Concurrence at 1102-03 n. 2. But the question presented by both parties is whether any prejudice created by the prosecutorial misconduct in this case warrants reversal. Mr. Taylor asks us to answer this question in the affirmative. In its brief, the government asks us to answer this question in the negative, and does so expressly arguing that, because the district court exercised its discretion to give a сurative instruction, Mr. Taylor was required to object further to preserve his claim of prejudicial error. See Gov’t Brief at 4-10.
The concurrence seems to suggest that we should ignore the curative instruction merely because Mr. Taylor did not raise it in his opening brief. Concurrence at 1101. But to do so would allow the appellant to control the standard of review on appeal merely by omitting record facts from its briеf. For example, as we and the concurrence agree, we review misconduct claims that are the subject of an overruled objection de novo, Pulido-Jacobo,
Second, the concurrence suggests that a de novo standard of review is compelled by Gabaldon, United States v. Meienberg,
In Gabaldon, we held only that an abuse of discretion standard of review applies where there is a contemporaneous objection and motion for a mistrial. To be sure, in dicta we said that in the absence of a mistrial motion, the appropriate standard of review would be de novo. Gabaldon,
We take our duty to follow precedent very seriously, but there simply is no prior decision on point in our court addressing the applicable standard of review in the circumstances now before us. “Questions which merely lurk in the record, neither brought to the attention of the court nor ruled upon, are not to bе considered as having been so decided as to constitute precedents.” United Food & Commercial Workers Union, Local 1564,
Ill
With the applicable standard of review sorted, we must now turn to decide whether the district court’s failure sua sponte to grant a mistrial or issue some further curative instructions was plain er
A
The Supreme Court has explained that error is plain when it is “clear” or “obvious.” United States v. Olano,
Neither is any error made clear or obvious when the specific circumstances of this case are considered. The prosecutor’s comment came during opening statements, was not referred to again at any point during the three day trial, and the government did not attempt to press any improper insinuation to its advantage later in the trial. See United States v. Novak,
B
Mr. Taylor responds that the problem is not whether the jury followed the court’s instructions, but whether the instructions themselves addressed the correct source of prejudice. That is, Mr. Taylor does not worry that the jury might have considered the prosecutor’s remark to be evidence; his concern is instead that the jury might have heeded the prosecutor’s call to use Mr. Taylor’s trial as a vehicle to correct a broad social problem. In effect, Mr. Taylor argues, the prosecutor confused the jury about its role, not about evidentiary issues.
To be sure, Mr. Taylor could have raised this concern at trial, and had he done so we would be reviewing this matter in a very different posture. But, given that Mr. Taylor presses this point for the first time only on appeal, we can ask only
* * *
The judgment of the district court is
Affirmed.
Notes
. Our concurring colleague notes that mistrial motions are already plentiful. Concurrence at 1101-02 n. 1. Such motions, affording as they do the district court notice of a potential problem and the opportunity to exercise its discretion to cure it, are reviewed in our circuit for an abuse of discretion. Meanwhile, Mr. Taylor asks us to grant more expansive de novo review where a litigant does not move for a mistrial but merely objects and then remains quiet about a lurking problem in the district court’s responsive curative instruction. We fail to see why smart litigants, who quite rightly conform their conduct to legal rules, would not seek to take advantage of such an inexplicable disparity in our legal regime.
. Our case law requiring de novo review of the decision to overrule an objection to misconduct is admittedly аt odds with holdings of most of our sister circuits who review the decision to overrule an objection on the grounds of prosecutorial misconduct for abuse of discretion. See Griffin,
. To pluck just one example from the government’s brief: “Had Defendant moved for a mistrial or a new trial or otherwise requested the trial court to take corrective action beyond the curative instruction ..., the district court would have been able to exercise its discretion to further address the alleged error, and this Court would have been in a position to review the decision of the district court under the applicable abuse-of-discretion standard.” Gov’t Brief at 9. The concurrence itself concedes that the government argued that plain error review applied because Mr. Taylor neither moved for a mistrial nor objected to the sufficiency of the curative instruction. Concurrence at 1102-03 n. 2.
Concurrence Opinion
concurring:
I, too, would affirm the conviction of Defendant Johnson Kenneth Taylor (“Defendant”). I write separately, however, because I would apply a different standard of review to Defendant’s prosecutorial misconduct claims.
The appropriate standard of review
I perceive our differences regarding the appropriate standard of review arise from our different reading of the issue presented on appeal. The majority identifies the issue raised by Defendant as follows: “Mr. Taylor now contends for the first time on appeal that the prosecutor’s remark was insufficiently addressed by the district court’s instruction.” Majority Op. at 1094. However, this issue, does not appear in Defendant’s opening appellate brief, which contains only three pages of argument. In fact, no mention is made of the district court’s curative instruction — or even the word “instruction.” Instead, Defendant challenges the prosecutor’s alleged misconduct and frames the issue as whether “the government’s appeal to the jury to ‘end the cycle of violence’ on the Southern Ute Indian reservation, by convicting Mr. Taylor as charged, [was] improper and prejudicial so as to require reversal of Mr. Taylor’s conviction[.]” Aplt’s Opening Br. at l.
Where there has been no motion for a mistrial or new trial, the district court has not exercised its discretion, and therefore it is meaningless to look for an abuse of discretion. In such cases, we merely review whether the conduct objected to was indeed improper. Whether prosecutorial misconduct occurred is a mixed question of law and fact, which we review de novo. If we conclude that the conduct was improper, we then evaluate whether it warrants reversal. We make this evaluation as follows:
“A prosecutor’s improper statement to the jury is harmless unless there is reason to believe that it influenced the jury’s verdict. In assessing whether the misconduct had such an impact, we consider the trial as a whole, including the curative acts of the district court, the extent of the misconduct, and the role of the misconduct within the case ... [T]o warrant reversal, the misconduct must have been flagrant enough to influence the jury to convict on grounds other than the evidence presented.”
United, States v. Gabaldon,
Contrary to the majority’s contention, our prosecutorial misconduct standard does not vary depending upon whether the district court sustained or overruled the defendant’s objection, or whether the defendant objected to the district court’s curative instructions. Compare United States v. Meienberg,
The majority creates unnecessary confusion by re-framing the issue which Defendant has set out in his brief to focus on the district court’s curative instructions and failure to declare a mistrial sua sponte.
The majority’s decision also deviates from our usual analysis of a district court’s curative instructions. Ordinarily, in considering prosecutorial misconduct claims, we analyze curative instructions when determining whether the alleged prosecutorial misconduct “influenced the jury’s verdict” and “warrants reversal.” Gabaldon,
The majority’s attempts to distinguish our precedent are unpersuasive. Even assuming that our language in Gabaldon is dicta, we explicitly adopted the Gabaldon standard as part of our holding in Meien-berg, and we reviewed the prosecutorial misconduct claim de novo, using the exact method of analysis that we had suggested in Gabaldon. Meienberg,
Defense counsel objected to only one of the challenged comments, one in which the prosecutor stated that Oberle tried to get Jensen a “Fifth Amendment plea*1104 arrangement, showing some wherewithal, some knowledge of the criminal system, I would say.” This comment is reviewed de novo. Because defense counsel did not object to the remaining comments, we review them for plain error.
Oberle,
Indeed, in the only case from this circuit that the majority cites as support for its plain error standard, we reviewed the prosecutorial misconduct claim for plain error “[bjecause defense counsel did not specifically object to the prosecutor’s remarks about the reasonable person standard.” United States v. Gonzalez-Montoya,
Application to Defendant’s trial
Under the appropriate standard of review applicable to the issues raised, Defendant’s prosecutorial misconduct claim still fails. The two-step process for evaluating claims of prosecutorial misconduct requires us first to “examine whether the conduct was, in fact, improper.” Oberle,
Nevertheless, the prosecutor’s improper comment during opening argument does not warrant reversal. “A prosecutor’s improper statement to the jury is harmless unless there is reason to believe that it influenced the jury’s verdict.... To warrant reversal, the misconduct must have been flagrant enough to influence the jury to convict on grounds other than the evidence presented.” Gabaldon,
Here, the prosecutor made the improper remark during the government’s opening statement. The prosecutor made no further reference to the statement during the remainder of the trial. In United States v. Gallegos,
[t]he comments were made at the very beginning of the trial in opening statement. The matter was not mentioned again before the jury until the defendant brought it up himself. The evidence against defendant was substantial, if not overwhelming. The comments were not made by the government in closing argument and they were not fresh in the minds of the jurors....
See also United States v. Portillo-Quezada,
Moreover, “[a] central assumption of our jurisprudence is that juries follow the instructions they receive.” United States v. Castillo,
Finally, contrary tо Defendant’s contention, there was “substantial evidence of [his] guilt.” Oberle,
Defendant is correct that Mr. Boyd’s testimony and Mr. Howe’s testimony contained some inconsistencies when compаred to their statements to the investigator, Officer Koenig. Both Mr. Boyd and Mr. Howe, though, had previously told Officer Koenig that defendant hit Mr. Boyd repeatedly, and most of Mr. Boyd’s inconsistencies dealt with his conduct towards Ms. Echohawk, not the details of the assault itself. As the district court stated, “depending on the version the jury chooses to believe, ... there is sufficient evidence ... that would support a conviction of the [Defendant on Count 1 beyond a reasonable doubt.” Given the strength of the evidence against Defendant, the jury had more than enough evidence to find Defendant guilty beyond a reasonable doubt, notwithstanding the improper statement by the prosecutor.
. The majority mischaracterizes my argument here as allowing "an appellant whose objection was overruled and who subsequently moved for a mistrial [to] simply omit reference to the mistrial motion in its opening brief ... and receive de novo review." Majority Op. at 1098-99. The majority is incorrect. My argument here simply points out that (1) once we know the facts of the case, and (2) precedent provides us with the standard of review (as is the case here), we should not shirk our obligation to follow precedent by
. The majority is correct that this affords a criminal defendant a comparatively broad scope of review if he or she does not move for a mistrial or new trial, but our precedent is clear that this is the rule. See Meienberg,
. The majority has allowed the government— rather than Defendant — to frame the issue Defendant has appealed. The government states the issue as follows:
Whether the failure of the district court to declare a mistrial, sua sponte, following Defendant’s objection to an eight-word statement made by the prosecutor during the government’s opening statement to the jury, where Defendant neither moved for a mistrial nor objected to the sufficiency of a curative instruction given by the court, constitutes plain error which should be noticed by this Court.
Aplee. Br. at 1.
. The defendant did move for a mistrial in Oberle, but only in response to the testimony of an FBI agent — not in response to the alleged prosecutorial misconduct. Oberle,
