United States v. Roberto Trinidad Del Carpio Frescas
Opinion
*327 A federal jury convicted Roberto Trinidad del Carpio Frescas of engaging in wire fraud and then laundering the proceeds. He cheated Mexican "investors" out of at least $5 million in a multi-year transnational Ponzi scheme. Del Carpio nonetheless brings a variety of challenges to his convictions, restitution order, and sentence. We affirm the convictions and restitution order in full. But the district court's Guidelines calculation was off by a single point. So under current Supreme Court precedent and the facts of this case, we have no choice but to vacate the sentence and remand for the limited purpose of resentencing.
I.
El Paso police first learned of del Carpio's Ponzi scheme in 2011. Their first witness was Luz Elva Martinez Rivera. In her thirty years working as a school teacher in Mexico, Martinez Rivera had saved $165,000. Believing del Carpio's promise that he would pay her 15% interest, she drove from her home in Chihuahua, Mexico, to El Paso, Texas, and deposited every penny into del Carpio's bank account. She lost everything.
After speaking with Martinez Rivera, Detective Nichole Ramm spoke with more than 100 other victims. Most were from Chihuahua, Mexico. All had similar stories to tell: Del Carpio held himself out as a stock broker, solicited their investments, promised them big returns, and took their money. When they asked for status updates, del Carpio often responded evasively. Eventually he stopped responding entirely.
The government charged del Carpio with twenty-five counts of wire fraud and ten counts of money laundering.
Prior to the sentencing hearing, the probation office prepared a Pre-Sentence Report ("PSR") under the 2015 Sentencing Guidelines. The PSR grouped all thirty-four counts together under Chapter 3, Part D of those Guidelines. It then identified money laundering as the relevant offense guideline for the group.
Next, the PSR identified the base offense level for money laundering. The money laundering guideline required a base offense level equal to "[t]he offense level for the underlying offense for which the laundered funds were derived"-in this case, wire fraud. U.S.S.G. § 2S1.1(a). Based on the wire fraud provisions, the PSR assigned a base offense level of 7. Then the PSR identified the relevant specific offense characteristics under Chapter Two and two adjustments under Chapter Three of the Guidelines:
*328 • 18 points under § 2B1.1(b)(1)(J) because del Carpio caused more than $3.5 million in economic loss;
• 6 points under § 2B1.1(b)(2)(C) because del Carpio caused hardship to more than 25 people;
• 2 points under § 2B1.1(b)(10)(B) because del Carpio committed much of his scheme from outside the United States;
• 1 point under § 2S1.1(b)(2)(A) because del Carpio was convicted of money laundering under18 U.S.C. § 1957 ;
• 2 points under § 3B1.3 because del Carpio abused his victims' trust; and
• 4 points under § 3B1.1(a) because del Carpio organized or led a scheme "that involved five or more participants or was otherwise extensive."
Adding those together, the PSR calculated an offense level of 40. Del Carpio fell in criminal history category I. So the Guidelines yielded a range of 292 to 365 months in prison.
Del Carpio contested one of the specific offense characteristics under Chapter Two-namely, that his offense caused hardship to more than 25 people.
See
U.S.S.G. § 2B1.1(b)(2)(C). And he contested both of the Chapter Three enhancements-the abuse-of-trust enhancement and the leadership enhancement.
See
In his allocution at sentencing, del Carpio suggested he ran a legitimate business that just turned south. "I am a man fearful of God," he said. The court rebuked him: "What did the conversation with God sound like when you took that poor school teacher's life savings that she worked all her life to save?" The court sentenced del Carpio to concurrent sentences of 235 months for the wire fraud counts and 120 months for the money laundering counts. Two weeks later, the court began its restitution hearing. A month after that, the court ordered del Carpio to pay back $5,402,661.
Del Carpio appealed the district court's judgment and sentence, as well as its restitution order.
II.
We affirm del Carpio's convictions because sufficient evidence supports them. We also affirm the district court's restitution order.
A.
Del Carpio challenges the evidentiary sufficiency of his convictions on a handful of wire fraud and money laundering counts. In a sufficiency challenge, the question is not "whether [this court] believes that the evidence at the trial established guilt beyond a reasonable doubt."
Jackson v. Virginia
,
*329 1.
We start with wire fraud. In a wire fraud prosecution, the government must prove that (1) a scheme to defraud exists, (2) the defendant used wire communications in interstate or foreign commerce to further that scheme, and (3) the defendant had specific intent to defraud.
See
In Count 13, the government charged del Carpio with fraudulently inducing Rodrigo Muñiz Vallina to wire him $100,000 on July 5, 2011. Del Carpio challenges the jury's guilty verdict on this count based only on wire fraud's second element-that the government failed to show this money moved in interstate or foreign commerce. Relatedly, he challenges the district court's decision permitting the government to introduce a summary chart ("Exhibit 42") that purported to list the transaction details for each wire fraud count.
Del Carpio complains that Exhibit 42 created the false appearance that the $100,000 moved from Mexico to New York. The chart lists Intercam Casa de Bolsa (in Mexico) as the "Origin Bank" and Bank of America (in New York) as the "Destination Bank." Jurors relying on that chart, then, would conclude the money moved in foreign commerce. In reality, del Carpio contends, the money only moved from one New York bank to another New York bank.
The district court did not abuse its discretion in admitting Exhibit 42. For starters, the court, the prosecutor, and defense counsel repeatedly reminded the jury that the chart was not evidence. Plus, the chart was generally consistent with the testimony at trial. Roxanne Hollingsworth, a Bank of America employee, testified that the July 5th transaction was requested by an originator in Chihuahua, Mexico, before passing through an originating bank in New York (Standard Chartered Bank, Ltd.), and landing at a receiving bank in New York (Bank of America). Based on these facts, Hollingsworth agreed that "this wire transfer also [was] interstate." Del Carpio never objected to her conclusion. He did not even ask Hollingsworth about it on cross.
On appeal, however, del Carpio insists Hollingsworth's testimony shows the money moved only
intra
state-between two New York banks. That is irrelevant even if true: All that needs to move across national or state lines is a "writing[ ], sign[ ], signal[ ], picture[ ], or sound[ ]" that furthers the fraud.
*330 In Counts 23 and 24, the government charged del Carpio with fraudulently inducing Miguel Luevano Gutierrez and Augustine Jiminez Leyva to wire him $13,970 and $2,988, respectively. Del Carpio challenges the jury's guilty verdicts on those counts based only on wire fraud's third element-that the government showed no specific intent to defraud. Del Carpio insists that because neither victim testified, we do not know why they sent money to him.
That does not cut it. Detective Ramm testified that she spoke with 110 victims, that "all of these people gave [her] reports" and produced documents showing the "investments" they made with del Carpio, and that two of the victims she spoke with were Luevano Gutierrez and Jiminez Leyva. "In general, the [victims'] allegation was theft ... and that they had invested money that they did not believe had been invested."
This evidence may not have been detailed. But "the relevant question is whether, after viewing the evidence in the light most favorable to the prosecution,
any
rational trier of fact could have found the essential elements of the crime beyond a reasonable doubt."
Jackson
,
2.
It is also a federal crime to launder dirty money.
See
In Counts 27 and 32, the government charged del Carpio with laundering some of the fraudulent proceeds by transferring money from his Wells Fargo account on March 18, 2011 ($20,000) and March 25, 2011 ($21,859.84). Del Carpio challenges the jury's guilty verdicts on these counts based only on money laundering's second element-that he transferred criminally derived funds. That is so, he says, because his Wells Fargo account had at least some clean money in it. In particular, del Carpio says the account contained clean funds totaling $57,800 just before the two March withdrawals totaling $41,859.84.
But the government contends del Carpio's Wells Fargo account contained no clean funds at all. It points to Secret Service Agent Brian Cummings's testimony. El Paso police asked for his help on "interacting with the banks, issuing subpoenas, analyzing the cash flow and getting the story of what happened with the money." At trial, Agent Cummings testified that:
All money going into any of the Bank of America or Wells Fargo accounts we've looked at, which usually routed through Chase, with some exceptions, it was deposited directly, but it always came from investor/victims . And we made sure to verify through cash flow analysis that any time we saw a large transaction *331 or large purchase like that, we wanted to know where the source of the money was.
(Emphasis added.)
Del Carpio responds that this testimony is ambiguous. Was Cummings referring to all deposits to del Carpio's Wells Fargo account, or just a subset of the deposits "we've looked at"? It is a fair question. But it is precisely the kind of question the trier of fact is best situated to answer. And del Carpio's counsel never cross-examined Cummings on the point. (The cross-examination barely exceeds a single page in the trial transcript.) Based on the evidence at trial, a reasonable juror could find del Carpio withdrew dirty money.
B.
Del Carpio also challenges the district court's restitution order directing him to pay $5,402,661 under the Mandatory Victim Restitution Act.
See
18 U.S.C. §§ 3663A, 3664. We review this order through a deferential abuse-of-discretion lens, and the defendant bears the burden of showing he is entitled to a reduction based on returns he made to victims.
United States v. De Leon
,
Mike Petron, a certified public accountant and a certified fraud examiner, testified at the restitution hearing. He initially determined that del Carpio caused around $6.5 million in losses. Petron reviewed both the government's and del Carpio's submissions and concluded del Carpio had already returned a little over $1 million of that money. Petron therefore offset that amount against the losses del Carpio caused. But Petron refused to credit an additional $254,297 "where there was no third-party documentation" supporting del Carpio's request for an offset. So Petron settled on a total restitution amount of $5,402,661. The district court agreed.
Del Carpio claims the court should have offset an additional $181,138.05, leaving $5,221,522.95 in restitution. First, he says the government provided records from JP Morgan showing that he paid $158,788.05 to various victims. He cites to pages in "Government Exhibit 3." But as far as we can tell, that document is nowhere in the record on appeal. And in all events, it was undisputed in the district court that no third-party documentation supported offsetting these amounts. Below, del Carpio simply dumped a bunch of documents on the government's expert and said, in effect, figure it out. He cannot prove a double recovery for the first time on appeal by creating tables in his brief that he never showed to Petron and that are unsupported by record citations. "Judges are not like pigs, hunting for truffles buried in the record."
Albrechtsen v. Bd. of Regents of Univ. of Wisconsin Sys.
,
Second, del Carpio says his claim is supported by "investor-victim testimony." But in the district court, he conceded that his victims "may not have remembered [the] amounts." Third, del Carpio says certain emails show he paid $22,350 to Martinez Rivera. But the district court did not abuse its discretion by demanding bank documentation rather than email screenshots. We affirm the restitution order in full.
III.
Finally, del Carpio brings two challenges to the district court's sentence. First, he says the court failed to calculate *332 the offense levels for wire fraud and money laundering separately. Second, he says the court erred in the way it applied the abuse-of-trust and leadership enhancements. He concedes he never raised either objection below. We need not consider the first argument because, under current Supreme Court precedent, del Carpio must be resentenced under the second.
Given del Carpio's failure to object, our review is for plain error. Federal Rule of Criminal Procedure 52(b) provides that "[a] plain error that affects substantial rights may be considered even though it was not brought to the court's attention." This language requires a four-part showing: The defendant must show that (1) the district court committed an error, (2) the error is plain, (3) the error affects his substantial rights, and (4) failure to correct the error would seriously affect the fairness, integrity, or public reputation of judicial proceedings.
See
United States v. Sanchez-Hernandez
,
As explained above, the district court sentenced del Carpio under the money laundering guideline, § 2S1.1(a). The note to that guideline says the "application of any Chapter Three adjustment[s] shall be determined based on the offense covered by this guideline (
i.e.
, the laundering of criminally derived funds) and not on the underlying offense from which the laundered funds were derived." U.S.S.G. § 2S1.1 application note 2(C);
see
United States v. Salgado
,
The government argues the district court based both enhancements on the money laundering conduct. It is possible that one set of conduct could be relevant for assessing a defendant's leadership in both a money laundering scheme
and
in the underlying crime that produced the dirty money. In that case, Application Note 2(C) surely does not put relevant conduct out of bounds simply because it
also
applies to the underlying criminal offense.
Cf.
United States v. Lopez
,
But that is not what happened here. For both enhancements, the court fixated on the wire fraud conduct, not the money laundering conduct. Regarding the abuse-of-trust enhancement, the district court emphasized how del Carpio held himself out as "a very sophisticated investor and broker and trader" to his wire fraud victims. Similarly, when discussing the leadership enhancement, the court noted the scheme was "extensive" because "the scheme was, I'm going to make as many of these people believe this is real and then get them to go out and convince other people to come invest ." (Emphasis added.) Focusing on the wire fraud is understandable, given the egregiousness of del Carpio's wire fraud crimes and his failure to object below. It was error nonetheless.
The error increased the total offense level by a single point,
2
which increased
*333
the Guidelines range. Under current Supreme Court precedent, and on the facts of this case, that means the error affected del Carpio's substantial rights.
See
Molina-Martinez v. United States
, --- U.S. ----,
* * *
We AFFIRM del Carpio's conviction and the district court's restitution order. We VACATE del Carpio's sentence and REMAND to allow the district court to resentence him in accordance with this opinion. Nothing in this opinion precludes the district court from exercising its discretion to depart from the Guidelines and choose any sentence permitted by
ANDREW S. OLDHAM, Circuit Judge, concurring:
Today's result might surprise the uninitiated: Based on a one-point offense-level miscalculation in the advisory Guidelines, the United States must restart its criminal-justice machinery so it can fix a mistake that's supposedly so "plain" it cannot be ignored but also so subtle that del Carpio ignored it below. This result is particularly surprising because, not so long ago, the Supreme Court told us that "[m]eeting all four prongs of [plain-error review] is difficult, as it should be."
Puckett v. United States
,
I.
Failure to raise an error ordinarily insulates it from appellate review. That's a bedrock principle of American law. As the Supreme Court put it:
No procedural principle is more familiar to this Court than that a constitutional right may be forfeited in criminal as well as civil cases by the failure to make timely assertion of the right before a tribunal having jurisdiction to determine it.
Yakus v. United States
,
That's not to say the Court has always recognized the rule's virtues. For example, during the
ancien regime
of
Fay v. Noia
,
Eventually, the Court relented. It overruled
Noia
's deliberate-bypass standard and again enforced the raise-it-or-lose-it rule.
See
Sykes
,
II.
The plain-error doctrine is (or at least was) a narrow exception to the raise-it-or-lose-it rule. Plain error originated in federal common law. Then it was codified in Federal Rule of Criminal Procedure 52. Then it largely reverted to federal common law. With these changes, the plain-error doctrine has waxed and waned in its penalization of criminal defendants who fail to object at trial. But at least when it comes to sentencing appeals, today's federal common law of plain error is eerily reminiscent of Noia .
A.
The concept of plain error originated in
Wiborg v. United States
,
The Court returned to the plain-error doctrine in
United States v. Atkinson
,
*335 Administration regulation. The Court noted the government forfeited any argument to the contrary, which required affirmance under the raise-it-or-lose-it rule:
The verdict of a jury will not ordinarily be set aside for error not brought to the attention of the trial court. This practice is founded upon considerations of fairness to the court and to parties and of the public interest in bringing litigation to an end after fair opportunity has been afforded to present all issues of law and fact.
While
Atkinson
's mention of "the fairness, integrity, or public reputation of judicial proceedings" was dicta, it nonetheless stuck. In 1940, Congress empowered the Supreme Court to create rules governing practice and procedure in federal criminal cases.
See
Act of June 29, 1940, 76 Pub. L. No. 445,
From the very beginning, some have questioned this approach. Justice Frankfurter, for example, dissented from the 1944 promulgation of the Criminal Rules.
See
Order, Rules of Criminal Procedure,
Plain error was one of those lurking questions. Take for example
Young
. The government charged Young with mail fraud. During closing argument, the defense accused the prosecution of "reprehensible" conduct and said Young was "the only one in this whole affair that has acted with honor and with integrity."
Young
,
In considering the plain-error question, the Supreme Court started with the drafting history of Rule 52(b).
See
As foreign as
Young
might seem by today's textualist standards, the Court still easily reversed the finding of plain error. The Court noted it would be an "extravagant protection" of the defendant's rights "to use the plain-error doctrine to consider trial court errors not meriting appellate review absent timely objection."
Young
,
The Court reaffirmed that view in
United States v. Olano
,
The Court again enforced the raise-it-or-lose-it rule in
Johnson v. United States
,
The Supreme Court held yes. As in
Young
, the Court "cautioned against any unwarranted expansion of Rule 52(b)."
Johnson
,
So too in
United States v. Cotton
,
This long line of cases-from
Wiborg
to
Atkinson
to
Young
to
Olano
to
Johnson
to
Cotton
-illustrates how hard it is to overcome a forfeited error. That is why, of course, it's the raise-it-or-
lose
-it rule. Even rights as fundamental as those protected by
Apprendi
are lost if they're not preserved. And even in
Wiborg
, the two defendants who overcame the raise-it-or-lose-it rule did so because they were in effect
*338
innocent of the charges.
See
B.
Something changed after Puckett . Instead of requiring actual innocence, now we are satisfied by one-point math errors in the advisory Guidelines range. Instead of considering it an unwarranted "extravagance" to reach forfeited errors, now we reach them as a matter of course. Instead of saying a forfeited error "may" be noticed under certain conditions, now we say errors "must" be noticed in ordinary cases. Instead of viewing plain error as a restriction on our appellate discretion , now it expands our appellate obligations . And instead of making defendants run the gauntlet of a "difficult" four-part test, now plain error accommodates almost all but those who intentionally relinquish their rights.
It is the Supreme Court's prerogative to tell us how to apply these rules. And we'll do our best to follow them. It is noteworthy, however, just how much plain error has changed in the 10 years since Puckett . When we walk through the four prongs of that doctrine, it looks more and more like Noia .
1.
Prong one of the plain error standard is whether an "error" occurred.
See
Olano
,
A party may preserve a claim of error by informing the court-when the court ruling or order is made or sought-of the action the party wishes the court to take, or the party's objection to the court's action and the grounds for that objection. If a party does not have an opportunity to object to a ruling or order, the absence of an objection does not later prejudice that party.
FED . R. CRIM . P. 51(b). Obviously, if a defendant did "have an opportunity to object" but did not "inform[ ] the court," then he has not "preserve[d] a claim of error."
You might reasonably wonder why we have Rule 51 if Rule 52 allows review of unpreserved errors. After all, a defendant can ignore an error under the former with impunity as long as he can get review of it under the latter. One answer is that plain-error review under Rule 52 applies only to forfeitures, not waivers: "Deviation from a legal rule is 'error'
unless the rule has been waived
."
Olano
,
In this case, the probation office and the district court gave del Carpio and his attorneys from the Federal Public Defender's Office an opportunity to review the Pre-Sentence Report ("PSR") before the sentencing hearing. Del Carpio and his attorneys discussed the report. And they offered ten written objections to it. These included all manner of considered objections to the Guidelines and their application *339 to del Carpio's crimes. Then they agreed everything else in the PSR was correct. Does that mean del Carpio forfeited objections eleven through infinity? Or does it mean he waived them by agreeing to the correctness of the unobjected-to portions of the PSR?
In other areas where the raise-it-or-lose-it rule applies, it wouldn't matter. Take, for example, the man who stands trial for murder in state court. There he fails to object to the admission of his confession. It's irrelevant whether he forfeited the objection in ignorance or waived it on purpose. Because he's a state prisoner, his claim is defaulted and hence unreviewable in all events.
See
Sykes
,
We must apply a different rule to del Carpio because he's a
federal
prisoner. The Federal Public Defender's Office recently advised us in another case that it would be "a sea change in the law" to enforce the raise-it-or-lose-it rule for PSR-based errors. Oral Argument at 33:38,
United States v. Sanchez-Hernandez
,
I can imagine a few explanations for this anomaly, but I'm not sure how persuasive they are. First, you might say it makes sense to apply the strict cause-and-prejudice rule on collateral review (Sykes) and a more forgiving no-cause rule on direct review (del Carpio). After all, one reason our habeas rules are so strict is because the state prisoner already had his direct appeal in the state system.
See, e.g.
,
Langley v. Prince
,
Second, you might say federal courts always require knowing and deliberate waivers before ignoring important errors. Again, no. " 'Waiver' is a vague term used
*340
for a great variety of purposes, good and bad, in the law."
Green v. United States
,
Which brings us, third and finally, back to where we started:
Olano
. The Court began its opinion in that case with a discussion of the "basic principles" that govern plain error.
All of this raises more questions than it answers. But one thing is clear: The line between waiver and forfeiture does little to constrain appellate review of PSR errors today. I suppose we still must find a mistake of law. But that would also be true if the defendant had objected and plain error did not apply. So this first hurdle is not much of a hurdle at all.
2.
If there was an error, Rule 52(b) instructs us to ask whether it was "plain." Here too we find an obstacle doing very little obstructing. You might have thought "plain" error refers only to an error that is "manifest," "unmistakable," "obvious," or "easily ... recognizable." WEBSTER'S NEW INTERNATIONAL DICTIONARY 1878 (2d ed. 1941); 7 OXFORD ENGLISH DICTIONARY 936 (1st ed. 1933). And given the sophistication of federal sentencing proceedings, you might think manifest, obvious, and easily *341 recognizable errors would be few and far between. Federal taxpayers devote significant resources to these proceedings. For example, the sentencing and restitution hearings in this case spanned more than six days, with numerous attorneys, forensic experts, fact witnesses, and experienced personnel from the Probation Office, the U.S. Attorney's Office, and the Federal Public Defender's Office. What are the odds that all these folks missed an unmissably obvious error?
Under our current plain-error doctrine, those odds are much higher than you might think. The first reason is a function of timing. According to the Supreme Court, we must judge the plainness of an error "at the time of appellate consideration."
Johnson
,
The second reason is a function of scope. A "plain" error sounds like an error that might give rise to a claim for malpractice against a lawyer who missed it. But we sometimes treat an error as "plain" even when it's obvious to no one.
Take the "plain" error in this case. Here is my highly condensed summary of it. Ordinarily, offenses covered by § 2A3.5; §§ 2B1.1, 2B1.4, 2B1.5, 2B4.1, 2B5.1, 2B5.3, 2B6.1 ; §§ 2C1.1, 2C1.2, 2C1.8 ; §§ 2D1.1, 2D1.2, 2D1.5, 2D1.11, 2D1.13 ; §§ 2E4.1, 2E5.1 ; §§ 2G2.2, 2G3.1 ; § 2K2.1 ; §§ 2L1.1, 2L2.1 ; § 2N3.1 ; § 2Q2.1 ; § 2R1.1 ; §§ 2S1.1, 2S1.3 ; §§ 2T1.1, 2T1.4, 2T1.6, 2T1.7, 2T1.9, 2T2.1, and 2T3.1 are grouped under § 3D1.2(d). But if you read application note 6 to Guideline § 2S1.1 (which is specifically referenced in § 3D1.2(d)), then you'd know these wire fraud and money laundering counts should be grouped under § 3D1.2(c),
not
§ 3D1.2(d). Now we should turn to § 3D1.3(a), which says for offenses grouped under § 3D1.2(c), we use the offense level for the most serious count. Here you might think that's Count 26: Money Laundering. But obviously, you don't want to forget about application note 2 in the commentary following § 3D1.3. It says the offense levels should be calculated separately for wire fraud and money laundering, and when you do that, the relevant offense level comes from the wire fraud counts (1-24). The wire fraud base offense level is 7 under § 2B1.1(a)(1). We'd add 18 points for the amount of loss under § 2B1.1(b)(1)(J). Then we'd add 4 points because del Carpio caused substantial financial hardship to five or more victims under § 2B1.1(b)(2)(B). Then we'd add 2 points because a substantial part of the scheme was committed outside of the United States under § 2B1.1(b)(10)(B). Then we'd add Chapter Three enhancements for extensive leadership (4 points under § 3B1.1(a)) and abuse of trust (2 points under § 3B1.3)). Then we'd subtract two points for substantial assistance under § 5K1.1. That brings us to a grand total offense level of 35. Which is
plainly
different than the 36-point offense level calculated by the district court. The district court thought money laundering would be the higher offense level because it took the base offense level from § 2B1.1 (31 points) and added 1 point as required by § 2S1.1(b)(2)(A) for offenses involving a conviction under
Does this strike anyone as plain and obvious? I think it's amazing the district court managed to err by only a single point.
Del Carpio's changing litigation positions powerfully illustrate how not plain and not obvious a plain error can be. Recall everyone (including del Carpio's attorneys) missed the supposedly obvious mistake described above. Then in his opening appellate brief, del Carpio had to devote ten pages, five tables, two footnotes, and more than fifty citations to the Guidelines and cases interpreting the Guidelines to explain this supposedly "plain" one-point error. It's both so subtle that everyone missed it and so obvious that we now wonder how anyone missed it. It's like Fermat's Last Theorem before and after Andrew Wiles proved it.
5
But query whether it's still fair to say "that plain-error review is not a grading system for trial judges."
Henderson
,
3.
The third prong requires a defendant to prove the plain error "affects [his] substantial rights." FED. R. CRIM . P. 52(b). That means he "must show a reasonable probability that, but for the error, the outcome of the proceeding would have been different."
Molina-Martinez v. United States
, --- U.S. ----,
That won't always be true.
Unfortunately, however, courts seem to "misunderstand [the Supreme Court's] predictions as veiled directives."
Molina-Martinez
,
That powerfully illustrates the common-law changes to Rule 52. Recall for example
Olano
. In that case, the trial court plainly violated the defendant's rights by allowing alternates into the jury room during deliberations. That contravened the express protections of Federal Rule of Criminal Procedure 24(c).
See
4.
The fourth and final hurdle says we "may" exercise discretion to correct an error where it "seriously affects the fairness, integrity[,] or public reputation of judicial proceedings."
Olano
,
Plain Error. A plain error that affects substantial rights may be considered even though it was not brought to the court's attention.
FED. R. CRIM . P. 52(b). All the rule says is that we "may ... consider[ ]" an error when the first three requirements are met. The rule takes care to enumerate those three requirements and no others.
See
SCALIA & GARNER ,
supra
, at 107-11. What's left is discretion.
See
Henderson
,
As noted in Part II.A,
supra
, the Supreme Court has read a lot into "may." That one word includes the "fairness, integrity, or public reputation of judicial proceedings" dicta from
Atkinson
. It also includes the Advisory Committee's drafting notes and the "miscarriage of justice" exception from
Young
. But these precedents at least read Rule 52(b) as a
limitation
on appellate review.
Atkinson
and
Young
said appellate courts "should not exercise [ Rule 52(b) ] discretion unless the error seriously affects the fairness, integrity[,] or public reputation of judicial proceedings."
Olano
,
*344
Olano
,
The Supreme Court's decision in
Rosales-Mireles
took a different path. There the Court concluded we "should" correct an error whenever it may affect the judiciary's reputation.
* * *
So here's how the hurdles appear to the defendant on the starting line of a Guidelines appeal. Hurdles 1 and 2 are almost illusory. We assume defendants clear hurdle 3 when the Probation Office makes a one-point math error that would've eluded anyone except Andrew Wiles. And "may" means "should" at hurdle 4. At some point, the hurdlers are running a dash. And even the Federal Public Defender's Office says this is an "odd position." Oral Argument at 6:21, United States v. Del Carpio Frescas , No. 17-50245, http://www.ca5.uscourts.gov/OralArgRecordings/17/17-50245_4-30-2019.mp3.
The oddity of it is not what worries me, however. What worries me is that we've seen this movie before. In the mine-run sentencing case, "[a] defendant could simply relax and wait to see if the sentence later struck him as satisfactory,"
United States v. Vonn
,
A plain error doctrine with no hurdles will encourage defense counsel to focus on anything but the Guidelines in the district court. In this case, del Carpio's sentencing and restitution hearings spanned six days and included more than two dozen witnesses. The record is over 2,500 pages long. But somehow, despite all that effort, no one noticed the Guidelines miscalculation that's supposedly so "plain" today. Given the current plain-error doctrine, del Carpio's trial counsel was quite right to focus on anything except proving Fermat's Last Theorem in the Guidelines calculation. After all, the latter can always be done on appeal. What once was "extravagant,"
Young
,
Even if it matters (and it does not), the jury heard evidence suggesting a Mexican institution was involved in the transaction. Muñiz Vallina testified that he lived in Chihuahua, Mexico; that he exercised joint control over the account he shared with his mother-Consuela Vallina Ligara; that he personally sent the $100,000 to del Carpio on July 5th; and that he usually performed his "money exchange ... operations" from Intercam Casa de Bolsa, a bank in Chihuahua. Hollingsworth's testimony may not have been crystal clear about what role Standard Chartered played in the transaction. But everyone-including del Carpio-took for granted yesterday what he contests today: Trial testimony showed the July 5th transaction involved a wire communication in foreign commerce.
The district court chose a total offense level of 38, then subtracted two points for substantial assistance to authorities. That yielded an offense level of 36. As del Carpio points out for the first time on appeal, the correct calculation yields a total offense level of 37. Appellant Br. 55. Subtracting two points for substantial assistance would yield an offense level of 35.
See
The
Atkinson
Court cited one civil case for the proposition that the plain-error exception to the raise-it-or-lose-it rule is not limited to criminal cases.
See
In 2002, the Supreme Court amended Rule 52(b) by deleting "or defects" and making other slight edits that "are intended to be stylistic only." Fed. R. Crim . P. 52 advisory committee's note to 2002 amendments. The current version of Rule 52(b) says: "A plain error that affects substantial rights may be considered even though it was not brought to the court's attention."
Fermat's Last Theorem states there are no whole number solutions to x n + y n = z n where n is greater than 2. Pierre de Fermat posed it in 1637. And although it seems uncomplicated, it stood unproved for more than 350 years. Andrew Wiles proved it in 1994 using an infinite series of "Hecke rings." See Gina Kolata, How a Gap in the Fermat Proof Was Bridged , N.Y. Times , Jan. 31, 1995; see also Amir Alexander, Examining the Square Root of D'oh! , N.Y. Times , Jan. 27, 2014.
Reference
- Full Case Name
- UNITED STATES of America, Plaintiff-Appellee, v. Roberto Trinidad DEL CARPIO FRESCAS, Defendant-Appellant.
- Cited By
- 62 cases
- Status
- Published