United States v. Rafael Marroquin
Opinion
The Court having been polled at the request of one of its members, and a majority of the judges who are in regular *303 service and not disqualified not having voted in favor ( Fed. R. Ap. P. 35 and 5th Cir. R. 35 ), rehearing en banc is DENIED. In the en banc poll, three judges voted in favor of rehearing (Judges Jones, Smith, and Ho), and twelve judges voted against rehearing (Chief Judge Stewart and Judges Dennis, Clement, Prado, Owen, Elrod, Southwick, Haynes, Graves, Higginson, Costa, and Willett).
Judge Smith, joined by Judges Jones and Ho, dissents from the Court's denial of rehearing en banc, and his dissent is attached.
JERRY E. SMITH, Circuit Judge, joined by EDITH H. JONES and JAMES C. HO, Circuit Judges, dissenting from the denial of rehearing en banc:
The panel opinion mutilates the test for plain-error relief. Every one of the panel's multiple mistakes favors Marroquin. And even under the relaxed standard that the panel accidentally announces, Marroquin falls far short of satisfying the test. Because the court should have vacated this aberrant opinion for en banc rehearing, I respectfully dissent.
To obtain appellate relief from forfeited error, Marroquin must meet the difficult four-prong test. He must show (1) an error (2) that is plain and (3) affects substantial rights. "Fourth and finally, if the above three prongs are satisfied, the court of appeals has the
discretion
to remedy the error-discretion which ought to be exercised only if the error 'seriously affect[s] the fairness, integrity or public reputation of judicial proceedings.' "
Puckett v. United States
,
I.
Although, to its credit, the panel carefully avoids misquoting Puckett , it misstates the test by changing the words in three different places, in a way that is hugely misleading. I address each of those in turn.
A.
First, the panel omits the crucial word "seriously" from the paragraph in which it applies the
Puckett
test. The panel says, "That leaves the requirement that Marroquin show the error affected the fairness, integrity, or reputation of the proceeding."
United States v. Marroquin
,
The Supreme Court would not have used the word "seriously" unless it was "serious" about sending the message that fourth-prong relief is available only in exceptional circumstances. See Edward Goolsby, Comment, Why So Serious? Taking the Word "Seriously" More Seriously in Plain Error Review of Federal Sentencing Appeals , 51 HOUSTON L. REV. 1449 (2014). The panel thus not only misstated *304 but misapplied the fourth prong, and that is error.
B.
This is not the panel's only misstatement of the fourth prong. In describing that prong in the introductory part of the opinion,
That also is error. Outside the quotation marks are the words "of the proceeding." That is not what the Supreme Court said. Instead,
Puckett
refers to "the fairness, integrity or public reputation
of judicial proceedings
."
Puckett
,
It is no guess that the Supreme Court meant to give meaning to the phrase "of judicial proceedings" as distinguished from "of the proceeding." At the end of its opinion, the Court helpfully explained what it meant by "judicial proceedings."
Puckett
dealt with the failure to live up to a plea agreement. Applying the fourth prong, the Court opined that "[i]t is true enough that when the Government reneges on a plea deal,
the integrity of the system
may be called into question."
Puckett
,
From this, there can be no doubt that the fourth prong requires the appellant to show "serious" damage not only to the fairness of the result in his own case but-much more broadly-to the fairness, integrity, or public reputation of judicial proceedings generally. That is a more than a gentle reminder of how steep the fourth prong really is and of how, by subtle changes to its articulation, the panel has "seriously" (pun intended) reduced the burden for this appellant. 2
*305 C.
So far, I have shown that the panel misstated the
Puckett
test in two respects: by omitting the crucial word "seriously" and by altering the phrase "of judicial proceedings." There is yet a third alteration: The panel changed "public reputation" to "reputation." The panel begins its penultimate paragraph by stating, "That leaves the requirement that Marroquin show the error affected the fairness, integrity,
or reputation
of the proceeding."
Marroquin
,
It is significant that the Supreme Court referred to "public reputation" and that the panel omitted "public." 3 That underscores the fact that, as explained above, the Court was referring to judicial proceedings generally and not to the specific proceeding at hand. It is difficult to see how a forfeited-error sentence in one particular case, such as this one, would sully the public reputation of the system except in the most notorious case. The panel's phrase "reputation of the proceeding" hardly makes sense here.
II.
The foregoing discussion shows that, for whatever reason, the panel stumbles in its articulation of the fourth prong by misrepresenting it in at least three crucial respects. That needs to be examined by the en banc court so that we carefully adhere to what the Supreme Court requires. But even accepting the majority's more-than-questionable description of the four prongs, the panel errs in finding all those prongs satisfied so as to afford plain-error relief to this appellant.
A.
Marroquin fails the second prong, because the error is not "plain." "[T]he legal error must be clear or obvious, rather than subject to reasonable dispute."
Puckett
,
The purported error here is anything but obvious. The question is the interpretation
*306
of a North Carolina statute. The
Marroquin
panel admits that the Fifth Circuit addressed that very statute in
United States v. Rodriguez-Prieto
,
The
Marroquin
panel yields instead to a Fourth Circuit decision,
United States v. Davis
,
B.
The third prong requires the appellant to show that a plain error affected his substantial rights. Instead of requiring Marroquin to shoulder the burden of establishing that his substantial rights were affected, the panel flips the burden. The panel closes its discussion of the third prong with the statement that "the government has not shown this to be a case in which prejudice did not result from an error that affected the Guidelines range."
Marroquin
,
C.
Marroquin also fails at the fourth prong. The panel's explanation is both scant and conclusory: "This error ... based on a misinterpretation of the state criminal laws ... would create doubt about the integrity of the process."
Marroquin
,
III.
In
Puckett
, the Supreme Court warned of "a reflexive inclination by appellate courts to reverse because of unpreserved error."
Puckett
,
Our plain-error jurisprudence continues to struggle.
See
United States v. Suarez
,
I respectfully dissent from the denial of rehearing en banc.
In the second, introductory paragraph of its opinion, the panel, more fully quoting
Puckett
, does include the word "seriously."
Marroquin
,
In fairness, I must note that other panels of this court have been similarly sloppy in describing the
Puckett
test.
See, e.g.
,
United States v. Luna-Barragan
,
In its second paragraph,
The panel makes no mention of the above decisions or of any other Fifth Circuit caselaw, which imposes a steep standard for achieving success at the second prong, especially the requirement of showing no "reasonable dispute."
Marroquin's failure at the second prong is bolstered by the fact that in the brief on appeal, the experienced Federal Public Defender did not even notice the alleged error. Given that the only Fifth Circuit decision on point was adverse to Marroquin, that is not surprising or blameworthy. The Federal Public Defender briefed the issue only after this court denied a motion under
Anders v. California
,
The Supreme Court spoke forcefully to this in Puckett :
This limitation on appellate-court authority serves to induce the timely raising of claims and objections, which gives the district court the opportunity to consider and resolve them. That court is ordinarily in the best position to determine the relevant facts and adjudicate the dispute. ... [T]he district court can often correct or avoid the mistake so that it cannot possibly affect the out-come. And of course the contemporaneous-objection rule prevents a litigant from "sandbagging" the court-remaining silent about his objection and belatedly raising the error only if the case does not conclude in his favor.
Puckett
,
An admitted procedural difficulty that discourages en banc review is that Marroquin is set for release in less than a month, and there is no term of supervised release, so there is the prospect of mootness.
See generally
United States v. Heredia-Holguin
,
Reference
- Full Case Name
- UNITED STATES of America, Plaintiff-Appellee v. Rafael Rios MARROQUIN, Also Known as Tomas Andres Marroquin, Defendant-Appellant United States of America, Plaintiff-Appellee v. Rafael Rios Marroquin, Defendant-Appellant
- Cited By
- 2 cases
- Status
- Published